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Code of Practice for Maintenance Management
Delivering Best Value in Highway Maintenance
Code of Practice for Maintenance Management July 2001
FOREWORD
Throughout the UK there is a widespread recognition of the importance of highway maintenance and the high value placed on this both by users and the wider community. There is also an increasing understanding of the serious consequences of failure to invest adequately and effectively in maintaining the local highway network, in particular the progressive deterioration of safety, reliability, and quality, eventually requiring even greater levels of investment in the future. There are however even wider consequences. The highway network is a key and highly visible community asset, supporting the national and local economy, and contributing to the character and environment of the areas that it serves. Within the new agenda of Integrated Transport, local road networks will continue to be the core of Local Transport Plans, although with changes in user priorities and regulation. The potential contribution of the local road network extends far wider even than transport. It is fundamental to the economic, social and environmental well being of the community, and its management and maintenance should seek to maximise this wider contribution. Effective management of the local road network has the potential to aid regeneration, social inclusion, community safety, health and the environment, but this will need a planned long term programme of investment, efficiently managed and supported by effective technical and management systems. The importance of the local road network in integrated transport and its wider community value has been recognised in developing transport policy both nationally and within the devolved administrations of Scotland, Wales and Northern Ireland. In England the Ten Year Plan for Transport sets specific targets for arresting the decline in the condition of local roads by 2004 and eliminating the backlog of outstanding maintenance work by 2010, backed by significant increases in funding. This increased profile, both in policy and financial terms, for highway maintenance requires a corresponding increased emphasis on management and systems to support service delivery within the context and principles of Best Value. The Partnership Project was therefore established, involving officers of Central, Devolved and Local Government, together with the Audit Commission, to provide a framework of guidance, standards and performance management, incorporated within a new Code of Practice.
Code of Practice for Maintenance Management 4
This Code of Practice, which supersedes the previous Code published in 1989, is founded on the key principle of Best Value, that services should be based upon the needs of users and the community rather than the convenience of service providers. It accepts that users prefer reasonable consistency, having little regard for administrative boundaries, and therefore seeks to encourage harmonisation of approach so far as practicable, both between strategic and local roads and between adjoining authorities. This Code applies throughout the UK, whilst recognising the need for reasonable local discretion and diversity, and essential Regional differences. This Code also recognises the diversity in funding arrangements applying in different parts of the UK, and also the likelihood of changes in the capital funding regime for Government support to local authorities. These are expected, in due course, to remove much of the present ring-fencing for transport expenditure, replacing this with a Single Capital Pot approach, providing greater local flexibility in the use of resources. In these circumstances it will be even more important to be able to demonstrate effective arrangements for the management of the highway network asset, consistent with those established for other potentially competing services. It is important that the results of ongoing research and development are reflected in the Code and arrangements have been put in place to ensure its continued currency. These arrangements are to be overseen by a newly established Roads Liaison Group, involving representatives of Central, Devolved and Local Government, as part of its much wider coordinating role. The highway network is a most highly valued physical asset, both in financial and community terms, for which public authorities are responsible, and delivering Best Value maintenance is crucially important both to users and the community. Authorities are recommended to adopt the principles of this Code, to adapt them as necessary based on consideration of local circumstances, and apply them consistently.
This Code is supported, endorsed and recommended by
Northern Ireland
CSS
Full details of project sponsors, steering group members and technical advisors are provided in the Acknowledgements section at the end of this Code.
CONTENTS
FOREWORD
PAGE NO
3 9
PART A
S E C T I O N 2 : IN T R O D U C T I O N
2.1 2.2 2.3 2.4 The Partnership Project The Importance of Highway Maintenance The Changing Agenda Towards Sustainable Highway Maintenance
AND
S E C T I O N 1 : EX E C U T I V E
SUMMARY
11
S E C T I O N 3 : PU R P O S E
3.1 3.2 3.3 3.4 3.5 3.6 3.7 3.8 3.9
SCOPE
15
Objectives of this Code of Practice Context for this Code of Practice Terminology Purpose of Highway Maintenance Scope of Highway Maintenance Related Activities Application to Devolved Administrations Local Highway Maintenance Authorities Arrangements for Updating and Review
S E C T I O N 4 : CO M P L E M E N T A R Y G U I D A N C E
4.1 4.2 Limitations to this Code of Practice Further Advice and Guidance
23
PART B
S E C T I O N 5 : PO L I C Y F R A M E W O R K
5.1 5.2 5.3 5.4 5.5 5.6 Strategic Policy Integration Transport Policy Integration Integrated Network Management Sustainable Highway Maintenance Publication, Adoption and Incorporation of Policy and Strategy Asset Management Regime
OF
25
S E C T I O N 6 : CO N T E X T
6.1 6.2 6.3 6.4 6.5 6.6 6.7 6.8 6.9 6.10 6.11 6.12
BEST VALUE
33
Relevance to Highway Maintenance Service User and Community Focus Consistent Standards or Local Discretion Best Value Reviews Challenging Present Practice Comparing Outcomes and Performance Consulting Service Users, Providers and the Community Competitive Service Delivery Adding Value Resolving Differences Information and Publicity Managing Compliments, Complaints and Claims Delivering Continuous Improvement
S E C T I O N 7 : LE G A L F R A M E W O R K
7.1 7.2 7.3 7.4 7.5 7.6 7.7 Duty of Care for Highway Maintenance Powers and Duties for Highway Maintenance Related Powers and Duties Duty of Best Value Health and Safety The Management of Risk Management Systems and Records
43
PART C S E C T I O N 8 : ST R A T E G Y
8.1 8.2 8.3 8.4 8.5 8.6 8.7 8.8 8.9 8.10 8.11 8.12 8.13
AND
HIERARCHY
51
Principles and Objectives of Highway Maintenance Strategy Components of Highway Maintenance Strategy Strategy Coordination Designing for Maintenance Highway Maintenance Management Systems Network Inventory Network Hierarchy Carriageway Hierarchy Footway Hierarchy Cycleway Hierarchy Maintenance Type Maintenance Category Training and Development
AND
S E C T I O N 9 : IN S P E C T I O N, AS S E S S M E N T
9.1 9.2 9.3 9.4 9.5 9.6 9.7 9.8 9.9 9.10 9.11 9.12 9.13 9.14 9.15 9.16 9.17 9.18 9.19 9.20 9.21 9.22 9.23 9.24 9.25 9.26
RECORDING
65
Importance of Inspection, Assessment and Recording Regime Categories of Inspection Recording and Monitoring of Information Safety Inspections Safety of Electrical Installations Safety of Lighting, Illuminated Signs and Signals Skidding Resistance Survey Requirements Service Inspections General Requirements Service Inspections for Carriageways Footways and Cycleways Service Inspections for Highway Drainage Systems Service Inspections of Embankments and Cuttings Service Inspections of Landscaped Areas and Trees Service Inspections of Fences and Barriers Service Inspections of Traffic Signs and Bollards Service Inspections of Road Markings and Studs Service Inspections of Traffic Signals, Pedestrian and Cycle Crossings Service Inspections of Street Lighting Service Inspections of Bridges and Structures Service Inspections for Network Integrity General Requirements of Structural Condition Surveys UKPMS Survey Requirements NRMCS Requirements Deflection Survey Requirements Inspections for Regulatory Purposes Optimisation of Inspection and Survey Regime Quality and Reliability of Data
S E C T I O N 1 0 : CO N D I T I O N, ST A N D A R D S
10.1 10.2 10.3 10.4 10.5 10.6 10.7 10.8 10.9 10.10 10.11 10.12 10.13 10.14 10.15 10.16
AND
INVESTIGATORY LEVELS
89
Relevance of Condition Standards and Investigatory Levels Types of Standard or Investigatory Level Condition of Carriageways Condition of Footways Condition of Cycleways Condition of Highway Drainage Systems Condition of Embankments and Cuttings Condition of Landscaped Areas and Trees Condition of Fences and Barriers Condition of Traffic Signs and Bollards Condition of Road Markings and Studs Condition of Traffic Signals, Pedestrian and Cycle Crossings Condition of Street Lighting Standards for Regulatory Functions Standards for User and Community Response Coordination of Standards
AND
S E C T I O N 1 1 : PE R F O R M A N C E I N D I C A T O R S, CO M P A R I S O N
11.1 11.2 11.3 11.4 11.5 11.6 11.7 11.8 11.9
TARGETS
109
Relevance of Performance Indicators and Targets The Family of Performance Indicators National Performance Indicators Principles for Local Performance Indicators Benchmarking The Importance of Targets Local Performance Indicators for Highway Maintenance Benchmarking Networks and Registers Evolution of Performance Indicators and Targets
AND
S E C T I O N 1 2 : PR O G R A M M I N G
12.1 12.2 12.3 12.4 12.5 12.6 12.6
PRIORITIES
119
The Importance of Prioritising and Programming Balancing Strategic Priorities Balancing Transport Priorities Balancing Priorities by Type Priorities for Reactive Maintenance Priorities for Routine Maintenance Priorities for Programmed Maintenance
S E C T I O N 1 3 : WI N T E R S E R V I C E
13.1 13.2 13.3 13.4 13.5 13.6 13.7 13.8 13.9 13.10 13.11 13.12 Winter Service and other Weather Emergencies Purpose, Objectives and Statutory Basis Winter Service Policy Winter Service Operational Plan Network Hierarchy and Route Planning Decisions and Management Information Resources and Operational Issues Winter Service Training and Development Plant, Vehicles and Materials Information and Publicity Post Snow Inspection and Maintenance Performance Standards and Monitoring
AND
125
S E C T I O N 1 4 : WE A T H E R
14.1 14.2 14.3
OTHER EMERGENCIES
139
Nature of Weather Emergencies Flooding High Winds
14.4 14.5 14.6
High Temperature Other Highway Emergencies Civil Emergencies
PART D S E C T I O N 1 5 : MA T E R I A L S, TR E A T M E N T S
15.1 15.2 15.3 15.4 15.5 15.6 15.7 15.8 15.9 15.10 15.11 15.12
AND
PROCESSES
145
Management for Quality and Sustainability Technical Specifications and Guidance Quality Management and Sector Schemes Environmental Issues Maintaining for Noise Reduction Materials Utilisation Waste Management and Recycling Pollution Control Nature Conservation and Biodiversity Dealing with Noxious Weeds Environmental Intrusion Environmental Consultation and Assessment
AND
S E C T I O N 1 6 : PR O C U R E M E N T
16.1 16.2 16.3 16.4 16.5 16.6 16.7
SERVICE DELIVERY
155
Scope of Procurement and Service Delivery Principles of Best Value Procurement Evolving Procurement Agenda Main Procurement Options Development of Partnering Interauthority Issues Focussing on the User
S E C T I O N 1 7 : FI N A N C I A L M A N A G E M E N T
17.1 17.2 17.3 17.4 17.5 17.6 Financing of Highway Maintenance Asset Management Regime Asset Valuation Accounting Principles Budgetary Control Budgeting Principles
AND
161
S E C T I O N 1 8 : MO N I T O R I N G, RE V I E W
18.1 18.2 18.3 18.4
REPORTING
167
Importance of Monitoring, Review and Reporting Categories of Review Shared Best Practice Monitoring and Review of Code of Practice
PART E APPENDICES
Appendix Appendix Appendix Appendix Appendix Appendix Appendix Appendix Appendix Appendix A B C D E F G H J K Glossary of Terms Parameters for Defect Definition Options for Hierarchy Development UKPMS Rules and Parameters Optional Pavement Condition Assessment Regimes Suggested Local Performance Indicators Key Performance Indicators for Maintenance Procurement Winter Service Issues Example of Network Asset Valuation Northern Ireland References
SECTION 1 : EXECUTIVE SUMMARY

1.1
1.1.1
Structure of this Code of Practice

This Code is set out in five Parts, each of which is divided into Sections:
Part A Executive summary, introduction to the Code, its scope and purpose, with links to complementary advice Part B Policy and legal framework for highway maintenance within the context of Best Value Part C Principles for developing strategy and network hierarchy. Standards for inspections and condition surveys, investigatory levels, benchmarking and assigning priorities. Guidance on planning for winter service and emergencies Part D Guidance on procurement, financial management, sustainability and monitoring all service aspects Part E Appendices with more detailed information, including glossary of terms and references
1.1.2
1.2
Recommendations are numbered within Sections and are located for convenience at the end of each Section. All recommendations are brought together in a brief nontechnical summary published as a companion to the main Code.
Objectives of this Code
y To encourage the development, adoption and regular review of policies for highway maintenance, consistent with the wider principles of integrated transport, sustainability and Best Value y To encourage a focus on the needs of users and the community, and their active involvement in the development and review of policies, priorities and programmes y To encourage harmonisation of highway maintenance practice and standards where this is consistent with users expectations, whilst retaining reasonable diversity consistent with local choice y To encourage the adoption of an efficient and consistent approach in the collection, processing and recording of highway inventory, highway condition and status information for the purpose of both local and national needs assessment, management and performance monitoring y To encourage the adoption and regular review of a risk management regime in the determination of local technical and operational standards
1.3
1.3.1
Status of the Code

The suggested recommendations of this Code are explicitly not mandatory on authorities. The key principle of Best Value requiring authorities to involve users in the design and delivery of service implies that authorities should have reasonable discretion to respond to such involvement. Authorities also however have certain legal obligations with which they need to comply, and which will, on occasion, be the subject of claims or legal action by those seeking to establish noncompliance by authorities. It has been recognised that in such cases, the contents of this Code of Practice may be considered to be a relevant consideration. In these circumstances, where authorities elect in the light of local circumstances to adopt policies, procedures or standards differing from those suggested by the Code, it is essential for these to be identified together with the reasoning for such differences. The Code is based on the assumption that available funding for highway maintenance will provide some flexibility for authorities to pursue a regime of assessment and rational planning of programmes and priorities. Where this is not the case, statutory obligations for network safety will need to take precedence.
1.3.2
1.3.3
S E C T I O N 2 : IN T R O D U C T I O N
2.1
2.1.1
The Partnership Project
This Code of Practice has been developed as a Partnership Project by officers of United Kingdom National, Devolved, and Local Governments in conjunction with the Audit Commission. The Project was established to encourage coordination and consistency in the delivery of local highway maintenance services and to facilitate sharing of developing best practice. This Code comprises a framework of guidance and standards which, if generally applied, should contribute significantly to the achievement of this objective. The Partnership recognised the particular relevance of the new duty of Best Value to highway maintenance, a highly valued and visible service with the potential to contribute significantly to the wider corporate objectives defined in the Best Value Performance Plans prepared by local authorities. The Code of Practice has accordingly been developed to follow closely the principles of Best Value, in particular the requirement that services should be designed to meet the needs of users and the community rather than the convenience of service providers. It has also been designed to facilitate the conduct of Best Value reviews including highway maintenance, and to provide a stimulus to the pursuit of continuous improvement. The Code is intended to apply throughout the United Kingdom and has been designed to reflect any key differences that exist in the devolved administrations. It also seeks to reconcile and harmonise maintenance practice on local and strategic road networks where this is practicable and consistent with the expectations of users, whilst retaining scope for local discretion and diversity.
2.1.2
2.1.3
2.2
2.2.1
The Importance of Highway Maintenance

The importance of highway maintenance and its relevance to the integrated transport agenda has never been more widely recognised. The inevitable consequences of significant underinvestment over many years are increasingly visible and the subject of considerable public concern. Acceptable standards of safety and serviceability have been difficult to maintain and perhaps more importantly the ability of the network effectively to fulfil its wider community potential has been severely compromised. The response of most authorities to funding constraints has been to focus on limited short term repairs to the surface of carriageways and footways in order to address their legal responsibilities for safety and mitigate the financial consequences of claims. Necessary works of resurfacing and reconstruction have been deferred as long as possible, well beyond the optimum point for treatment with the result that progressive deterioration has continued and eventual costs of repairs increased. In these circumstances, of course, it has been difficult to address many other areas of public concern as required by Best Value.
2.2.2
11
2.2.3
The need for more effective funding and management of highway maintenance work was first addressed on the strategic highway network, where heavy traffic flows and the need for more consistent serviceability levels were more obviously apparent. In England, the Highways Agency, secured higher and more long term funding and applied this to a new and innovative regime of management and procurement which is still developing. The outcome of these initiatives has been first to stabilise and then to reverse the decline in network condition for strategic highways. Similar approaches are being pursued on the strategic network in other parts of the UK. The Ten Year Plan, in England, has now brought to local roads a similar urgency and the prospect of similar increases in funding to those provided for the strategic highway network. The sharing of technical and procurement experience and harmonisation in approaches between strategic and local roads will be an important factor in delivering the necessary improvements in local highway maintenance, and has been a key feature in the development of this Code. An increased programme of investment in highway maintenance has the potential to increase traffic disruption and consequent user dissatisfaction in the short term. Effective co-ordination and harmonisation combined with careful and considerate design and programming of works can avoid or significantly mitigate this, which is of course, an explicit requirement of Best Value.
2.2.4
2.2.5
2.3
2.3.1
The Changing Agenda

There is currently very strong political and public support for investment in highway maintenance, and for ensuring that the service is closely integrated, not only with overall transport policy, but with other key areas of policy. Maintenance policy and practice should be sufficiently flexible to respond and add value to a wide range of local circumstances, whilst retaining the level of consistency expected by users, particularly for those parts of the network serving more than a local function. Conversely there will be some circumstances where highway maintenance policies should legitimately influence policies and priorities of other services. There are however other important changes to the environment within which highway maintenance services are delivered. The duty of Best Value brings with it the obligation of regular review, comparing performance and challenging present arrangements in order to secure continuous improvement or step change in pursuing defined outcomes. This requires a more robust regime of Performance Indicators, Benchmarks and Targets than has previously been the case. The strong focus on the needs of users rather than providers brings a requirement for greater emphasis on consulting and involving users, and will need careful local consideration of how to undertake this most effectively for such a wide ranging and complex service. A key area of the new Best Value regime is that of procurement, with the expectation that reviews should specifically consider the potential for competition in
2.3.2
2.3.3
2.3.4
service delivery. The procurement regime has changed radically since the previous Code, with the Government emphasis on publicprivate partnerships and a wide variety of arrangements now in place, some of which are now in second or even third generation. Much of this new creativity in procurement was stimulated by the Egan report Rethinking Construction and has resulted in new forms of partnership, which are still evolving, and are referred to later in this Code. 2.3.5 The institutional framework for the delivery of highway maintenance has changed significantly since the previous Code. This is particularly the case in relation to the strategic network, where local authority involvement as agent now tends to be the exception in most parts of the UK, although in England an extensive programme of detrunking is in hand. New structures have therefore been necessary in order to coordinate arrangements for strategic and local roads and these also are continuing to evolve. Devolved Government has now become the focus for transport policy in Scotland and Wales, managing directly the strategic network and allocating local authority funding for a range of functions including highway maintenance. In Northern Ireland, the Roads Service continues to manage both the strategic and local road network but from within a new Department for Regional Development. In England the Highways Agency provides strategic road management, with local roads being managed by a range of County, Metropolitan District, and Unitary authorities. In London the strategic network is managed by Transport for London Street Management, responsible to the Mayor, with local road management being undertaken by the London Boroughs. These new organisational arrangements are matched by ongoing changes to the funding and financial management regime, especially in England, which are intended to provide necessary discretion for local authorities in determining funding priorities but within a strengthened regime of accountability. A key element of this regime is Single Capital Pot funding backed by an effective Asset Management Strategy, which will inevitably require greater attention to ensuring that the necessary information systems are in place to enable road maintenance to compete effectively for funding against the requirements of other assets. The need for such costeffective, information systems is also driving changes in procedures and technology. The National Road Maintenance Condition Survey, which for 20 years, in England and Wales, has provided statistical information on overall strategic and local road condition is being revised in consultation with participating authorities to provide for more efficient collection of data and more effective use for both strategic and local purposes. The new arrangements are expected to incorporate the new technology of machine surveys, which is now more widely available and which is likely to be increasingly taken up particularly by authorities with large, predominantly rural, networks.
2.3.6
2.3.7
2.3.8
13
2.3.9
There has also been in recent years a general increase in the tendency for users to pursue claims against authorities where injury or damage has occurred and they consider there has been a failure on the part of the authority to maintain the highway to required standards. In the light of this trend the need is stressed, throughout this Code, for authorities to establish and publish clear policies, and maintain consistent detailed regimes of inspection, repair, recording and monitoring.
2.4
2.4.1
Towards Sustainable Highway Maintenance

Perhaps the most important area of change is in the need for highway maintenance to meet the challenge of sustainability. This requires that the wider economic, social, and environmental implications of both the service and its individual schemes are first of all understood, and then modified so far as practicable to ensure Best Value outcomes for the community. This is a complex, difficult and presently not well understood process but one that potentially could deliver the most longlasting benefits not only to the community, but to the development, stimulation and motivation of all involved in service delivery.
2.4.2
SECTION 3 : PURPOSE AND SCOPE

3.1
3.1.1
Objectives of this Code of Practice
The purpose of this Code of Practice is to take forward the objectives of the previous code, but to set them in the new context within which highway maintenance is now required to be delivered. The previous code was firmly based on encouraging the use of sound management systems and defining minimum standards for maintenance practice within, what was then, a fairly stable procurement regime. This new Code recognises the need for local flexibility implied by the new focus on the needs of users and the community. It encourages authorities to respond enthusiastically and creatively to the challenges posed by Best Value and sustainability. From time to time it includes examples of individual authority approaches, both for interest and comparison. The objectives of the previous code of practice were: a) To encourage highway authorities to use a systematic approach to decision making within a consistent framework b) To provide a common basis for assessing the overall maintenance need, resource requirements and implications c) To reduce inconsistency in highway maintenance standards d) To assist in the more effective allocation of national and local resources e) To encourage the regular review of policies, standards and the effectiveness of maintenance programmes
3.1.2
3.1.3
3.1.4
For this Code these objectives are modified slightly and reordered: a) To encourage the development, adoption and regular review of policies for highway maintenance, consistent with the wider principles of integrated transport, sustainability and Best Value b) To encourage a focus on the needs of users and the community, and their active involvement in the development and review of policies, priorities and programmes c) To encourage harmonisation of highway maintenance practice and standards where this is consistent with users expectations, whilst retaining reasonable diversity consistent with local choice d) To encourage the adoption of an efficient and consistent approach in the collection, processing and recording of highway inventory, highway condition and status information for the purpose of both local and national needs assessment, management and performance monitoring e) To encourage the adoption and regular review of a risk management regime in the determination of local technical and operational standards
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16
3.1.5
This Code should be used by authorities as a benchmark against which to develop and review local highway maintenance policy and, where necessary, to identify the nature and extent of local variations.
3.2
3.2.1
Context for this Code of Practice

The suggested recommendations of this Code are explicitly not mandatory on authorities. The key principle of Best Value requiring authorities to involve users in the design and delivery of service implies that authorities should have reasonable discretion to respond to such involvement. Authorities also however have certain legal obligations with which they need to comply, and which will, on occasion, be the subject of claims or legal action by those seeking to establish noncompliance by authorities. It has been recognised that in such cases, the contents of this Code of Practice may be considered to be a relevant consideration. In these circumstances, where authorities elect in the light of local circumstances to adopt policies, procedures or standards differing from those suggested by the Code, it is essential for these to be identified together with the reasoning for such differences. This Code is based on the principle that highway maintenance, and indeed the wider agenda of network management, should be managed as an integrated asset management regime, with the objectives of delivering safety, serviceability and sustainability. These three objectives, set within the context of a sound financial management, define the framework both for the service and for this Code, including arrangements for inspection, standard setting and performance. They could also form the basis on which to develop outcome based contracts. Bearing in mind the legal obligations referred to above, authorities should have adopted reasonably consistent and well defined approaches in addressing the safety objective, and this is reflected in this Code. In addressing issues of serviceability and sustainability, where statutory obligations are less well defined, practice is more variable and the Code retains this flexibility, but suggests that practice is reviewed and refined locally in the light of individual circumstances, including user involvement. There are some statutory obligations relating to serviceability and sustainability resulting from Best Value legislation, which vary throughout the UK, and which mainly relate to the provision of information on Best Value Performance Indicators. In such cases this Code clearly reflects the statutory position and provides guidance on application. This Code is designed to provide guidance for UK wide application, and attempts to address the most significant differences between the Devolved Administrations of particular relevance to highway maintenance, but there will inevitably be some omissions of detail. Detail has also been omitted in many other areas, where operational policies, practice and standards are well documented elsewhere and need not be replicated. In such cases crossreferencing and indexing is provided. The increased interest and emphasis on highway maintenance has brought a corresponding acceleration of research and technical developments. Best Value reviews are also increasingly identifying new initiatives and developing practice, especially in procurement. This Code therefore represents practice at the time of publication and will need to be updated from time to time.
3.2.2
3.2.3
3.2.4
3.2.5
3.2.6
3.2.7
3.2.8
3.2.9
Last but not least this Code is based on the assumption that available funding for highway maintenance will provide some flexibility for authorities to pursue a regime of assessment and rational planning of programmes and priorities.
3.3
3.3.1
Terminology
The terminology used in this Code has been modified in some respects from that used by the previous code in order to improve consistency. The main changes are:
y Replacement of the term warning levels with investigatory levels,

which reflects more accurately their status
y Replacement of the term intervention levels with system intervention

levels to clarify that these are only applied automatically within UKPMS and other pavement management systems
y Replacement of the term detailed inspection with service inspection

to maintain consistency with the newly defined maintenance objectives and to avoid confusion with Detailed Visual Inspections (DVI) 3.3.2 After careful consideration it has been decided to retain industry rather than user definitions for parts of the highway. There is a strong Best Value argument for moving to user focussed definitions but, with much of the supporting documentation continuing to use industry definitions, such a change would need to be coordinated to avoid confusion. The main relevant definitions are:
y The term carriageway is used for facilities used by motor vehicles y The term footway is used for segregated surfaced facilities used by
pedestrians. Where these are not immediately adjoining a carriageway the term remote footway is used. The term housing footway is used for those footways serving predominantly housing areas, which may be unadopted as highways, but maintained by the authority as part of its housing function. The term footpath is retained for other forms of public rights of way
y The term cycleway is used as the collective term for all segregated
facilities used by cyclists. For more detailed definitions see Section 8
y The term running surface is used as the collective term for all hardened
surfaces within the highway including carriageways, footways and cycleways
y The term pavement is used as the collective term for the construction of
all running surfaces, particularly carriageways 3.3.3 The Code is intended to apply to all parts of the UK and where necessary refers in detail to differences in legislation, policy and practice. There are however a number of differences in terminology which it would be inappropriate to repeat at length and in such cases the English term has been used. The main items include:
y The term highway is used to include road or street y The term Local Transport Plan (or policy) is used to include all similar
arrangements
17
18
y The term authority is used to include all forms of national and local
authority having responsibility for highway maintenance. The term Best Value Authority has a more specific definition in accordance with the Local Government Act 1999
y The term Winter Service is used to include all ice prevention, snow
clearance and all forms of winter maintenance activity 3.3.4 For further details of terms used in the Code, reference should be made to the Glossary in Appendix A. Where the Code makes reference to supporting or complementary advice, for example UKPMS Rules and Parameters, all such references are to the most current version unless otherwise indicated. A list of all documents referred to is provided as Appendix K.
3.3.5
3.4
3.4.1
Purpose of Highway Maintenance

The main purpose of highway maintenance is to maintain the highway network for the safe and convenient movement of people and goods. This purpose however needs to be set within the wider contexts of integrated transport, Best Value and the corporate vision of the responsible authority. These principles are developed further in Section 8 of this Code, which defines the objectives of highway maintenance as: a) i) ii) b) i) ii) iii) iv) c) i) ii) iii) Network Safety Complying with statutory obligations Meeting users needs Network Serviceability Ensuring availability Achieving integrity Maintaining reliability Enhancing quality Network Sustainability Minimising cost over time Maximising value to the community Maximising environmental contribution
3.4.2
3.4.3
Each of these objectives is equally relevant to the network management function, which brings together highway maintenance, improvement and management. This close linking is an essential requirement for delivering an integrated user-focussed service and is emphasised throughout this Code.
3.5
3.5.1
Scope of Highway Maintenance

Highway maintenance is a wide ranging function and this Code defines the following types of activity:
a) Reactive Responding to inspections, complaints or emergencies b) Routine Regular consistent schedule for patching, cleaning, landscape maintenance and other activities c) Programmed Planned schemes, primarily of resurfacing, reconditioning or reconstruction d) Regulatory Inspecting and regulating the activities of others e) Winter service f) Weather and other emergencies 3.5.2 Within each of these types of maintenance there are various maintenance activities applying to highway elements usually grouped as follows: Reactive
y All elements sign and make safe y All elements provide initial temporary repair y All elements provide permanent repair
Routine
y y y y y y y y y
Carriageways, footways and cycleways minor works and patching Drainage Systems cleansing and repair Embankments and cuttings stability Landscaped areas and trees management Fences and barriers repair Traffic signs and bollards cleansing and repair Road markings and studs replacement Lighting Installations cleansing and repair Bridges and Structures cleansing and minor works
Programmed
y Carriageways minor works, resurfacing or reconstruction y Footways minor works, resurfacing or reconstruction y Cycleways minor works, resurfacing or reconstruction
Regulatory
y y y y
Highway register Management of utilities Licenses for highway occupation Other regulatory functions encroachment, illegal signs etc
Winter Service
y Pretreatment y PostTreatment y Clearance of snow

Weather and other Emergencies
y y y y
Flooding High winds High temperatures Other emergencies
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20
3.6
3.6.1
Related Activities
There are a number of other related functions, which are not dealt with in detail by this Code, but which could affect and be affected by highway maintenance activity. They also have the potential for value to be added through cooperation and coordination. Such functions include:
y y y y y
Network management Highway development control Street cleansing Town centre management Public rights of way management
3.7
3.7.1
Application to Devolved Administrations

This Code of Practice is intended to apply throughout the United Kingdom and has been drafted so far as possible to take into account the most important differences in statutory duties, policy and practice existing within the Devolved Administrations of England, Scotland, Wales, Northern Ireland and London. The main strategic differences include:
3.7.2
y y y y y y
3.7.3
The institutional framework Strategic and local transport policy Financial regime Key legal and statutory basis Statutory basis and approach to Best Value Definition of performance indicators and targets.
The key aspects of most of these differences are dealt with in the relevant sections of the Code, but the main differences in the institutional framework are as follows: England
y The Department of the Environment, Transport and the Regions set y The Highways Agency is network operator for the motorway and trunk
road network, which is maintained through an evolving procurement regime of Managing Agents and Contractors, established through a consultation process Paving the Way A range of local highway authorities are responsible for local road maintenance through evolving and locally determined procurement regimes strategic policy
Wales
y The National Assembly for Wales sets strategic policy y A framework of lead authorities is responsible for maintenance of y Local highway authorities are responsible for local road maintenance
through evolving and locally determined procurement regimes motorway and trunk road network
Scotland
y The Scottish Executive Development Department sets strategic policy y The Road Network Management and Maintenance Division is responsible
for managing the maintenance of motorways and trunk roads
y Motorways and trunk roads are maintained through recently established y

arrangements, based on five year contracts let to two private operating companies Local roads authorities are responsible for local road maintenance through evolving and locally determined procurement regimes
Northern Ireland
y The Department for Regional Development sets strategic policy y The Roads Service is responsible for maintenance of all roads
London
y The Mayor and the Greater London Authority and set strategic policy y Transport for London Street Management is responsible for maintenance
of the strategic road network
y The London Boroughs are responsible for local road maintenance through
evolving and locally determined procurement regimes 3.7.4 There are also however a number of operational and practical differences, including:
y y y y
3.7.5
Road and traffic characteristics Climate Topography and ground conditions Users expectations
Road and traffic characteristics vary widely throughout the UK. For example Northern Ireland has approximately 2.5 times the road length per head than other parts of UK. Certain remote parts of Scotland depend upon the maintenance of extremely long culs de sac, and selfsufficiency will be a crucial requirement for many island and peninsular communities. Some trunk roads in Scotland have passing places. There are obviously very different climatic conditions throughout the UK that will effect the extent of expenditure on weather sensitive services, particularly salting and snow clearing, but also increasingly assistance with flood protection. Topography is also clearly different, especially in Wales and Scotland and the existence of peat and other difficult ground conditions will have implications for the rate of deterioration and maintenance requirements. Users expectations will also vary widely, usually tempered by the reality of their situation. For example a risk assessment of the need to retain emergency access to remote parts of Scotland or Northern Ireland may suggest compromises in management which would be difficult to justify elsewhere. The dependency of the local economy on the highway network will also be a consideration. Many parts of the country will experience very considerable traffic resulting from tourism, with summer flows increasing in some cases by as much a factor of ten over winter levels. This will inevitably effect the programming and procurement of works. It may also have implications for varying inspection frequencies and standards.
3.7.6
3.7.7
3.7.8
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3.8
3.8.1
Local Highway Maintenance Authorities

Different arrangements for local highway maintenance apply throughout the UK. In England local roads are maintained either by County, Unitary, Metropolitan District or London Borough Councils. Some Shire District Councils provide highway maintenance services under the terms of agency agreements with County Councils. In Scotland and Wales, local highway maintenance is provided by the Unitary Councils. In Northern Ireland local and national road maintenance is provided by the Roads Service of the Department for Regional Development. This Code is intended to apply to all authorities within the UK, which will have widely varying characteristics. Some authorities will manage predominantly densely populated urban areas, whilst others will be responsible for rural areas with widely dispersed settlements. Each will need to interpret the guidance provided in the Code to suit their own local circumstances whilst retaining the broad consistency of approach sought by users.
3.8.2
3.8.3
3.9
3.9.1
Arrangements for Updating and Review

It is intended to provide online updating of the Code. The structure has been designed to facilitate this, and it is intended to introduce the online updating service during the year following the launch of the Code. Further details are provided in Section 18.
SECTION 4 : COMPLEMENTARY ADVICE

4.1
4.1.1
Limitations to the Code of Practice
This Code provides guidance on the strategic planning and management of highway maintenance within the context of Best Value. It is not intended as a detailed technical reference for all aspects of highway maintenance or to repeat technical guidance available elsewhere. Areas referred to but not dealt with in detail include:
y y y y y y y
Network management Highway improvement and new construction Maintenance of bridges and structures Installation and maintenance of highway lighting Management of utilities Maintenance of public rights of way Management of street cleansing
4.2
4.2.1
Further Advice and Guidance

In recognition of the wider related areas that are not covered in detail, the Code makes reference where appropriate to complementary publications and guidance. A complete list of these is provided as Appendix K, but the most relevant items are:
y y y y y y
Code of Good Practice for Road Lighting Maintenance Good Practice advice on Bridges and Structures new Code being planned Code of Practice on Litter and Refuse UKPMS Visual Survey Manual and other Guidance ICE Design and Practice Guide, Highway Winter Maintenance NRSWA Guidance and Codes
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SECTION 5 : POLICY FRAMEWORK

5.1
5.1.1
Strategic Policy Integration
The planning and delivery of local services by authorities and others, has historically tended to be undertaken within individual specialist departments, often in isolation from other services. At best, such arrangements have not provided opportunities for adding value between services, and at worst could lead to unresolved conflicts between the policies, programmes and priorities of different services, consequently providing poor value for money and overall quality of service. This was particularly the case with highway maintenance, which could often be poorly integrated even with other highway works to say nothing of wider policy areas. This tendency has tended to be exacerbated in recent years by financial restrictions which, in some areas, have resulted in reductions in planned work and corresponding opportunities for policy coordination. The requirement for policy integration is a fundamental principal of the duty of Best Value, and is encouraged, even for those authorities for whom the duty is not statutory. It requires authorities to define, in consultation with their community, overall strategic objectives, which may be unrelated to traditional service areas, thus creating a stimulus for policy integration. Typical strategic objectives would be:
5.1.2
5.1.3
y y y y y y
5.1.4
Building Safer Communities Continually Improving Educational Achievement Developing and Supporting the Local Economy Developing Social Welfare and Promoting Health Protecting and Improving the Environment Reducing Inequality and Poverty
Significantly, none of these objectives relate specifically to transport let alone highway maintenance, though clearly these services have the potential to contribute in some cases very significantly to their achievement. They also, of course, have the potential to detract from the achievement of the objectives. The key requirements are therefore, to: a) Identify key areas of interaction between highway maintenance and each of the corporate objectives b) Maximise so far as is practicable the contribution towards them c) Ensure that potential areas of conflict are resolved
5.1.5
This then is the new regime of policy integration within which highway maintenance must operate. It is challenging but provides real opportunity to develop and present the service in a way which is likely demonstrate more effectively its value to the community.
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5.2
5.2.1
Transport Policy Integration

The theme of Strategic Policy Integration is continued in Government transport policy. In England the 10 Year Plan for Transport is intended to support and contribute to many of the Governments longterm objectives, in particular to:
y y y y y y
5.2.2
Sharpen the competitiveness of British industry Boost the economic development of all regions Promote the renaissance of towns and cities Enhance access and opportunity in rural areas Reduce social exclusion Lessen the impact of transport on the environment at both local and global levels
Government transport policy is based on the twin themes of sustainable and integrated transport which share many of the key Best Value principles:
y Involving users and the wider y Focussing on the long rather than y Improving transport choice and y y y
the ease of moving between modes Creating a better environment Supporting a fairer more inclusive society Encouraging investment through public and private partnership short term community
5.2.3
These key themes are developed through the respective transport policy documents applying within the Devolved Administrations, both in respect of strategic and local transport networks, and reinforced through supplementary guidance issued to local authorities. In England, the 10 Year Plan places highway maintenance as a key priority for investment. Amongst the key challenges are:
5.2.4
y Eliminating the maintenance backlog for local roads, bridges and street
lighting as part of a 30bn programme
y For strategic roads over the period

of the Plan, road condition to be maintained to a high standard, so that the proportion requiring maintenance in any future year is held at an optimum level (between 7% and 8%)
y Halting the deterioration in local

road condition by 2004, and eliminating the backlog by the end of the Plan period
y Providing lowernoise surfaces on

60% of the trunk road network
5.2.5
But the Plan identifies other key challenges and targets, which are also relevant to the planning and operation of highway maintenance:
y To reduce by 50% the number of children killed or seriously injured in

road accidents compared with the average for 199498
y To reduce by 40% the number of people killed or seriously injured in road

accidents
y To create more traffic calmed

20mph zones around schools, where most child accidents occur, and also Home Zones residential areas treated with traffic calming and other measures, which aim to improve residents quality of life and improve safety
y To expand significantly walking

and cycling schemes, including safer routes to schools and stations. The target is to treble the number of cycling trips from their 2000 level by 2010
y To reduce congestion below current levels, particularly in large urban

areas. Congestion in larger urban areas to be reduced from a forecast growth of 15% by 2010 to an 8% reduction. In other urban areas congestion growth to be reduced from 15% to 7%
y To encourage extensive bus priority schemes including guided bus systems

and other infrastructure improvements also benefiting coaches, leading to a 10% increase in bus passenger journeys
y To improve the accessibility of public transport and the pedestrian

environment for disabled people
y To introduce smarter management of the trunk road network, giving

drivers better information on traffic conditions 5.2.6 Local Transport Plans (LTPs), and their equivalents applying within the Devolved Administrations, are a crucial part of the process by which authorities will seek to meet their duty of Best Value for transport functions. LTPs must include a strategy for highways maintenance and bridge strengthening. This should state clear objectives and set out the criteria that the authority will use in allocating resources. Local authorities are advised to take into account the likely level of resources available while preparing their maintenance strategy and broad indications of how they might tackle the backlog with different levels of resources. Objective information on the extent of outstanding maintenance work is necessary to facilitate assessment of the maintenance strategy within LTPs. Authorities therefore need to establish a consistent view on what an appropriate condition for their network might be, based upon the principles outlined in this Code, and include this in their Plan. In developing this view, the principles of Best Value
5.2.7
5.2.8
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should be applied regarding local needs and specific commercial and environmental factors in the area concerned. It is important, as far as resources permit, to programme maintenance so as to minimise costs over time whilst delivering an acceptable road condition. 5.2.9 Financial allocations for maintenance will be based largely on an assessment of need. Weight will also be given to the quality of the maintenance plans submitted both for principal roads and for bridge strengthening. Particular account will be taken of the extent to which the plans are likely to deliver Best Value. Although the policy theme of transport integration is common throughout the UK, there are differences of expression and emphasis within the Devolved Administrations. The bases of national and local transport policy in the various parts of the UK are as follows: England
5.2.10
y Transport White Paper A New Deal for Transport Better for Everyone, July y y
Wales 1998 Transport 2010 The Ten Year Plan, July 2000. Includes specific targets for improvement of local road maintenance by 2004 and 2010 Local Transport Plans
y Welsh Transport Policy Statement Transporting Wales into the Future, July y Driving Wales Forward, July 1998 y Strategic Transport Framework y Local Transport Plans
Scotland 1998
y The Scottish Integrated Transport White Paper Travel Choices for Scotland, y Travel Choices for Scotland. Strategic Roads Review, November 1999 y Local Transport Strategies. Not a statutory requirement but needed as part
of bids to Public Transport Fund Northern Ireland July 1998
y Northern Ireland Transport Policy Statement: Moving Forward y A regional transport plan entitled Regional Transport Plan 20012004 will y No specific local policy framework Department for Regional Development
is the sole roads authority London be issued in 2001
y Mayors Transport Strategy y Interim Transport Plans

5.2.11 Although all policy documents acknowledge the importance and priority to be given to highway maintenance, at the time of publication, it is only in England where there are defined targets relating to the condition of local roads in 2004 and 2010, explicitly linked to financial provision.
5.3
5.3.1
Integrated Network Management

Highway maintenance policy needs to be developed integrally with the overall management of the network. Transport users, whatever their mode, do not distinguish between categories of road, or types of work, whether maintenance or improvement. It is irrelevant to them who is undertaking the work, whether local authority, contractor or utility. They expect the network to be managed and maintained holistically to provide consistent and appropriate levels of service and the ability to change modes as easily as possible. Users also expect reasonable consistency of policy and standards on similar categories of highway irrespective of the responsibility for maintenance, which implies that all authorities both local and national should seek to deliver these expectations wherever possible. Integrated network management also requires that all works on the highway network including maintenance, improvement, and new construction, are planned and managed integrally, also having regard to other influences on the network. LTP guidance also specifically advises authorities to consider the implications for all road users, particularly vulnerable road users, for example cyclists and motorcyclists, in planning and managing the network. This has special implications for the maintenance function, as when schemes are planned and programmed there may be an opportunity to incorporate added value to the safety, priority, integrity or quality of:
5.3.2
5.3.3
5.3.4
y Footways and crossing facilities y y y y

5.3.5 (particularly for older and disabled people) Cycleways and crossing facilities Horse riding and crossing facilities Facilities for and reliability of public transport Facilities for freight movement
Planning for highway maintenance should also take into account and add value to wherever possible all elements of local transport strategy, including: a) b) c) d) e) f) Quality Bus Partnerships Quality Freight Partnerships Accident Reduction and Prevention Programme Safer Routes to School Routes to Stations and other Interchange Facilities Urban and Rural Regeneration Programmes
5.3.6
Planning and budgeting for highway maintenance should also recognise that integrated transport, especially in urban areas, is likely to result in a more complex and diverse street scene. A wider range of signs, road markings and coloured surfacings will be necessary for regulation and management. Although these will be designed, of course, for minimum visual intrusion, the overall maintenance requirement to keep this more complex arrangement in good order is likely to increase. The deregulation of public transport (except in Northern Ireland), also means that the routes of services are less predictable and vary more frequently, and close liaison with operators will be necessary if works are to be coordinated so as to minimise
5.3.7
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disruption to public transport users. New forms of public transport including light rail and guided bus schemes are also bringing new challenges for maintenance, especially winter service.
5.4
5.4.1
Sustainable Highway Maintenance

The objective of Sustainability is applied in this Code in the accepted sense of securing a balance of social, economic and environmental wellbeing that does not compromise the ability of future generations to meet their own needs. It is also applied in terms of financial and operational sustainability, ensuring that investment and operational resources are procured to avoid progressive deterioration of the asset. These are not incompatible, but together provide a significant challenge for the highway maintenance industry.
5.5
5.5.1
Publication, Adoption and Incorporation of Policy and Strategy

Authorities should ensure that policies, priorities, and programmes for highway maintenance are formally approved and adopted by the Authority and published. They should also be incorporated into a Highway Management Plan and the Local Transport Plan. They should also influence and be influenced by the Best Value Performance Plan. In adopting policies, priorities and programmes for highway maintenance, authorities will need to have regard to the resources available and ensure that the standards set are deliverable.
5.5.2
5.6
5.6.1
Asset Management Regime

Arrangements for the management of highway maintenance need to be set within the context of an overall asset management regime, consistent with the arrangements established by the authority for the management of its wider asset base. This will include land, property and other key owned or leased assets used for service delivery and its wider local democratic role. Attention has been focussed on the importance of asset management by proposed changes to local government finance, including new requirements for the recording and management of assets. This approach has already been adopted by the Highways Agency and others for management of the strategic network, and similar principles will apply to the local network. The key principles of Asset Management are:
5.6.2
5.6.3
y y y y y y
5.6.4
Focus on lifecycle costing Management strategies for the long term Establishing and monitoring levels of service Managing risk of failure or loss of use Sustainable use of physical resources Continuous improvement
These principles underpin this Code and are dealt with in more detail in the relevant sections.
Recommendations
R5.1 Use of Code by Authorities
This Code of Practice should be used by authorities as a benchmark against which to develop and review local highway maintenance policy and, where necessary, to identify the nature and extent of local variations.
R5.2
Context of Corporate Policy

Policies, priorities and programmes for highway maintenance should be developed within the context of the wider corporately defined strategic objectives of the authority and crosscutting issues, such as regeneration or social inclusion in order to maximise opportunities for added value and to identify and resolve any potential conflicts. Conversely, maintenance policy and priorities should also where necessary help to influence and shape the wider policy agenda.
R5.3
Context of Transport Integration

Policies, priorities and programmes for highway maintenance should be developed within the context of the wider objectives for transport integration and network management, including strategies for public transport, walking and cycling to ensure programme coherence, and to realise opportunities for added value.
R5.4
Principle of Sustainability
Policies, priorities and programmes for highway maintenance should have particular regard to the principles of sustainability and the application of the precautionary principle.
R5.5
Publication, Adoption, and Incorporation of Highway Maintenance Policy and Strategy

Policies, priorities and programmes for highway maintenance should be formally approved and adopted by authorities, after consultation, published and incorporated into a Highway Network Management Plan and the Local Transport Plan. They should also influence the authorities Asset Management Plans and Best Value Performance Plans.
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SECTION 6 : CONTEXT O F BEST VALUE

6.1 Relevance to Highway Maintenance
6.1.1 From 1 April 2000 the Government placed a new duty of Best Value on local authorities, establishing challenging new arrangements under which they will fund, procure and deliver all of their services. It requires defined local authorities:
y To ensure that services are responsive

to the needs of citizens not the convenience of service providers
y To secure continuous improvement

in the exercise of all functions undertaken by the authority, whether statutory of not, having regard to a combination of economy, efficiency and effectiveness 6.1.2 Other principles of Best Value include:
y Ensuring that public services are efficient and of a high quality y Ensuring that policy making is more joined up and strategic, forward y Using information technology to tailor services to the needs of users y Valuing public services and tackling the under representation of minority
groups 6.1.3 The principles of Best Value have a particular relevance to highway maintenance, for the following reasons: looking and not reactive to short term pressures
y Highways are a major public asset highly valued by the community y Their maintenance attracts a high level of public interest and concern y Performance indicators have historically been difficult to obtain y There has tended to be no robust framework for local comparison y There has been an inefficient approach to whole life costing y There is a wide and developing range of service delivery options
6.1.4 Although the duty of Best Value applies only to roads and transport services delivered by local authorities, the Highways Agency in England and the strategic roads authorities within the Devolved Administrations are applying similar
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principles and priorities. The Highways Agency strategy for investment is strongly focussed on the requirements of users and based on:
y Making road maintenance the first priority y Making better use of the roads, through network control, traffic
management measures and safety improvements
y Whole life costing, seeking to minimise costs over time taking into
account the effects of disruption to traffic
y Tackling some of the most serious and pressing problems through a

carefully targeted programme of small improvements 6.1.5 The principles of Best Value apply throughout the UK but there are differences within the Devolved Administrations in their application and inspection arrangements. These are summarised in Section 7.
6.2
6.2.1
Service User and Community Focus

The increased focus on the needs of users and the community are explicit in National Transport Policy. The Government White Paper, A New Deal for Transport Better for Everyone is quite specific about this:
y We will change the focus of road investment to reflect the needs of all road
users, giving top priority to maintaining and managing our existing roads and getting them to work better
y We will put greater emphasis on listening to transport users there will be a

New Deal for the public transport passenger and a New Deal for the Motorist
y We want local people and business to have a real say and real influence over
transport. We will expect local authorities when preparing their local transport plans to consult widely and involve their communities in setting priorities for improving transport. In approving local transport plans we will want to be sure that they fully reflect this consultation and that the views of local people have made a difference
6.2.2
Similar aims are contained in transport policies for Scotland, Wales, and Northern Ireland. This commitment to consult and involve users and the community, although highly desirable and relevant, does bring some complications:
6.2.3
y Many aspects of the maintenance process are highly technical and may be
difficult to explain, but it is important that legal duties and obligations are understood
y Users concerns may tend to focus on the short term more visible
deficiencies in the network rather than the underlying less apparent problems
y Consultation can be expensive both in time and resources
6.2.4
Despite these difficulties the involvement of users and the community in informed consultation on the highway maintenance service is likely to be beneficial in the longer term in building understanding and support.
6.3
6.3.1
Consistent Standards or Local Discretion

An important issue for the involvement of users and the community in highway maintenance is the management of inevitable tension between the need to provide reasonable consistency of highway standards, both nationally and locally, and enabling local diversity. Indeed it is possible for users to hold both views simultaneously, for example in the case of speed limits. Best Value, with its emphasis on the needs of users and consultation, implies that authorities should be open to and encourage local diversity where appropriate, but this will require careful management. The most useful vehicle for the management of these tensions is the local road hierarchy. This will be the framework around which local standards and priorities are based and can provide the focus for consultations and community involvement on the scope for local or neighbourhood discretion, which will inevitably be greater for the less strategic parts of the network. It will also be important for authorities to demonstrate reasonable consistency within their area between parts of the network that may be managed separately. For example housing footways serving some residential areas may be managed and maintained by the housing authority rather than the highway authority, but users may be unaware of this and will rightly expect consistency of standards.
6.3.2
6.3.3
6.3.4
The Best Value Framework.
6.4
6.4.1
Best Value Reviews

Best Value authorities will need to demonstrate Best Value through a new and challenging process involving:
y Fundamental review of all services every five years y Publishing a Best Value Performance Plan each year y Independent assessment 35
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6.4.2
They will need to show that for every review their process is:
y Challenging why and how the service is being provided y Comparing their performance with others y Embracing fair competition as a means securing efficient and effective y Consulting with users and the wider community
6.4.3 The Audit Commission, (in England and Wales) will inspect the outcome of best value reviews so that: services
y y y y y y
6.4.4
The public can see whether best value is being delivered The authority can check how well its doing The Government can see how well policies are working Action can be taken where services are failing Best practice can be shared Improvement is likely
In Scotland, the equivalent body is Audit Scotland, and in Northern Ireland, the Northern Ireland Audit Office, but at present there are no arrangements for formal Best Value Reviews or audit arrangements. Audit Scotland does require Performance Management and Planning Audits (PMP). A number of Best Value Reviews of highway maintenance services have already taken place, either separately or as part of wider reviews incorporating other network management functions. There is in fact a strong argument for the wider approach as this provides a more coherent user focus. In addition to Best Value reviews of highway maintenance or network management, it is important that opportunities are taken to provide highway maintenance input to relevant reviews of other services or corporate themes. This Code should provide a template for authorities to use during Best Value reviews and as an indicator of good practice against which to benchmark their own performance.
6.4.5
6.4.6
6.4.7
6.5
6.5.1
Challenging Present Practice

A key aspect of Best Value reviews is to challenge present practice, including whether all current activities are necessary, relevant, or could be done better by others. Also to challenge present levels of economy, efficiency and effectiveness and methods of service delivery. In a number of authorities the presence of longstanding arrangements for inhouse provision and possible complex agency agreements with other authorities may prove fairly resistant to challenge. Providing effective challenges to long established practices will be assisted by taking steps to encourage confidence, ownership of the process and creativity amongst those involved and also to ensure active involvement from others outside the service. Useful vehicles for encouraging creativity and active participation in challenging established practice are to use workshops for:
6.5.2
6.5.3
y Facilitating an informal sustainability audit of the service y Facilitating an informal policy audit of the service against the corporate
objectives of the authority
6.5.4
Ideally the outcome of a Best Value review and subsequent improvement plan should be to incorporate continuous challenge into the future systems of procurement and review for the service. The Audit Commission, or other auditing authority, will want to know that the outcome can be delivered.
6.6
6.6.1
Comparing Outcomes and Performance

Comparisons of performance are a key element of Best Value review. Section 11 of this Code is intended to provide guidance on how this might be achieved together with some suggestions for possible performance indicators. Accurate indicators of performance have traditionally been difficult to develop for highway maintenance, primarily because of the range of potential variables including climate, topography, materials availability, network and traffic characteristics. There have also been difficulties in reconciling differing methods of central and service overhead allocation. These difficulties still exist, but continuing work by regional and national benchmarking networks is increasing understanding and providing a more reliable framework for comparison. New forms of procurement involving public private sector partnerships, based on outcome specifications, and supported by Key Performance Indicators are also contributing new approaches. The most reliable performance indicators are of course those which enable authorities to monitor their own performance and continuous improvement year on year, and these will be of equal importance to external comparisons.
6.6.2
6.6.3
6.6.4
6.7
6.7.1
Consulting Service Users, Providers and the Community

Consultation with service users, providers and the community is a fundamental part of Best Value reviews. There is extensive advice for local authorities provided elsewhere on consultation methods and the interpretation of results, and information can also be obtained from completed reviews. Polling organisations have conducted surveys for a wide range of authorities and have built up a comprehensive picture of public perceptions of both the importance and quality of service delivery for a range of highway maintenance activities. There are four main levels of user and community involvement. These can sometimes be confused and it is important to be clear about what is intended:
6.7.2
y Informing providing clear information to which a response is not sought

or necessarily required but which will be replied to if sent
y Consulting seeking structured responses to a defined series of questions

with or without supplementary briefing
y Participating involving in generalised discussions about services including

the provision of unstructured views and perceptions to assist with the development of issues and scenarios for further consultation
y Empowering providing encouragement and support for the devolvement of

certain decisions or aspects of service delivery
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6.7.3
User and community involvement should be a high priority and ongoing aspect of highway maintenance service provision. The provision of information is critical and dealt with in detail below, but it will also be important to undertake regular sampling of opinion in respect of specific schemes and projects. This will provide a useful contribution to organisational learning, and also assist in the monitoring of service delivery arrangements. Indeed this is recommended as a Key Performance Indicator for contract management. Ongoing consultation will also be necessary with adjoining authorities and service providers in order to ensure consistency and integrated programming of works. Also with utilities, public transport operators and other key stakeholders.
6.7.4
6.8
6.8.1
Competitive Service Delivery

Best Value requires that authorities embrace the principles of competition in procuring the delivery of services, and authorities will need to consider how best this requirement might be satisfied. It will need analysis of present procurement arrangements and close comparison of costs and practices with others, including consultation with a range of private sector providers. Authorities will then need to consider carefully in the light of this information the nature and extent of more formal participation by the private sector and how this might be facilitated. A number of options are outlined for consideration in Section 16 of this Code and experience is developing in this field. Authorities within twotier areas that have established agency arrangements with other authorities will need to reappraise these arrangements as part of Best Value reviews to ensure that they represent Best Value. Such reappraisals should, of course, be undertaken in close consultation with the authorities concerned.
6.8.2
6.8.3
6.9
6.9.1
Adding Value Resolving Differences
A key element of Best Value is to ensure that all services are managed to support the key corporate objectives and priorities of the authority. Best Value Reviews should therefore:
y Identify all areas of interaction of highway maintenance with each of the

key corporate objectives of the authority
y Where these interactions provide opportunities for added value these

should be investigated and pursued wherever practicable
y Where these interactions suggest possible conflicts then these should be

investigated and arrangements put in place to resolve the differences. Whether the difference is resolved in favour of corporate or service policy is less relevant than the fact that it is resolved 6.9.2 This process can be particularly challenging but rewarding, as it should result in a much wider understanding of highway maintenance and a broader base of support for the service.
6.10 Information and Publicity

6.10.1 This Code deals elsewhere with the need to publish and make widely available information on policies and standards. This will help in ensuring that expectations
are realistic and consistent with the resources available. This section deals with more site specific requirements for information and publicity. 6.10.2 The provision of clear, accurate and timely information to users and those affected by highway maintenance works is one of the most important responsibilities of authorities, but one which often receives insufficient attention. Information provided sufficiently early will enable users to change their travel plans, and local residents or industry to adjust their arrangements to accommodate the works, with minimum inconvenience and disruption. It is also likely to influence their perceptions of the authority. The information medium used will depend on the scale of works and potential disruption, and could involve letters, posters, media advertisements and information boards on site both prior to and during the works. Information is of particular value to users and providers of public transport. Maintaining service frequency and reliability are crucial to the encouragement of increased public transport use, and can easily be compromised albeit unintentionally through insensitively planned and publicised works. Where temporary closures and diversions are planned, which affect public transport, authorities should carefully plan and schedule works to keep closures and diversions to a minimum period. It has often been the practice to seek orders for closures and diversions for periods well in excess of that expected. Although this is understandable and provides flexibility for the works, it can be confusing and frustrating for public transport use. The objective should be to plan realistically and keep to the timing agreed. It is important in the case of major works to establish effective working arrangements with local press and broadcast media to enable the presentation of timely and accurate current information and advice on network condition and use. Local radio, in particular, considers this to be a most important aspect of their service to the community, and it therefore provides the opportunity to build good working relationships over wider issues. Many authorities have specialist press and public relations personnel and it will be important to clarify and agree respective service and specialist responsibilities. It is also important to provide information directly to key stakeholders, including all emergency services, public transport operators, motoring organisations and key local organisations. It provides an important opportunity to demonstrate an understanding of users needs, and a strong service commitment. The internet and authority web pages will be an increasingly important source of such information and it will be important that these are regularly updated. In the case of Winter Service, and Weather and Other Emergencies even closer liaison will be required and this is dealt with in Sections 14 and 15 of this Code.
6.10.3
6.10.4
6.10.5
6.10.6
6.10.7
6.10.8
6.11 Managing Compliments, Complaints and Claims

6.11.1 Management of the highway network is a high profile and highly valued public service, and authorities will need to accommodate and process considerable volumes of correspondence, telephone calls and other forms of communication from users and the community. The efficiency and courtesy of response will determine to a large extent the local opinion of the service and the authority.
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6.11.2
This Code is not intended to deal in detail with principles and practices of customer care or the new approaches of integrated Customer Relations Management (CRM). It will however focus on certain key aspects of particular relevance to highway maintenance. The first key issue is the need to differentiate between service requests and complaints. Most of the communications received will initially be service requests and the main objective is to avoid them becoming complaints. Where complaints arise, the next objective is to avoid them becoming claims and they will need to be managed to this effect through a detailed complaints management system, which authorities are already required to have in place. All communications received however, whether compliments, service requests, complaints, or claims, from whatever source should be recorded, together with any action taken, including nil returns. This will be crucial to the management and defence of any claim against the authority for failure to maintain. Although recording compliments may seem unnecessary, they could also assist in defending other claims in some circumstances, and will also be useful in supporting morale. Authorities are increasingly adopting Call Centres for the management of telephone service requests and complaints, either for the authority as a whole or for highway services. The Clarence freephone service is used by a number of authorities. In these circumstances it is important to ensure that all personnel involved receive training and also are provided with a checklist for interviewing callers and recording information and action. Where call centre personnel are not experienced and trained in highway maintenance they will need to have access to advice and support in order that urgent action can be taken to assess and rectify safety defects in accordance with authority policies.
6.11.3
6.11.4
6.11.5
6.12 Delivering Continuous Improvement

6.12.1 The pursuit of Best Value and continuous improvement will only be effective in an organisation that is able to embrace change, encourage risk and innovation, and is able to learn from both from its successes and failures. This principal applies irrespective of the procurement and service delivery arrangement, and all parties involved, whether public, private or voluntary sector will need to establish a common culture, values and methods of working. It will be important to have effective systems of appraisal, training and development, and reward that encourage commitment and excellence, and build pride in the service.
6.12.2
Recommendations
R6.1 Principles of Service Delivery
Policies, programmes and service delivery arrangements for highway maintenance should provide for efficient, effective and economic management of the network, giving priority to the needs of the user, and support to the wider corporate objectives of the authority. Network safety and statutory duties should be a prime consideration even if not specifically identified by users.
R6.2
Best Value Reviews

Best Value reviews should seek to identify opportunities for highway maintenance to add value to other services provided by the Authority and others, and also to reconcile service conflicts where these exist. This Code should be used in Best Value reviews as an aid to Benchmarking the policies and practices of the Authority.
R6.3
User and Community Consultation

The views of users, the wider community and their representatives should be sought in the development and review of highway maintenance policies, programmes and priorities and subsequently reflected back to them.
R6.4
Consultation with other Authorities

Consultation should also take place with adjoining authorities and agencies in the development and review of highway maintenance policies, programmes, and priorities. Consultation should particularly address issues of consistency and the scope for joint or cross boundary working.
R6.5
Information and Publicity

Timely information and publicity about the nature and programming of highway maintenance works should be provided to enable those affected where necessary to make arrangements to mitigate such affects. Where practicable, information should be updated if works are delayed or extended.
R6.6
Public Transport Reliability

Particular attention should be paid to the quality and timeliness of information to providers and users of public transport in view of the importance of maintaining confidence in the timetables of advertised services. Closures and diversions should be for the minimum period required for efficient completion of the works and authorities should ensure compliance with the planned date for their removal.
R6.7
Obtaining User and Community Feedback

Arrangements should be made for receiving regular feedback from samples of users and others affected by works in order to monitor performance and review practices as appropriate.
R6.8
Management of User and Community Relations

Arrangements should be established to receive and deal with compliments, service
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requests, complaints and other information from users and the community, including standards for response, arrangements for immediate or planned action, and recording of all transactions.
R6.9
Competence in User and Community Contact

Personnel responsible for dealing with user and community compliments, service requests, complaints and information should be competent to determine the relative urgency of response and to enable immediate action where necessary. This is of particular importance in the case of Call Centres, potentially dealing with a wide range of services, and clear checklists and procedures should be provided, together with relevant training and support.
R6.10
Out of Hours Arrangements

The arrangements should enable the Authority to receive and respond to user and community requests for emergency action at all times.
R6.11
Management of Claims
Arrangements should be established for circumstances where service requests and complaints might develop into claims against the Authority or others, including standards for the management of claims and provision of ongoing information.
R6.12
Monitoring of User and Community Contact

The arrangements should provide for the regular monitoring of users and community compliments, service requests, complaints, and information the nature and standard of responses, and the subsequent review of practice in the light of this.
R6.13
Involvement of Employees, Contractors and Agents

Arrangements should be established to facilitate the involvement of all Authority elected members, employees, contractors and agents in building commitment and pride in the highways maintenance service and maximising individual contributions to the process of continuous improvement.
SECTION 7 : LEGAL FRAMEWORK

7.1
7.1.1
Duty of Care for Highway Maintenance
Much of highway maintenance activity is based upon statutory powers and duties contained in legislation and precedents developed over time as a result of claims and legal proceedings. It is crucially important that all those involved in highway maintenance, including Members of authorities, have a clear understanding of their powers and duties, and the implications of these. Even in the absence of specific duties and powers, authorities have a general duty of care to users and the community to maintain the highway in a condition fit for its purpose. This principal should be applied to all decisions affecting policy, priority, programming and implementation of highway maintenance works.
7.1.2
7.2
7.2.1
Powers and Duties for Highway Maintenance

In addition to a general Duty of Care, there are a number of specific pieces of legislation which provide the basis for powers and duties relating to Highway Maintenance. The main legislation in England is given below, followed by the key territorial differences. The Highways Act 1980, sets out the main duties of highway authorities in England and Wales. In particular Section 41 imposes a duty to maintain highways maintainable at public expense, and almost all claims against authorities relating to highway functions arise from the alleged breach of this Section. Section 58 provides for a defence against action relating to alleged failure to maintain on grounds that the authority has taken such care as in all the circumstances was reasonably required to secure that the part of the highway in question was not dangerous for traffic. In England and Wales, the legal judgement in the case of Goodes v East Sussex indicates that there is no duty on local highway authorities to remove ice from highways under the general responsibility to maintain the highway in Section 41 of the Highways Act 1980. It is important to note however that this judgement does not remove liability in all circumstances, for example where ice has formed from water standing on the running surface resulting from defective or poorly maintained drainage. There is also in Section 150 of the Act a duty upon authorities to remove any obstruction of the highway resulting from accumulation of snow or from the falling down of banks on the side of the highway, or from any other cause. The legal judgement suggests that the maintenance duty under Section 41 of the Act relates only to the highway fabric and therefore has potentially wider implications than for winter service, which will evolve over time. Applying the principles of Best Value would suggest that, despite the change in its legal basis, authorities should continue to provide this highly valued winter service, to standards based on risk assessment and in consultation with users and the local community.
7.2.2
7.2.3
7.2.4
7.2.5
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7.2.6
The Local Authorities (Transport Charges) Regulations 1998, as applicable to the Highways Act 1980, provide a power for highway authorities to impose a charge in respect of a number of their largely regulatory activities, including skip, hoarding or scaffolding licences, and the clearance of accident debris. The New Roads and Street Works Act 1991, is an enabling Act setting out the duties of Street Authorities to coordinate and regulate works carried out in the highway by any organisation, and gives effect to a series of Regulations and Codes of Practice. The relevant Codes of Practice, which have recently been reviewed are:
7.2.7
y Specification for the reinstatement of y Measures necessary when apparatus is y y y y

7.2.8 affected by major works (Diversionary Works) Safety at road works and street works Coordination of streetworks Inspections Record keeping openings in highways
In Scotland, the key highway maintenance legislation is contained in the Roads (Scotland) Act 1984, Section 1, which provides for a duty for local roads authorities to keep a list of public roads and to maintain and manage them. There is no direct equivalent of the Highways Act 1980 Section 58 providing defence against alleged failure to maintain, although case law will have established some basis for this. This Act also provides in Section 34 for a duty for authorities to take such steps as they consider reasonable to prevent snow and ice endangering the safe passage of pedestrians and vehicles over public roads which is absent from English legislation. In Northern Ireland, the duty to maintain is contained in The Department for Regional Development The Roads (NI) Order 1993 SI 1993/3160 (NI 15) Article 8, which includes provision for defence against alleged failure to maintain similar to the English legislation. The Order also includes at Section 9 a power to treat roads affected by snow and ice, and at Section 10 a duty to remove snow, soil etc. which has fallen on a road. However paragraph 7 of Article 10 provides protection from liability and states that Nothing in this Article operates to confer on any person a right of action in tort against the Department for failing to carry out any duty imposed on it under the Article. In Northern Ireland also the powers relating to Street Works are contained in the Street works (NI) Order 1995. The powers of Traffic Authority are provided by The Department for Regional Development The Road Traffic Regulation (NI) Order 1997.
7.2.9
7.2.10
7.2.11
7.3
7.3.1
Related Powers and Duties

Powers contained in the Highways Act 1980 and equivalent legislation within the Devolved Administrations, relating specifically to highway maintenance, sit within a much broader legislative framework specifying powers, duties and standards for the wider network management function. These include:
y Road Traffic Regulation Act 1984, and the Traffic Signs and General
Directions 1994
y Road Traffic Act 1988 which provides a duty for highway authorities to
promote road safety, including a requirement to undertake accident studies and take such measures as appear appropriate to prevent such accidents occurring. It also requires authorities, in constructing new roads, to take such measures as appear appropriate to reduce the possibilities of such accidents when the roads come into use
y Road Traffic Reduction Act 1997 y The Local Authorities (Transport Charges) Regulations 1998, as applicable
to RTRA 1984 and other legislation, provide a power for the traffic authority to impose a charge for a number of its functions
y The Transport Act 2000, under which a

local traffic authority may designate any road as a quiet lane or a home zone. The Act also provides for the Secretary of State to review the operation of rural roads and consider whether (and if so how) the law should be amended to facilitate the introduction of rural road hierarchies. The Secretary of State must consult the Scottish Ministers and The National Assembly for Wales when carrying out the review
y The Transport Act 2000 also introduces a

power for authorities to charge Utilities for the occupation of road space during works 7.3.2 The functions of the highway, street and traffic authority are required to comply with an increasing range of legislation regulating the environmental affects of their operations, including:
y Wildlife and Countryside Act 1981 provides a framework of legislation

relating to environmental and Countryside issues with which highway maintenance operations must comply
y The Environmental Protection Act 1990 provides the statutory basis for
other environmental issues, in particular waste management, with which highway maintenance operations must comply. It also deals with the requirement to keep the highway clear of litter and refuse which for local roads is not a duty for the highway authority
y The Noxious Weeds Act 1959 places a responsibility on the highway

authority to take action to inhibit the growth and spread of injurious weeds growing within the highway. Weed spraying operations are also regulated by the Environment Agency and also by the Health and Safety Commission Code of Practice
y Rights of Way Act 1990 y Countryside and Rights of Way Act 2000 45
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7.3.3
There is also a fairly recent framework of legislation not specifically related to highways, street and traffic functions, but dealing with wider community issues with which the services are involved. These include:
y Disability Discrimination Act 1995

which requires employers and suppliers of goods and services to address discrimination against disabled people Criminal Justice and Public Order Act 1994 Human Rights Act 1998 Freedom of Information Act 2000 Local Government Act 2000
y y y y
7.4
7.4.1
Duty of Best Value

The Local Government Act 1999 provides for the general duty of Best Value in England and Wales. The principles of Best Value are applied slightly differently in the various parts of the UK as follows: England
y y y y y
Wales
Statutory basis Local Government Act 1999 Best Value Performance Plans Reviews of all services on five year cycle Statutory inspection by Audit Commission Statutory framework of BVPI
y y y y y
Scotland
Statutory basis Local Government Act 1999 Best Value Performance Plans Reviews of all services on five year cycle Audit Commission have role but no statutory requirement for inspection Statutory framework of BVPI
y No statutory basis at present but legislation is planned. Moratorium on y y y y

CCT is continuing on basis that all authorities have adopted Best Value regime No requirement to publish Best Value Performance Plans. Authorities are required to have in place Public Performance Reporting Framework, which is subject to audit No statutory requirement for Best Value reviews but authorities have agreed with the Scottish Executive to review services on 4/5 year cycle Audit Scotland have role but no statutory requirement for inspection Local Government Act 1999 lays down statutory Performance Indicators, and Public Performance Reporting Framework includes for additional Key Performance Indicators, but little relevant at present to highway maintenance
Northern Ireland
y No statutory basis at present although legislation for local authorities has

been proposed by the Northern Ireland Assembly. Many local authorities have already adopted and implemented the principles of Best Value. Roads Service, which is an executive agency of the Department for Regional Development has also adopted the Best Value regime No statutory requirement to publish Best Value Performance Plans. Roads Service is required to publish an Annual Report, which is subject to external audit, and it is proposed to include performance against targets set as a result of reviews No legislative requirement to undertake reviews, but Roads Service will review services over a fiveyear cycle Northern Ireland Audit Office has a role, but there is no statutory requirement for inspection No statutory basis for performance indicators, which are set by the Department for Regional Development. Roads Service will also report performance against those BVPIs that are relevant to its operations
y y y
7.5
7.5.1
Health and Safety

The Health and Safety at Work Act 1974, together with the Management of Health and Safety at Work Regulations 1992 and Construction (Design and Management) Regulations 1994 provide for a requirement for highway, traffic and street authorities to carry out work in a safe manner and establish arrangements for the management of construction works. In Northern Ireland the equivalent legislation is the Health and Safety at Work Order (NI) 1978 and the Construction (Design and Management) Regulations (NI) 1995. There is also a wide range of regulations and Codes of Practice relating to the assessment, prevention and management of health and safety risks on site and the reporting of injuries and other incidents. Details of these are available from the Health & Safety Executive. All those involved in the planning, management, and delivery of highway maintenance services should receive training and regular updating as necessary in all health and safety requirements of the service. Such training is of special importance for those involved in winter service, and more detailed guidance on this is provided in Section 13 of this Code. The DETR and the Health and Safety Commission document Revitalising Health and Safety Strategy 2000 indicated, together with 44 action points that: One of the key barriers to further progress on standards in construction is thought to be that health and safety considerations are not properly taken into account at the design stage.
7.5.2
7.5.3
7.5.4
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7.6
7.6.1
The Management of Risk

The management of highway maintenance, including the establishment of regimes for inspection, setting standards for condition, determining priorities and programmes, and procuring the service should all be undertaken against a clear and comprehensive understanding and assessment of the risks and consequences involved. The most commonly understood risks affecting the service relate to the safety of the network and accident, injury or health risks to users and employees. The principles and practice involved in managing these crucially important risks are dealt with in detail by this Code. There are however a wide range of other risks relating to the other two key objectives of highway maintenance, serviceability and sustainability. These risks include: a) b) c) d) e) Network loss or serious failure Operational Environmental Financial Contractual
7.6.2
7.6.3
7.6.4
Although these risks are not addressed by this Code so specifically as those relating to health and safety, the issues involved are dealt with in the appropriate section. Where partnerships are established with private sector service providers, the establishment of a risk register will be a key aspect of the procurement process, and the terms of the contract will identify the assignment of risks between the respective parties. The understanding and management of risk is fundamental to the effective management of highway maintenance and should figure strongly in the training and development programmes for service managers. The recent publication Chance or Choice prepared jointly by the Society of Local authority Chief Executives and Zurich Municipal, provides a useful starting point. Risk assessment need not be a highly technical process, and is fundamentally the structured and systematic expression and recording of collective good judgement based on the best available data.
7.6.5
7.7
7.7.1
Management Systems and Records

The efficiency, accuracy and quality of information and records maintained by authorities will be crucial both to the effective management of the service and to the defence of claims against the authority for alleged failure to maintain. The system will need to support compliance with standards of evidence provision consistent with the Woolf Protocols which in most cases require production of all documentation within 12 weeks. It will also be necessary to provide an initial response within 21 days, which will need to be informed by a view of the potential of the authority to defend a claim. Record systems should include all user contact information, referred to in Section 6, records of inspection and condition and records of all maintenance activity. They should be coordinated with other relevant record systems, for example road accidents database. Managing the safety and wide range of other risks associated with the delivery of highway maintenance will require effective and coordinated information systems. The Best Value regime also requires that opportunities be taken to make the best use
7.7.2
of Information and Communications Technology (ICT). Although not dealing with ICT in detail, this Code sets out in respective sections the requirements for information systems and records in order to ensure that the service is able to respond flexibly to changing circumstances. 7.7.3 Where publicprivate sector partnerships, or agency arrangements are involved in service delivery it will be important to establish common systems so far as practicable to facilitate consistency and information exchange.
Recommendations
R7.1 Approval of Policies and Arrangements
Policies and management arrangements should be clearly defined, including reasons for any differences from practice identified by this Code, formally approved and adopted by the Authority, published and regularly reviewed.
R7.2
Consistency of Application
These management arrangements should include a regime of safety inspection, and response arrangements to be consistently applied, in accordance with principles of risk assessment and management.
R7.3
Understanding Legal Obligations

All employees, elected members, contractors and agents for the Authority involved in the procurement or delivery of highway maintenance services should understand the extent and nature of the Authoritys legal obligations for highway maintenance, and how these relate to their particular responsibilities, including the important distinction between duties and powers.
R7.4
Comprehensive and Accurate Records

Comprehensive and accurate records should be kept of all highway maintenance activities undertaken, particularly safety and other inspections, identifying the time and nature of any response, including nil returns, and subsequent required follow up action.
R7.5
Coordination of Records
Arrangements should be established to ensure the effective coordination of all highway maintenance records with other relevant record systems, including road accident information, together with a programme for regular review, The use of a relational database and GIS is desirable.
R7.6
Identification and Response to Changes

Arrangements should be established for early identification of both planned and evolving changes to the highway network and to traffic distribution and characteristics, in order that corresponding changes can be made, where necessary, to the hierarchy, frequency of inspection and response for those elements of the network affected.
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SECTION 8 : STRATEGY AND HIERARCHY

8.1
8.1.1
Principles and Objectives of Highway Maintenance Strategy
The policy framework for highway maintenance and its relationship with other transport and wider policies of the authority has been dealt with in Section 5. The general principles and objectives of highway maintenance management systems, including issues relating to inventory and hierarchy are dealt with in this section. Highway maintenance should be undertaken by means of a systematic logical approach based upon a strategy developed in accordance with the principles of Best Value. The principles of the strategy should be:
8.1.2
y y y y y
To deliver the statutory obligations of the authority To be responsive to the needs of users and the community To provide effective management of the highway network asset To support highway network management strategy and integrated transport objectives To support and add value where possible to wider policy objectives.
8.1.3
These principles should be incorporated into a network management regime with the following core objectives: a) i) ii) b) i) ii) iii) iv) c) i) ii) iii) Network Safety Complying with statutory obligations Meeting users needs Network Serviceability Ensuring availability Achieving integrity Maintaining reliability Enhancing quality Network Sustainability Minimising cost over time Maximising value to the community Maximising environmental contribution
8.1.4
These three core objectives should be set within a comprehensive asset management regime, based on effective risk management, needs based budgeting and competitive service delivery management. These core objectives should provide the basis not only for highway maintenance but for the overall management of the network. They should provide the basis for
8.1.5
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establishing the outcomes against which performance of both the network and management arrangements should be measured. They should drive the development and comparison of performance indicators and provide a framework for the conduct of Best Value reviews. 8.1.6 Each objective can be affected to a different extent by several different highway maintenance operations. For example:
y Network availability can be affected by winter service operations, NRSWA

regulatory activity, deficiency of drainage systems and by planning of schemes
y Network integrity can be assisted by effective signing, by ensuring

maintenance continuity for mixed on and off road cycle lanes, and providing consistent standards of dropped kerbs on key pedestrian routes especially those used by disabled people, older people, or those using prams
y Environmental contributions can be made through verge management

plans, reducing sign clutter, use of recycled products or the provision of noise reducing surfacing 8.1.7 Every aspect of highway maintenance for each element of the network has the potential to contribute to some extent to a number of the above objectives. For example the contribution to the safety objective of the carriageway surface is affected by:
y y y y
The The The The
actual condition of the surface response time for attending to inspections and user concerns quality of management and service delivery effectiveness of materials and treatments used
8.2
8.2.1
Components of Highway Maintenance Strategy

The foundations of Highway Maintenance Strategy are:
y A detailed inventory of all relevant components of the asset y A defined hierarchy for all elements of the network y A robust framework of policies and objectives for the service
8.2.2 These are the crucial components on which highway maintenance strategy should be founded. Although they should each be comprehensive and robust, they should be dynamic and subject to regular review and updating in the light of changed circumstances. The network will be continually altered by new development and changes in character or use, and changes in transport or wider policies of the authority may have implications for maintenance strategy.
8.2.3
To be operationally effective these key components need to be supplemented by:
y A comprehensive management system for inspecting, recording, analysing,

prioritising and programming maintenance works
y Arrangements to finance, procure and deliver maintenance works, in

accordance with the principles of sustainability and best value
y Arrangements to monitor, review and update as necessary, each component

of the strategy and the performance of the strategy as a whole in delivering the core objectives above 8.2.4 These arrangements should be determined locally, having regard to this Code, but following consideration of the relative risks and consequences relating to local circumstances, and the need to coordinate with other local strategies.
8.3
8.3.1
Strategy Coordination
The key principles of highway maintenance require that it should support the overall strategy for highway network management and integrated transport. In this context it should, for example have regard to strategies for the promotion of walking, cycling and public transport use and seek to add value or advance these strategies where appropriate. Strategies for the management of heavy goods vehicles and other freight movements could have particular implications for highway maintenance strategy as could strategies for accident reduction and prevention.
8.3.2
Possible examples of strategy coordination could include:
y Moving a highway section to a higher or lower category to take account of

traffic characteristics and use
y Changing inspection regime to reflect actual or potential changes in risk y Modifying or extending maintenance schemes to improve continuity or
consistency for users
y Modifying programmes to reflect broader priorities of the Authority or

other local authorities
y Modifying programmes to coordinate more effectively with works

affecting the highway by utilities, developers or other authorities
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8.3.3
It is also possible that, on occasion, particular aspects of highway maintenance policy or strategy could potentially conflict with wider transport objectives, for example the need to address serious and potentially expensive carriageway defects could compromise, at least temporarily, public transport convenience and reliability. It is important that arrangements are in place to identify the potential for such conflicts at an early stage, to resolve them one way or the other, and to mitigate the effects of this as effectively as possible. Another key principal is that highway maintenance should support and add value where possible to wider corporate objectives of the authority which may seek to address issues including the following:
8.3.4
y y y y y y
8.3.5
Building Safer Communities Continually Improving Educational Achievement Developing and Supporting the Local Economy Developing Social Welfare and Promoting Health Protecting and Improving the Environment Reducing Inequality and Poverty
Although it may be difficult to conceive areas where highway maintenance could contribute to all of these objectives there are some opportunities, which may vary between authorities. A similar approach should be adopted to that identified for transport policy coordination:
y Identify the key areas of interaction between highway maintenance and y Seek to add value where possible, by changes in scheme concept, design, y Establish arrangements for resolving conflicts and mitigating their effects
8.3.6 It will also be important to ensure that highway maintenance strategy is coordinated with that of neighbouring authorities for both local and strategic networks. Users will expect reasonable continuity of safety and serviceability, particularly at the higher end of the network hierarchy, but also at the lower levels in cases where safety is a prime consideration, such as in the case of winter service. In such cases serious discontinuities in service standards should be avoided though consultation and agreement. Interauthority coordination both at the strategic and operational level can bring other benefits both in terms of cost and resource management, and also in terms of user perception. Opportunities for such cooperation include: scale, or priority each corporate objective
8.3.7
y y y y y y
8.3.8
Integrated route management Optimisation of cross boundary service provision Optimised programming and procurement Shared traffic management and publicity Avoidance of multiple user delays Research, development and innovation
A key example of interauthority cooperation with the potential for significant enhancement is the review of the National Road Maintenance Condition Survey (NRMCS). This presently involves authorities collecting highway condition data supplementary to that required for their own systems. It is intended to harmonise the arrangements for this so that a single set of data is used for both purposes. This is dealt with in more detail in Section 9.
8.4
8.4.1
Designing for Maintenance

Although much maintenance activity is undertaken on highway construction of long standing, new and improved highway schemes and features form an increasing proportion of the network over time. It is key to the delivery of Best Value therefore that the implications for future maintenance are a prime consideration in the design and implementation of such schemes. This is not to say that creativity should be inhibited, and indeed high quality expensive materials used, for example, in heavily used centres may be both appropriate and low maintenance. It may also be appropriate to use environmentally sensitive materials in certain locations despite the possibility of higher future maintenance costs. There are however many cases where careful consideration at the design stage of maintenance implications would have provided an equally effective outcome, but without maintenance complications either increasing costs or introducing practical difficulties, which may in fact compromise the effectiveness of the feature. Examples include:
8.4.2
y y y y
8.4.3
Materials requiring high frequency of maintenance Difficulties of access for routine maintenance such as drain clearance Inappropriate verge treatments and planting Traffic calming and safety features with high rates of deterioration
The last example is of particular significance and includes, for example, block paved chevron roundabouts which, although effective when installed, need regular maintenance in order to maintain their required function. Failure to provide the necessary maintenance regime could have potentially serious consequences. In this context, it is important to note that authorities have powers to improve highways for various purposes but a statutory duty to maintain them. Given that works of highway improvement will usually be funded from capital and that subsequent maintenance works will often be funded from revenue, the potential financial gearing is greater than might be perceived, and the benefits to be gained from more maintenance friendly design correspondingly higher. This balance between capital and revenue expenditure could of course be modified by certain forms of publicprivate partnership. Coordination between strategies for highway maintenance and new or improved highway schemes can be improved through informal liaison and cooperation between those involved. Authorities should, however, give consideration to the introduction of more formal coordination arrangements. These could comprise formal consultation, scheme case conferences, or a system of maintainability audit for a sample of schemes in order to establish local good practice. A maintainability audit could usefully be carried out by reference to a standard checklist, which could include the following items:
8.4.4
8.4.5
8.4.6
y What is the estimated design life? y Is this design life compatible with the adjacent infrastructure? 55
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y y y y y y y
8.4.7
Are the design and materials suitable for the predicted traffic use? Can the materials be readily replaced throughout the design life? Can the materials be satisfactorily relaid after utility works? Are the materials liable to fading or discolouration? Can the surfaces be cleaned? Can the infrastructure be easily accessed for maintenance purposes? Could tree planting be redesigned to avoid future obstruction to signs or visibility and consequent maintenance requirements?
It would also be a useful discipline to establish arrangements to identify any unusual maintenance requirements and costs associated with schemes brought forward for approval, so that these can be taken into account at the time. This is particularly important where new highways are being assessed for adoption and should be reflected in commuted sums for any higher than usual future maintenance costs sought from developers, which can be calculated for up to 20 years.
8.5
8.5.1
Highway Maintenance Management Systems

A highway maintenance management system (HMMS) comprises procedures and processes to achieve certain objectives as well as the tools (including computer software) used for putting them into practice. Computerised systems have matured in recent years, following recognition that maintenance needed more relevant management tools, and are now able to manage the large volumes of data associated with a typical road network, and to model analytically the needs, options and priorities for maintenance strategies and programmes. An HMMS will typically comprise four main types of component:
8.5.2
y Network model (against which all other data is referenced), typically

represented using a sectionally labelled, digitised road centreline, and possibly also employing a Geographic Information System)
y Asset database (comprising information on the location and type of every

asset and information about its condition)
y Data rules, defining standards and data processing parameters y Specialist applications (providing processing algorithms suited to each
technical area eg, traffic, accidents, maintenance, lighting etc) 8.5.3 Based on this general structure, authorities will need to design an HMMS to suit particular local needs and responsibilities, procurement arrangements and other factors. It may include specialist applications indirectly related to highway maintenance, for example traffic and accident analysis. Each of the main technical elements relevant to Highway Maintenance Management Systems, are dealt with in detail in subsequent sections and appendices of this Code.
8.5.4
8.6
8.6.1
Network Inventory
The Highways Act 1980, applying in England and Wales, requires the keeping of a register of roads that are maintainable at public expense, which is primarily used for Land Charge Searches, and similar provisions for a list of public roads exist within
Scotland. Similar records exist within Northern Ireland although there is no legislative requirement to keep a register of roads maintained at public expense. 8.6.2 There is also a requirement under the NRSWA 1991 to maintain information for the purpose of:
y Identifying streets described as traffic sensitive where work should be

avoided at certain times of the day
y Identifying structures under or over the street which need special

consideration when work is planned
y Identifying reinstatement categories used by statutory undertakers in the

reinstatement of their street works 8.6.3 This information should be in a format that can be electronically accessed by statutory undertakers. Another important reason for maintaining accurate inventory information is the requirement to submit updated information to Government each year on road lengths maintained, which is used for the calculation of Standard Spending Assessments and Revenue Support Grants. Each of these requirements can however be satisfied with fairly basic information much less detailed than would be required for highway maintenance management purposes. A detailed highway inventory is an essential prerequisite of establishing a cost effective and adequate maintenance regime. The first task is to reference the highway network as a basis for the inventory of information concerning all assets associated with it. This may be done in stages, according to the priority attached to different specialist applications. Before commissioning potentially expensive asset inventory surveys, consideration should be given to reuse of existing data. In relation to the network itself this may include:
8.6.4
8.6.5
8.6.6
y Street gazetteer (eg, to the national standard BS7666) y Survey network (eg, for deflectograph) y Rights of way network
8.6.7 When inventory surveys are found to be necessary, the use of appropriate technology (eg, video or aerial survey) may be considered. Careful specification of quality and accuracy is essential. In addition, once an asset inventory database has been established, it will be essential to keep it up to date, which means establishing a cyclic updating regime, defined by hierarchy or triggered by work on the ground. Authorities should include detailed inventories of street lighting stock to assist in maintenance management and as a basis for developing risk assessment strategies for column replacement. Fault and repair histories and the results of inspections and structural testing also need to be included in databases. These inventories will enable funding needs to be determined and support bids for capital and revenue finance, or for participation in the competitive energy market.
8.6.8
8.7
8.7.1
Network Hierarchy
The concept of Network Hierarchy was established by the previous code, building on earlier approaches to road classification. A hierarchy is the foundation of a coherent, consistent and auditable maintenance strategy.
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8.7.2
It is important that the hierarchy adopted reflects the needs, priorities and actual use of each road in the network. There may be aspects determined by importance a route leading to a major hospital, for example. There may be aspects determined by environment rural, urban, busy shopping street, residential street etc. There may be aspects determined by nonvehicular traffic factors such as pedestrian usage. Indeed, footway priorities may sometimes conflict with carriageway priorities, and hence it is necessary to define separate footway and cycleway hierarchies. Ideally, the main hierarchy definition for any part of the network should be the single arbiter of policy priorities. It should be the hook to which standards are be attached together with associated targets and performance objectives. In the context of this Code, hierarchy is the link between maintenance policy and implementation, but it can also, however, be a consideration when defining standards for design and new construction. At an operational level, hierarchy may be the vehicle for implementation, say, for a cycling strategy. Appendix C suggests a possible process for developing a functional hierarchy. Footways and Rights of Way designated for use other than by vehicular traffic have particular needs and requirements that may not align with those applicable to an associated carriageway. Hence a separate Rights of Way network may need to be defined (including remote footways, cycleways and bridleways), which will have a separate set of hierarchies. Footways existing in association with carriageways may also utilise this separate hierarchy definition. Scottish authorities are required to designate a core footpath network. There will also be a need to define hierarchy for Winter Service. This should take as a starting point the hierarchy developed for general maintenance purposes but this is likely to require extensive modification to accommodate a number of local operational factors, which are detailed in Section 13 of this Code. Hierarchies are a useful aspect of maintenance policy on which to consult users and the community. They are strategic but relatively easy to present and understand and not so detailed as to cause difficulties in interpreting the results. They can also address directly some of the wider policy issues, including special needs of older people and disabled people. It is also important that hierarchies are dynamic and regularly reviewed to reflect changes in network characteristics and use so that maintenance policies, practices, and standards reflect the actual use of the network rather than the use expected when the hierarchy was originally defined. Where major maintenance, construction or other development involves significant traffic diversion, or when congestion in one part of the network results in traffic shift to another part of the network, it is important that these changes are reflected in the hierarchy and subsequently in the maintenance regime. In Scotland advice on the development of rural road hierarchies is given in a manual published jointly by the Scottish Office and the Convention of Scottish and Local Authorities.
8.7.3
8.7.4
8.7.5
8.7.6
8.7.7
8.7.8
8.8
8.8.1
Carriageway Hierarchy
The following table has been adapted from the previous edition of the Code, and is intended to be used as a reference point from which to develop local hierarchies. The detailed descriptions relate to the most usual circumstances encountered in the UK. There are however some very significant variations from the norm and in Scotland, for example, there are some instances of trunk roads of very limited width. Indicative traffic flows have been therefore not been included in the table. Authorities should designate carriageway hierarchies, having regard to traffic flows but also on the basis of risk assessment and the role of the particular section of carriageway in the network. Hierarchy Description
Motorway
8.8.2
Category
1
Type of Road General Description

Limited access motorway regulations apply
Detailed Description
Routes for fast moving long distance traffic. Fully grade separated and restrictions on use Routes for fast moving long distance traffic with little frontage access or pedestrian traffic. Speed limits are usually in excess of 40 mph and there are few junctions. Pedestrian crossings are either segregated or controlled and parked vehicles are generally prohibited Routes between Strategic Routes and linking urban centres to the strategic network with limited frontage access. In urban areas speed limits are usually 40 mph or less, parking is restricted at peak times and there are positive measures for pedestrian safety In rural areas these roads link the larger villages and HGV generators to the Strategic and Main Distributor Network. In built up areas these roads have 30 mph speed limits and very high levels of pedestrian activity with some crossing facilities including zebra crossings. On street parking is generally unrestricted except for safety reasons In rural areas these roads link the smaller villages to the distributor roads. They are of varying width and not always capable of carrying two way traffic. In urban areas they are residential or industrial inter connecting roads with 30 mph speed limits random pedestrian movements and uncontrolled parking In rural areas these roads serve small settlements and provide access to individual properties and land. They are often only single lane width and unsuitable for HGV.In urban areas they are often residential loop roads or culs de sac
Strategic Route Trunk and some Principal A roads between Primary Destinations
3a
Main Distributor
Major Urban Network and InterPrimary Links. Short medium distance traffic
3b
Secondary Distributor
Classified Road (B and C class) and unclassified urban bus routes carrying local traffic with frontage access and frequent junctions
4a
Link Road
Roads linking between the Main and Secondary Distributor Network with frontage access and frequent junctions
4b
Local Access Road
Roads serving limited numbers of properties carrying only access traffic
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8.9
8.9.1
Footway Hierarchy
Footway maintenance standards, as with carriageway maintenance standards, will not necessarily be reflected by the road classification, this being determined by pedestrian usage and not the importance of the road in the network. Local factors such as the age and distribution of the population, the proximity of schools, or other establishments attracting higher than normal numbers of pedestrians to the area should also be taken into account. As a general guide four broad maintenance categories are recommended for footways including a subdivision of Category 1 as follows:
Category No
1a
Category Name
Prestige Walking Zone
Brief Description
Prestige Areas in towns and cities with exceptionally high usage, such as Princes Street in Edinburgh and Oxford Street in London Busy urban shopping and business areas, and main pedestrian routes linking interchanges between different modes of transport, such as railways and underground stations, and bus stops etc Medium usage routes through local areas feeding into primary routes, local shopping centres, large schools and industrial centres etc Linking local access footways through urban areas and busy rural footways Footways associated with low usage, short estate roads to the main routes and culs de sac
Primary Walking Route
Secondary Walking Route
Link Footway
Local Access Footway
8.9.2
The assignment of a footway to a particular category within the hierarchy is a matter for local discretion. However, the following issues should be taken into consideration:
y y y y y
8.9.3
Pedestrian volume Usage and proposed usage Accident and other risk assessment Age and type of footway (eg, old flagged footways may require more frequent inspection than newly laid) Character and traffic use of adjoining carriageway
The footway hierarchy should have regard to any network of housing footways, serving housing estates or related development, which may be unadopted as public highways but maintained separately by the authority. Users will make no distinction and will consider the footway network as a whole.
8.10 Cycleway Hierarchy

8.10.1 The categories suggested by this Code are shown in the following table:
Category A
Description
Cycle lane forming part of the carriageway, commonly 1.5 metre strip adjacent to the nearside kerb Cycle gaps at road closure point (exemptions for cycle access) Cycle track, a route for cyclists not contiguous with the public footway or carriageway Shared cycle/pedestrian paths, either segregated by a white line or other physical segregation, or unsegregated Cycle trails, leisure routes through open spaces. These are not necessarily the responsibility of the highway authority
8.11 Maintenance Type

8.11.1 Types of highway maintenance have tended to be considered as follows:
y Reactive Responding to inspections, complaints or emergencies y Routine Regular consistent schedule for patching, cleaning, landscape y Programmed Flexibly planned schemes primarily of resurfacing, y Regulatory Inspecting and regulating the activities of others y Winter Service y Weather and other emergencies
8.11.2 Each of these maintenance types, however, contribute in varying degrees to the key maintenance objectives of safety, serviceability and sustainability, summarised earlier in this Section of the Code. In each case therefore, standards and delivery arrangements should preferably be established having regard to these objectives focussed on outcomes, rather than on inputs mainly related to maintenance type. It is accepted that this principal may take time to establish and will be easier to pursue in conjunction with new procurement arrangements. reconditioning or reconstruction maintenance and other activities
8.12 Maintenance Category

8.12.1 Within each of the above types there are various categories of maintenance as follows, each of which should be considered in terms of their output contribution towards the objectives of safety, serviceability and sustainability. They are developed in detail in Section 10 of this Code. Reactive
y All elements sign and make safe for safety purposes y All elements provide initial temporary repair for safety purposes y All elements provide permanent repair for safety purposes 61
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8.13.1 8.13.2 8.13.3
Routine
y y y y y y y y y
Carriageways, footways and cycleways minor works and patching Drainage Systems cleansing and repair Embankments and cuttings stability Landscaped areas and trees management Fences and barriers repair Traffic signs and bollards cleansing and repair Road markings and studs replacement Lighting Installations cleansing and repair Bridges and Structures cleansing and minor works.
Programmed
y Carriageways minor works, resurfacing or reconstruction y Footways minor works, resurfacing or reconstruction y Cycleways minor works, resurfacing or reconstruction.
Regulatory
y y y y
Highway register Management of utilities Licenses for highway occupation Other regulatory functions encroachment, illegal signs etc
Winter Service
y Pretreatment y PostTreatment y Clearance of snow

Weather and other Emergencies
y y y y
Flooding High winds High temperatures Other emergencies.
8.13 Training and Development

It is implicit that for each component of highway maintenance strategy, those involved in the process should have received training necessary in order to demonstrate the necessary level of competence in that field. National Vocational Qualifications (NVQ) and SVQ in Scotland, have been developed specifically to establish common standards of competence for highway maintenance management. Authorities are recommended to adopt and support these NVQs and SVQs, together with relevant professional qualifications as appropriate for all personnel involved in the delivery of highway maintenance services. Training is particularly important in the case of Inspections and Surveys, where the quality and treatment of data could have significant legal and financial implications. This is dealt with in more detail in Section 9 of this Code. Special requirements are also necessary for personnel involved in the delivery of Winter Services. These are dealt with in more detail in Section 13.
8.13.4
As indicated earlier it is also important that all those involved should understand the extent and nature of the Authoritys legal obligations for highway maintenance, and how these relate to their particular responsibilities, including the important distinction between duties and powers.
Recommendations
R8.1 Development of Maintenance Strategy
The strategy for highway maintenance should be developed within overall policy considerations, consistent with the long term plan, based on principles of asset management, whilst responding constructively to the expressed views of users and the community and minimising disruption to them.
R8.2
Objectives and Scope of Strategy

The objectives of the strategy and of the individual highway maintenance categories should be clearly defined in terms of safety, serviceability and sustainability. The strategy should incorporate all maintenance types and categories, and have regard to the differing requirements of the area, including rural and urban differences.
R8.3
Network Inventory
The strategy should be founded upon a detailed inventory of the network configuration including all significant elements requiring maintenance, together with detailed information on the scale, nature and distribution of use by all categories of traffic. The information should ideally be incorporated into a GIS system, together with other related information, including highway condition surveys, for ease of interpretation by non technical stakeholders, and regular updating.
R8.4
Network Hierarchy
The strategy should define hierarchies for all elements of the highway network, including carriageways, footways and cycleways. The hierarchy should take into account current and expected traffic characteristics and use, having regard to Local Transport and Development Plans and the requirements for UKPMS, NRMCS, and NRSWA arrangements.
R8.5
Local Influences on Hierarchy

The hierarchy should also take account of local circumstances, for example the influence of schools and hospitals or particular concentrations of older, disabled or other potentially vulnerable users.
R8.6
Integrity of Facilities for Walking and Cycling

Particular account should be taken of the need to establish continuity in routes for cycling and walking, and priorities for sections of highway linking segregated cycling and walking facilities, in determining maintenance requirements.
R8.7
Consistency with Adjoining Authorities

The strategy should be coordinated with adjoining authorities, including those responsible for maintenance of the strategic network, to ensure that network
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management practice, standards and programmes meet road users reasonable expectations for consistency, minimise disruption to users and the community and provide value for money.
R8.8
Designing for Maintenance

Authorities should establish arrangements to ensure that all highway improvement schemes including traffic management, environmental schemes and minor works are designed to facilitate future maintenance in accordance with the principles of this Code and informed by developing local experience. Consideration should be given to introducing formal maintenance audit on a selective basis to assist this process.
R8.9
Identification of Maintenance Implications

Any additional maintenance costs, including Winter Service, arising from all new and improvement schemes on the highway should be explicitly identified and taken into consideration in evaluating the scheme. Where schemes provided in conjunction with new development are likely to involve unusual maintenance requirements and costs, consideration should be given to securing a commuted sum from the developer for such additional maintenance costs.
R8.10
Training and Development

All personnel involved in the highway maintenance should demonstrate levels of competence commensurate with their responsibilities, preferably through professional or National Vocational Qualifications (NVQ and SVQ). Authorities should ensure that necessary training and support is provided for such competence to be maintained and updated.
SECTION 9 : INSPECTION ASSESSMENT AND RECORDING

9.1
9.1.1
Importance of Inspection, Assessment and Recording Regime
The establishment of an effective regime of inspection, assessment and recording is the most crucial component of highway maintenance. The characteristics of the regime, including frequency of inspection, items to be recorded and nature of response should be defined following an assessment of the relative risks. The Inspection, assessment and recording regime should provide the basic information for addressing the key objectives of highway maintenance strategy:
9.1.2
y Network Safety y Network Serviceability y Network Sustainability.

9.1.3 All elements of the inspection and assessment regime should be applied systematically and consistently in accordance with the principles of Quality Assurance. This is particularly important in the case of network safety, where information may be crucial in respect of legal proceedings. It is important to recognise however that all information recorded, even if not primarily intended for network safety purposes, may have consequential implications for safety and may therefore be relevant to legal proceedings.
9.2
9.2.1
Categories of Inspection
Inspections and surveys can be considered in the following categories, approximately corresponding to the key maintenance objectives.
y Safety Inspections
These mainly comprise relatively frequent comprehensive inspections of all highway elements, but the category also includes routine scouting for failures of highway lighting and illuminated signs and less frequent specialised inspections for electrical safety.
y Service Inspections
These mainly comprise more detailed inspections tailored to the requirements of particular highway elements to ensure that they meet requirements for serviceability. The category also includes inspections for regulatory purposes including NRSWA intended to maintain network availability and reliability. It also includes less frequent inspections for network integrity. Service inspections replace the detailed inspections referred to in the previous code.
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y Structural Condition Surveys

Structural condition surveys are primarily intended to identify deficiencies in the highway fabric which, if untreated, are likely to adversely affect Network Value. They may also have implications for serviceability in the short term. 9.2.2 Authorities are not statutorily obliged to undertake comprehensive inspections of all highway elements under all of these categories. They are however strongly advised to undertake safety inspections in accordance with the principles of this Code in order that, where necessary, they are able to support a defence under Section 58 of the Highways Act 1980 and equivalent legislation within the Devolved Administrations. This requires that a court shall have regard to whether the highway authority knew or could reasonably be expected to know, that the condition of the part of the highway to which the action relates was likely to cause danger to users of the highway. Authorities in England are required to undertake structural condition surveys to a certain extent in order to satisfy the requirements of BVPIs, and similar requirements may eventually apply elsewhere. Inspections for serviceability however are discretionary, and the extent to which these are undertaken will depend on the maintenance regime established by the authority in the light of available resources. Guidance for each category of inspection is provided in this section of the Code. This may be varied by authorities in the light of particular local circumstances and the relative risks and consequences associated with these, but the extent of variations should be clearly identified together with the reasons for their adoption. The extent of detail to which the inspection regime is defined by authorities will depend upon the nature of their arrangements for procuring highway maintenance services. In the future, with certain contracts, the authority may decide to specify the outcome, leaving the contractor to determine means of delivery, which could include aspects of the inspection regime. In these circumstances, the authority will need to consider carefully the implications, and the contractor should have regard to the issues identified by this Code in determining the inspection regime.
9.2.3
9.2.4
9.2.5
9.3
9.3.1
Recording and Monitoring of Information

All information obtained from inspections and surveys, together with the nature of response, including nil returns, should be recorded consistently to facilitate analysis. Such analysis should enable the data from inspections to be reviewed independently but also in conjunction with other survey information to enable a holistic view to be taken of maintenance condition and trends related to network characteristics and use. The recording system should also provide for recording service requests, complaints, reports or other information from users and other third parties. These may require immediate action, special inspection, or influence future inspection or monitoring
9.3.2
arrangements and the nature of response, including nil returns, should also be recorded. All inspections should record as a matter of course, time, weather conditions, any unusual circumstances of the inspection, and the person conducting the inspection. 9.3.3 Arrangements should be made to review the inspection, assessment and recording regime at intervals to consider:
y y y y
9.3.4
Changes in network characteristics and use Completeness and effectiveness of data collected Effectiveness of data analysis The need for changes to the inspection regime
The frequency of such reviews should be determined locally, having regard to the extent and nature of changing circumstances. The analysis will also be helpful for other purposes, however, and these might also influence the frequency of review.
y y y y y
Ensuring compliance with legal obligations Measuring performance of network serviceability and condition (BVPI) Establishing extent of outstanding work Seeking continuous improvement Monitoring service delivery arrangements (KPI)
9.4
9.4.1
Safety Inspections
Safety inspections are designed to identify all defects likely to create danger or serious inconvenience to users of the network or the wider community. Such defects should include those that will require urgent attention (within 24 hours) as well as those where the locations and sizes are such that longer periods of response would be acceptable. They are normally undertaken by slow moving vehicle, at frequencies that reflect the characteristics of the particular highway and its use. In heavily used urban areas, particularly when inspecting footways, it may be difficult to obtain the necessary level of accuracy from vehicle based inspections and walking should be used in these circumstances. Additional inspections may be necessary in response to user or community concern, as a result of incidents or extreme weather conditions, or in the light of monitoring information. The parameters which need to be specified for a safety inspection regime are:
9.4.2
9.4.3
y y y y
9.4.4
Frequency of inspection Items for inspection Degree of deficiency Nature of response
The regime should be developed in accordance with the principles of risk assessment and provide a practical and reasonable approach to the risks and potential consequences identified. It should be considered in the same light as a Safety Audit and treated accordingly. The inspection regime should take account of potential risks to all road users, and in particular those most vulnerable. Frequencies for safety inspections network sections should be based upon consideration of:
9.4.5
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y y y y y
9.4.6
Category within the network hierarchy Traffic use, characteristics and trends Incident and inspection history Characteristics of adjoining network elements Wider policy or operational considerations
Although the category within the hierarchy, in combination with traffic use, will be the main determinant of inspection frequency, the other factors should be taken into account in deciding whether consideration should be given to increasing or reducing the frequency. These should be taken into account and an onsite reality check undertaken where there is any uncertainty about the category to be applied. For example:
y Road use might be at the margin of the category but have higher than
normal levels of growth. Extensive development may be taking place or planned
y The section might have a higher than normal level of accidents or related
incidents which would suggest unusually high levels of risk
y Although traffic flows on the carriageway might be low, there might be

high levels of pedestrians or cyclists
y The route might be the subject of promotion by the authority for example
as a Safer Route to School or access to Railway Station. A cycling route may be part of the National Cycle Route Network 9.4.7 The following frequencies based upon network categories and use are provided as a starting point, but in defining a safety inspection regime authorities should take into account all of the parameters listed.
Feature Roads
Category Strategic Route Main Distributor Secondary Distributor Link Road Local Access Prestige Area Primary Walking Route Secondary Walking Route Link Footway Local Access Footway Part of Carriageway Remote from Carriageway Cycle trails
Reference 2 3(a) 3(b) 4(a) 4(b) 1(a) 1 2 3 4 A B C
Frequency 1 1 1 3 1 1 1 3 6 1 month month month months year month month months months year
Footways
Cycleways
As for Roads 6 months 1 year
9.4.8
Where footways or cycleways remote from carriageways form part of an integrated route or network intended to encourage walking and cycle use, consideration should be given to adopting a consistent safety inspection frequency for the route or network as a whole.
9.4.9
A suggested schedule of highway items to be included in safety and other inspections in provided as Appendix B. This is provided for guidance only and local circumstances will apply. During safety inspections, all observed defects that provide for any degree of risk to users should be recorded, irrespective of the likely level of response. The degree of deficiency in highway elements will be crucial in determining the nature and speed of response. Although some general guidance can be given on the likely risk associated with particular defects, on site judgement will always need to take account of particular circumstances. For example the degree of risk from a pothole depends upon not merely its depth but also its surface area and location. This Code defines defects in two categories, which correspond with those adopted in England by the Highways Agency in respect of trunk roads.
9.4.10
9.4.11
y Category 1 Those that require prompt attention because they represent

an immediate or imminent hazard or because there is a risk of shortterm structural deterioration. This definition is consistent with the requirements for identifying defects in England under BVPI 105
y Category 2 All other defects

9.4.12 Category 1 defects should be corrected or made safe at the time of the Inspection, if reasonably practicable. In this context, making safe may constitute displaying warning notices, coning off or fencing off to protect the public from the defect. If it is not possible to correct or make safe the defect at the time of inspection, which will generally be the case, repairs of a permanent or temporary nature should be carried out as soon as possible and in any case within a period of 24 hours. Permanent repair should be carried out within 28 days. Category 2 Defects should be repaired within planned programmes of work, with priority depending on the degree of deficiency, traffic and site characteristics. These priorities should be considered, together with access requirements, other works upon the road network, traffic levels, and the need to minimise traffic management, in compiling the programmes of work. The Northern Ireland Roads Service specifies four categories of response time, relating these to specified categories of defect and the level of road hierarchy. These response time categories are: R1 R2 R3 R4 Make safe or repair within 24 hours Make safe or repair within five working days Repair within four weeks Repair during the next available programme, schedule more detailed inspection, or review condition at next inspection
9.4.13
9.4.14
9.4.15
Authorities should adopt a range of local target response times, and apply them in responding to various categories of defect, according to the perceived degree of risk, having regard to the characteristics and use of the Network.
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9.4.16
Where defects with potentially serious consequences for network safety are made safe by means of temporary signing or repair, arrangements should be made for a special inspection regime to ensure the continued integrity of the signing or repair is maintained until a permanent repair can be made.
9.5
9.5.1
Safety of Electrical Installations

The presence of electrical equipment on highways, relating primarily to street lighting, illuminated traffic signs and signals requires special attention to ensure the safety of users and the community, and detailed advice is contained in the Code of Good Practice for Road Lighting Maintenance. Immediate attention should be paid to any damage or defect which could result in the exposure of live cables, and a programme of regular technical inspection by accredited personnel should be established to ensure the continued safety and integrity of all electrical equipment relating to the highway. The frequency of such inspections should be based on a risk assessment including consideration of records and the probability of vandalism, but should not be longer than six years. A visual structural inspection should be carried out and reported during every maintenance visit, with a detailed structural inspection carried out in accordance with a programme produced following risk assessment. This is particularly important bearing in mind the variable and often poor structural condition of much of the street lighting stock. Detailed advice on electrical inspection and testing and the competence of personnel undertaking this work is included in the Code of Good Practice for Road Lighting Maintenance.
9.5.2
9.5.3
9.5.4
9.6
9.6.1
Safety of Lighting, Illuminated Signs and Signals

The failure of street lighting and illuminated signs and signals could have implications for the safety of users. It will therefore be necessary for authorities to establish priorities for responding to reported lamp failures, together with a regime of regular monitoring based on principles of risk assessment. In particular situations of high risk it may be prudent to establish a regime of lamp changing prior to life expiry. Further more detailed advice is contained in the Code of Good Practice for Road Lighting Maintenance including recommended frequencies for nighttime inspections.
9.7
9.7.1
Skidding Resistance Survey Requirements

The maintenance of adequate levels of skidding resistance on running surfaces is a most important aspect of highway maintenance, and one that contributes significantly to network safety. However, whilst the frequency of accidents is expected to increase as skidding resistance falls, the effect will be more pronounced for more difficult sites and there is no skidding resistance boundary at which a surfacing passes from being safe to dangerous. Difficult sites are those where the geometry, for example, bends, junctions, pedestrian crossings and traffic signals increase the risks of skidding accidents.
9.7.2
Therefore, the design and maintenance objective is to provide skidding resistance levels appropriate to the risk of skidding accidents at each site. This can be achieved by setting an Investigatory Level for each site, at or below which an investigation will be carried out to determine whether maintenance treatment is required. Appropriate Investigatory Levels can be judged from the road geometry, the likelihood and nature of potential conflicts between road users and the known accident history. Investigatory Levels should be determined before testing is carried out and should act as a benchmark against which the measured values are compared. Investigatory Levels should also be reviewed on a regular basis, and when significant alterations are made to individual sites, so that they continue to provide appropriate benchmarks for the amount, type and speed of traffic using the roads. Where skidding resistance is determined as being considerably below the Investigatory Level and there are clear indications that improving the condition of the surfacing is likely to significantly reduce the risk of accidents occurring, then remedial treatment should be prioritised as a relatively urgent task. In most situations where the skidding resistance is measured as being at or below the Investigatory Level, the site investigations would result in remedial works being included in a programme of works for completion within a reasonable period of time and taking into account other maintenance requirements. However, in other situations, the site investigations may indicate that there would be little or no benefit in undertaking any skidding resistance improvement works. Such a situation could arise at, for example, a site exhibiting a skidding resistance of at or just below the Investigatory Level which also exhibits a zero wetskid accident record and where the site investigation has not brought to light any other notable problem. Where the investigations do result in such a conclusion being reached, it would normally be inappropriate to undertake any remedial measures and can justify the Investigatory Level for that site being reduced for subsequent skidding resistance tests. Surface texture depth is known to have an important influence on the skidding resistance afforded to moderate and high speed traffic. Recent research suggests that the influence of low texture depth becomes apparent at lower speeds than was previously thought. For example, lockedwheel measurements with a smooth tyre and moderate water depth (1mm), showed lower skidding resistance for speeds as low as 50km/h where the texture depth was below about 0.7mm Sensor Measured Texture Depth (SMTD). Whilst it is difficult to extrapolate this experimental result to real situations, it is recommended that cases of very low surface texture are rectified, and that any combination of measured low skidding resistance and low texture depth which, for example, could have been identified during the site investigation following the skidding resistance test, be given particular attention when considering the necessity and priority for remedial works. Furthermore, although surface texture depth does have a greater influence on skidding resistance at higher speed, it should not be ignored on roads with speed limits as low as 30mph. Measurement of skidding resistance requires the use of specialist testing equipment, of which various types are commercially available. The most common method for largescale network monitoring in the UK is the Sidewayforce Coefficient Routine Investigation Machine (SCRIM) and this is the required method for Trunk Roads. The GripTester, which has a smaller range, is also suitable for use on a local road network or for localised investigations. Both devices can be operated at traffic speed and do not normally require special traffic management arrangements. However, the methods measure skidding resistance differently and the results, although reasonably well correlated, are not interchangeable. Therefore, it is important that
9.7.3
9.7.4
9.7.5
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the choice of device is carefully made and that the type of device utilised is consistent across the authority. It is also recommended that the type of device is not frequently changed. The use of SCRIM data is recommended for NRMCS purposes. However, GripTester results can be converted to equivalent SCRIM values. 9.7.6 The Portable Skid Resistance Tester can be used for detailed investigation of a local area or site but, relative to the other methods available, it is time consuming and disruptive to road users, requiring the use of traffic management to protect the operator. Consequently, it is not a suitable tool for network assessment. The correlation with SCRIM is poor and it is not recommended for use on fine textured surfaces and may give misleading results on very coarse textured surfaces. Changes in traffic flow, seasonal variation and temperature all have an effect on surface skidding resistance and routine measurements are therefore confined to the period 1 May to 30 September, when the lowest skidding resistance is generally observed. However, even within this period, the expected variation between individual measurements means that maintenance decisions should not normally be made on the basis of a single survey, unless the result is clearly below the Investigatory Level, for example at least 20% below. Either the mean of two or more measurements obtained from wellspaced surveys in a single year, or the trend in results collected over two or more years is recommended to assess any particular site. Use of a suitable GIS database can facilitate this comparison. Roads carrying high traffic levels, particularly those with large numbers of heavy vehicles, are most prone to loss of skidding resistance. At a minimum, it is suggested that these are identified and surveyed annually. An alternative strategy would be to survey all roads down to a specified level in the networks maintenance hierarchy. Although less heavily trafficked roads could be surveyed less frequently, particularly if their skid resistance is known to be well above the Investigatory Level, the variation in individual measurements is such that this will give less confidence in knowing the condition of the road. Further, it may not be economic to exclude isolated sections from a defined route. Therefore, Authorities should base the frequency and extent of their skidding resistance survey regime on a risk assessment taking into account local circumstances and available information. Appendix E suggests possible scenarios. SCRIM and GripTester both make continuous measurements following a single line, typically within the nearside wheelpath. For multiple lane carriageways, the lane carrying the greatest number of heavy vehicles should be surveyed or, if heavy vehicles are only a small proportion of the total traffic, then the lane carrying the highest traffic flow should be surveyed. Generally, this is Lane One. For SCRIM, the British Standard for the use of SCRIM specifies the other operating conditions. The measured skidding resistance depends upon the test speed of the surveying vehicle and it is therefore necessary to specify the test speed to be used. The Highways Agencys Design Manual for Roads and Bridges Volume 7, Section 3 specifies 20km/h for sharp bends and roundabouts and 50km/h for all other cases. This may present a hazard to other road users where this speed is either faster or markedly slower than other traffic, and TRL are investigating the implications of using other standard speeds. For SCRIM, advice on the use and interpretation of results is provided in the Highways Agencys Design Manual for Roads and Bridges Volume 7, Section 3, including average Investigatory Levels for different trunk road site categories. GripTester results converted to equivalent SCRIM values can be used in the same way. It is likely that similar levels are appropriate for many Local Authority roads,
9.7.7
9.7.8
9.7.9
9.7.10
9.7.11
although different site categories, with different Investigatory Levels, may be appropriate. The principle is that greater skidding resistance should be maintained at sites where road users are likely to need to stop or change direction, for example urban areas with a high density of junctions, than where this is less likely, for example mainline dual carriageway in the absence of junctions. 9.7.12 It should be noted that the risk of accidents for different sites within the same category can vary substantially and this may be more the case on local authority roads than on the trunk road network. For example, where road layout and/or traffic congestion leads to relatively low traffic speeds, the corresponding risk of injury accidents may be lower than a similar site where traffic is moving faster. The engineers judgement in assessing the relative risk of different stretches of road and assigning an appropriate Investigatory Level is therefore crucial to providing appropriate skidding resistance without triggering premature or expensive treatment. Broader issues of sustainability are also relevant in considering whether potential long haul transport of materials might be avoided. These issues are dealt with in Section 15. The Investigatory Level should be reassessed at suitable intervals, such as, for example every three years, as well as on significant changes to the site, for example when the geometry or layout of road markings is altered. All sites exhibiting a measured skidding resistance at or below the Investigatory Level should be recorded and investigated. The Design Manual for Roads and Bridges, Volume 7, Section 3 gives factors to consider and a methodology for accident analysis. The objectives are, firstly, to confirm whether the Investigatory Level is appropriate. Secondly, to ascertain whether the number of accidents is greater than would be expected for the type of site or if a disproportionate number of accidents occur in wet conditions or where skidding was reported. If so, or if the skidding resistance falls more than a certain level below the Investigatory Level (20% below may be an appropriate level) then the site should be prioritised for early treatment. Otherwise, the site should be added to a programme for general improvements. The result of the investigation and actions arising should be recorded. If treatment is necessary, consideration should be given to whether surface treatment or other measures are appropriate. Surface treatment may not always be a necessary response and other measures, for example to reduce the accident risk of the site may be both more costeffective and consistent with local transport policy. Maintaining records of the accident numbers in the years before and after treatment, plus the type and cost of treatment will allow Authorities to assess the costeffectiveness of different treatments. This information should also be supplied to the CSS and Highways Agency Monitoring Of Local Authority Safety SchemES (MOLASSES) database, where it is collated centrally. Authorities should draw up a strategy based on regular measurements of skidding resistance followed up by detailed investigation where the skidding resistance at a site has fallen to, or is lower than, the predetermined Investigatory Level for that site. Treatment should be prioritised if the skidding resistance is significantly below this level, or if the number of accidents or proportion of accidents in wet conditions, or that involving skidding, is greater than normal. Otherwise, treatment should be carried out over a longer term to bring about an overall high standard of skidding resistance. The strategy, which should be included in the Highway Management Plan, should define:
9.7.13
9.7.14
9.7.15
9.7.16
y The network to which it applies y The equipment to be used, method of survey and quality assurance 73
y y y y y y
9.7.17
procedures to be followed for data collection. It is recommended that regular cross correlation with other equipment be carried out The frequency of surveys The approach to setting Investigatory Levels (eg, the specification of average Investigatory Levels for defined site categories) and the frequency of reassessment The approach to be followed in site investigation to determine whether treatment should be prioritised A realistic (ie achievable) timetable for each part of the strategy Responsibilities for delivering each part of the strategy The documentation to be retained to enable implementation of policy to be demonstrated (in Court if necessary)
It is recommended that Slippery Road signs should be erected as soon as practicable at all sites where remedial measures have been determined as being necessary. These signs should only be removed when the remedial action has been taken and maintenance engineers are satisfied that skidding resistance levels have been returned to an appropriate level.
9.8
9.8.1
Service Inspections General Requirements

Service inspections, should be strongly focussed on ensuring that the network meets the needs of users and comprise more detailed specific inspections of particular highway elements to ensure that they meet requirements for serviceability. The category includes inspections for regulatory purposes, including NRSWA, which are also primarily intended to maintain network availability and reliability. It also includes less frequent inspections for network integrity. The extent of the service inspection regime adopted by authorities is discretionary and the advice given in the following paragraphs may be subject to considerable local variation in the light of individual circumstances.
9.9
9.9.1
Service Inspections for Carriageways, Footways and Cycleways

Service inspections for carriageways, footways and cycleways will generally be undertaken at less frequent intervals than safety inspections. This Code makes no recommendation in respect of frequency, as this will be a matter for local determination based on local user and community requirements for network serviceability. They may be undertaken separately, or in conjunction with safety inspections and certain aspects of service inspections can be incorporated as part of the CVI or DVI regime for UKPMS. They may be undertaken either by slow moving vehicle or on foot depending upon the circumstances. Where footways or cycleways remote from carriageways form part of an integrated route or network intended to encourage walking or cycle use, consideration should be given to adopting a consistent service inspection frequency for the route or network as a whole. Service inspections are primarily designed to identify deficiencies compromising the reliability, quality, comfort and ease of use of the network, from the users point of view. Although not intended for identifying defects that could potentially compromise user safety, any such defects observed during service inspections should be recorded and dealt with in the same way as for a safety inspection.
9.9.2
9.9.3
9.10 Service Inspection of Highway Drainage Systems

9.10.1 Service inspection requirements fall into five main categories:
y Special arrangements for frequent inspection of areas

that may be particularly susceptible to risk of flooding either from topological factors outside the highway or from frequent silting of systems. Frequency of these inspections will depend on local circumstances but could form part of safety inspections. They should be carried out during or immediately following periods of heavy rain as opportunity allows
y Gullies in other areas should be cleansed annually and

arrangements made for nonfunctioning gullies to be recorded for more frequent or detailed attention. Grips and ditches, which may be obstructed by the growth of vegetation or damaged by traffic should be cleared of vegetation and dug out when required. In most cases the responsibility for maintenance of ditches will rest with the adjoining landowner
y Culverts under roads, where there is a need to inspect for structural

damage and blockages. Culverts and manholes should be inspected every five years, more frequently in wooded areas, and cleaned when required
y Piped drainage, which includes a wide variety of conduits and filter drains,
which may be susceptible to siltation or blockage. Piped drainage soakaways and associated systems should be inspected and cleared when required, but at not more than 10 year intervals. Where the serviceability of such piped drainage is critical to flood prevention or there is evidence that more regular attention is necessary then the frequency may need to be significantly increased
y Surface boxes and ironwork for both drainage and nondrainage

applications, which should be inspected during safety and service inspections for carriageways, footways and cycleways
9.11 Service Inspection of Embankments and Cuttings

9.11.1 Significant embankments and cuttings should be defined and an inspection regime identified based upon the geological characteristics and the potential risk of slippages or rockslides. Service inspection arrangements should be based on specialist geotechnical advice, but should usually be programmed wherever possible to follow periods of heavy rain, severe frost, or prolonged dry weather.
9.12 Service Inspection of Landscaped Areas and Trees

9.12.1 All trees within and adjoining the highway should be examined annually for potentially dangerous conditions. Surface damage to carriageways, footways and
75
cycleways, associated with root growth should be recorded as part of Safety or Service Inspections for those elements. Section 15 of this Code deals with the need to reconcile responsibilities for surface regularity with wider environmental considerations in respect of trees.
9.13 Service Inspection of Fences and Barriers

9.13.1 Steel and wire rope safety fences and pedestrian guard rails should be inspected at intervals of five years in respect of mounting height, surface protective treatment and structural condition. Tensioning bolts of tensioned safety fences should be checked and reset to correct torque every two years. Pedestrian guard rails, boundary fences and environmental barriers for which the authority is responsible, should be inspected in respect of integrity and, where appropriate, stockproof qualities, during the course of service inspections of carriageways, footways and cycleways. A higher frequency may be necessary in some locations (eg, in areas with known higher incidence of vandalism). Inspections of structural condition and protective treatment should be carried out at intervals of two years.
9.13.2
9.14 Service Inspection of Traffic Signs and Bollards

9.14.1 Traffic signs are one of the most visible elements of the highway network, highly valued by users and contribute significantly to network serviceability through facilitating efficient and effective use of the network. Vegetation potentially obscuring traffic signs should be recorded during safety inspections and service inspections of carriageways, footways and cycleways and treated accordingly. Additional inspections may be needed during periods of maximum growth. Special signing schemes, for example block work chevron treatments at roundabouts and traffic calming schemes using special signing may deteriorate more quickly than conventional signing. They are also likely to have been installed to improve network safety and inspection arrangements should reflect this. Block work chevrons are likely to need inspecting and cleaning annually. The condition of nonilluminated traffic signs should be inspected at least every two years in daylight, and repeated at night for degradation of colour, retroreflectivity, deteriorating fittings, legibility distance, and average surface luminance, after cleaning. More frequent inspections may be necessary for strategic routes and main distributors, where more consistent high standards are desirable. Cleaning may be necessary annually, or more frequently where subject to heavy soiling. Optical inspections and cleaning of illuminated signs should be carried out at regular intervals of no greater that two years. A visual inspection of the sign supports should be carried out at the same time. Nighttime inspections should be undertaken in conjunction with those for street lighting faults. Due to the legal
9.14.2
9.14.3
9.14.4
9.14.5
requirements for the illumination of traffic signs it is recommended that a group lamp replacement strategy be adopted for illuminated traffic signs and bollards. The lamp period replacement period will depend upon the type of lamp and its annual burning hours. Monitoring is also referred to in the Code of Good Practice for Road Lighting Maintenance. 9.14.6 Inspections should initially be visual, and condition assessed against the criteria set out in TD 25/01. Any suspect areas identified by the visual inspection should be noted and further testing as described in TD 25/01 instigated. The coefficient of retroreflection of sign face sheeting is a specialist site test that may require the services of a specialist organisation. TD25/01 states that the acceptable level of retroreflection for trunk roads is 80% of the as new value where higher performance materials are used. Authorities will obviously wish to allow for local variation, and choose sign performance levels depending on the overall risk assessment and road hierarchy, but the 80% of the as new level should be applied for replacement planning purposes. Inspection of Stop and Give Way signs at minor roads should be included in the inspections of signs on the major road to which they control entry. It should be noted that the Traffic Signs Regulations and General Directions requires all preWorboys (1964) signs to be replaced by 2005. Authorities should therefore be identifying such signs in their asset inventory survey or general inspections, for programmed replacement as necessary.
9.14.7
9.14.8
9.15 Service Inspection of Road Markings and Studs

9.15.1 Inspections in respect of wear, spread, colour, skid resistance and retroreflectivity should be undertaken at intervals of one year for paint markings and two years for thermoplastic markings. Inspections for reflective conspicuity should be carried out at intervals of one year during the hours of darkness. Inspections should be programmed to enable maintenance works to be completed before the onset of winter. Inspections should initially be visual, and condition should be assessed against the criteria set out in TD 26/01. Any suspect areas identified by the visual survey should be considered for more detailed technical investigation depending on circumstances.
9.15.2
9.16 Service Inspection of Traffic Signals, Pedestrian and Cycle Crossings

9.16.1 Service inspections of road traffic signals may not be necessary in relation to the functioning of the internal equipment as this may be provided through remote monitoring of the installation. The remote monitoring system may also identify the need for lamp replacement but bulk changing is likely to be preferred. Signal lenses should be cleaned annually. Service inspections of the physical condition of controller and auxiliary equipment cabinets and of other site hardware should be carried out at intervals of one year, and inspections in respect of electrical safety should be carried out at intervals of
9.16.2
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six years. Guidance on aspects to be inspected and on defect criteria is given in TD 24/86. Inspections should be visual, by remote monitor, or by approved test equipment as detailed in TD 24/86. 9.16.3 For pedestrian crossings, scouting for illumination should be undertaken monthly in conjunction with street lighting nighttime inspections. Optical cleaning should be undertaken every two years. Electrical safety Inspections should be undertaken at a frequency no greater than every six years. Inspection frequencies are also covered by the Code of Good Practice on Road Lighting Maintenance.
9.17 Service Inspections of Street Lighting

9.17.1 Service inspections of street lighting are not dealt with by this Code and reference should be made to the Code of Good Practice on Road Lighting Maintenance.
9.18 Service Inspections of Bridges and Structures

9.18.1 Structural inspections of bridges and structures are not dealt with by this Code and reference should be made to detailed technical advice.
9.19 Service Inspections for Network Integrity

9.19.1 Although each element, of each component, within each category of network hierarchy might be well maintained within the framework of an overall maintenance strategy, the network might still not deliver Best Value, as the asset might not be performing to optimum efficiency. Operational efficiency is primarily a network management consideration, but aspects of it are closely related to the maintenance function, for example:
y Traffic signs or markings may be poorly sited or the legend may be either
incorrect, confusing, or not reflect current priorities
y Traffic signs or markings may be redundant y Facilities for walking, cycling or public transport might be discontinuous
or poorly defined. Opportunities for installation of dropped kerbs or textured paving should be taken
y Opportunities might be taken to modify layout as part of future relevant

maintenance scheme 9.19.2 Such network deficiencies are unlikely to be noted as part of safety, or condition inspections, but are nevertheless relevant to network efficiency. It is therefore
suggested that authorities undertake service inspections of network integrity at intervals of three to five years, and that the outcome of such surveys be taken account of in maintenance planning. The timing of such surveys could correspond with Best Value reviews. 9.19.3 Further guidance on surveys of network integrity for cycling and walking are given in IHT Guidelines on the conduct of Cycling and Walking Review.
9.20 General Requirements of Structural Condition Surveys

9.20.1 The most significant financial investments in highway maintenance will be in repairing, reconditioning and reconstructing highway pavements, in particular those of carriageways. In order to ensure value for money from this investment, authorities will need to have available, information on the nature and severity of deterioration in order to determine the most appropriate maintenance treatment. There are a number of types of survey, each providing information from a differing perspective, and which in combination can provide a comprehensive picture of the condition of the asset. The method and level of detail adopted will depend upon the circumstances of the case, and usually a structured visual inspection will be undertaken initially, to be supplemented by other methods as necessary. Survey methods include:
9.20.2
y y y y
9.20.3
Visual surveys ( Coarse and Detailed) Deflection and residual life Skidding resistance Comprehensive machine surveys
Basic information on each of these methods is given in this Code, together with further details on how the information is used in combination with pavement management systems such as UKPMS, reporting systems such as NRMCS and Best Value performance indicators.
9.21 UKPMS Survey Requirements

9.21.1 UKPMS, in addition to being able to accommodate data provided from machinebased surveys, incorporates two visual condition surveys:
y Coarse Visual Inspection (CVI) y Detailed Visual Inspection (DVI)

9.21.2 CVI is intended to be a fast, costeffective survey that enables authorities to cover large parts of their road network on a regular basis. CVI is used to target more detailed investigations of provisional treatments, using detailed surveys, or to provide regular whole network coverage, and to provide survey coverage on those parts of the network where routine detailed inspections would be too costly. On the principal, and non principal classified road network, CVI can be used to generate the structural maintenance performance indicators BVPI 96 & BVPI 97. CVI is normally carried out from a slow moving vehicle, complemented in some cases with machine measured rut depth data. Rather than recording detailed measurements of individual defects, the survey identifies and categorises lengths of features having generally consistent defectiveness.
9.21.3
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9.21.4
DVI records measured areas or lengths of more closely defined defects, aggregated within short subsections, 20 metres in length by default. The defects collected for DVI are generally defined to a closer level of detail than CVI. In order to ensure broad consistency between the two surveys, a single CVI defect is normally equivalent to a number of DVI defects, and CVI defect extents are classified into broad bands, while DVI involves more detailed measurements. It is intended that DVI is used both where more detailed information is required to support and validate treatment decisions and scheme identification (supplementing CVI data), and also on a cyclical basis for those parts of the network where a more detailed routine visual assessment is required (eg, in urban areas). Although the DVI 20 metre subsection is standard, for jointed concrete carriageways subsection lengths can vary along the carriageway, to ensure that each bay is considered as a separate subsection. In principle, variable subsections can be used for any pavement type, and users may find it beneficial especially in locations where there are long lengths of clearly consistent defectiveness (or nondefectiveness). It is also possible, in some commercial data capture software packages, to collect defects individually, and for the aggregation and allocation to subsections to take place automatically, through postprocessing of the survey data. In planning for the implementation of UKPMS, authorities should firstly establish their expectations in terms of benefit and value from the system. The choice of system and the data requirements will be very different between an authority that is merely expecting UKPMS to provide Best Value performance indicators, and one that is looking for UKPMS to form an integral part of highway management arrangements. In particular, authorities should consider which of the following they are expecting UKPMS to deliver:
9.21.5
9.21.6
9.21.7
y y y y y y y
9.21.8
Production of Best Value performance indicators Production of data for the NRMCS Road condition information to support their LTP Local identification and prioritisation of treatments Local budget setting and needs identification Local performance indicators Comparable information to benchmark with others
It is recommended that, as a minimum, surveys are carried out sufficient to support the requirements of Best Value performance indicators, and to support participation in the NRMCS. In addition, surveys over and above this minimum should be carried out to support local needs. UKPMS allows considerable flexibility in the types of data that are collected to support the operation of the system, and in the frequency and the level of detail at which those data are collected. A number of possible approaches are proposed below, and suggest a number of issues that influence the choice of a particular configuration. In defining their approach, authorities may also take into account the following:
9.21.9
9.21.10
y Whether to collect inventory and how much to collect y What machine and visual condition surveys to collect y Whether to carry out surveys on a routine cyclical basis, or to target
surveys (particularly more costly detailed surveys) to areas of concern or where treatments are proposed
y Frequency of inspection y Whether to collect more detailed condition surveys over and above the y y
UKPMS surveys to support the detailed consideration of maintenance schemes Whether to vary the approach by hierarchy or some other subdivision of the network Whether the main focus of UKPMS will be as a strategic tool to support decisions based upon network condition and budget levels, or an operational tool to support engineering decisions relating to the identification, prioritisation of remedial works at the scheme level. Many users will, of course, be looking for UKPMS to fulfil both of these rules and will need to tailor their data requirements accordingly Requirements for benchmarking
y
9.21.11
There are three possible scenarios for the application of UKPMS, and associated inspection regimes to support those scenarios, ranging from the minimum required to support the production of BPVIs and NRMCS assessment using UKPMS, through to detailed assessment of scheme options beyond the minimum functionality provided by NRMCS. Scenario 1 Minimum Collecting minimum data to support the requirements of the BVPIs and to provide local information for NRMCS Scenario 2 Enhanced As above, additionally providing:
y Consequences of historic funding and polices are monitored by tracking changes y Treatment length costing and evaluation. Once treatments have been formulated,
priorities are established on a condition (worst condition) or economic (best value) basis Scenario 3 Full in network condition
y Information used to target more detailed investigation using deflectograph and y y y y

9.21.12 detailed visual surveys, and used to refine the provisional treatments proposed through the coarse surveys Use of additional scheme and treatment building functionality to that provided by UKPMS may be required This approach would also enable network analysis to take place Additional detailed information collected where schemes are proposed, following their identification through other means Used to justify bids, to allow future audit of treatment decisions, or to allow allocation of relative priorities on a condition or economic basis
Further information on possible options for pavement condition assessment regimes is provided in Appendix E.
9.22 NRMCS Requirements

9.22.1 Arrangements are presently under development to change radically the way the National Road Maintenance Condition Survey (NRMCS) arranges surveys, and collates and presents data. This is to achieve the twin aims of reducing total survey
81
requirements for authorities whilst significantly increasing the benefits from the data locally, regionally and nationally. It will therefore be important for authorities to integrate their own condition survey requirements with the NRMCS requirement, but this should not be onerous or difficult. 9.22.2 The principles underlying the new NRMCS are:
y To provide an objective measure of road condition at the national level

and by type of road
y To provide sufficient detail to permit comparisons of condition at

authority and regional level
y To permit meaningful comparisons to be made with other European

countries
y To enable the calculation of outstanding maintenance work at national

and regional level in relation to targets that are consistent with minimum whole life cost
y To avoid the necessity for authorities to carry out specific surveys for the
NRMCS but to use data collected for BVPIs and to reflect changes in the BVPIs as they are introduced, in order to provide information useful to participating authorities 9.22.3 In order for these principles to be fully engaged in time to monitor the Government target, in England, to arrest deterioration in the condition of local roads by 20034 it has been agreed that:
y TRACS type surveys must become available during 2002 ready for use
throughout England in 2003 for all principal roads, together with all the necessary technical links to use through UKPMS and BVPIs
y CVI must be similarly quickly brought to the point to be the established

survey process for nonprincipal roads 9.22.4 The NRMCS executive have agreed an action plan to achieve this radical change and authorities in England should plan to be ready to adopt this in order to demonstrate their contribution to meeting the Government targets. Authorities in other parts of the UK, although not presently subject to similar targets are recommended to participate in the new NRMCS arrangements in order to establish a more robust framework of condition information within the Devolved Administrations.
9.23 Deflection Survey Requirements

9.23.1 The transient deflection of a road pavement under the passage of a heavy wheel load can be related to its long term structural performance. It can be measured by deflectograph, which is a lorrymounted machine. The lorry travels at an average speed of approximately two km/hr while operating, and measurements are taken at five metre intervals, hence traffic management considerations need to be taken into account in its operation. Its use is mainly restricted to flexible carriageways, including those with a lean mix concrete road base. As an alternative, the Falling Weight Deflectometer (FWD) is suitable for use on both rigid and composite pavements as well as flexible pavements.
9.23.2
9.23.3
The survey results are analysed by computer, together with ancillary information, such as traffic flows, temperature coefficients and highway construction details. It is also useful to provide borehole information to identify points of likely change in the nature of subgrade within the highway. The analysis will express results in terms of the overlay required to give the carriageway a further 20 years of life or in terms of the residual life remaining before some further maintenance is required. The use of the deflectograph is usually restricted to the period March to midJune, and September to November because of the critical nature of the temperature range required. Results from deflectograph surveys are accepted as an alternative to CVI Inspection for the purpose of establishing the BVPI 96 indicator of principal road condition.
9.23.4
9.23.5
9.24 Inspections for Regulatory Purposes

9.24.1 A significant element of highway maintenance comprises regulation and enforcement of activities on or affecting the highway. The most significant of these involves responsibilities under the New Roads and Street Works Act 1991. The provisions of this and the associated Codes of Practice and Standards are very detailed and are not dealt with by this Code, and reference should be made to this specialist advice. Other key regulatory duties include:
9.24.2
y y y y y y y y
9.24.3
Management of Highway Register Management of Public Rights of Way Dealing with encroachment on the highway Dealing with illegal and unauthorised signs Licensing skips, hoardings, temporary closures and other authorised occupation of the highway Construction of vehicle crossings Illegal parking on verges and footways Adoption of new highways
Although each of these are separate duties, many of them have wider implications for highway maintenance, for example:
y Many of these items, for example illegal signs or encroachment, may have
the potential to contribute to accidents and the details of how the occurrence was dealt with (or not dealt with) by the authority may be a material consideration in legal proceedings
y Illegal parking on verges and footways, especially by heavy vehicles, could

cause considerable damage and, where this is occurring, it might be relevant to increase inspection frequency.
83
9.24.4
It will therefore be important to establish standards for regulatory activity and coordinate these with other functions.
9.25 Optimisation of Inspection and Survey Regime

9.25.1 Although there is a wide range of inspections which need to be considered by authorities, it should be possible to coordinate these to make the best use of resources. It may also be possible to integrate inspections with other activity. For example where Integrated Street Management arrangements are adopted in town centres for cleansing and repair, it may be possible to combine safety inspections with the cleansing regime, providing more frequent inspection at minimum cost. Where such combined inspections are adopted particular care should be taken to ensure that consistent standards of recording are maintained. Other combinations are logical, for example including inspections of illuminated traffic signs with those for street lighting. A most important aspect of optimised inspections relates to NRMCS. It has been the case until now that information for NRMCS has been collected separately from data required for the authoritys own purposes. Under the new strategy being developed for NRMCS outlined earlier in this Section, this duplication will be avoided and one common set of data will be used for both national and local purposes.
9.25.2
9.25.3
9.26 Quality and Reliability of Data

9.26.1 Survey data to be used for highway condition assessment purposes will have considerable influence on spending levels and priorities, and will be used as the basis of interauthority comparisons, and for the assessment of national condition and need. Data needs to be accurate, complete and repeatable, and high standards of quality management and control should therefore be applied to its specification, procurement, collection and processing. Opportunities to ensure quality and reliability occur at a number of levels including:
9.26.2
y y y y y y y y y y
9.26.3
Survey instructions and documentation Selection and appointment of highways inspectors Training Specification and procurement of surveys Audit procedures Survey procedures Data capture software Processing software Maintenance and calibration of equipment Record keeping
All surveys should be carried out in accordance with the current documentation including, but not limited to the latest versions of the following:
y UKPMS Visual Survey Manual y Relevant sections of the Design Manual for Roads & Bridges and Trunk Road
Maintenance Manual
9.26.4
The development of survey procedures may vary from the standard documented approach, and considerable care should be taken in the derivation of locally enhanced versions of surveys to ensure that the standard data can be extracted, without bias from the survey. Care should be taken to ensure that personnel with certified competence are appointed to carry out visual surveys. Whilst engineering background is not essential for visual surveys, it is important that inspectors are competent to work methodically, and to accurately record condition, according to defined defect definitions. Survey data to be used for highway condition assessment purposes should only be collected and processed by personnel of authorities or contractors who are certified as having undergone recognised training in the recognition, interpretation and recording of highway condition data to the currently published standard. Relevant National Vocational Qualifications (NVQ and SVQ) are recommended. Care should also be taken in the specification of surveys, whether to be carried out in house or by contract, that appropriate quality provisions are included in the specification that address:
9.26.5
9.26.6
9.26.7
y Selection and training of inspectors y Survey procedures and documentation y Quality management procedures, audit and error correction
9.26.8 Audit and quality control procedures are essential, and reference should be made either to the visual survey manual or model contract for UKPMS surveys. Visual inspection survey data to be used for highway condition assessment purposes should be collected in accordance with specified requirements, in order to ensure accuracy, repeatability and comparability of BVPIs. It is intended that will there be accreditation for UKPMS data capture software and procedures. Visual inspection survey data to be used for highway condition assessment purposes must be processed by a pavement management system fully accredited to UKPMS requirements, in accordance with the currently approved set of Rules and Parameters, to provide Structural Condition Indices and hence relative maintenance priority for each network section. Further details of Rules and Parameters are provided in Appendix D. The data may also be processed according to other rules at the discretion of the authority in order to consider other options for technical prioritisation. Any variations from the current Rules & Parameters, utilised by the authority, should be recorded for LTP monitoring purposes.
9.26.9
9.26.10
9.26.11
9.26.12
85
Recommendations
R9.1 Inspection and Survey Regime
Authorities should develop and implement an inspection and survey strategy to provide accurate, timely and relevant information on the condition of the highway network, including cycleways and footways, as a basis for assessment of local maintenance need. The strategy should incorporate safety inspections, service inspections and structural condition surveys, including frequencies, together with appropriate response arrangements in each case.
R9.2
Recording of Information
Information from all inspections and surveys, together with any immediate or programmed action, including nil returns, should be accurately and promptly recorded, monitored, and utilised with other relevant information in regular reviews of maintenance strategy and practice. This is particularly relevant in the case of safety inspections.
R9.3
Consistent and Benchmarked Procedures

The strategy should comprise consistent procedures including reasons for any differences from practice identified by this Code, formally approved by the Authority, published and regularly reviewed.
R9.4
Approach to Highway Condition survey

The highway condition survey strategy should reflect the different requirements of the network based upon the defined hierarchy, and may be based on coarse visual walked or driven surveys, or machine collected data according to particular circumstances. Detailed visual surveys may be cost beneficial in certain heavily built up areas, and to supplement data in more localised cases to assist in consideration of treatment options.
R9.5
Scope of Highway Condition Survey

The highway condition survey strategy should provide as a minimum the structural condition information necessary to determine and monitor relevant BVPIs. It should however also provide information to support more detailed assessment and monitoring of highway elements, for example surface and road edge condition in order to establish a fiveyear programme, and to assist the programming of routine maintenance.
R9.6
Coordination with NRMCS

The highway condition survey strategy should be compatible with the requirements for surveys of strategic and local road condition specified through NRMCS and to facilitate the provision of information to NRMCS as a basis for assessment of national maintenance need, where this applies.
R9.7
Accuracy and Reliability of Data

Highway condition assessment data from visual, deflectograph or other machine surveys will have considerable influence on BVPIs, spending levels and priorities. It will need to be accurate, complete and repeatable, and high standards of quality
management and control should therefore be applied to its specification, procurement, collection and processing.
R9.8
Visual Survey Data Processing for Structural Condition Index

Visual inspection survey data to be used for highway condition assessment purposes should be processed by a pavement management system accredited to UKPMS Tranche 2, or equivalent or versions subsequently approved, in accordance with the currently approved set of Rules and Parameters, to provide Structural Condition Indices and relative technical priority for network sections.
R9.9
Supplementary Visual survey Data Processing

Visual inspection data may also be processed according to other rules at the discretion of the authority in order to consider other options for technical prioritisation. Any variations from the current Rules and Parameters utilised by the authority should be recorded for LTP monitoring purposes and information from both scenarios should be presented for purposes of comparison.
R9.10
Adoption of Economic Prioritisation

Bearing in mind the single capital pot arrangements for local authority capital expenditure and competition for funding of other services authorities should also consider the adoption of more advanced processing facilities incorporating economic prioritisation. These are provided for in UKPMS Tranche 3, and will be enhanced to take account of ongoing research and developments, in particular that being undertaken by the Highways Agency in respect of HAPMS.
R9.11
Measurement of Skidding Resistance

Authorities should develop a strategy for managing the skidding resistance of running surfaces based on the principles defined in this Code and include this in the Highway Management Plan. The strategy should provide for regular measurements of skidding resistance followed by detailed investigation where the skidding resistance at a site has fallen to, or is lower than, the predetermined Investigatory Level for that site. Treatment should be prioritised if the skidding resistance is significantly below this level, or if the number of accidents or proportion of accidents in wet conditions, or that involving skidding, is greater than normal. Otherwise, treatment should be carried out over a longer term to bring about an overall high standard of skidding resistance.
R9.12
Optimisation of Survey Regime

Authorities should plan and coordinate their inspection and survey regime to provide a costeffective regime consistent with the characteristics of the area. Although different types of survey may be undertaken independently or together any safety issues identified during service inspections or condition surveys should be recorded and actioned in accordance with safety inspection regime.
R9.13
Developments in Survey Technology

Regular reviews of survey strategy should take account of new technologies and methods. For example, given the significant influence of carriageway rutting in determining structural condition the use of more accurate rutbar measurement should be considered where appropriate.
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SECTION 1 0 : C O N D I T I O N, ST A N D A R D S AND INVESTIGATORY LEVELS

10.1 Relevance of Condition Standards and Investigatory Levels
10.1.1 As indicated in Section 8, each aspect of the maintenance regime needs to be founded on the key objectives of:
a) i) ii) b) i) ii) iii) iv) c) i) ii) iii)
Network Safety Complying with statutory obligations Meeting users needs Network Serviceability Ensuring availability Achieving integrity Maintaining reliability Enhancing quality Network sustainability Minimising cost over time Maximising value to the community Maximising environmental contribution
10.1.2
Every aspect of highway maintenance for each element of the network has the potential to contribute to some extent to the above objectives. For example the contribution to the safety objective of the carriageway surface is affected by:
y y y y
10.1.3
The The The The
actual condition of the surface response time for attending to inspections and user concerns quality of management and service delivery effectiveness of materials and treatments used
Authorities should therefore define standards for the condition of each element of the network, which they consider necessary to meet the requirements for safety, serviceability and sustainability. Where these standards are not met they should set targets for attaining them and sustaining them in the long term.
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10.1.4
Authorities should also set standards and targets for achievement in respect of response times to inspections and user concerns. They should also work towards setting standards and targets relating to quality of management and service delivery and possible contributions from changes in materials and treatments. In some cases these standards will be BVPIs, for example the percentage of reported dangerous defects repaired within 24 hrs, but others may be locally determined. It is important that locally determined standards take account of the views of users and the local community, and have regard to the advice of this Code. In the case of standards relating to network safety it is essential that authorities take note of their statutory responsibilities as well as users needs, and review legal interpretations in determining standards of condition and response. Authorities should ensure that all standards are formally adopted and published as part of a Highway Maintenance or Network Management Plan. They will also need to be consistently applied and reviewed at intervals in the light of changing circumstances. With experience over time it may be possible to develop a single outcome standard for each of the maintenance objectives as the basis for a performance based procurement regime. It may still be necessary however for the contracting service partner to expand these into a wider range of standards for operational purposes.
10.1.5
10.1.6
10.1.7
10.1.8
10.2 Types of Standard or Investigatory Level

10.2.1 The highway maintenance regime should incorporate the following types of standards:-
y y y y y
10.2.2
Operational Management of programming and priorities Materials and treatments Management of procurement and service delivery Management of finance
The last four of these are dealt with in subsequent sections of this Code. This section deals with operational standards, which include:
y Inspection frequency y Asset condition (safety, serviceability, sustainability) y Nature and timing of response
10.2.3 Each element of the network could have different standards of condition, a minimum one to satisfy requirements for safety, and higher ones, designed to meet local requirements for serviceability or sustainability. These different higher standards have previously been given a range of names including warning levels, intervention levels and investigatory levels. In this Code the term has been standardised as investigatory levels, as failure to reach the defined standard in most cases could give rise to a range of responses, each of which needs to be further investigated prior to action being taken. There will be certain circumstances, of course, primarily for safety reasons, where an immediate response is necessary. The term Intervention level has been retained only for use with the automatic treatment selection criteria used in Pavement Management Systems, as the system
10.2.4
does actually intervene at the defined condition standard. It will however always be referred to as System Intervention Level for the avoidance of confusion. 10.2.5 The following paragraphs set out the suggestions for the nature of contributions made by each element of the network towards each of the three objectives together with, where appropriate, a suggested standard of condition. It should be stressed that these standards are suggested ones only and presently tend to identify input rather than wider outcomes. They should be developed locally over time, in consultation with users, providers and the wider community into outcome based standards wherever possible.
10.3 Condition of Carriageways

10.3.1 The condition of the carriageway fabric can contribute to the key objectives as follows: Safety Nature, extent and location of surface defects Nature and extent of edge defects Nature and extent of surface skidding resistance Nature and extent of surface defects Ride quality of the surface Surface noise attenuation characteristics Nature and extent of surface defects Nature and extent of pavement defects
Serviceability
Sustainability
10.3.2
The definition of investigatory levels for surface, edge and skidding resistance, commonly used by authorities to meet safety objectives is dealt with in Section 9. The definition of investigatory levels to meet requirements for serviceability will be a matter for local determination, preferably in consultation with users. Once appropriate investigatory levels have been established to support the required standards, these may be codified as System Intervention Levels (SILs) within UKPMS, HAPMS and other automated pavement management systems. In this way, the use of such pavement management represents and effective means of delivering and implementing predetermined standards. Many of the rules and parameters that configure the algorithmic processing in UKPMS, including the System Intervention Levels, are not builtin but are userdefinable. This has led to the concept of rule sets, which are complete and logically consistent sets of rules and parameters designed to produce appropriate output, in terms of treatments, for input pavement condition data. In the automated processing of UKPMS, termed the Automatic Pass, network condition data is used to develop lengths of consistent defectiveness, which are allocated treatments according to condition, pavement type and base hierarchy. The selection of treatments is achieved through an algorithmic process in which the condition of aspects of the pavement construction, such as the structure and the surface, are assigned a numerical score that is then tested against a number of threshold values represented by the SILs. Breaching of the threshold values will trigger an appropriate treatment. Thus by setting the SILs in line with the established investigatory levels for the required standard for performance, serviceability or maintenance of the asset value, the effect of implementing this standard across the network may be modelled in terms of necessary treatments and costs.
10.3.3
10.3.4
10.3.5
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10.3.6
In practice, the development of a rule set for UKPMS can be an extensive and complex exercise. For this reason, the UKPMS Rules and Parameters Project (see Appendix D) was initiated to develop a default rule set to be available for use with accredited UKPMS systems and to provide a template for local development. A key principle in the development of this default rule set was to attempt to ensure that the treatment options produced by the automatic processing reflected the likely solution of a maintenance engineer, taking account not only of the condition of the pavement, but also maintenance policy, funding constraints and the base hierarchy of the road. While treatment selection in the Automatic Pass of UKPMS involves a number of process elements, the SILs represent the final criteria defining the relationships between condition and allocated treatment. The Best Value performance indicators BVPI 96 and BVPI 97 are a direct application of the SILs from the current UKPMS default rule set. For example, the quoted score in BVPI 96 corresponds to the value that triggers overlay, the least onerous in the range of available structural treatments, on bituminous carriageways, in the base hierarchy that corresponds to principal roads. An overview of the elements and processes of the UKPMS Automatic Pass, and the role of rules and parameters, is given in Appendix D. The full scope of the current default UKPMS rule set, including the SILs, for all features and hierarchies may be accessed using the Rules and Parameters Viewer, developed by the MARCH Group, and issued as a companion to this Code.
10.3.7
10.3.8
10.4 Condition of Footways

10.4.1 The condition of footways can contribute to the key objectives as follows: Safety Nature, extent and location of surface defects Nature and extent of kerb and edging defects Nature and extent of surface defects Extent of encroachment and weed growth The slipperyness of the surface The quality of the surface Integrity of the network Convenience and ease of use Nature, extent and location of surface defects Extent of damage by overrunning and parking
Serviceability
Sustainability
10.4.2
The definition of investigatory levels for surface, edge and skidding resistance, commonly used by authorities to meet safety objectives is dealt with in Section 9. The definition of investigatory levels to meet requirements for serviceability will be a matter for local determination, preferably in consultation with users. System Intervention Levels may, as for carriageways, be codified within pavement management systems, and suggested values have been established for the current UKPMS default rule set. All investigatory levels for footways are presently being reviewed by a joint Working Group and an Appendix to the Code will be issued when this work is complete. Securing continuous improvement in the safety and serviceability of footways, in particular network integrity will be a necessary component for encouraging walking as an alternative to the private car, particularly for journeys of up to three miles in urban areas. It will be important for maintenance strategy to positively address this.
10.4.3
10.4.4
10.4.5
It will also be important in determining priorities for footway maintenance to ensure that opportunities are taken to aid social inclusion particularly improving accessibility for older and disabled people and also the use of prams and pushchairs. This may include the provision of dropped kerbs in suitable locations and textured paving adjacent to crossing points at marginal cost during the course of works. Although ensuring the safety of footways for users will be a priority, in some cases the presence of roadside trees may complicate the provision of footway surface regularity. The radical treatment or complete tree removal necessary to ensure surface regularity may not be possible or desirable and reduced standards of surface regularity may be a more acceptable and sustainable outcome. Where footways are remote from carriageways, safety and security of users will be an important consideration, both from the point of view of unauthorised vehicular use and quality of lighting. Maintenance strategy should pay particular attention to this. Maintenance requirements for field footpaths and public rights of way are not covered by this Code. Maintenance requirements for byways and Roads Used as Public Paths (RUPPs) should be considered as part of the carriageway hierarchy.
10.4.6
10.4.7
10.4.8
10.5 Condition of Cycleways

10.5.1 The condition of cycleways can contribute to the key objectives as follows: Safety Nature, extent and location of surface defects Nature and extent of kerb and edging defects Nature and extent of surface defects Extent of encroachment and weed growth The slipperyness of the surface The quality of the surface Integrity of the network Convenience and integrity of the network Nature, extent and location of surface defects Extent of damage by overrunning and parking
Serviceability
Sustainability
10.5.2
The definition of investigatory levels for surface, edge and skidding resistance, commonly used by authorities to meet safety objectives is dealt with in Section 9. The definition of investigatory levels to meet requirements for serviceability will be a matter for local determination, preferably in consultation with users. System Intervention Levels may, as for carriageways, be codified within pavement management systems, and suggested values have been established for the current UKPMS default rule set. All investigatory levels for cycleways are presently being reviewed by a joint Working Group and an Appendix to this Code will be issued when this work is complete.
10.5.3
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10.5.4
Securing continuous improvement in the safety and serviceability of cycleways, in particular network integrity, will be a necessary component for encouraging cycling as an alternative to the private car. It will be important for maintenance strategy positively to address this. Network integrity is a particularly important consideration where cycle routes are segregated for part of their length but intermittently rejoin the carriageway. In these circumstances a reasonably consistent standard of maintenance should be provided and attention paid to carriageway edge condition in the unsegregated sections. Cambridgeshire County Council policies, listed below as an example, specify that:
10.5.5
y Where carriageway cycle lanes are established, particular attention will be

required to ensure drainage gullies, valve covers, inspection chambers etc do not pose hazards to cyclists and that the road surface is in good repair
y Carriageway cycle lanes necessitate the use of additional traffic signs and
road markings, and coloured surfaces where appropriate
y Where possible the quality of the road surface at the edge of carriageways,
especially in urban areas will be improved. Programmes of resurfacing and carriageway reconstruction can assist in making the existing highway network cycle friendly and thereby assist in the implementation of the National Cycling Strategy
y Road gully gratings shall be of the flat type and laid within 10mm of the
road surface. Where other types of gratings exist, a programme of replacement will be effected
y When designing new cycle lanes, due regard to the road surface condition
shall be taken, and if the existing carriageway is poor, while the rest of the road is good, inlaying the cycleway with asphalt should be considered as part of the scheme. A check should be made on the position and condition of any ironwork within the cycle lane
y The surface of a cycleway is crucial to its acceptability by cyclists. New

surfaces should give a good ride quality, being smooth and free from bumps and depressions. Where it is possible for a paving machine and delivery lorries to gain access to a cycleway (eg, alongside the carriageway) hot laid asphalt should be used between edging strips. Where this is not possible textured and smooth bituminous material should be used. It is particularly important that weeds are killed before surfacing a cycleway
y Dropped kerbs across a cycleway should be flush (3mm high) with the
carriageway or access particularly where cyclists will cross them obliquely
y Drainage should prevent the ponding of water or the accumulation of grit

or silt on the cycleway. However this is often impossible to achieve where a converted footway runs through a wide verge at a lower level than the carriageway with little longitudinal fall
y The authority notes that it is the responsibility of the adjacent landowner

to trim hedges from the edge of the cycleway once each year. Where the natural hedge line is within half a metre of the edge of the carriageway a second trim will be required and this cut can be allocated from the highway maintenance budget. Arrangements should be made for the
District Councils contractor to sweep the cycleway after these operations (this is particularly important for thorn hedges) to a maximum of two sweeps. These two sweeps may be funded by the highway authority and may be in addition to sweeping by the District Council to keep the highway clean
y Headroom along cycleways beneath signs and branches should be at least

2.7m.
10.6 Condition of Highway Drainage Systems

10.6.1 The condition of highway drainage systems can contribute to the key objectives as follows: Safety Accumulation of water on carriageways, footways and cycleways Accumulation of water on carriageways, footways and cycleways Polluted effluent from clearing of highway drainage affecting watercourses Inadequate drainage of the highway structure will reduce effective life and increase maintenance liability Authorities have a duty to prevent nuisance to adjoining landowners by flooding and should also work with others in the wider community to minimise the future risk of flooding. 10.6.2 Highway Drainage condition standards fall into three main categories:
Serviceability
Sustainability
y Culverts under roads, where there is a need to inspect for structural

damage and blockages. Culverts and manholes should be inspected every five years and cleaned when required
y Grips and ditches, which may be obstructed by the growth of vegetation

or damaged by traffic and animals. Grips and highway authority ditches should be cleared of vegetation and dug out when required. Grip clearing should be commenced after the last grass cut and the programme completed if possible before the worst effects of winter. Kerb offlets can sometimes be neglected and should be jetted once per year or as often as is necessary to ensure efficient working. Note that most roadside ditches are the responsibility of adjoining landowners
y Piped drainage, includes a wide variety of conduits and filter drains,

which may be susceptible to siltation or blockage. Piped drainage, soakaways and associated systems should be checked and flushed if necessary during regular service inspections and cleared when required, but at not more than 10 year intervals. Where the serviceability of such piped drainage is critical to flood prevention or there is evidence that more regular attention is necessary then the frequency may need to be significantly increased
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10.6.3
Gullies, catchpits and interceptors will need regular cleansing to remove detritus to ensure the continued efficient functioning of the unit and its connection. The frequency of emptying will depend upon the location, extent of tree cover, level of rainfall, the extent of kerbing and the frequency of sweeping. The nature of local industrial and agricultural land use may also be influential. All gullies should be cleansed once per year and arrangements made for nonfunctioning gullies to be recorded for more frequent or detailed attention. Schedules of gullies requiring increased frequency of emptying should be built up by experience and any known trouble spots included. Streets rather than individual gullies may be identified. Gullies should be over filled when emptied to ensure they are clear. If not the unit should be recorded for jetting. No more than 50mm of material should remain in the unit before it is recharged with clean water. The frequency of cleansing of oil interceptors will depend on their design and location and will need particular consideration on a sitespecific basis. Material arising from all road drainage emptying and cleansing operations has potential implications for pollution and should be disposed of correctly in accordance with Environment Agency, or equivalent authority, requirements. Where, despite effective maintenance operations, flooding of the highway occurs, with implications for safety or serviceability, relevant warning signs should be placed in position as quickly as possible and users advised through local media. The cause of the flooding should be determined and given prompt attention, in order to restore the highway to a reasonable condition. If it is subsequently determined that the flooding is attributable to deficiencies in infrastructure or the maintenance regime, given the nature of the weather conditions under which it occurred, then action to permanently relieve the problem should be considered urgently. If the event is attributable to the actions of a third party, the matter should be taken up with them at the earliest opportunity. Ironware comprising covers, gratings, frames and boxes set in carriageways, footways and cycleways have the potential to compromise safety and serviceability and in certain cases cause noise and disturbance to local residents. Although responsibility for defective ironwork where this is part of the apparatus installed by a Utility may lie with that Utility, claims are often also pursued against the authority. Defects identified during inspection or from users should therefore be formally notified to the Utility with a follow up procedure to ensure that dangerous defects are remedied within the prescribed timescale. The following condition standards are suggested for ironware set in carriageways. Manhole covers and boxes in the carriageway should be installed to a tolerance of +/5mm to the surrounding level. Gully frames and gratings should be installed level or not exceeding 10mm lower than the surrounding carriageway. When boxes, frames and covers are found to be greater than 20mm lower than the surrounding carriageway they should be reset.
10.6.4
10.6.5
10.6.6
10.6.7
10.6.8
10.6.9
10.7 Condition of Embankments and Cuttings

10.7.1 The condition of embankments and cuttings can contribute to the key objectives as follows: Safety Serviceability Sustainability Risk of loose material falling to injure users or damage facility Risk of damage or service interruption Damage or loss of habitat Interruption or pollution of watercourse Extent of damage and reduced life
10.7.2
Slips and rockfalls from embankments and cuttings are relatively infrequent but the frequency and severity of such events may be affected by climatic change. Authorities will have records of relevant locations and should establish an inspection and maintenance regime based on a local risk assessment. In higher risk locations, or where ground conditions are difficult, specialist geotechnical advice should be obtained.
10.8 Condition of Landscaped Areas and Trees

10.8.1 The condition of landscaped areas and trees can contribute to the key objectives as follows: Safety Obstruction to user visibility and legibility of traffic signs Falling branches from trees Leaf fall from trees causing slippery surface Root growth affecting surface regularity Potential for service interruption Quality of user experience Landscape conservation Mitigation of climate change effects Support for habitat and biodiversity Problems of root growth for surface, structure and highway drainage
Serviceability
Sustainability
Courtesy IHT.
Source Jon Etchells.
10.8.2
The condition of landscaped areas has major implications for all of the key maintenance objectives, and the maintenance regime will therefore require particularly careful consideration to ensure that the necessary balance continues to be achieved. It is also possibly the most visible aspect of the highway, of wide interest to both public and special interest groups and provides the opportunity to demonstrate sensitivity and flexibility in maintenance policy. Further advice on the sustainable management of landscaped areas in given in Section 15.
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10.8.3
The obstruction of street lighting and traffic signs can be a major safety risk to users. During routine nighttime inspections any such obstruction should be recorded. Trees and other foliage should be trimmed back to allow the lighting to function and the signs to be legible, while maintaining the shape of the tree. The National Assembly for Wales (NAW) notes that highway verges should be differentiated from the soft estate (SE). Verges should be considered as part of the trafficked highway maintained principally for the operational needs of the highway but priorities for the wider SE will be different. The NAW uses the following definition of the SE: Land within the highway curtilage, which is not surfaced or constructed for use by vehicular or pedestrian traffic. It includes land that is in ownership of the NAW, having been purchased or used for the purposes of construction and the mitigation of the effects of the highway on the environment. The management of such areas will include all necessary maintenance tasks and operations set for the land by the Transport Directorate. It excludes all hard standings, lined ditches, drains, signs, and telecommunications equipment and fences. Verges and areas where grass is cut for safety and forward visibility fall within the soft estate, but are maintained to meet the overriding operational objectives but including consideration of environmental objectives or commitments.
10.8.4
10.8.5
The SE includes areas of land having various conservation interests, screening, planting, serves a safety and refuge function and to a amenity. The SE can be included in highway specialist expertise.
functions, for example habitat, nature and wild flower diversity. The verge lesser extent and in certain situations maintenance strategy but it requires a
10.8.6
Dealing first with requirements for safety, vegetation either on verges, other parts of the SE or on private land should not restrict visibility at junctions, access points and bends. Sight lines and minimum stopping distances should be kept clear and signs, lights, and marker posts should not be obstructed. It may also be necessary for vegetation to be cut back in order to enable inspections or surveys. Areas of highway grass that incorporate access to ducts, drainage systems etc may need to be cut about once in three years in order to maintain accessibility to these systems. Suggested practice for grass cutting on rural roads is:
10.8.7
y Embankment and cutting slopes and verges except visibility areas should
not normally be cut regularly
y All visibility areas should be kept clear, and to provide a pedestrian refuge
the first swathe from the edge of the carriageway, should always be kept cut. Frequency of mowing will depend on the rate of growth but will normally be twice per year. Other areas of highway grass should be cut every three years unless a positive decision is taken to allow it to vegetate 10.8.8 In urban areas, grass cutting practice needs to involve a different balance of highway safety, serviceability and sustainability. Using the standards for rural roads would deliver safe standards from a visibility perspective but length of grass, possible concealed debris and the potential for grass cuttings to block gullies suggests there is a need for a higher frequency of cutting in urban areas. The frequency of cutting needs to balance these priorities in taking into account the needs of users and the community. Authorities should also provide for flexibility in applying urban and rural standards,
10.8.9
and these should take account of the character of the area rather that be determined solely by speed limit considerations. 10.8.10 Northamptonshire County Council has established a detailed grass cutting regime, as follows: Urban roads
y Vision splays, traffic islands, raised roundabouts and grass adjoining

highways in built up areas with numerous accesses. Cut five times per year on strategic and main distributors, four times on other roads
y Grass areas adjoining highways on all other roads. Cut two swathe widths
five times per year on strategic and main distributors, four times on other roads
y Grass areas adjoining footways, horse riding and cycle tracks. Cut single
swathe five times per year on strategic and main distributors, four times on other roads
y Newly seeded areas. One full cut in first season

Rural roads
y The practice in 10.8.6 is supplemented by undertaking three cuts per year

on strategic and main distributor roads
y At all laybys and at locations where there is restricted visibility causing

an exceptional hazard to motorists or pedestrians. Full width cut five times per year. This is also applied to picnic sites associated with laybys
y At traffic signs and bollards, to ensure adequate stopping sight distance,

and at public Right of Way signs for two swathe width in perpendicular to the carriageway. Cut three times on strategic and main roads and two times on other roads
y At junctions and sharp bends where open fencing (iron hurdle) has been
provided. Once per year clearance of vegetation under the fence to maintain visibility
y Where possible, to encourage the growth of wild flowers, verges will not
be cut until seeds have set 10.8.11 Suffolk County Council requires all grass to be cleared around columns, safety fences, sign posts and walls, and grass which cannot be cut by machine, is to be trimmed by other means. The Council also suggests that length of grass on urban verges is not expected to exceed 100mm and in a normal season, eight cuts per year is the maximum requirement to achieve this standard. Cut grass is not removed but is swept from footways where necessary. The Council also provides local discretion to apply rural standards where speed limits extend into an environment which is still of mainly rural character. The need to tailor maintenance practice to suit the character of the areas rather than to rigidly applied standards is dealt with in Section 15 of this Code. Edge maintenance or siding of carriageways, footways and cycleways will
10.8.12
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occasionally be necessary to prevent encroachment of grass and reduction of width. It is often done in advance of other maintenance work, in particular surface dressing. Staffordshire County Council suggests that siding of verges should only be carried out where the encroachment of the verge is likely to cause damage or a marked reduction in width. This work should be carried out infrequently, normally not more than once in three years. Siding of kerbed roads should be carried out only when the encroachment of vegetation obscures the kerb. It is anticipated that, in most cases, this will be achieved by weed spraying. On unkerbed roads, siding should be carried out in advance of surface dressing, where necessary. 10.8.13 The growth of weeds in footways and cycleways, hardened verges, central reserves and along kerb lines, may cause structural damage, and the general perception of such growth is that it is untidy. Indeed in some circumstances weeds have been considered to have implications for pedestrian safety. Weed growth is also a source of significant community interest and service requests. Weed treatment should therefore be undertaken according to traffic and pedestrian usage and to a standard that takes account of local concerns. The use of weedkillers should be the minimum compatible with the required results. It will be important to coordinate arrangements for weed spraying with street cleansing arrangements, which may be the responsibility of other authorities and it may be possible to facilitate cooperative arrangements. Materials to be used for weed spraying can have serious environmental implications, and specialist advice should be taken on these and the frequency of application in the light of developing standards. Noxious weeds should be dealt with on an ad hoc basis and further details are provided in Section 15 of this Code. All weed spraying should be carried out in accordance with the Control of Pesticides Regulations 1986. Only approved pesticides may be used, these are chemicals listed in the Blue Book entitled Pesticides Approved Under the Control of Pesticides Regulation 1986. Staffordshire County Council suggests the following:
10.8.14
10.8.15
10.8.16
y All weed spraying operations will be carried out taking into account the
Health and Safety Commissions Approved Code of Practice; The safe use of pesticides for nonagricultural purposes
y For highway surface weed killing operations, a translocated nonresidual

contact herbicide should be used. Currently the only weed killer available for use on the paved highway, which conforms with the H&S Commissions Code of Practice and with the Environment Agencys requirements is Glyphosate
y For the sterilisation of surfaces prior to construction work, an approved

granular residual herbicide which contains 6.75% Dicholobenil as the active ingredient shall be spread at a rate of 175 kg per ha, or as directed
by the manufacturer. The use of chemicals such as Dicholobenil is approved by the Environment Agency because, provided that they are used in accordance with the manufacturers instructions, any subsequent runoff will not be detrimental to watercourses
y The frequencies for the application of weedkiller are specified in guidance

and the presumption is that the rate of spread of the pesticide in question will be compatible with this frequency in achieving effective weed control
y Glyphosate has no residual qualities and will only affect plants where
there is direct contact. This results in an increase in the number of applications necessary to obtain effective control. Glyphosate is only effective on actively growing plants, which restricts the time period over which the control can be achieved. New weed growth occurs in spring and autumn, so for effective weed control, there needs to be at least two applications with the possibility of a third application in midSummer. 10.8.17 The Noxious Weeds Act 1959 places a responsibility on the authorities to take action to inhibit the growth and spread of injurious weeds growing within the highway. Further advice on this is contained within Section 15 of this Code. Trees are important for amenity and nature conservation reasons and should be preserved, but they can become a serious hazard to highway users and adjoining landowners if they are allowed to become unstable. Authorities should ensure that safety risks relating to highway trees are managed effectively. In the case of trees owned by the authority any necessary corrective measures should be taken as soon as reasonably possible. In the case of privately owned trees, the owner and occupier should be warned of any danger and given notice to take the necessary action. Section 154 of the Highways Act 1980, and equivalents applying within devolved administrations, empower authorities to deal with hedges, trees and shrubs growing on adjacent land and which overhang the highway and to recharge the reasonable costs of this.
10.8.18
Courtesy IHT.
10.8.19
Where there are special requirements in visibility areas or across central reserves, cutting should be undertaken when required. Owners of private hedges should be requested to adopt similar standards. Significant pruning or felling of trees, even for safety reasons, can be the subject of significant local concern and should only be done with specialist advice and support. The following procedure adopted by Cambridgeshire County Council illustrates these concerns:
10.8.20
y When a request is received by Divisions to fell a tree located on the

highway, arboricultural advice should be taken. If the advice given is that the tree should be felled, (due to disease, unsuitability of location etc) the adjacent property owner, the Parish council and the local Member will be informed prior to the work being carried out. If the recommendation is that only trimming or no work is required the person making the initial request will be informed, giving the arboriculturalists reasons. Any tree
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within a Tree Preservation Order can only be felled or trimmed with the permission of the Arboricultural Officer from the District or City Council. If the tree is within a conservation area, planning permission will be required to fell the tree. 10.8.21 In rural areas work on highway trees will be mainly reactive and limited, other than for safety reasons. Some routine maintenance will be necessary from time to time to maintain the condition of the tree. This should be a matter for local consideration having regard to user and community views. In urban areas trees have a significant impact on the local environment, but can cause damage to highways and property if not properly managed. A proactive management programme including regular inspections by qualified arboricultural officers, thinning, and crown reduction can mitigate the negative impact of trees whilst retaining their environmental benefits. Trimming of hedges should be infrequent, provided that visibility sight lines and road signs are not obscured, in accordance with specialist advice, and will often be the responsibility of adjoining landowners. Any action taken must be in accordance with the requirements of the EC Nesting Birds Directive, and the Wildlife and Countryside Act 1981, which includes protection for birds and their nests, and other relevant legislation. Significant nature conservation benefits will result from this practice. Any trimming should, as far as possible, be done in late winter, to avoid the birdnesting season and to allow birds and mammals the maximum opportunity to take advantage of any fruits or seed present. The requirements for tree maintenance can be greatly reduced by the careful selection of trees when planning planting or replacement operations. Pruning after planting should only be necessary where it is required to enhance or guide the shape of the tree. Trees which require pollarding should be avoided as it is costly, time consuming and unattractive. Expert advice should always be sought in the management of any tree within the highway environment, whether on highway land or not.
10.8.22
10.8.23
10.8.24
10.8.25
10.9 Condition of Fences and Barriers

10.9.1 The condition of Fences and Barriers can contribute to the key objectives as follows: Safety Serviceability Sustainability 10.9.2 Integrity and location of safety fencing for vehicles and pedestrians Risk of livestock disrupting traffic Appearance and condition of fencing
The requirement for vehicle safety fences is to maintain them in a sufficiently sound structural condition to serve their function and not be dangerous to road users or pedestrians. Damaged sections of safety fences should be treated as Category 1 defects and made safe within 24 hours unless damage is clearly superficial with no loss of integrity of the fence or barrier. Inspection and testing of safety fences with respect to mounting height and integrity should be undertaken no less frequently than five years. Sections of safety fence that are found to be mounted at heights outside the limits specified or for which structural integrity is not in doubt, should be treated as Category 2 defects.
10.9.3
10.9.4
Tensioning bolts of steel tensioned safety fences should be checked and reset to correct torque every two years preferably in conjunction with service inspection. Pedestrian guard rails are used primarily in urban areas at busy road junctions and sections of roads both to users and to encourage use of pedestrian crossings rather than other potentially unsuitable locations. Damaged sections should be treated as Category 1 defects and made safe within 24 hours unless damage is clearly superficial with no loss of integrity of the fence or barrier. All fences and barriers, whether for safety purposes or general use are potentially important features and their overall appearance is an environmental consideration. They should be cleaned and painted when necessary and, where safety fencing is provided with chevron markings, these should be dealt with in accordance with the cleaning regime for traffic signs.
10.9.5
10.9.6
10.10 Condition of Traffic Signs and Bollards

10.10.1 The condition of signs and bollards can contribute to the key objectives as follows: Safety Identification of risk to users Separation of potential traffic conflicts Contributes to ease of use Contributes to network integrity Support of sustainable transport modes Contribution to local economy Heavy traffic routing can optimise maintenance
Serviceability
Sustainability
10.10.2
Traffic signs and bollards represent a highly visible component of the highway network, highly valued by users. At best they can significantly effect both network efficiency and the convenience of users. At worst they can be intrusive, confusing and capable of detracting even more significantly from the local environment if in poor condition. The primary objective is to keep all traffic signs legible, visible and effective as far as possible at all times in relation to the road use and traffic speeds. The following defects in signs and bollards should be treated as Category 1 defects. The speed of permanent repair will depend on the degree of danger but important warning and regulatory signs should be replaced as a matter of urgency.
10.10.3
y matters affecting the legality of important

warning and regulatory signs
y damage, deterioration, or vandalism to signs

and bollards leaving either the sign or situation to which it applies in a dangerous condition
y Missing traffic cylinders across gaps in central

reserve fence at emergency crossing points
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10.10.4
The following standards are suggested for the condition of illuminated and nonilluminated signs and bollards:
y Cleaning when required y Brackets bolts and fittings should be tightened and adjusted at the time of
service inspection
y Painting of supports and frames when required but not exceeding 10 years
interval 10.10.5 The following additional standards are suggested for the condition of illuminated signs and bollards:
y Annual cleaning as part of service inspections y Optical inspection and cleaning together with the inspection of sign
supports every two years
y Lamp changing at regular intervals to coincide with service inspections

and cleaning 10.10.6 Many authorities have found it necessary to clean bollards and signs in heavily trafficked areas much more frequently than annually. Some have adopted standards of twice a year for signs and up to six times a year for bollards at particularly vulnerable sites. In some areas the presence of graffiti presents a significant problem and may require even more frequent attention if the problem is to be eventually eradicated. Many authorities have provided block work chevrons at roundabouts for road safety or traffic calming purposes. In order to maintain their effectiveness they will need to be inspected annually and treated routinely for weed growth. Blocks may need to be cleaned at intervals to maintain a uniform appearance. Traffic signs are probably the most important potential contributor to the maintenance of network integrity and obtaining Best Value from the network. At intervals of three to five years the overall signing regime should be reviewed, possibly in conjunction with Best Value reviews, to ensure that integrity is maintained and that unnecessary clutter is removed. Although in many circumstances illuminated signs are essential, the use of highreflectivity, nonilluminated, signs can bring benefits in terms of sustainability. This should be a consideration both for new signs and on replacement and should also be considered during the three to five year network integrity inspections.
10.10.7
10.10.8
10.10.9
10.11 Condition of Road Markings and Studs

10.11.1 The condition of road markings and studs can contribute to the key objectives as follows: Safety Route delineation in darkness and bad weather. Potential for damage and injury if loose Traffic control Ease of use in darkness and bad weather
Serviceability
Sustainability
Support of sustainable transport modes Edge delineation to reduce edge damage Movement of wheel tracking to reduce localised damage
10.11.2.
Many road markings are used to give effect to regulatory provisions and it is important that their legal status is not affected by undue wear or damage. A high proportion of road markings are essential for road safety or fundamental to the implementation of integrated transport policy, for example traffic calming schemes, bus priority measures and the delineation of cycle routes. If such markings are not kept in good order, the measures may lose effectiveness and the success of transport integration compromised. White line markings on Strategic and Main Distributor roads and sites of high safety risk or with relevant accident record should be renewed when they are no longer adequate for their intended purpose. This is generally accepted to be when more than approximately 30% of their area becomes worn away. Standards for other routes should be based on assessment of the relative risks. All mandatory road markings existing before resurfacing or surface dressing should either be masked during treatment or replaced as soon as reasonably practicable after the completion of work. If it is not possible to restore immediately in permanent materials, temporary markings should be used at sites where their absence is likely to give rise to dangerous conditions. Stop and Give Way marks should ideally be replaced permanently within seven days, other mandatory lines within 14 days and other markings and road studs within 28 days of completion of work. During resurfacing No Road Markings boards should be displayed until all markings have been replaced. Road studs that are either missing, or have become defective, should be replaced individually or by a bulk change depending on the individual highway circumstances. The aim should be for a minimum 90% of the studs to be reflective prior to the winter period. Displaced road studs lying on the carriageway, hardshoulders or laybys and loose studs if considered to be a hazard should be removed immediately if reasonably practicable.
10.11.3
10.11.4
10.11.5
10.11.6
10.12 Condition of Traffic Signals, Pedestrian and Cycle Crossings

10.12.1 The condition of traffic signals, pedestrian and cycle crossings can contribute to the key objectives as follows: Safety Separation of potential traffic conflicts Key safety contributor for vulnerable road users Contributes to ease of use and efficiency Contributes to network integrity
Serviceability
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Sustainability
Support of sustainable transport modes Support for local economy
10.12.2
Traffic signals, pedestrian and cycle crossings are the key points of interaction between vehicles and the most vulnerable road users, and also key to the maintenance of network integrity. It is therefore crucial to the cause of transport integration that they are maintained to a high standard. Signal control also can add significantly to the efficiency of the network. In most cases an automatic fault monitoring regime incorporated into the system will facilitate an effective maintenance programme. The primary objective is to keep traffic signals, pedestrian and cycle crossings legible, visible and effective as far as possible at all times in relation to the road use and traffic speeds. The following condition standards are suggested for signalled controlled facilities
10.12.3
y Defects in operation should be treated as Category 1 y For urgent faults emergency action should be taken within specified times.
Damage repair within 24 Hours. Less urgent faults to be repaired within one week
y Warning signs should be erected if signals are likely to be off in excess of

one hour
y At certain critical junctions, temporary traffic management measures

should be installed if signals are likely to be off in excess of one day
y Failed lamps should be replaced within 2.5 days y Signal lenses, regulatory signs and VMS signs should be cleaned once per
year
y Flashing zebra crossing beacons should be replaced within 24 hrs y School crossing patrol flashing lights should be repaired within 24 hrs
during term times 10.12.4 Lamp changing regimes may vary at the discretion of the authority according to local circumstances. Arrangements in Cambridgeshire, for example, are as follows:
y In Cambridge City, traffic signal lamps are repaired as they fail. In the rest
of the County it is more economical to bulk change all signal aspect lamps at four monthly intervals. Push button lamps are changed at eight months. On the four monthly visit the operation of all signal lamps, wait lamps, pedestrian push buttons and audible units are checked. The alignment and visibility of signal heads is also checked. Additionally the general condition, accessibility and electrical safety of the equipment is checked annually on all installations
y In the County the response time for replacing faulty red lamps is within
one hour and for other lamps by the end of the next working day. Installations which are all out will be repaired within 24 hours except for electric cable faults
10.13 Condition of Street Lighting

10.13.1 The condition of Street Lighting can contribute to the key objectives as follows: Safety Increase night visibility for all users Contribution to crime prevention and reduced fear of crime Column deterioration can compromise safety Reduce nighttime accidents Ease of use at night for all users Energy consumption is a sustainability issue Column deterioration may have long term financial implications Help to regenerate and attract commerce
Serviceability Sustainability
10.13.2
Suggested standards for condition of street lighting are given in the Code of Good Practice for Road Lighting Maintenance, together with other detailed operational information. It is also important that authorities adopt a strategy for the management of the safety of street lighting columns. This will need to include risk management procedures for prioritising the inspection and testing of lighting columns and the application of nondestructive testing programmes to determine the structural integrity of the columns. Detailed advice is given in Technical Report No 22 (Second Edition, Institution of Lighting Engineers 2001) based on research undertaken by TRL for the Highways Agency, CSS and the Institution of Lighting Engineers.
10.13.3
10.14 Standards for Regulatory Functions

10.14.1 Regulatory functions can contribute to the key objectives as follows:Safety Serviceability Sustainability Risk to users and adjoining property Minimising and signing of obstruction Inconvenience to disabled people Heavy vehicle parking causes structural damage
10.14.2
Standards to be applied by authorities in respect of regulatory functions will need to be influenced primarily by the nature of the legal power or duty. In many cases however these will allow some discretion by the authority.
10.15 Standards for User and Community Response

10.15.1 Standards of User and Community Response do not contribute directly to the key objectives of safety, serviceability and sustainability in the same way as other activities. They can, however make a significant indirect contribution both to safety and serviceability by ensuring that service requests and complaints are dealt with promptly and converted into actions for which direct standards will apply. Prompt provision of information will also enable users to obtain better serviceability from the network.
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10.15.2
Standards for user and community response are incorporated into general BVPIs for the Corporate Health of the Authority. They will also be relevant for KPIs relating to the management of contracts for service delivery.
10.16 Coordination of Standards

10.16.1 In setting standards for all aspects of highway maintenance services, authorities should have regard to the standards of adjoining authorities and those applying to the strategic network. It will be important to deliver consistency wherever practicable, whilst maintaining reasonable local diversity.
Recommendations
R10.1 Definition of Standards or Warning Levels
Authorities should prescribe standards for the management of the highway maintenance service, defining the nature and extent of works to be undertaken in particular circumstances of maintenance need, and the level of urgency that will be assigned to the response. Such standards should relate to safety, serviceability and sustainability objectives.
R10.2
Consistent and Benchmarked Standards

Authorities have discretion to define and review their own standards in the light of local circumstances, but should benchmark these against those identified by this Code for the purpose of Best Value comparison, and apply them consistently.
R10.3
Application of UKPMS System Intervention Levels

The standard System Intervention Levels for application of structural maintenance treatments prescribed within the currently approved set of UKPMS Rules and Parameters and other DETR advice should be used for consistent calculation of Condition Indices, BVPIs, and structural maintenance backlog. Authorities may vary these at their discretion to consider other options for technical prioritisation. Any variations from the current version of UKPMS Rules and Parameters utilised by the authority should be recorded for LTP monitoring purposes.
R10.4
Standards for Regulatory Functions and Utilities Management

Authorities should establish standards and response arrangements for the regulatory elements of the highway maintenance service. Particular emphasis should be given to the management of utilities in accordance with the relevant guidance Codes of Practice in order to minimise disruption to users and the community.
R10.5
Standards for User and Community Response

In addition to operational standards, authorities should establish standards and response arrangements for the user and community response aspects of the highway maintenance service.
SECTION 1 1 : PERFORMANCE INDICATORS C O M P A R I S O N, A N D T A R G E T S

11.1 Relevance of Performance Indicators and Targets
11.1.1 Performance management is a fundamental component of Best Value in that there is a requirement for authorities to secure continuous improvement in the way they exercise their functions, having regard to a combination of economy, efficiency and effectiveness. In its Code of Audit Practice the Audit Commission defines these terms as:
11.1.2
y Economy acquiring human and material resources of the appropriate

quality and quantity at the lowest cost
y Efficiency producing the maximum output for any given set of resource
inputs or using the minimum inputs for the required quantity and quality of service provided
y Effectiveness having the organisation meet the citizens requirements

and having a programme or activity achieve its established goals or intended aims. 11.1.3 In order to demonstrate continuous improvement, performance has to be continually measured and this is undertaken through performance indicators, standards and targets, and which can be defined as follows:
y Performance Indicator the measure of performance in exercising a

function
y Performance Standard the minimum acceptable level of performance in

the exercise of a function and measured by reference to a performance indicator for that function. Failure to meet this standard will be deemed as failing the test of Best Value for that function
y Performance Target the level of performance in the exercise of a function

that is expected to be achieved over a minimum period of a year and measured by reference to a performance indicator for that function. 11.1.4 Performance can be measured in a number of ways, but in respect of Best Value these can best be summarised in four basic methods:
y Input the resources (human, material or financial) utilised in delivering

the function or service
y Process the methodology and procedure of committing the resources in

the pursuit of fulfilling the function
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y Output the resultant effect (often numerical) of completing the process

with the resource input
y Outcome the ultimate impact on the community and the best way of
measuring performance 11.1.5 In order to consider these issues in greater detail, it is necessary to be aware of the background of performance indicators and of how standards and targets can be compared with other organisations through benchmarking.
11.2 The Family of Performance Indicators

11.2.1 As defined by DETR and the Audit Commission there are effectively four levels of performance indicator, otherwise known as the family of performance indicators, which are applicable to all Best Value authorities. These comprise:
y corporate health indicators set by Government which give a view of the

organisational, financial, managerial and democratic integrity of an authority
y nationally set Best Value service delivery indicators also set by

Government which give a rounded view of service delivery covering strategic objectives, service delivery outcomes, cost/efficiency, quality and fair access
y other indicators set by government departments to cover areas missed by

the previous indicators
y locally set indicators to be developed by individual authorities to reflect

local priorities and provide key management information.
11.3 National Performance Indicators

11.3.1 All nationally defined performance indicators, previously set by both DETR and the Audit Commission are, from 2001/02, to be wholly determined by DETR with the Audit Commission playing more of a developmental role and concentrating on quality of life and cross cutting issues. For 2001/02 the Government has specified for England and Wales a total of 166 national indicators (BVPIs) which is a reduction of 58 from 2000/01. For highway maintenance, there are eight relevant indicators in the Environment category of service delivery indicators. For the financial year 2001/02, indicators particularly relevant to highway maintenance to be collected and measured by all relevant authorities are summarised below, and will be updated in future amendments to Appendix F of this Code, as necessary.
11.3.2
BVPI 93
cost of highway maintenance per 100 km travelled by a vehicle on principal roads average cost of a working streetlight condition of principal roads condition of nonprincipal classified roads road safety number of days of temporary traffic controls or road closure on traffic sensitive roads caused by local authority road works per km of traffic sensitive road damage to roads and pavements the percentage of pedestrian crossings with facilities for disabled people
BVPI 95 BVPI 96 BVPI 97 BVPI 99 BVPI 100
BVPI 105 BVPI 165
Targets for each of these indicators are to be determined by individual authorities.
11.4 Principles for Local Performance Indicators

11.4.1 In addition to the nationally set indicators, authorities are encouraged to develop and use local performance indicators (LPIs), It is assumed that, in all likelihood, LPIs will outnumber the national indicators and will be an important measure of local performance and responsiveness of an authority in meeting local needs. There is also a presumption that targets for improvement should be set and monitored for all LPIs. In order to be considered an appropriate indicator that would also satisfy audit requirements, it is suggested that a good LPI should include consideration of the following criteria:
11.4.2
y y y y y y y y y y y
11.4.3
designed as far as possible on outcomes practical, concise and easy to interpret capable of precise definition readily measurable relatively inexpensive to collect in terms of supporting data readily understood, meaningful, and of interest to the public relate to an authoritys corporate or service objectives performance should be entirely within the authoritys control clearly indicative of good or bad performance balance of cost against quality should be measurable where possible, comparison of public and private sectors identifiable.
Although practical considerations may change the focus and incorporate different criteria that may not be entirely appropriate, it is possible that authorities may, at some stage, have to justify to the Best Value Inspectorate why such indicators are indeed appropriate.
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11.4.4
Looking at the practical implications in more detail, the following dimensions have been adopted by Government in developing the national indicators and every BVPI can be categorised within one of these five dimensions:
y cost and efficiency of service provision

to show that the service is being provided at a price comparable to what other authorities are achieving
y effectiveness of service delivery and

management to show that effective systems are in place to deliver the service
y quality of service (including user satisfaction) to show that the quality of

service delivered is commensurate with the price that is paid
y fair access to service (in terms of ease and equality of access) to show that
stakeholders have easy access to the services they need regardless of gender, race etc
y strategic objectives to show that the services provided meet the needs
11.4.5 As these dimensions cover all requirements of an indicator, they should be given appropriate consideration in the development of the LPIs. It should further be noted that the emphasis on LPIs should be on their importance and relevance to the user. Moreover, it will be necessary to consult local taxpayers, service users, partners and the wider business community in setting new performance targets as part of Best Value reviews.
11.5 Benchmarking
11.5.1 Although there is no absolute definition for benchmarking, it is a key measure for enabling comparisons and improving performance, both absolutely and relative to others. It is a systematic approach to business improvement and provides a structure to search for better practice in other organisations that can then be integrated into an authoritys own service delivery. Benchmarking is a stimulus to continuous improvement, involving the public sector, the private sector and voluntary bodies and provides the means for achieving the Compare element of the 4Cs of Best Value reviews. There are four types of benchmark, all of which need to be addressed in terms of achieving Best Value. These are:
11.5.2
11.5.3
y data benchmarking which involves the use of inputs and/or outputs for
comparing performance, very often cost or measurement related
y process benchmarking, which is a means of comparing and measuring

processes, sequences or activities involved in service delivery with those of other organisations to identify how existing methods can be improved
y functional benchmarking, which is an extension of process benchmarking

to compare the performance and structure of an entire service area or function within an organisation
y strategic (or high level) benchmarking, which is a means of identifying

how well products, services and practices meet the needs of the customers by comparing performance of the implementation of strategic or policy objectives across organisations. 11.5.4 The basic essential elements that an authority should undertake in order to promote effective benchmarking are:
y y y y y y y y y
11.5.5
identify the processes to be benchmarked obtain, record and review all relevant data and information identify and define the objectives identify and choose partners agree agenda, programme and protocols exchange information identify performance gaps and best practice implement the changes set up procedures for continuous review
In order to satisfy the requirements for fundamental performance reviews in respect of comparing performance, authorities will have to demonstrate that any benchmarking process adopted has been carried out in a logical and realistic way in respect of:
y y y y y y
11.5.6
the approach adopted those involved in the process the partners involved how the findings are addressed the targets that are set for improvement how targets are monitored over time
Accordingly, suitable comparators need to be identified as possible benchmarking network partners from:
y y y y y
11.5.7
within the organisation other authorities other public sector organisations other organisations (competitors) other organisations (best in class).
Due consideration should also be given to the size of the proposed benchmarking network. It should be sufficiently large, to enable realistic statistical comparisons to be produced, but as compact as possible to minimise any difficulties in agreeing all the benchmarking criteria. Ideally this should be within the region of five to eight.
11.6 The Importance of Targets

11.6.1 Targets should be set for each indicator for a minimum period of one year, with an optimum period of five years, as all services have to be reviewed every five years. Moreover, in regard to national indicators, Government targets for some, such as those reflecting costefficiency and quality, are being set such that authorities will have to reach, within a period of five years, the performance level of the top 25% of authorities at the time the targets were set. Where this top quartile approach is not appropriate, government will determine a specific level of performance that authorities will be asked to work towards within a given time frame.
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11.6.2
In order to achieve conformity between local and national targets, the five year target is clearly the desirable option. All targets will be set by authorities and should be challenging yet realistic. Historically, targets have tended to be numerical, concentrating on economy and efficiency, as they are more readily measurable than those concerning outcomes or subjective issues with no outputs. Clearly, Best Value indicators need to encompass all types in order to reflect the full scope of the services. Notwithstanding that indicators with numerical targets can determine good or poor performance, it is not easy to analyse the reasons which define the level of performance. The answer to solving such questions lies in process benchmarking, whereby the actions that determine the level of performance, such as processes, procedures and systems, can be identified and compared. Also, performance and targets in respect of subjective matters can best be measured through either process benchmarking, functional benchmarking or strategic benchmarking whichever is the most appropriate for the indicator under consideration. It is essential, therefore, that performance levels and targets necessary to deliver continuous improvement, are determined through a proper benchmarking process. Public Service Agreements, where authorities contract with Government to achieve more challenging targets than those identified for general application, are of relatively recent introduction. They provide an additional stimulus for continuous improvement with the incentive of agreed additional funding if the higher targets are achieved.
11.6.3
11.6.4
11.6.5
11.6.6
11.7 Local Performance Indicators for Highway Maintenance

11.7.1 It is not the intention of this Code to be prescriptive in setting performance indicators, standards or targets for all aspects of highway maintenance as it is clearly the responsibility of each authority to define its own performance management regime. However some degree of uniformity is clearly desirable in assisting the process of comparison. This Code has taken into account ideas being developed throughout the UK by numerous benchmarking networks and the LTP submissions, and has attempted to distil this information into meaningful indicators upon which authorities can begin to develop their own indicators. In addition, LPIs should be set within the context of national transport policy, in England Transport 2010 The Ten Year Plan published by DETR in July 2000. In the Devolved Administrations the context will be set by the respective transport policy framework outlined in Section 5 of this Code. The Ten Year Plan in England includes indicators and targets relating to local road maintenance to arrest the deterioration in the condition of local roads by 2004 and to eliminate the backlog by 2010. The Government has also set an environmental challenge of reducing noise levels for many people through, for example, more widespread use of low noise road surfaces. It is clear that the practice of formulating LPIs is still developing and it is likely that there will be a need for change as and when circumstances are appropriate. Accordingly, initial suggestions for local indicators are included as Appendix F of this Code, so that any future updating can be achieved without revisions to the Code itself.
11.7.2
11.7.3
11.7.4
11.7.5
The Audit Commission has been consulted on the suggested LPIs in this Code and is of the view that such indicators would assist in a realistic assessment of Best Value. Such indicators should consequently satisfy Best Value inspectors as being appropriate locally set indicators for Best Value. In order to formulate suggested indicators, the key performance indicators for the construction industry promoted by DETR in 1999 have been used as the underlying basis. Considerable experience in developing local indicators in construction related services has been subsequently acquired particularly in partnership with CIPFA and highway maintenance is just a further stage in the process In formulating draft indicators for highway maintenance, consideration has been given to its constituent activities and these can be summarised as:
11.7.6
11.7.7
y y y y y y
11.7.8
overall highway maintenance service reactive maintenance routine maintenance programmed maintenance winter service street lighting maintenance
Within these activities, it is suggested that appropriate indicators could be linked either to finance, operational standards, or users views of the service. Although street lighting is not dealt with in detail in this Code and is the subject of a companion document, practitioners are of the view that it would be helpful for suggested performance indicators to be incorporated within this Code. Indicators developed from the above process can then be identified with the core objectives of the maintenance management regime adopted by this Code and correspondingly listed under the headings of:
11.7.9
y network safety
complying with statutory obligations meeting users needs
y network serviceability
ensuring availability achieving integrity maintaining reliability enhancing quality
y network sustainability
minimising costs over time maximising value to the community maximising environmental contribution
11.7.10
The range and variety of indicators should represent a well rounded snapshot for assessing Best Value in highway maintenance. The indicators listed in Appendix F should be considered as guideline indicators for the highway maintenance service and any other local indicators approved by an authority should be capable of being defined and assessed in a similar manner.
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11.8 Benchmarking Networks and Registers

11.8.1 The participation of an authority in a benchmarking network (or club), which is both suitable and appropriate for its needs, is an essential component in enabling performance to be properly measured and compared. It will also assist in promoting targets that stretch the organisation, but are both achievable and meaningful, and can demonstrate continuous improvement. The selection of the benchmarking network is fundamental, and key factors in identifying and choosing partners include:
11.8.2
y y y y y y
11.8.3
similarity in service common geographical or socioeconomic areas common aims private sector involvement trust commitment
The network should operate under agreed agendas, programmes and protocols, within which the following elements should be incorporated:
y y y y y y y y
11.8.4
define and agree objectives determine contributions from each partner agree timescales, resources and funding develop project management system to oversee the programme agree roles, responsibilities and accountabilities identify training needs for the benchmarking team agree communication arrangements identify how outcomes are to be tested or proven
It is essential, that the process is focussed on cooperation and looking to achieve best practice rather than being competitive and seeking to justify poor or mediocre performance. There should be a lead authority for each aspect of the service under consideration and differences or variations in performance or process should be explored. Performance gaps and best practice can be considered under the following headings:
11.8.5
y y y y
11.8.6
determine or attribute reasons for variations in process identify improvements required analyse gap between current and desired performance level determine the requirement to bridge the gap together with a cost/benefit analysis
The changes identified should then be considered for adoption by each individual authority. If approved, an implementation plan should be established, any additional requirement for resources or skills acquired and the changes subsequently implemented. A continuous review process should also be implemented in which:
y each authority monitors performance and feeds back results y consideration is given to the benefits of designing a model that is common y any additional performance indicators are agreed for common future y the programme is monitored and reviewed to consider future working
arrangements comparison for all authorities
11.8.7
Benchmarking networks will, within the limitations of the size of the group, enable each authority to:
y identify its critical processes y establish performance in each area and discover what will make the y map its own critical processes to form a clear understanding of what it y compare its processes with others and identify best practice y incorporate good practice, adapting it as necessary
11.8.8 These networks are an essential element in achieving good practice through improvements in performance arising out of techniques such as mapping or value stream analysis etc. However, even if similar indicators are adopted in more than one network, process mapping is likely to be different in each network and continuous improvement may not be directly comparable between networks. In order to effect an overall well rounded comparison at national level, a national benchmarking register which would complement the individual benchmarking networks is recommended. Such a scheme is already in existence for property and construction services under the auspices of the National Best Value Benchmarking Scheme which has direct links to and input from CIPFA. The scheme has now been extended to cover highways in conjunction with CSS. In terms of accreditation both internal auditors and the Audit Commission are of the view that the scheme provides the level of information that they would expect to see. The scheme is also recognised by both the Best Value Inspectorate and DETR. The system is based on the Professional Services module, which covers the financial and general aspects of any professional discipline. To this, benchmarks particular to the service are added and in this case the local highway maintenance performance indicators contained in the Appendix would be incorporated into the module. The system is a service run by Professional Societies on a non profit making basis with any surpluses being ploughed back into the development of the scheme. Authorities wishing to join the scheme would have to pay an annual subscription. The output for each subscriber is a restatement of the financial data plus a series of histograms, comparing performance with others in the scheme. The subscribers data can also be set out in a series of linked profiles. (For details, contact 01438 718954.) Other benefits of the scheme are regular publications and workshops. An interactive web site and Benchmarking online are shortly to be introduced. The success of the scheme as a basis for national comparisons will be dependent upon the level of subscribers and it is suggested that authorities should give consideration to participating. does greatest difference
11.8.9
11.8.10
11.8.11
11.8.12
11.9 Evolution of Performance Indicators and Targets

11.9.1 The application and use of consistent performance indicators for highway maintenance has historically been difficult, owing to differences between authorities in network and traffic characteristics and other factors. Extensive activity is taking place in benchmarking networks and in the development of new procurement arrangements to establish more effective ways of measuring outcomes, and this is likely to continue.
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11.9.2
Ongoing research on footway and cycleway maintenance is attempting to establish performance indicators for the overall condition of these and similar efforts are being made in respect of Bridges and Structures. Future additions and modifications to BVPIs will be published as updated Appendices to this Code.
Recommendations
R11.1 Development of Performance Based Service
Authorities should establish a framework of Performance Indicators and Outcome Targets against which to measure the performance of the highway maintenance service and support the pursuit of continuous improvement. A period of 5 years for targets will usually be appropriate.
R11.2
Best Value Performance Indicators

Authorities should establish systems to provide information for current national BVPIs relating to highway maintenance and others subsequently developed.
R11.3
Indicators for Integrated Transport and Wider Policy

The Highway Management Plan or Asset Management Plan should identify the contribution of highway maintenance to BVPIs relating both to transport and wider policy areas.
R11.4
Local Performance Indicators

The Highway Management Plan or Asset Management Plan should also identify regional or local performance indicators, based on outcomes, for performance management purposes, having regard to the summary of benchmarking information included in Appendix F.
R11.5
Use of CIPFA Code of Practice

The development of financial performance information for Benchmarking purposes should for consistency be based upon the categories and definitions contained in the CIPFA Code of Practice.
R11.6
Sharing Performance Information

Authorities should, where contractually possible, arrange to share performance information in the interests of the wider continuous improvement agenda through participation in benchmarking networks and similar arrangements.
SECTION 1 2 : PROGRAMMING PRIORITIES

12.1.1
AND
12.1 The Importance of Prioritising and Programming

Developing and implementing effective systems for programming and prioritising highway maintenance activity is a key requirement for the delivery of Best Value, but one that presents significant challenges. This assumes however that the level of funding relative to the overall maintenance requirement is sufficient to provide scope for effective choices to be made. Where there are very acute levels of deficiency and a low level of funding, authorities may only be able to undertake limited works beyond their statutory and safety obligations, so that detailed arrangements to support wider choices would be less relevant. This would be especially significant in cases where claims and/or awards against the authority for alleged failure to maintain are unusually high. In most cases however, following recent increases in capital funding for highway maintenance wider choices will be possible, and authorities should establish systems to enable these to be as informed and objective as possible. Systems will need to form part of a wider framework, in order to support decisions on the relative allocation of priorities at different levels:
12.1.2
y Strategic Level
a) b) Between Corporate Priorities and Objectives Between Areas of the Authority
y Transport Level
a) b) c) d) Between Local Transport Plan Objectives and Targets Between Best Value Performance Indicators and Targets Between Public Service Agreement Targets Between Maintenance, Network Management and other Local Transport Services
y Maintenance Level
a) b) c) d) 12.1.3 Between Key Network Objectives (Safety Serviceability Sustainability) Between Maintenance Service Type Between Maintenance Service Category Review against Transport and Strategic Level Priorities
The establishment of priorities will inevitably involve an iterative process, working down through the strategic, transport and maintenance levels, then reviewing the draft programme against the higher levels, and repeating the process until a satisfactory Best Value outcome is achieved.
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12.2 Balancing Strategic Priorities

12.2.1 These levels are not clear cut as, for example, the process for allocating resources between various parts of the authority area may operate at the strategic, transport or maintenance level, or in combination, according to local practice and democratic arrangements. There may be arrangements to devolve decisions on certain service priorities, including maintenance, to local council or neighbourhood level, or to otherwise empower local communities. It will be important that necessary guidance and support is provided in such cases if Best Value is to be secured. The pursuit of Best Value requires that all services, including highway maintenance, should be managed so as to optimise their contribution to the Corporate Objectives of the authority. This needs to be considered in three stages:
12.2.2
y Identify the nature and extent of interaction between the service each of y Where there are opportunities to add value these should be maximised y Where there are potential conflicts these should be resolved.
12.2.3 The process need not be a complex or time consuming one and can be improved over time in the light of experience. It will be important however that where potential conflicts between maintenance practice and programmes are identified that a process is put in place to resolve these either one way or the other. the Corporate Objectives
12.3 Balancing Transport Priorities

12.3.1 The framework for local transport priorities and programmes will largely be determined by the Local Transport Plan, which will have been prepared taking into account the wider Corporate and Strategic Priorities. It will also have taken into account the outcome of consultations with users and the community. It may need to be modified however as a result of new information arising since the approval of the Plan. In particular a number of the issues potentially affecting network management strategy may have altered, including changes in public transport routing, Statutory Undertakers Works, land use developments and also the nature and extent of highway deterioration. It will be important therefore to review the programme and priorities for network development and management together with highway maintenance to ensure an integrated approach.
12.3.2
12.4 Balancing Priorities by Type

12.4.1 The broad priorities for the respective types of highway maintenance will largely be determined by the outcome of safety and serviceability inspections, and structural condition surveys, assessed against local risks and policies specified by the authority in the light of this Code. In general it will be important to establish priorities and programmes for each of the following:
y Reactive maintenance attending to Category 1 defects and other urgent

safety matters arising from inspections or user information
y Routine maintenance providing defined standards of serviceability y Programmed maintenance providing coordinated sustainable schemes
and projects
y Regulation regulating occupation, interference or obstruction of the

network
y Winter Service providing defined standards of salting and clearance of

ice and snow
y Weather and other emergencies planning for emergency response

12.4.2 The determination of priorities and programmes for items within the categories of Regulation, Winter Service, and Weather and other Emergencies will tend not to require any special consideration and will largely arise our of the design of the services. For the other three categories it will be helpful to establish a structured approach as outlined in the following paragraphs.
12.5 Priorities for Reactive Maintenance

12.5.1 Reactive maintenance involves attending to the rectification of Category 1 defects and other matters requiring urgent attention, arising either from inspections or user requests in accordance with the specified standards of response. Although all such matters will by definition have a degree of urgency, some may have potentially even more serious consequences and priorities will usually be determined exclusively on the basis of risk assessment. The only other consideration is whether to:
12.5.2
y Sign and make safe y Provide initial temporary repair y Provide permanent repair.
The option selected, together with relevant follow up, will largely be determined by operational practicalities and also whether the site is already part of a programme for more comprehensive treatment, in which case a temporary repair may be an appropriate course of action. 12.5.3 Many authorities use systems of Highway Wardens or Care Teams for providing an integrated service of safety inspection, signing and temporary repair. In some cases these are also extended to provide Integrated Street Management services. Such teams will need clear guidance on their role, the application of priorities, and the use of record keeping consistent with the authority requirements.
12.6 Priorities for Routine Maintenance

12.6.1 Routine maintenance is primarily for the purpose of providing defined standards of network serviceability. Maximising availability, reliability, integrity and quality. The priorities and programmes will be determined largely, but not exclusively, from the outcome of Service Inspections together with items from Safety Inspections not requiring urgent attention and user requests.
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12.6.2
Priorities and programmes will need to be defined for all routine maintenance categories. Routine maintenance for each category may be undertaken separately according to the frequency defined in each case but it will usually be more efficient to combine a number of operations into a coordinated programme. It may also be convenient in central urban areas to consider coordination with other related street activities. Particularly in rural areas it will be helpful to prepare a regular programme of visits to local council areas for the purpose of undertaking the widest possible range of routine maintenance activity and to inform the local council and community in advance. Such arrangements may also be appropriate for neighbourhoods within urban areas.
12.6.3
12.7 Priorities for Programmed Maintenance

12.7.1 Programmed maintenance is undertaken primarily in the interests of providing for a sustainable outcome, seeking to minimise cost over time, to add community value to the network or to the environment. It can also, however, be for safety purposes, by, for example improving skidding resistance, or contribute to serviceability by, for example, improving ride quality. It will be necessary to develop priorities and programmes for the following categories:
12.7.2
y Carriageway structure surface edge y Footways structure surface edge y Cycleways structure surface edge
12.7.3 Programmed maintenance schemes may be more expensive in the short term, but less expensive in the long term than routine or reactive treatments. They need to be based on minimising whole life cost, the determination of priorities needs to be based more objectively and utilising accurate condition data.
12.7.4
This is particularly important in the case of carriageways, footways and cycleways, where the use of UKPMS can make a significant contribution. Arrangements for undertaking of CV1 and DVI surveys and the application of UKPMS are referred to in Sections 9 and 10 respectively of this Code. Further information on the UKPMS Rules and Parameters is provided in Appendix D.
12.7.5
The development of priorities for structural maintenance should be undertaken in four stages:
y The information obtained from CVI

or DVI condition surveys should be processed by a UKPMS accredited system utilising technical (and economic) prioritisation to establish preliminary priorities for individual treatment lengths based on the principal of minimising cost over time
y These preliminary treatment length priorities should then be reviewed

and adjusted where necessary to take account of more detailed technical information and local circumstances, and modified economic priorities defined
y These modified economic priorities should then be developed into

individual schemes based upon maximising added value to the wider transport and corporate objectives of the authority, and minimising disruption to users and the community, together with relevant technical considerations
y The developed structural maintenance schemes should be assembled into

efficient programmes of work, in coordination with other highway maintenance and improvement programmes and integrated transport schemes on related parts of the network, to maximise added value to the network and to minimise disruption to users, and the community. 12.7.6 Where major maintenance schemes, especially on the higher categories of the hierarchy require extensive traffic management authorities, overall network safety, serviceability and efficiency may be improved by rescheduling other routine maintenance works to take advantage of the traffic management window. This should be taken into account in planning and contract management processes.
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Recommendations
R12.1 Defining Priorities
Priorities for highway maintenance activity should be based upon the objectives and outcomes for each maintenance category defined in the Highway Management Plan and in accordance with the principles of Best Value and the legal obligations of the Authority. The process should be clear, transparent and consistently applied.
R12.2
Priorities for Programmed Maintenance

Preliminary priorities for highway structural maintenance should initially be established utilising the output of technical (and economic prioritisation) processing from a UKPMS accredited Pavement Management System, The preferred model will have the objective of minimising cost over time.
R12.3
Modification for Local Circumstances

Initial highway structural maintenance priorities, obtained automatically from data processing, should be reviewed and adjusted where necessary to take account of more detailed technical information and local circumstances, and modified economic priorities defined.
R12.4
Scheme Development
Modified economic priorities should be developed into individual schemes based upon maximising added value to the wider transport and corporate objectives of the authority, together with relevant technical considerations.
R12.5
Programme Assembly
The developed structural maintenance schemes should be assembled into programmes of work in coordination with other highway maintenance and improvement programmes and integrated transport schemes on related parts of the network to maximise added value to the network and to minimise disruption to users, and the community.
R12.6
Adding Community Value

All programmed highway maintenance activity should realise its potential to add community value at minimum cost, for example by the incorporation of dropped kerbs to assist disabled people, modification of unclear signing or road markings.
R12.7
Extent of Structural Maintenance Programme

Programmes for major highway structural maintenance should be drawn up over a rolling fiveyear period reviewed annually.
R12.8
Consultation on Maintenance Programme

Consultation should be undertaken with adjoining authorities, other agencies, public transport operators and the local community, preferably on the combined works programme for maintenance and improvement as part of the LTP process, but in any event on the maintenance programme.
SECTION 1 3 : WINTER SERVICE

13.1.1
13.1 Winter Service and Weather Emergencies

Although previously termed Winter Maintenance, the particular network management requirements during this period are not maintenance in the traditional sense but specialist operational services. The term Winter Service, used in Northern Ireland, provides a more apt description and has been adopted by this Code. Neither is the Winter Service an emergency service in the traditional sense in that low temperatures, ice and snow are regular and frequent occurrences, even given the affects of climatic change. In these circumstances the Winter Service can and should be subject to the same regime of planning and review as other aspects of the highway maintenance regime. Policies and operational plans developed for the Winter Service will, however, have relevance in emergency planning for dealing with other extreme weather conditions including flooding, high winds and high temperature, the incidences of which may be affected by climatic change. They will also have some relevance to the wide range of nonweather related emergencies that could affect the highway network. Although a very specialised area, the Winter Service is a significant aspect of network management both financially and in terms of its perceived importance to users. It can also have significant environmental effects and the organisation of the service will have considerable implications for the overall procurement and operational management of other highway maintenance services. This Section of the Code should therefore be read in conjunction with other sections dealing with these issues.
13.1.2
13.1.3
13.1.4
13.2 Purpose, Objectives and Statutory Basis

13.2.1 The Winter Service can contribute significantly to each of the highway maintenance objectives set out in Section 8, as follows: Safety
y Detailed statutory obligations and users needs vary in different parts of the
UK but safety is a prime consideration for the Winter Service Serviceability
y Maintaining availability and reliability of the highway network is a key

objective for the Winter Service and one where user judgements of performance will be immediate rather than longer term
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Sustainability
y Low temperatures and the formation of ice can cause serious damage to
the fabric of running surfaces and the Winter Service can therefore make an important contribution to whole life costs 13.2.3 Given the scale of financial and other resources involved in delivering the Winter Service and the obvious difficulties in maintaining high levels of plant utilisation for specialist equipment it is not practically possible either to:
y provide the service on all parts of the Network y ensure running surfaces are kept free of ice or snow at all times, even on
the treated parts of the network 13.2.4 In these circumstance it is particularly important to:
y develop policies and operational plans, in consultation with users and

other stakeholders, based on principles of risk assessment, defining the extent of the service
y ensure that these are widely known and understood especially by users,
together with relevant advice on safe use of the network
y continually monitor performance during service delivery and respond

effectively to changing conditions or network incidents. 13.2.5 The statutory basis for Winter Service varies in different parts of the UK. In England and Wales recent legal judgement has concluded that there is no duty upon authorities to remove ice from highways under the general responsibility to maintain the highway in Section 41 of the Highways Act 1980. It is important to note however that this judgement does not remove liability in all circumstances, for example where ice has formed from water standing on the running surface resulting from defective or poorly maintained drainage. There is also in Section 150 of the Act a duty upon authorities to remove any obstruction of the highway resulting from accumulation of snow or from the falling down of banks on the side of the highway, or from any other cause. In Scotland statutory responsibilities are defined more clearly by Section 34 of the Roads (Scotland) Act 1984 which requires that a road authority shall take such steps as it considers reasonable to prevent snow and ice endangering the safe passage of pedestrians and vehicles over public roads. In Northern Ireland, the Roads (NI) Order 1993 SI 1993/3160 (NI 15) provides, in Article 10, a duty for the Department of Regional Development to remove snow, soil etc which has fallen on a road. Section 9 of the Order also enables the authority to take such action as it considers reasonable to prevent snow or ice interfering with the safe passage of persons and vehicles using the road. However paragraph 7 of Article 110 provides protection from liability and states that Nothing in this Article operates to confer on any person a right of action in tort against the Department for failing to carry out any duty imposed on it under the Article. Although in England and Wales the statutory basis for the service is less rigorous than in Scotland and Northern Ireland there are in all parts of the UK very considerable user needs and expectations on which authorities should focus in accordance with the key principle of Best Value.
13.2.6
13.2.7
13.2.8
13.3 Winter Service Policy

13.3.1 The Winter Service should be delivered in accordance with policies and priorities developed consistently and in conjunction with planning processes for other aspects of highway maintenance and network management referred to in other Sections of this Code. This framework of policy and priorities should be supplemented by a Winter Service Operational Plan, developed in consultation with key stakeholders and users, and reviewed annually to take account of changing circumstances. It is particularly important that both policies and operational planning for Winter Service are developed within the wider context of transport and other policy integration. In this context, issues for consideration should include:
13.3.2
13.3.3
y y y y y y y
13.3.4
treatment of facilities for walking and cycling treatment of facilities for public transport users treatment of transport interchanges treatment of promoted facilities extent of priority for emergency and other key facilities extent of priority for potentially vulnerable users other local circumstances
Consideration of these wider issues is a key issue both for Best Value and also for transport integration and it is important to ensure coherence between Best Value Performance Plan, Local Transport Plan and Winter Service policies and priorities. For example where LTPs have objectives and targets for encouraging modal shift towards walking, cycling and public transport use, it will be important to consider the extent of any contribution which ought to be made by the Winter Service. Such decisions will usually not be clear cut and, especially where existing use is low it may be difficult to justify high priority for service provision. Where the authority is actively promoting facilities however, or there are clear trends of increasing use, a more proactive approach to Winter Service may send an important message. As salt requires a degree of tracking in order to be effective it may be necessary to use brine in some cases where, for example, cycle use may be low but increasing. Providing for the needs of public transport users is also less clear cut following the deregulation of public transport, which has increased both the complexity of the public transport network and also the frequency of changes to it. In these circumstances the maintenance of close liaison, both with public transport operators and local authority coordinators, is essential, both at the annual review and on an ongoing basis throughout the season. This is particularly important as, although changes to public transport routes and frequencies will be made throughout the season, it will not usually be practical or desirable for consequent changes to be made to the treated network during the season, other than in exceptional circumstances. This may influence the nature and timing of changes to public transport routes. Similar considerations apply to school bus routes where, although authorities should endeavour to provide Winter Service support, there will be practical difficulties in providing comprehensive treatment of all parts of such a diverse network. It will be important to work with the education authority, schools and operators to achieve a Best Value outcome.
13.3.5
13.3.6
13.3.7
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13.3.8
Transport interchanges perform a key role in the delivery of integrated transport, which should be reflected in Winter Service policies and priorities. These include airports, rail and bus stations and the means of access to them whether by main routes for walking, cycling, public transport or car. Parts of the interchange may be subject to differing management regimes, and it will be important to agree common standards and ensure effective coordination of resources. The maintenance of safe and reliable access to emergency facilities, including Fire and Rescue, Police and Ambulance Services will, of course, be a key consideration of Winter Service policy and operational planning. There may also however be other local circumstances identified in the Emergency Plans of local authorities where the maintenance of access might be critical. There will also be a need to assign a degree of priority to the maintenance of safe and reliable access to main industrial and business centres of key importance to the local economy. Social Inclusion is a key objective for local authorities and there may be circumstances where Winter Service can contribute to this, for example by recognising the special needs of disabled people or older people particularly where these can be effectively targeted. Again such issues are unlikely to be clearcut and will require careful consideration in the light of local circumstances.
13.3.9
13.3.10
13.3.11
13.4 Winter Service Operational Plan

13.4.1 Winter Service policy will set the broad objectives, priorities and resource parameters and will tend to be reviewed relatively infrequently, probably in the context of Best Value reviews of Network Management. The Operational Plan however will be dynamic and interactive, responding to changing circumstances, and will need to be reviewed annually in consultation with a wide range of stakeholders. Suggested contents of the Winter Service Operational Plan are detailed in Appendix H. Both the Policy Statement and Operational Plan should recognise the fundamental differences between the three main components of Winter Service
13.4.2
y Pretreatment precautionary salting y Posttreatment salting following the formation of ice y Clearance of snow
13.5 Network Hierarchy and Route Planning

13.5.1 The Network Hierarchy for Winter Service should take as a starting point the hierarchy developed for other maintenance purposes, but this is likely to require extensive modification to accommodate:
y wider transport and other policy priorities referred to above y accessibility dependencies of remote communities especially, in Scotland, y known problems, including significant gradients, exposed areas and other
topological factors the island and peninsular communities
y climatic and thermal differences within the area y coordination and cooperation with other authorities y overall risk assessment including the need to maintain consistency
13.5.2 Consideration of these issues is likely to suggest some differences in networks adopted for each element of the Winter Service. Clearance of snow will inevitably take longer than salting operations, may need two way working and may need to give greater priority to the needs of more isolated communities. It is however important in the interests of safety and efficiency that drivers are familiar with treatment routes, particularly in severe weather conditions. This will be assisted by so far as practicable routes for post treatment and snow clearing being based on modules of the precautionary salting routes. Route Planning for each aspect of the Service will also need to take into account the need for economic, efficient and effective resource utilisation which will in turn depend upon:
13.5.3
y vehicle characteristics and capacity y depot and salt location y response and treatment times
13.5.4 The Response Time is the period between a decision being taken to begin treatment and vehicles leaving the depot. It is suggested that authorities should adopt a target response time of one hour. This should apply both within and outside normal working hours. The Treatment Time is the period between vehicles leaving the depot and the completion of treatment on all priority routes. Authorities should adopt target treatment times based on risk assessment of local circumstances that provide for the completion of pretreatment prior to ice forming. They should also recognise however that treatment times might vary in different weather conditions. Coordination and cooperation between authorities in hierarchy definition, route planning, response, and treatment times is of crucial importance. This should take place both between adjoining local authorities and with the authority responsible for the strategic network. The intention should be to negotiate effective service integration across administrative boundaries wherever possible. One means by which authorities can assist the local community in areas not on priority routes, or at known trouble spots, including gradients and sharp bends, is by the provision of salt bins. Where these are provided, authorities should make arrangements for their replenishment as necessary and to ensure that they do not become unsightly or used for the deposit of waste. Consideration should be given in certain circumstances for the erection of snow fencing to reduce the effect of drifting snow. The legal powers to provide snow fences in England and Wales are contained in Section 102 of the Highways Act 1980. Where no agreement can be reached with the landowner, Sections 239, 240 and 250 of the Act provide for compulsory powers. Similar powers are provided for in Scotland by the Roads (Scotland) Act 1984, Section 30. There is no equivalent of
13.5.5
13.5.6
13.5.7
13.5.8
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these specific powers in Northern Ireland but Article 100 of the Roads Order, which deals with the acquisition of land, could be used in these circumstances. 13.5.9 In periods of especially severe weather in certain parts of the UK temporary road closures may be necessary, and in Scotland such powers are provided by Section 33 of the Roads (Scotland) Act 1984. Where roads are known to be particularly vulnerable, consideration should be given to the installation of permanent flap down or variable message signs. These signs should be located well in advance of any anticipated obstruction and should be operated in conjunction with the Police. In determining the optimum location, consideration should be given to the availability of alternative routes and, if necessary, holding areas. With manually operated signs, and in more remote areas, it is essential that these signs are easily accessible and can be quickly operated by authority or police to give timely information, and consideration should be given to the merits of remotely controlled matrix signing.
13.6 Decisions and Management Information

13.6.1 Clear and efficient decision making processes supported by accurate weather prediction and information systems are the foundation for effective winter service delivery. Decision support systems will include some or all of the following, depending upon local circumstances, more details of which are given in the ICE Design and Practice Guide:
y y y y
13.6.2
Weather forecasts Thermal maps Ice detection monitoring stations Weather radar
Each of the above will use current information and trends in conjunction with relevant software to extrapolate and display predicted conditions over a range of periods. Weather climatic zones often have little corelation with authority boundaries and there will usually be merit in authorities seeking the provision of decision support services in local consortia having similar climatic conditions. These decision support services may also be useful to authorities in planning for weatherrelated emergencies involving flooding, high winds and excessive heat. They may also be of some assistance in the planning of weather sensitive maintenance operations such as surface dressing and road marking. The decision support information will be used together with local experience, and against the background of a range of predetermined scenarios, in deciding the action to be taken. The decision should usually be delegated to a single person, although in larger authorities with varying climatic conditions the role may be delegated to two or more persons. Controllers will of course need to maintain close consultation with others both within and adjoining the authority and also those dealing with the strategic network. A suggested decision making framework, which will need to be adapted for local circumstances, is included in Appendix H. The quality of decisions made by the Controller(s) will be the key factor in
13.6.3
13.6.4
13.6.5
13.6.7
13.6.8
determining both the effectiveness of the Winter Service and also how it is perceived by users and the community. In these circumstances a learning organisation culture, rather than a tendency to allocate blame is crucial to the delivery of Best Value.
13.7 Resources and Operational Issues

13.7.1 Since the production of the previous winter maintenance supplement to the earlier code of practice there have been significant changes in the organisational framework of many local authorities and also changes in arrangements for the procurement of highway services. For further details of these, reference should be made to Section 16 of this Code. Where private sector partners are involved it will be important that all aspects of Winter Service planning are undertaken jointly. In addition to an increase in the role of the private sector in delivering highway services, this trend has been even more significant in the case of refuse collection, street cleansing and grounds maintenance services. These services have traditionally provided support to Winter Services, especially in times of prolonged ice and snow, and although such support is likely still to be available, the administrative and management arrangements may be different, and it will be necessary to review these well before the commencement of the season. A key factor in ensuring that response and treatment times are met, once a decision has been taken to treat is the availability of appropriately trained personnel. Identifying the extent of resources needed under various scenarios and the potential source of these will be an important aspect of preseason planning. This planning should cover the whole range of requirements and conditions likely to be encountered, including:
13.7.2
13.7.3
y y y y y
13.7.4
Preseason preparation Precautionary treatment Post treatment Snow clearance Post snow emergencies (flooding etc)
The assessment should cover both operational and client personnel. It is particularly important not to overlook:
y The need for client staff to be available throughout risk periods y The need for the treatment operations to be coordinated and supervised y Resources for dealing with vehicle breakdowns, problems with fuel supply y Resources for the delivery and loading of salt 131
and communications failure
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13.7.5
Issues to be addressed for operational personnel include:
y Implications of Drivers Hours Regulations y Extent and nature of double manning and driver support y Shift system arrangements
13.7.6 Reliance is also placed in times of prolonged ice and snow on temporary contracts with contractors, farmers and others to supplement resources for snow clearing, and arrangements should be made to ensure that necessary insurance cover is available. In rural areas, authorities should examine the potential for using local council snow wardens, who may have an effective role in gathering information and providing winter service managers with details of specific local problems. If snow warden schemes are adopted clear terms of reference should be established.
13.7.7
13.8 Winter Service Training and Development

13.8.1 Authorities should ensure that all personnel involved in Winter Service, including temporary contractors, are trained to required levels of competence, both in respect of the overall job requirements and particularly the special health and safety considerations applying. In relation to required competence levels it has been recommended in the ICE Design and Practice Guide that all drivers salting or ploughing on roads must be trained and successfully assessed in accordance with City and Guilds 6157. It also suggests that National Vocational Qualifications (NVQ and SVQ) should be considered to set standards of competency for snow blower operations. Authorities should ensure that high standards of health and safety are achieved on their Winter Service operations and prepare specific health and safety policies and guidance, jointly with their service provider, whether inhouse or private sector partner. These policies and guidance, should be issued and discussed with all personnel, including temporary contractors, and should form the basis of further training as necessary. Issues to be addressed by policies and guidance should include the following. This is not an exhaustive list as the content will be largely based on local circumstances:
13.8.2
13.8.3
13.8.4
y training for client and client support personnel on the content and
operation of the Winter Service Operational Plan
y training for service delivery personnel on the content and operation of the
Winter Service Operational Plan
y driving in difficult and hazardous road conditions including duty of care

to other road users
y circumstances, for example rail level crossings, tramways, partially

segregated areas, where special safety considerations apply. In general salting should not be undertaken between the stop lines of level crossings, even when covered with snow. Before ploughing over a level crossing the driver must stop and telephone the signalman for permission to proceed and then inform the signalman when past the crossing. Snow blowers must not be used on level crossings
y training for all personnel in dealing with potential emergency scenarios y training for all personnel in dealing with post ice and snow emergencies
especially flooding 13.8.5 In addition to such general guidance, it will be necessary to ensure that all personnel are provided with information during operational periods on current network characteristics and constraints, including:
y Nature and location of highway works, including statutory undertakers y Nature and location of any traffic diversions y Nature and timing of any events likely to affect network use
13.8.6 Guidance provided to service delivery personnel should also include specific reference to the heath and safety needs of users, including:
y avoidance of spraying pedestrians, cyclists and vehicles where practicable

with salt or slush when salting or ploughing
y avoidance of risks to pedestrians and cyclists when using vehicles in

segregated or partially segregated areas and in treating footways
y ploughing and manoeuvring in restricted circumstances y other road vehicles that may not be under proper control
13.8.7 Some authorities have found it useful for those personnel involved in Winter Service management and decisions to undertake training in familiarisation and interpretation of weather forecast information. Although not an essential requirement, authorities may wish to consider this.
13.9 Plant, Vehicles and Materials

13.9.1 This Code does not deal in detail with the equipment and materials used for Winter Service, which are dealt with more comprehensively elsewhere, but refers to certain of the more strategic issues relating to procurement and sustainability. The size, composition, standard, and location of the vehicle fleet and depots are key parameters influencing the economy, efficiency, and effectiveness of resources to deliver defined standards of Winter Service. It is also unlikely that, with the level of investment involved, authorities will be able to make frequent changes to the fleet, other than replacement or renewal. It is important however that opportunities are taken either at five yearly Best Value reviews or when overall service procurement changes are being contemplated to thoroughly review Winter Service strategy and equipment procurement. It should also be possible, and is important to consider more frequently, equipment requirements for dealing with footways and cycleways. If government or local targets for increased walking and cycling are to be achieved it will be necessary to keep under review the nature and level of treatment applied, and specialist equipment may be necessary for this purpose, for example the application of brine. The location of depots should also be kept under review and specifically addressed when consideration is being given to procurement arrangements. It would be
13.9.2
13.9.3
13.9.4
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unlikely that all present depots from which authorities presently undertake Winter Services are ideally located, and significant financial and operational savings can often be achieved from relocation. Such changes may depend on wider property management considerations but authorities should ensure that Winter Service and other highway maintenance requirements are a key aspect of these. 13.9.5 The environmental effects of highway maintenance depots and operations are dealt with in Section 15 of this Code, and these can be particularly significant in the case of Winter Service, where operations will inevitably involve unusual hours of working. Every effort should be made to minimise the environmental intrusion of depots and so far as is practicable the effect of Winter Service operations. A significant contribution to this can be made by providing covered storage for all vehicles, equipment and materials, which can also reduce waste and maintenance problems. Salt barns can help in maintaining low moisture content, preventing leaching and easing handling, and detailed advice is available elsewhere on alternative types and construction methods. Where open stockpiles are used these should be covered with polythene sheeting, and the Highland Council has found spraying with bituminous emulsion to provide a reasonably effective alternative. Both permanent and temporary salt storage areas should be sited and managed in accordance with requirements of the Local Planning Authority and the Environment Agency or equivalent authority. In particular they should not be sited where they could cause damage to landscape or nature conservation, or have the potential to pollute watercourses or groundwater. Where grit is used for treatment, for example in the more extreme conditions applying in Scotland, storage requirements may be less stringent and local advice should be sought. Salt is the prime material for dealing with ice and snow on the highway but it has some undoubted environmental consequences. It can adversely affect vegetation and pollute watercourse. It can also damage the highway structure, bridges and structures, utility apparatus and vehicles. In the interests of sustainability therefore authorities should ensure that only the minimum of salt is used to deal with the prevailing conditions. Recommended rates of spread are given in Appendix H. The Appendix also lists a number of alternative materials that authorities could consider using in place of salt in particular circumstances. The cost of these is relatively high and they also have some environmental consequences. They may prove however to be cost effective in specific locations, such as the treatment of bridges, where the damage caused by the use of salt can be avoided. The cost of salt purchase is also a significant consideration, and it is suggested that authorities consider the adoption of consortia arrangements. Purchase and ownership of salt, and also vehicles and equipment, will be a key issue for consideration in relation to the procurement of services. Private sector partners may be able to assist with financing arrangements, and authorities will need to balance the financial advantages of this against the contractual and operational risks involved.
13.9.6
13.9.7
13.9.8
13.9.9
13.9.10
13.10 Information and Publicity

13.10.1 Section 6 of this Code deals with arrangements for community involvement in highway maintenance and the importance of information and publicity and reference should be made to this section. Winter Service however provides special opportunities and challenges, which should be positively addressed by authorities. It is of crucial importance that policies and standards of Winter Service provided by
13.10.2
authorities are widely available and understood by users and the community. This will help in ensuring that expectations are realistic and consistent with the resources available. 13.10.3 Many authorities provide leaflets summarising policies, including maps showing routes treated, contact information and advice on safe network use. The leaflets are reviewed annually and made available through libraries, information centres, schools and a wide range of outlets. This practice is recommended for adoption by all authorities. There will also be a need to establish effective working arrangements with local press and broadcast media to enable the presentation of timely and accurate current information and advice on network condition and use. Local radio in particular considers this to be a most important aspect of their service to the community and it therefore provides the opportunity to build good working relationships over wider issues. Many authorities have specialist press and public relations personnel and it will be important to clarify and agree respective service and specialist responsibilities. It is important to define and agree key contacts with press and broadcast media and also establish a clear understanding of the most effective timings for information to be provided in order to reach necessary audiences and broadcast schedules. It may be helpful to arrange joint workshops or training sessions to build understanding and relationships. There may also be a need, in more widespread and extreme conditions, to provide information to national press and broadcast media. This may be undertaken either directly or by arrangement with local media and arrangements should be discussed with them. In addition to the provision of information through press and broadcast media it will be important to provide information directly to key stakeholders, including all emergency services, public transport operators, motoring organisations and key local organisations. It provides an important opportunity to demonstrate an understanding of users needs, and a strong service commitment.
13.10.4
13.10.5
13.10.6
13.10.7
13.11 Post Snow Inspection and Maintenance

13.11.1 Immediately following the completion of major snow clearance operations it is necessary to inspect both the equipment used and the network to ensure that any damage is dealt with, either as a Category 1 defect, or as programmed maintenance as appropriate. The inspection should be treated as a special safety inspection and deal with the items usually included. Special attention should be given to the routes treated and the following items:
y Clearance of gullies and offlets y Removal of accumulations of grit from running surfaces and drainage y Inspection and clearance of all bridges, culverts and drainage systems y Inspection for frost effects and any damage caused by Winter Service y Check and replenish salt stocks in depots and grit bins y Clean, lubricate, check and repair all vehicles and plant 135
equipment liable to flooding channels
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13.11.2
In addition, it will be important to debrief all personnel involved to ensure that their experience and observations are recorded. These should be used to inform the annual service review and contribute to the process of continuous improvement. It will also be useful in a less formal way to invite observations from Snow Wardens and others that will have also contributed to the operations.
13.12 Performance Standards and Monitoring

13.12.1 General requirements for performance standards and monitoring are dealt with in Section 11 of this Code. Given the significant costs of providing Winter Service and the considerable logistical issues involved, monitoring and review will be of particular importance to the pursuit of Best Value. There will inevitably be some apparent inefficiencies for example where it is necessary to treat long culs de sac in remote areas, and performance standards will need to take these into account. Comprehensive and accurate records should be kept of the Winter Service activity, including timing and nature of all decisions, the information on which they were based, and the nature and timing of all treatment. In this context it is important to note that time taken running dead mileage at end of salting run is not included in treatment time. It is preferable to record both the time at the end of actual salting and the time of return to depot. Automatic data logging devices on vehicles will simplify and improve the accuracy of records and assist monitoring, and authorities should consider their introduction.
13.12.2
Recommendations
R13.1 Winter Service Policy
Authorities should formally approve and adopt policies and priorities for Winter Service which are coherent with wider objectives for transport integration and network management, including strategies for public transport, walking and cycling. They should also take into account the wider strategic objectives of the authority and crosscutting issues, such as regeneration or social inclusion.
R13.2

Authorities should formally approve, adopt, and publish, in consultation with users and key stakeholders, a Winter Service Operational Plan based on the principles of this Code.
R13.3
Winter Service Route Planning

The Operational Plan should define treatment route plans for carriageways, cycleways, and footways based upon the general maintenance hierarchy but adapted to into account the factors identified by this Code.
R13.4
Coordination and Cooperation

Winter Service policy and Operational Plan should be coordinated with adjoining local and strategic authorities to ensure that route planning, and treatment regimes meet road users reasonable expectations for consistency, and provide value for money.
R13.5
Publication and Information

Authorities should make widely available for users and the community a nontechnical summary of the Winter Service Operational Plan including plans of the treated network, together with guidance on safe use of the network. They should also establish arrangements for local radio information.
R13.6
Annual Review
All aspects of the Winter Service Operational Plan should be reviewed annually in consultation with users and key stakeholders to take account of changing local circumstances.
R13.7 R13.8
Weather Forecasting and Detection Systems

Authorities should take full advantage of weather forecasting information services.
Service Delivery Arrangements

Authorities should review annually arrangements for delivering Winter Service in consultation with all service partners including consultants, contractors, District and Local Councils and volunteer wardens, to ensure clear terms of reference for the provision and management of all resources, health and safety, and insurance.
R13.9
Annual Technical Review

All vehicles, plant, fuel provision, equipment and maintenance arrangements should be checked annually in order that any necessary action can be taken to ensure full operational service status prior to the Winter Service season. This should include checking the calibration of all deicing equipment and spreaders.
R13.10 Personnel, Training and Development

Training and development needs, in particular those relating to health and safety, of all personnel should be reviewed annually in order that any necessary training can be provided prior to the Winter Service season.
R13.11 Salt Purchase and Storage

Authorities should manage the purchase, storage and use of salt and other deicing materials consistently with the principles of Best Value and sustainability and consider the benefits of consortia purchasing.
R13.12 Information Recording and Monitoring

Comprehensive and accurate records should be kept of all Winter Service activity, including timing and nature of all decisions, the information on which they were based, and the nature and timing of all treatments. The use of data loggers should be considered to assist with this process.
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SECTION 1 4 : WEATHER AND OTHER EMERGENCIES

14.1.1
14.1 Nature of Weather Emergencies

Although considerable emphasis is given within highway maintenance to dealing with winter conditions, increasingly contingency arrangements are necessary to deal with a wider range of extreme weather conditions. Within the UK these involve:
y Flooding y High Winds y High Temperature

14.1.2 Authorities should establish in consultation with others, including emergency services and relevant agencies, such as the Environment Agency, operational plans and procedures to enable timely and effective action by the highway maintenance service to mitigate the effects of such weather emergencies. There will also be other weather conditions, such as fog or heavy rain, which although possibly causing danger and operational difficulties, would not necessarily be considered as emergencies. The content of operational plans and procedures should be based on those developed in respect of Winter Services and summarised in Appendix K of this Code, adapted to suit the particular risks and requirements for the weather situation in question. It will be essential to address specific health and safety issues relevant to each emergency. Clearly, weather forecast information is crucial and weather forecasting organisations will issue severe weather warnings and flash messages to authorities, other emergency services and media. These will be based on the following descriptions and conditions for other than snow and ice. Motoring warnings will also be given when conditions are difficult but less severe than these conditions. Gales Severe gales with gusts of 70 mph or more Severe gales storms with gusts of over 80 mph Heavy Rain Heavy rain expected to persist for at least two hours and to give at least 15 mm within a three hour period Fog Thick fog visibility generally less than 200 metres Dense fog visibility generally less than 40 metres
14.1.3
14.1.4
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14.2 Flooding
14.2.1 Recent experiences and consequences of flooding have increased considerably the importance placed by local communities on flood protection measures and the need for effective action by authorities in planning and responding to extreme weather conditions.
14.2.2 The Environment Agency (EA) and its equivalent within Devolved Administrations will be the key agency in respect of flood emergencies and authorities will need to work closely with them. The EA has established a system of flood warning procedures, together with audible warnings in certain areas:
y y y y
14.2.3
Flood Watch Flood Warning Severe Flood Warning All Clear
The contribution of authorities in dealing with flood conditions will depend upon the circumstances but could include:
y y y y y
14.2.4
Signing and maintaining diversions Inspection, clearance and maintenance of drainage systems Provision and operation of land and water transport Provision and installation of sandbags and other protection General support to emergency services
Given the relative predictability of areas susceptible to the risk of flooding it should be possible to identify the location, scale and nature of such contributions and to include these in the operational plan. Records of drainage systems particularly susceptible to obstruction and requiring more frequent maintenance will also be important.
14.3 High Winds

14.3.1 The implications of high winds within an authority area are much less predictable, although weather information can help to assess the relative risk in parts of the UK. Authorities should, as part of highway inventory and inspection arrangements know those parts of the network most at risk of obstruction due to fallen trees, but should identify specifically those more limited sections where any potential obstruction could have particularly serious consequences
for safety or serviceability. These could include accesses to relatively isolated communities or emergency services, or heavily trafficked crucial network links. 14.3.2 This will not be a precise record providing the basis for an accurate emergency plan, but it should enable a more efficient and timely response than would otherwise have been the case. It may be appropriate to consider, with arboricultural advice, planned removal and more suitable replacement of trees, in some cases. Weather warnings for high winds will provide the following advice on circumstances and likely damage. 50 mph gusts Difficult driving conditions for highsided vehicles, especially on exposed roads and bridges Difficult driving conditions. Unladen highsided vehicles at risk of being overturned. Some damage to trees and falling branches Hazardous driving conditions. Unladen highsided vehicles at risk of being overturned and motorists advised to drive with particular care. Damage to trees, falling branches with some being uprooted. Minor damage to some buildings, particularly to tiles, slates and chimneys Dangerous driving conditions. Highsided vehicles at risk of being overturned and motorists advised to avoid driving if possible. Considerable damage to trees with significant tree uprooting. Extensive minor damage, particularly to tiles, slates and chimneys, with some structural damage to chimneys Driving extremely dangerous. Widespread uprooting of trees. Widespread damage to buildings with potential for severe structural damage. Public advised not to venture out of doors unless really necessary
14.3.3
60 mph gusts
70 mph gusts
80 mph gusts
90 mph gusts
14.3.4
Clearly such advice will need to be applied by the highway maintenance service in order to safeguard the health and safety of employees, and this may limit the extent to which any direct assistance can be provided until conditions have eased from over 70mph gusts. The contribution of authorities in dealing with the consequences of high winds will then depend upon the circumstances but could include:
y y y y y
Signing and maintaining temporary closures and diversions Clearance of fallen and potentially dangerous trees Clearance and removal of debris Assistance with temporary support and repair of buildings General support to emergency services.
14.4 High Temperature

14.4.1 The affect of high temperatures on running surfaces is likely to be the main consideration for the highway maintenance service and one that often needs attention. High temperatures can damage bituminous surfaces both by reducing skidding resistance and increasing susceptibility to rutting. Sanding of surfaces can mitigate the effects of the former but there is little that can be done to deal with the
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latter, other than in the design of the surfacing material. In very extreme conditions concrete roads can suffer acute damage as a result of expansion beyond design predictions and may need complete reconstruction. 14.4.2 Although these issues are most effectively addressed through the design process authorities should be aware from inventory, inspection and other information, the relative risks to parts of the network from excessive heat and should establish priorities for treatment based on this assessment.
14.5 Other Highway Emergencies

14.5.1 There will often be a need to make the highway safe following road accidents, for example dealing with oil spillages and other damage, and authorities will need to ensure that adequate arrangments are in place for effective and timely response. There are a number of other potential emergency situations which could effect the highway, including those resulting from subsidence, landslip or collapsed walls. Although the risk of some such occurrences can be reduced through a considered inspection regime, there are likely to be occasional random occurrences and some contingency planning should be undertaken.
14.5.2
14.6 Civil Emergencies

14.6.1 There is also a wide range of other civil emergencies in which the highway maintenance service may need to become involved. In such cases plans, procedures, and responsibilities will be defined in the authorities Civil Emergency Plan, maintained by the authoritys designated Emergency Planning Officer and related, more specific, plans maintained by the Police and other emergency services.
Recommendations
R14.1 Planning for Emergencies
Authorities should establish, in consultation with others, including emergency services and relevant agencies, operational plans and procedures to enable timely and effective action by the highway maintenance service to mitigate the effects of emergencies.
R14.2
Operational Plans for Emergencies

The content of operational plans and procedures should be based on those developed in respect of Winter Services and summarised in Appendix H of this Code, adapted to suit the particular risks and requirements for the situation in question. It will be essential to address specific health and safety issues relevant to each emergency.
R14.3
Planning for Civil Emergencies

Authorities should ensure that the role and responsibilities of the highway maintenance service in responding to emergencies, are defined in the Civil Emergency Plan, maintained by the authoritys designated Emergency Planning Officer, that these are understood by all personnel involved, and that all necessary contingency planning is in place.
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SECTION 1 5 : M A T E R I A L S, TR E A T M E N T S AND PROCESSES

15.1 Management for Quality and Sustainability
15.1.1 In order to meet the key objectives of Safety, Serviceability and Sustainability, it will be necessary to ensure that materials, treatments and processes used for highway maintenance meet consistent standards of quality. There are a wide range of technical specifications for materials, treatments and design standards for highway works, some of which are obligatory, but many provide for significant discretion in the application of standards to particular circumstances. This is important, for if too high a specification is set for materials and treatment standards, this will not only increase cost, but may reduce the potential for sustainability, for example by precluding the use of locally sourced materials. It will also be important to ensure that materials and treatments for any scheme are consistent with the character of the area and, for example, do not contribute to the urbanisation of attractive rural areas. Conversely, in heavily trafficked urban areas, materials will need to be of sufficiently high quality to avoid premature deterioration and consequent poor appearance. The presence of a speed limit should not be the automatic determinant for the application of urban standards.
15.1.2
15.1.3
15.1.4
In the context of Best Value, seeking the right balance of materials and treatments to be used in particular circumstances should not merely be a technical or financial issue, it should also be one of sustainability. Indeed it could be argued that this should be a major consideration. Consideration of sustainability is a fundamental component of Best Value reviews relating to highway maintenance. A sustainabilty appraisal of the service can often provide a crucial challenge to current practice iand delivery arrangements, and open up new areas for consideration of continuous improvement. It should also stimulate innovation and creativity. This is not to undervalue technical specification and guidance, which is the crucial starting point for consideration. Indeed the National Highway Sector Schemes, referred to later in this section were developed with the specific purpose of supporting continuous improvement and providing a consistent and reliable base for benchmarking.
15.1.5
15.1.6
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15.2 Technical Specifications and Guidance

15.2.1 This Code is not intended to provide a comprehensive record of technical standards and guidance relevant to highway maintenance, although some of the more important ones are noted and referred to in the Appendices.
15.3 Quality Management and Sector Schemes

15.3.1 Highway maintenance operations should be subject to a quality assurance regime, preferably based on the principles of ISO 9001 2000, and which integrates systems of client and service provider. Quality management systems comprising Quality Assurance, Environmental Management Systems to ISO 14000 and Investors in People are all intended to encourage consistent management and organisational process. If correctly and flexibly applied they should support a culture of competence and consistency, but also enable innovation to flourish. Whilst the quantity and cost of maintenance products and materials is relatively easy to ascertain, quality can be very variable. Simple compliance with quality management schemes has not always provided the necessary confidence of consistent quality, and the Highways Agency, CSS and TAG, with the cooperation of various trade organisations have developed a number of National Highway Sector Schemes (NHSS). These are intended to improve the consistency of the products certified under existing schemes and ensure that they satisfy all current purchaser requirements. NHSS supplement existing quality schemes by setting out specific requirements relevant to the highways industry, and ensure that certification bodies use auditors with technical knowledge and experience of the industry. The founders of the new arrangements have advised their members to:
15.3.2
15.3.3
15.3.4
15.3.5
y Incorporate a mandatory requirement for suppliers and contractors to

comply with these schemes in their procurement documentation
y Ensure that the Certificate supplied covers the relevant NHSS y Use the mechanism of a Quality Plan to get the information they require y Give feedback on the performance of NHSS y Train site staff on the schemes to take advantage of the improved quality
expected
y Where products and processes are delivered with NHSS Certificates, review
the extent of testing on delivery by themselves or contractors with a view to achieving a significant reduction 15.3.6 For innovative and proprietary products, HA, CSS and TAG have set up the Highway Authorities Product Approval Scheme (HAPAS). This provides a means for manufacturers and suppliers to obtain approval for the use of their products within agreed performance criteria. This removes the need for individual Authorities to set
up their own approval systems or accept suppliers claims without independent evaluation. Some HAPAS products may not be accepted for compliance with SHW, as they may not be considered suitable for use on the trunk road network, but they may still be acceptable for local roads. 15.3.7 Where an NHSS or a HAPAS scheme applies only materials, products and services complying with the schemes will be accepted for compliance with the Specification for Highway Works (SHW). Local documentation should be similarly maintained uptodate.
15.4 Environmental Issues

15.4.1 In pursuing the objective of Network Sustainability one of the key issues will be maximising the environmental contribution made by highway maintenance policy and practice. There are a wide range of relevant issues affecting the environment including:
y Noise y Materials Utilisation y Waste Management and Recycling y Pollution Control y Conservation y Biodiversity y Environmental Intrusion
15.4.2
Courtesy IHT. Source: Jon Etchells.
This Code cannot address all of these issues in detail, but is intended both to stress the very considerable potential contribution that maintenance can make, and to highlight a number of key areas for consideration.
15.5 Maintaining for Noise Reduction

15.5.1 Road traffic noise is a major environmental consideration both for those living close to heavily used interurban highways and also within urban areas. Legislation is progressively seeking to reduce road noise from vehicles but noise from running surfaces can also be intrusive. Where running surfaces are renewed or resurfaced the opportunity exists to mitigate the effects of traffic noise, and whenever major schemes of this type are being planned authorities should evaluate the option of a lower noise alternative. In many cases the low noise option may not be necessary but where there would be significant benefit to the local community it should be carefully considered. The Ten Year Plan for Transport confirms the Governments intention, in England, to pursue the introduction of low noise surfacing with the objective of reducing traffic noise for three million people living within 600m of trunk roads.
15.5.2
15.5.3
15.6 Materials Utilisation

15.6.1 Highway maintenance activity consumes significant quantities of materials, and policies for materials purchasing and utilisation can make a very considerable
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contribution to the objective of network sustainability. There is also very considerable scope for innovation, for example the use of recycled glass as aggregate in running surfaces and recycled plastic for footpath signs. 15.6.2 Authorities should seek wherever practicable to maximise the use of:
y local materials wherever possible in order to minimise transport costs,

support the local economy, and to maintain local character. This will be of particular importance in relation to the use of visible materials in local conservation areas
y products made from recycled materials in order to develop and support

local markets for these 15.6.3 The pursuit of sustainable purchasing and utilisation may have cost implications, and authorities will need to balance these against the environmental benefits achieved. They should also consider carefully whether some limited reduction in material specification might be acceptable in order to achieve a more sustainable outcome without excessive cost. Cornwall County Council, for example, has accepted a small reduction in polished stone values of surfacing materials in order to avoid the environmental consequences of very significant transport requirements. The introduction of a new tax on mineral extraction should of course influence policies for sustainable purchasing and utilisation by adjusting the financial balance.
15.6.4
15.7 Waste Management and Recycling

15.7.1 Similarly, the introduction of, and subsequent increases in, the Landfill tax have encouraged the adoption of sustainable waste management policies and practices by all authorities, and it is important that these are rigorously applied to all highway maintenance operations. Authorities should seek wherever practicable to:
15.7.2
y Retain and reuse materials on site,

in order to avoid environmental implications of transport and disposal
y Maximise the value of the reused

material rather than utilise for low grade fill
y Make use of recycle in place

processes in appropriate situations
y Ensure that any material that

cannot be reused or recycled is disposed of to licensed sites in accordance statutory requirements This will include silt and other solids arising from gully emptying and cleansing of oil interceptors
15.8 Pollution Control

15.8.1 A number of maintenance operations have the potential to cause either noise, air, or water pollution, and will need to take particular account of statutory requirements. Advice from Environmental Health Departments and the Environment Agency or equivalent authority, should also be sought where necessary. Authorities will also wish to ensure that the wider Best Value principal requiring that services should be provided tomeet the needs of users and the community is applied in such cases. In some cases such as scarifying or major resurfacing some environmental inconvenience to the community may be inevitable, but authorities should seek to mitigate this wherever practicable, for example, by phasing and scheduling of works to avoid sensitive periods and potentially difficult weather conditions. Fuel and other materials storage areas, both in depots and on site, have the potential for pollution, and care should be taken in siting. Permanent and temporary storage areas should be sited and managed in accordance with requirements of the Local Planning Authority and the Environment Agency or the equivalent authority. In particular they should not be sited where they could cause damage to landscape or nature conservation or have the potential to pollute watercourses or groundwater. Requirements for salt storage for Winter Service are dealt with in Section 13. Reference should also be made to the Prevention of Pollution Guidelines (PPG) published by the Environment Agency, and the Scottish Environmental Protection Agency. Authorities should ensure that arrangements are available, on major sites having on site diesel storage, to deal with diesel spills.
15.8.2
15.8.3
15.8.4
15.9 Nature Conservation and Biodiversity

15.9.1 Highway verges and the wider soft estate both have for implications for conservation and biodiversity. Specialist advice should be sought on the management of these areas in order to achieve the correct balance between safety, amenity, nature conservation and value for money. Where landscape management plans, biodiversity action plans, or environmental databases exist they should be consulted before any work is carried out. Courtesy IHT. Source Jon Etchells. Certain named species and habitats are protected under UK and EC legislation and all highway maintenance works must comply with these requirements. Where designated protected sites are within or adjacent to the highway boundary, advice should be sought from English Nature, or equivalent bodies within the Devolved
15.9.2
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Administrations, or local wildlife trusts. Legislation requires that English Nature, or equivalent bodies within the Devolved Administrations, are informed where important habitats and species may be affected, such as the removal of trees used as bat roosts. This should be done well in advance of maintenance work to allow for seasonal factors. 15.9.4 The Ten Year Plan for Transport notes that in England the entire strategic network operated by the Highways Agency will be managed in line with biodiversity action plans by 2005 and with landscape action plans by 2010. Staffordshire County Council has established specific policies for the management of highway verges including the following:
15.9.3
y When undertaking any works to the highway, the likely effects on

landscape and nature conservation will be taken into account. In particular, works in the vicinity of a Site of Special Scientific Interest (SSSI) and Grade 1 County Sites of Biological Importance (SBI) will be carried out in a manner that is not detrimental to the site. In all cases of doubt, the advice of the Head of Environmental Planning will be sought. Plans detailing the location of all such sites in the County are available from the Head of Environmental Planning.
y All verges will be maintained in an appropriate environmental manner,

particularly in respect of verges of nature conservation value. The maintenance approach will be based upon the following principles:
y Appropriate mowing required (depending on flora/fauna present) y No unnecessary inputs (herbicides etc.) y Identified SSSIs, Grade 1 SBIs or other biologically rich verges
will be managed with an appropriate regime.
y Standards should be set to maintain a balance between the need to

preserve road safety and the need to preserve the natural habitat, which exist within roadside verges, in terms of both plant and wildlife. The need to maintain safe visibility for all categories of road user will be accorded priority where conflict arises
y Where suitable sites exist, consideration will be given to the establishment

of roadside nature reserves
y Highway verges should be regarded as a Managed Habitat. Certain lengths

of verges may be set aside as conservation areas, and no routine cutting is to be carried out within these areas, which are normally defined by marker posts. Those areas of verge that are planted with bulbs, should be excluded from the first cut in order to allow the foliage to die off completely
y Because rural verges are only cut to one swathe width, the remainder of
the verge can serve as a wildlife haven. Such verges may, from time to time, need to be cut back to the full width to prevent excessive growth of brushwood or noxious weeds
y Where fine stands of wild flowers are present in the verge, the timing of
cutting operations should be varied to allow the flowers to set seed. Varying the times of cutting from year to year, will help nature conservation/biodiversity, since a greater number of plant species will then be given a chance to flower and seed in at least some years. Such
variations in the cutting regime should not take place where it would be detrimental to safety due to obstruction of visibility 15.9.4 West Sussex County Council and Dumfries and Galloway have prepared draft biodiversity action plans for highway verges and Worcestershire County Council have some 40 roadside verge nature reserves, managed under contract by the Worcestershire Wildlife Trust. The Scottish Executive have a biodiversity action plan for trunk roads. In urban areas roadside trees have a particular landscape value, are often highly regarded by the community and should be carefully managed. Apparently insensitive treatment such as pollarding and damage resulting from highway maintenance is usually highly unpopular and advice issued by NJUG on working around trees should be followed. Extensive root growth from larger trees can cause significant damage to the surface of footways, which may be difficult to repair without causing damage or distress to the tree. In these circumstances it may be difficult for authorities to reconcile their responsibilities for surface regularity with wider environmental considerations and a reduced standard of regularity may be acceptable.
15.9.5
15.9.6
15.10 Dealing with Noxious Weeds

15.10.1 The control of injurious and noxious weeds is a statutory responsibility for authorities under the Weeds Act 1959 and the Wildlife and Countryside Act 1981. Where injurious weeds on highway land are a nuisance to adjacent landowners, authorities should work with the adjacent landowner to ensure that weed control measures are undertaken simultaneously to avoid recontamination across the highway boundary. The prescribed weeds are:
y y y y y
15.10.2
Ragwort Broad leaved dock Curled dock Creeping thistle Spear thistle
Ragwort, in particular is extremely hard to eradicate and some local authorities have bylaws to control it. The seed can survive 20 years in the soil before germinating and any root left behind when dug up will regrow. It is also highly toxic to horses, cattle and sheep, causing progressive and irreversible liver damage. Although relatively unattractive to most grazing animals in its green state, it can be consumed when cut if mixed with other vegetation. If cut it should be removed from the verge and ideally burnt. It is normally biennial and produces small rosettes in the spring and flowers in its second year from July onwards. Cutting is used by many local authorities for control to prevent the plant flowering and seeding, and two full cuts of the verge by the end of June every year for five years will inhibit seeding and spreading. Ragwort can be only be completely eradicated by digging out before it flowers, which in most cases will be impractical for authorities with large areas of verge, or
15.10.3
15.10.4
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by spraying with an appropriate weedkiller, usually in April to early June. On ungrazed land such as roadside verges unselective weedkiller use could also destroy many desirable wild species and labour intensive spot treatment may be preferable.
15.11 Environmental Intrusion

15.11.1 Depots and areas for materials storage are often the most visible evidence of the environmental awareness of the service. Such facilities must inevitably meet the operational needs of the service, but every effort should be made to ensure that they are located, designed, maintained and operated to the highest practicable environmental standards. In many cases these standards will be required as a condition of planning, but planning conditions are not able to address all operational issues and should therefore be taken as a minimum. Poorly managed materials and temporary chipping storage areas can rapidly be adopted as illegal waste dumps for which authorities may then become liable. In any event such circumstances would clearly be incompatible with the service objective of sustainability. Excessive and redundant signing clutter can also contribute to environmental intrusion, and opportunities should be taken to rectify this wherever possible in conjunction with planned maintenance works. Similar circumstances apply in relation to street lighting and the provision of illuminated traffic signing, where considerations of possible light pollution and energy utilisation apply. This is a particular issue for the Code of Good Practice for Road Lighting Maintenance, but the availability of modern signing materials could avoid the need for illumination in some cases, and this could be addressed when maintenance or renewal is required. A revision to the Traffic Signs Regulations and General Directions is currently being prepared to remove the legal requirement for lighting of some traffic signs. It is also possible that overall light pollution, and in some cases energy use, can be reduced by investment in new and improved street lighting.
15.11.2
15.11.3
15.11.4
15.11.5
15.11.6
15.12 Environmental Consultation and Assessment

15.12.1 Environmental issues cover a very wide range, each of which is a specialist area and on which experience and best practice is continuing to develop. In these circumstances it will be difficult for highway maintenance managers to develop and retain the necessary level of expertise in all of these areas. In every authority area there will be also a wide range of local environmental and conservation groups having specialist interests. Although engagement with such local groups will present particular challenges to highway maintenance managers, including the management of differing points of view, perseverance is likely to bring benefits both in terms of advice and environmental competence and also through greater public understanding of highway maintenance problems. Indeed such challenges to established highway maintenance policies and practice is a fundamental requirement for Best Value reviews. It is also suggested that
15.12.2
15.12.3
environmental advisors from the authority should also play a strong part in this process.
Recommendations
R15.1 Best Value and Sustainability
Consideration of sustainability should be a fundamental component of Best Value reviews relating to highway maintenance which can open up new areas for consideration of continuous improvement and stimulate innovation and creativity.
R15.2
Maximising Environmental Contribution

Materials, treatments and processes adopted for highway maintenance schemes should routinely be appraised for environmental contribution and for wider issues of sustainability. Authorities could consider undertaking an environmental appraisal of their Highway Maintenance Strategy, and environmental audit of a sample of individual schemes, in order to develop good practice.
R15.3
Application of Technical Standards

Authorities should generally apply approved technical standards for materials and processes, and ensure the provision of a quality testing, control and management regime consistent with the principles of continuous improvement. The development of the industry Sector schemes is particularly helpful in this context and these should be supported.
R15.4
Balancing Standards and Sustainability

Subject to risk assessment, authorities should encourage the relaxation of technical standards where this would bring significant benefits of sustainability.
R15.5
Consistency with Character

Authorities should ensure that materials and treatments for any scheme are consistent with the character of the area and for example do not contribute to the urbanisation of attractive rural areas. Conversely, in heavily trafficked urban areas materials, should be of sufficiently high quality to avoid premature deterioration and consequent poor appearance.
R15.6
Nature Conservation and Biodiversity

Highway verges, and landscaped areas should be managed with specialist advice, in accordance with the principles of a Biodiversity Action Plan to meet legal obligations, particularly in respect of injurious and noxious weeds, support conservation and add landscape value, with specialist advice where necessary.
R15.7
Depots and Materials Storage

Depots and materials storage areas should be managed to mitigate visual intrusion and to avoid pollution in accordance with legal and community obligations.
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R15.8
Waste Management
Authorities should define and apply policies for the minimisation, and sustainable management of waste arising from highway maintenance activities, including the encouragement of materials recycling.
R15.9
Purchasing
Authorities should define and apply policies for the sustainable purchasing of materials and services including encouragement to utilise products manufactured from recycled material.
SECTION 1 6 : PROCUREMENT AND SERVICE DELIVERY

16.2.1
16.1 Scope of Procurement and Service Delivery

This Code is not intended to deal with the statutory and procedural aspects of UK and European procurement legislation, and authorities will need to refer to this elsewhere. It is intended to provide general guidance on the procurement of highway maintenance services within the context of Best Value and to review the developing options in this field.
16.2 Principles of Best Value Procurement

16.2.1 Arrangements for the procurement of highway maintenance have moved on considerably from those on which the previous Code of Practice was based. At that time there was a strong presumption of direct service provision and, although this still remains an option, there is now a requirement in the context of Best Value Reviews for a best value authority to: Assess the competitiveness of its performance in exercising the function by reference to the exercise of the function, or similar functions, by other best value authorities and by commercial and other businesses, including organisations in the voluntary sector. 16.2.2 This is interpreted in DETR Circular 10/99 as the need to: Use fair and open competition wherever practicable as a means of securing efficient and effective services. 16.2.3 Best Value also requires that the specification and delivery of services should be founded on the principal of meeting the needs of users and the community rather than the requirements of service providers. This implies that the specification of services should, so far as practicable, be based on the intended outcomes against identified service objectives rather than based on prescribed inputs. Although some authorities have made progress in this direction there is still some way to go before this principal is likely to be widely applied. Whatever procurement arrangements are adopted, it will be important to give careful consideration to the packaging of highway maintenance work relative to other highway and associated services, possibly in cooperation with other authorities. Best Value implies that physical or functional boundaries between authorities ought not to be a prime consideration and options could include:
16.2.4
y Packaging highway maintenance with other network management activity

and integrated transport schemes
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y Packaging highway maintenance in central urban areas with cleansing and

related services to provide an integrated Street Management regime
y Joint contracts with adjoining authorities for specialist services such as

traffic signal maintenance or street lighting 16.2.5 The provision of Winter Service will be a key consideration in the packaging of highway maintenance work. The need to ensure provision of guaranteed levels of service in a range of conditions, to manage the consequences for other highway maintenance activity, and to ensure effective year round use of resources will have implications for work packaging, irrespective of delivery arrangements.
16.3 Evolving Procurement Agenda

16.3.1 Prior to the introduction of Compulsory Competitive Tendering (CCT) highway maintenance services were traditionally provided by Direct Service Organisations (DSO), together with tendered contracts for some specialist services, such as surfacing, surface dressing, traffic signals and street lighting. In some cases the DSOs were managed directly by principal authorities and in other cases by other authorities under agency agreements. The introduction of CCT resulted, in a number of cases, in highway maintenance operations being contracted out to private sector providers, and these were eventually followed by initially a smaller number of cases involving the contracting out of certain professional services. In some cases highway professional services were contracted out in conjunction with other similar services including property management. These early contracting out arrangements, although supported by Quality Assurance had not at that time generally embraced the wider principles of continuous improvement, which would eventually underpin much of the Best Value regime. The Report of the Construction Task Force Rethinking Construction, published in July 1998, (The Egan Report) set out a strategy for the reinvigoration of the UK construction industry, incorporating a range of drivers for change and improvement, which also pointed the way to many of the subsequent Best Value themes:
16.3.2
16.3.3
16.3.4
y y y y y
Committed Leadership Focus on the Customer Integrated Processes and Teams Quality Driven Agenda Commitment to People
y Objective Measures of Performance y Comparative Performance Data shared with Clients and Each Other y Independently Measured Scorecards instead of simple benchmarking y y y y y y
16.3.5 Annual Annual Annual Annual Annual Annual reduction of 10% in Construction Cost and Time increase of 20% in predictability of completion time and budget reduction of 20% in Project Defects on hand over reduction of 20% in number of reportable accidents increase of 10% in value added per head increase of 10% in turnover and profitability
The Egan Report principles, with its emphasis on Core Values, Quality, Performance Management and Continuous Improvement, defined the agenda for much of the
subsequent procurement activity both on new highway construction and maintenance. 16.3.6 These were embraced strongly in new procurement arrangements for the strategic highway network, particularly in England by the Highways Agency and in Scotland, which saw the transfer of network management and maintenance from local authorities to separate private sector Managing Agents and Contractors operating over larger geographical areas. In Wales a number of lead local authorities retained the role. These arrangements in England and Scotland are now in the process of evolution into a new generation of procurement, including combined Managing Agent Contractor (MAC,) and similar models based on stronger more innovative forms of partnership. Local authority arrangements are also evolving, fuelled by Government encouragement and Best Value reviews, into new ways of working and new forms of partnership between public and private sector, based on similar but inevitably more diverse principles, reflecting local circumstances and objectives.
16.3.7
16.3.8
16.4 Main Procurement Options

16.4.1 The scope and diversity of local authority arrangements for the procurement of highway maintenance services is still evolving and it would be difficult for this Code to list them all in detail. There are however a number of broad categories:
a) In house provider, market tested or won in competition in combination with private sector contracts for specialist work. Professional services all in house or with adhoc topup contract arrangement b) All works contracted out. Professional services all in house or with ad-hoc topup contract arrangement c) All works contracted out. All Professional services contracted out. Separately contracted arrangements. With or without PFI d) All works contracted out. All Professional services contracted out. Integral contracted arrangements. With or without PFI
16.4.2
Bearing in mind that each of these options may also involve differing arrangements in respect of agencies or liaison with other local authorities, and local circumstances for the packaging and financing of work, the scope for detailed variation is considerable. A key issue for consideration in relation to the procurement of highway maintenance services is the nature and scale of the client role. Early models of professional services contracting out exhibited wide variations in this, with some authorities retaining a significant inhouse capability and others only retaining a very low level in terms of both numbers and experience. With the newer procurement models involving more integrated and flexible Partnering arrangements it will be important that both client and provider have relevant knowledge and resources and deliver and develop the service.
16.4.3
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16.5 Development of Partnering

16.5.1 Where Best Value reviews, or increases in funding have indicated a need for authorities to consider private sector involvement in the delivery of highway services, there has been a tendency for authorities to pursue the newer procurement models involving closer forms of partnership. These arrangements tend to be based on:
y y y y y y y
16.5.2
Commitment to shared culture, values and trust Joint management structures Open book accounting and financial systems integration Shared Quality Management (QA, IIP, Environmental Management) Performance management regime Agreed systems for shared risk and reward Flexible contract periods based on performance
Commitment to shared culture, values and trust is particularly important for authorities and in order to achieve effective partnering it will be necessary for both client and provider to:
y Understand and share the beliefs and core values of the authority and the
partner including their rationale and the importance of their contribution to the culture of the organisation
y Understand the nature and importance of the challenges within each of

the authorities Corporate Objectives, including the effects of interaction between them. Display imagination and creativity in addressing these challenges in partnership with the authorities and other partners
y Understand the Best Value principles and process and assist the authority
with its programme of Best Value reviews
y Understand the importance of local democracy and actively support the

authority in pursuit of its community leadership role
y Understand the particular needs of local communities, help them to

articulate these and work creatively to facilitate their resolution. Appreciate that Best Value is founded upon services being responsive to those that use or are affected by them, rather than service providers, and provide strong employee leadership in pursuit of this aim
y Deploy high quality flexible, efficient and effective, personnel and

management processes in support not only of the services for which they are accountable but also potentially to add value across a wide range of other service areas. 16.5.3 Such Partnering arrangements should also incorporate all or some of the following:
y y y y
16.5.4
Arrangements for private investment Arrangements to encourage and reward innovation Arrangements for integrated supply chain management Agreement on Key Performance Indicators (KPI)s
The development of shared culture, values and trust together with agreement to systems and KPIs is likely to be assisted by the use of Partnering Workshops or similar facilitated sessions both prior to the commencement of the contract and at intervals during its term.
16.5.5
Key Performance Indicators are essential parameters for the management of the partnering arrangement and it is important that agreement on these is reached at the outset. Many authorities and their service partners now have experience in the development and use of KPIs and the numbers used vary from approximately 10 to 70. On balance it is suggested that a smaller number of well developed and relevant indicators are more likely to be appropriate. During 1998/99 the authorities of Dorset, Hampshire and Oxfordshire applied to the M4i to become Demonstration Projects for their individual Term Maintenance Contract arrangements. Following the award of demonstration project status the three authorities attempted to apply the Construction Industry Key Performance Indicators to their individual contract arrangements, but found that several of the indicators were not applicable to Term Maintenance activities. A Peer Group of five counties was therefore formed from Dorset, Hampshire, Oxfordshire, Wiltshire and Gloucestershire to compile a set of KPIs specifically for Term Maintenance Contract works. A set of ten indicators was subsequently produced by the Group, and these are included in Appendix G for information, and consideration by authorities.
16.5.6
16.5.7
16.6 Interauthority Issues

16.6.1 It is important that Best Value reviews include consideration of existing agency arrangements between authorities for the management and delivery of highway maintenance and related services. The circumstances in which these arrangements were established are likely to have changed since their introduction, and also the relevance of the boundaries on which they were based. It may also be helpful to consider interauthority liaison in pursuit of Best Value in three levels:
16.6.2
y Coordination of corporate and service policies, objectives, performance

targets, funding and priorities for projects, schemes and programmes
y Coordinated detailed design, commissioning and supervision of projects,

schemes, and programmes
y Service delivery arrangements

16.6.3 Original agency arrangements are likely to have been founded on the need to sustain local DSO service delivery. With Best Value the emphasis may be better placed on ensuring effective higher level coordination arrangements between authorities, than through conventional agency arrangements at the commissioning or service delivery level. Where agency arrangements are agreed between authorities for activities at the commissioning or service delivery level these should be based on similar principles to those that would apply to partnering arrangements. In particular a commitment to shared culture, values and trust, open book accounting, financial systems integration and agreed KPIs. The use of Partnering Workshops in achieving these is also equally relevant. Where there are no agency arrangements and services are provided solely by the principal authority, either in house or through forms of partnership with private sector providers, there is merit in establishing arrangements which enable other authorities to procure work on their own account from the service provider under the terms of the contract.
16.6.4
16.6.5
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16.7 Focussing on the User

16.7.1 It is important that in establishing and managing all forms of procurement and service delivery arrangements a clear focus is maintained on the needs of the user. Not only will this assist the specification and definition of works, but it will also aid the resolution of differences, should these occur. The incorporation of such measures as Charter Mark and the Considerate Contractor Scheme into contract performance regimes may help to maintain this focus.
16.7.2
Recommendations
R16.1 Best Value Procurement
Procurement of highway maintenance services should be based on the principles of Best Value, in accordance with standing orders of the authority, to facilitate creativity in service delivery and finance by potential service providers.
R16.2
Performance Based Contracts

Contracts for the provision of highway maintenance services should be performance based so far as practicable, and should be framed so as to facilitate continuous improvement.
R16.3
Procurement Options
Authorities should assess a range of procurement options for the delivery of highway maintenance services. The principle of continuous improvement is more likely to be achieved through longer term performance based Partnerships than through relatively short term conventionally based contracts.
R16.4
Inclusion of Related Functions

In assessing options for the scope and content of highway maintenance contracts, authorities should consider the extent to which they should include other related highway construction and management functions.
R16.5
Contract Flexibility
In the light of the significant developments currently taking place in the field of highway management procurement, contracts should so far as practicable provide for flexibility to incorporate emerging practice and be reviewable over perhaps a five year period.
R16.6
Joint Contracts
Authorities should consider the extent of potential benefits to be gained from joint contracts with adjoining authorities for aspects of highway maintenance.
R16.7
Agency Arrangements
Where an Authority has agreed agency arrangements for other authorities to undertake aspects of highway maintenance on behalf of the authority, the Strategy should set out the agreed management accountabilities and financial arrangements.
SECTION 1 7 : FINANCIAL MANAGEMENT

17.1.1
17.1 Financing of Highway Maintenance

There are significant differences in both capital and revenue funding arrangements within the UK between the various Devolved Administrations. These are not set out in detail in this Code as they are subject to regular revision and reference should be made to relevant Government advice. 17.1.2 There are however a number of potential sources of funding as follows:
y Dedicated capital funding provided either directly or indirectly by

Government and delivered by means of Grants and either Basic or Special Credit Approvals
y Challenge capital funding, targeted at specified transport themes or

objectives, which may have direct or indirect relevance to highway maintenance. Examples include Safer Cities Project
y Challenge capital funding for wider strategic themes or objectives, which

may have direct or indirect relevance to highway maintenance. Examples include Single Regeneration Budget and Capital Challenge
y Private Finance Initiative (PFI) Credits. This is a developing area and most
relevant examples have so far been based on Street Lighting. Portsmouth City Council has however gained approval for the use of this for wider highway maintenance purposes
y Capital or revenue funding from Private Sector Service Providers,

negotiated during contract award process
y Capital or revenue funding from Private Developers, secured as a condition

of planning approval
y Capital or revenue local commercial sponsorship. The most common

example of this is maintenance of landscaped areas, in particular on roundabouts
y Revenue funding from a combination of local council tax, business rate

and government revenue support. This is provided for all local services for use largely at the discretion of authorities, but with the background of Standard Spending Assessments for principal services, including highway maintenance, with which authorities are expected to demonstrate reasonable levels of compliance 17.1.3 The pursuit of Best Value requires that authorities should review all of these potential sources of finance to ensure that they are maximising the benefit of these. Although the sums involved in some cases, for example, in local sponsorship, may not be large, they can help build local pride and support for the service.
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17.1.4
It will be particularly important to ensure that maximum benefit is obtained for highway maintenance from contributions in respect of new development. Although such contributions will be primarily to provide new or improved integrated transport infrastructure to mitigate the effects of the development, there may be a need to modify or bring forward maintenance works, which could be incorporated into the agreement. Unusual maintenance requirements, following adoption may also be reflected in commuted sums.
17.2 Asset Management Regime

17.2.1 The objectives of Highway Maintenance, dealt with in detail earlier in this Code are:
y Network Safety y Network Serviceability y Network Sustainability

The last of these objectives includes, amongst other things a requirement to minimise cost over time, focussing on whole life costs rather than the short term. This presupposes, of course, that authorities have sufficient financial flexibility to move beyond reactive maintenance for network safety and clearly circumstances will vary between authorities. 17.2.2 The objective of network serviceability includes, amongst other things, requirements for availability and reliability, seeking to minimise disruption to users. This could imply consideration of the value of users time as a factor in minimising cost over time and the Highways Agency include this in respect of the strategic network in England. For local roads the valuation of users time has not generally been an explicit consideration in highway maintenance whole life costing and for much of the local network it is not really a practical proposition. The increasing emphasis on users needs, the foundation of Best Value, does however require that potential disruption to users and consideration of their time, whether or not specifically costed should be a key consideration in the planning and delivery of highway maintenance services. Focussing on whole life costs implies the consideration of the highway network as an asset, having a defined financial value and requiring an asset management regime in order both to optimise use and maintain value. This Code is intended to define the key principles of such a regime. These principles are consistent with those of the Green Paper on Local Government Finance which, amongst other things, sets out wider proposals for the management and finance of local authority assets, including the establishment of a Single Capital Pot and unified assessment of asset investment priorities. These proposals, which are due to be implemented, have very significant implications for the capital funding of highways in England as they are likely to remove at least a proportion of the ringfencing of capital expenditure provided by the LTP and the earlier TPP funding regime. It is therefore crucially important the authorities establish an Asset Management regime for highways to a standard at least equal to that provided for other services.
17.2.3
17.2.4
17.2.5
17.2.6
17.3 Asset Valuation

17.3.1 It is implicit that any Asset Management regime should have as a starting point a valuation of the asset involved. This concept is less easily applied to highways than
other assets, and there are varying views as to its relevance. At the very least however some approximate quantification of highway network value will be important to identify the relative scale of the different authority assets potentially competing for the Single Capital Pot. 17.3.2 It is also likely that financial officers of authorities will already be valuing the highway network in some way for accounting purposes, in accordance with guidance included in the following:
y CIPFA Code of Practice on Accounting for Capital, 1994 y CIPFA Statement of Recommended Practice on Accounting for Capital 2000,
which supplements the 1994 Code 17.3.3 This guidance defines Infrastructure Assets as: Inalienable assets, expenditure on which is recoverable only by continued use of the asset created. Examples of infrastructure assets are highways, footpaths, sea defences, bridges, permanent ways, water and drainage facilities. Expenditure on infrastructure assets may be regarded as a sunk cost and is to be included in the balance sheet at historical cost less depreciation where appropriate 17.3.4 The guidance suggests that for most authorities the establishment of an opening position for infrastructure asset value may require a pragmatic approach. Authorities may have the information relating to outstanding debt in respect of past expenditure on infrastructure assets, which is an acceptable starting point for including these items on the opening balance sheet. The alternative of seeking to establish the historical cost of infrastructure assets and to what extent they should have been written down represents a major task and one which in practice is not considered to be necessary. The guidance indicates that some commentators have suggested that the opening position for roads should be based on miles of road multiplied by the cost of rebuilding/creating these roads. It advises that this approach is not consistent with the CIPFA Code, which specifies that such assets should be included in the balance sheet at historical cost. However, if an authority has records which give an indication of the age of roads and their approximate cost then a computed historical cost may be determined to set up the opening position. Moreover there is no reason why authorities should not disclose current replacement value information on these assets in the notes to the balance sheet. The UK Strategic Network has been valued in England by the Highways Agency and also in Scotland, Wales, and Northern Ireland by the respective authorities. A summary of the process used in Northern Ireland is given for information in Appendix J.
17.3.5
17.3.6
17.4 Accounting Principles

17.4.1 Accounting principals for highway maintenance will need to comply with the CIPFA guidance referred to above, in particular the treatment of capital and revenue expenditure, although this is may not be so clear cut as for other services. The CIPFA 2000 Document provides the following relevant advice in respect of highways expenditure:
17.4.2
y Expenditure that should be capitalised includes acquisition, construction,

enhancement or replacement of roads, buildings and other structures
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164
y In this context enhancement means carrying out works which are

intended to:
y lengthen substantially the useful life of the asset y increase substantially the open market value of the asset y increase substantially the extent to which the asset can or will be
used for the purposes of or in conjunction with the functions of the local authority concerned
y Under this definition improvement works and structural repairs should

be capitalised, whereas expenditure to ensure that the fixed asset maintains its previously assessed standard of performance should be recognised in the revenue account as it is incurred 17.4.3 Unless expenditure meets these criteria to be capitalised it should be treated as revenue.
17.5 Budgetary Control

17.5.1 Good budgetary control procedures are essential to sound financial management. The following notes cover the most important elements of budgetary control, and provide advice on the achievement of good financial management. Major elements of budgetary control include regular reviews of the following:
17.5.2
y Possible problems in under or overspend when comparing actual y Possible need to redefine objectives against budget provision y Possible need to delegate specific areas of larger budgets, enabling greater y Possible need to adjust budgets in the light of performance monitoring
17.5.3 By acting on the following principles a budget holder can help to ensure that activities carried out during the year are in line with agreed objectives: control expenditure transactions to budget
y Familiarisation with the relevant Financial Regulations and Procurement

Standards of the authority
y Recording of commitments to ensure that an accurate picture of

expenditure is available at all times. Hard commitments are defined as irreversible spending decisions such as orders raised. Soft commitments are those that could be stopped if necessary
y Reviewing transactions to ensure that nothing has been charged that was
not expected. Replacing the commitments for the preceding month with the actual expenditure and then reviewing future commitments in the light of experience
y Using financial reports and information supplied corporately by the

authority to compare regularly budget allocation to actual expenditure. At the end of the month, budget holders should receive a report of the total spending against each code to date
y Identifying possible over and underspendings sufficiently early to enable

corrective action to be taken
17.5.4
This corrective action could include:
y Using journal transfers to move income and expenditure from incorrect y Using virements to move a budget from one head to another where y y
possible overspending on one budget head might be compensated for by expected underspends on another Delegating budgetary responsibilities for specific budgets to personnel spending against those codes Ensuring budgets are reprofiled where necessary in order to realign total budget to proposed actual spend budget heads where applicable
17.6 Budgeting Principles

17.6.1 Budgeting principles for highway maintenance should provide the necessary level of flexibility in order to deliver value for money. They should recognise in particular:
y That integration of scheme planning and programming with other services

and agencies in pursuit of Best Value is likely to require greater flexibility than has previously been the case
y The differing life expectancies of various treatments and the implications

of these for the balance of capital and revenue funding
y The seasonal and weather sensitive nature of many treatments and the
service as a whole
y The uncertainties in prediction of outturn costs for winter services and

the need for yearend flexibility
y The increasing trend in weather emergencies and the need to make

provision for these and other emergencies 17.6.2 Budgeting arrangements for highway maintenance should take into account these special requirements in order to provide the necessary financial support to the delivery of Best Value. They should also be founded on the principal of Needs Based Budgeting. The budget for highway maintenance should be drawn up over a rolling five year period, which should enable schemes to developed on the basis of objective information and also to be adjusted in nature and programming to add value to other transport and wider policy objectives. This will also be consistent, in England, with the Local Transport Plan time horizon. Effective budget monitoring arrangements are of course crucial to the delivery of Best Value and, where services are procured through forms of p]ublicprivate Partnership, will form a key aspect of contract management. Many of the new forms of partnership being adopted by authorities are incorporating Open Book Accounting and also the provision of joint electronic data transfer systems for invoicing and payment. Such systems can make an important contribution to efficiency and are, of course equally relevant to inhouse or agency service delivery arrangements.
17.6.3
17.6.4
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Recommendations
R17.1 Financial Information and Planning
Strategies for highway maintenance contained in the Highway Network Management Plan and the Local Transport Plan should be supported by clear financial planning and management information arrangements.
R17.2
Sources of Finance
Financial planning arrangements should consider the scope for introducing new sources of finance, for example through PFI, and developers contributions.
R17.3
Budget Preparation
The preparation of budgets for highway maintenance should reflect the CIPFA Code of Practice for Best Value accounting and be based on a rolling fiveyear period consistent with the maintenance strategy.
R17.4
Financial Accountability
Systems for financial management should recognise the need for the delegation of financial accountability to be consistent with delivering high standards of responsiveness to customers.
R17.5
Accounting Flexibility
Arrangements should be established for carry over of expenditure at year end which recognise the sensitivity of highway maintenance works to variable weather conditions, particularly in the pre year end period.
R17.6
Weather Sensitivity
Consideration should be given to special financial arrangements including the use of reserves to deal with extended periods of bad weather, the frequency of which is expected to increase.
R17.7
Budgetary Control
Standards and procedures for budgetary control should be established, consistent with the principles of this Code. Systems should preferably enable easy and electronic data exchange between client and major service providers.
SECTION 1 8 : MONITORING REVIEW AND REPORTING

18.1.1
18.1 Importance of Monitoring, Review and Reporting

The establishment of regular and structured monitoring is a key requirement of any management regime and a fundamental principal of Continuous Improvement on which Best Value is based. It is however especially important in the case of highway maintenance for a number of reasons:
y The character and use of the network is subject to constant change, some
of which is reasonably predictable and some of which is not
y Legal interpretations of statutory responsibilities for safety, have

established the presence of effective monitoring review and reporting systems as a critical factor in determining liability
y Key policy planning processes including Best Value performance Plans,

and Local Transport Plans require regular monitoring and reporting, including progress on Performance Indicators and Targets
y Technical research on processes and practices for condition assessment is

rapidly evolving, and advice on best practice will need to take account of this. Information from Best Value reviews will also inform this process
y Technical research on materials and treatments, especially from the point

of view of sustainability is also rapidly evolving and will need to be taken into account
y New forms of partnership for service delivery incorporating Key

Performance Indicators will require monitoring for contract compliance
18.2 Categories of Review

18.2.1 Each of these requirements for monitoring, review and reporting may require a different approach and timetable and may involve:
y y y y
18.2.2
Continuous monitoring Programmed reviews Best Value reviews Ad hoc reviews
Continuous Monitoring will be essential for safety and certain operational purposes. Systems will need to provide regular updating on such matters as:
y planned (and unplanned) highway obstructions and all potential

disruptions, including works by the authority and third parties
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168
y results of safety and other inspections, including nature and time of

planned and actual response including nil returns
y results of service requests and complaints from users and the Community,
including nature and time of planned and actual response including nil returns
y changes in traffic flow, composition and network distribution y road traffic accidents and incidents, including damage only incidents
where available, both from police records and other sources, and any damage to the highway
y weather information
18.2.3 The regularity with which the above information is updated will largely depend on the practicalities of information collection and processing, together with the defined inspection frequencies. Authorities are encouraged to make the most effective use of ICT in establishing efficient and effective systems based on an understanding of the relative risks involved, and to apply these with absolute consistency. Less frequent but programmed reviews will also be necessary for other purposes:
18.2.4
y to analyse trends in network character and use, and consider possible

changes to hierarchy, inspection regime and standards
y to analyse trends in network accidents, incidents, service requests and

complaints and consider possible changes to hierarchy, inspection regime and standards
y to analyse the quality and effectiveness of continuous monitoring systems

and consider how these might be improved
y to monitor co-ordination of work programmes and priorities and consider

any changes necessary to take advantage of opportunities arising
y to review annually all relevant aspects of Winter Service and consider any
changes necessary
y to review all information relating to the delivery of BVPIs and local Pls
18.2.5 The frequency of these reviews will depend upon local circumstances, but should usually take place annually. They should also wherever possible be undertaken jointly between client and service provider, whether inhouse or private sector partner. They should be separate from but consistent with more frequent meetings between the parties for contract management purposes and monitoring of contract KPIs. Best Value reviews at five year intervals provide the opportunity for in depth analysis of all aspects of service policy and delivery including crucially the extent to which these are meeting the requirements of Strategic or Corporate objectives and those of other Stakeholders. It will be important also to ensure that opportunity is taken for highway maintenance to contribute to Best Value reviews of other related services, both of the principal authority and others.
18.2.6
18.2.7
Ad hoc reviews will also be necessary from time to time in the light of changes in funding regimes and to take account of technical developments.
18.3 Shared Best Practice

18.3.1 It is important that the outcomes of all reviews, whether Continuous, Programmed, Best Value or Ad Hoc are shared with all those whom they effect, but also more widely where they have the potential to contribute to shared best practice. Section 11 of this Code provides examples of Benchmarking Networks and similar groups where sharing is being pursued, but there is scope for this to be more widely effective.
18.3.2
18.4 Monitoring and Review of Code of Practice

18.4.1 All of the principles of Monitoring and Review outlined in this Section apply to this Code of Practice. The guidance that it provides will undoubtedly be affected by current and future developments in policy and practice, including:
y y y y y y y
18.4.2
New arrangements for NRMCS Outcome of footway maintenance research Outcome of cycleway maintenance research Development of a new Code of Practice for Bridge Maintenance Revision of the Code of Good Practice for Road Lighting Maintenance Developments in condition assessment technology Developments in materials, treatments and processes
The previous Code of Practice has been unaltered since 1989 but, with the present pace of change, it would be unrealistic to expect this new Code to remain unchanged for so long a period. It is therefore intended to take full advantage of new technology by providing online updating of the Code. The structure has been designed to facilitate this and it is intended to introduce the online updating service during the year following the launch of this Code.
18.4.3
Recommendations
R18.1 Risk Management Approach
Arrangements should be made for frequent and regular monitoring of overall network management performance, including effectiveness of inspection, information systems, and response arrangements, and changes introduced where necessary to ensure that personal and financial risks both to users and the authority are managed effectively.
R18.2
Monitoring of Indicators, Targets and Outcomes

Arrangements should be made for monitoring of strategic highway maintenance objectives and outcomes, including BVPIs and other key indicators of network condition and performance, and changes introduced where necessary to ensure that progress towards targets is maintained.
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R18.3
Monitoring of Procurement Regime

Arrangements should be made for monitoring the performance of procurement arrangements and the extent to which these are contributing to the pursuit of continuous improvement, and changes introduced where necessary to ensure that the necessary progress is maintained.
R18.4
Enhancing Benchmarking Information

Arrangements should be made to share ongoing monitoring and Benchmarking information with others in the interests of the wider Best Value agenda.
R18.5
Monitoring Research and Developments

Arrangements should be made to ensure that the results of ongoing research are monitored and incorporated into highway maintenance practice where desirable and with respect to local circumstances.
APPENDICES
Appendix Appendix Appendix Appendix Appendix Appendix Appendix Appendix Appendix Appendix A B C D E F G H J K
Glossary of Terms Parameters for Defect Definition Options for Hierarchy Development UKPMS Rules and Parameters Optional Pavement Condition Assessment Regimes Suggested Local Performance Indicators Key Performance Indicators for Procurement Winter Service Issues Example of Network Asset Valuation References
APPENDIX A : GLOSSARY O F TERMS

Abbreviations
CCT CIPFA CRM CVI DRMB DSO DVI BVPI BVPP FWD HAPAS HAPMS ICE IHT KPI LPI LTP MAC M4i NHSS NRMCS NRSWA NSG NVQ PPPP PSA RSG SCRIM SMTD SSA TRACS TRMM UKPMS Compulsory Competitive Tendering Chartered Institute of Public Finance and Accountancy Customer Relations Management Coarse Visual Inspection Design Manual for Roads and Bridges Direct Service Organisation (also DLO) Detailed Visual Inspection Best Value Performance Indicator Best Value Performance Plan Falling Weight Deflectometer Highway Authorities Product Approval Scheme Highways Agency Pavement Management System The Institution of Civil Engineers The Institution of Highways & Transportation Key Performance Indicator Local Performance Indicator Local Transport plan Managing AgentContractor Movement for Innovation National Highways Sector Scheme National Road Maintenance Condition Survey New Roads and Street Works Act National Street Gazetteer National Vocational Qualification Public Private Partnership Programme Public Service Agreement Revenue Support Grant Sidewayforce Coefficient Routine Investigation Machine Sensor Measured Texture Depth Standard Spending Assessment Traffic Speed Condition Survey Trunk Roads Maintenance Manual United Kingdom Pavement Management System
Main Definitions used in this Code

Asset Management Plan A plan for the lifecycle management of the asset to maintain its value and provide a specified level of service in the most economic and sustainable way Authority All forms of national and local authority having responsibility for road maintenance Automatic Pass The automatic processing of data within Pavement Management Systems according to defined Rules and Parameters without manual intervention
A 1
Code of Practice for Maintenance Management A 2
Benchmark A parameter of data, process or function used for comparison Best Value Ensuring that services are responsive to the needs of citizens not the convenience of service providers. Securing continuous improvement having regard to a combination of economy, efficiency and effectiveness. Carriageway The part of the highway laid out for use by motor vehicles Complaint Communication alleging failure to respond adequately to service or information request Cycleway Collective term for all segregated facilities laid out specifically for cycles Footpath Off Road unsurfaced Public Right of Way for pedestrian use Footway Collective term for all segregated facilities laid out for use by pedestrians Highway Collective term for publicly maintained facilities laid out for all types of user, and includes for the purpose of this Code, roads and streets Highway Register Register of public highways maintained by authorities, mainly for the purpose of Land Charge Searches. In Scotland termed, List of Public Roads Housing Footway Unadopted footways mainly serving housing development maintained by authorities under other than highway powers Investigatory Level The standard of asset condition below which the need for treatment should be considered Maintenance Type The nature of planned maintenance response, for example reactive, routine or programmed Maintenance Category The nature of maintenance work undertaken, for example, cleansing, patching, resurfacing etc Performance Indicator The measure of performance in exercising a function Pavement Collective term for the construction of all running surfaces Road See Highway
Rules and Parameters Common standards applied by UKPMS to derive condition indices and treatments Running Surface Collective term for all hardened surfaces within the highway Safety Inspection Inspections to identify all defects likely to create danger or serious inconvenience to users or the wider community Service Inspection Inspections to identify all defects likely to compromise serviceability Service Request Communication seeking information, inspection or maintenance activity Single Capital Pot Amalgamation of capital funding for authority services, and removal of ringfencing Soft Estate Highway land, usually behind the verge not surfaced or maintained for use or convenience of vehicular traffic Street See highway Structural Condition Index A number in the range 0 to 100 which defines the relative condition of the highway. Higher numbers reflect increasing deterioration Structural Condition Survey Survey to identify defects likely to compromise network value and sustainability Sustainability Securing a balance of social, economic and environmental wellbeing that does not compromise the ability of future generations to meet their own needs. Also to ensure that financial and operational resources are provided to avoid progressive deterioration of the asset System Intervention Level The standard of asset condition at which a Pavement Management System automatically applies a treatment Warning Level Not used. See investigatory level Winter Service Collective term for all specialist winter operations. Also called Winter Maintenance
A 3
APPENDIX B : PARAMETERS FOR DEFECT DEFINITION

B1
B1.1
Potentially Dangerous Deficiency
Section 9 of this Code defines the purpose of Safety Inspections as being designed to identify those defects likely to create danger or serious inconvenience to users of the network or the wider community, and therefore requiring immediate or urgent attention In England, The Highways Agency identifies such defects as Category 1 and defines them as: Those which require prompt attention because they represent an immediate or imminent hazard or because there is a risk of short term structural deterioration
B1.2
B1.3
Also, in England the Best Value Performance Indicator BVPI 105 requires authorities to record and monitor the:Total number of reported incidents of dangerous damage to roads and pavements repaired or made safe within 24 hours from the time that the authority first became aware of the damage, as a percentage of such incidents
B1.4
It is suggested that in each of these cases the level of deficiency referred to is similar and that the Category 1 notation adopted by the Highways Agency should be adopted by authorities for the purpose of recording BVPI 105 information. It will still be necessary however for those undertaking inspections, or responding to reported incidents, to judge whether any individual observed or reported defect should be recorded as Category 1 and the consequent urgent action put in hand. Each and every such decision could be critical to the safety of users and may also potentially be subject to legal scrutiny in the event of an accident occurring at or near to the site, and complete and accurate records will be essential.
B1.5
B2
B2.1
Suggested Items for Inspection

Each authority should therefore provide clear guidance and training to employees in the conduct of safety inspections, including a check list of items to be inspected and advice on the recognition of Category 1 defects. The use of photographs both for training and onsite comparison is encouraged. This Appendix, developed from practice in Northern Ireland, provides a suggested schedule of deficiencies, which should be identified during safety inspections. It is not exclusive, is provided as a check list only, and should be modified to suit local circumstances.
B2.2
(Note: The term running surface applies to carriageway, footway or cycleway)
B 1

B2.3 B2.4
y y y y y y y y
Debris, spillage or contamination on running surfaces or hard shoulders Displaced road studs lying in the carriageway Overhead wires in a dangerous condition Vandalism, particularly if electrical consequences Abrupt level differences in the running surface Potholes, cracks or gaps in the running surface Edge deterioration of the running surface Loss of skidding resistance
y Missing or broken ironwork (gully lids, manholes etc) y Standing water, water discharging onto or overflowing across the highway y Blocked drains or grips y Damaged, defective, displaced, missing or misleading traffic signs, signals, or y y y y
lighting columns. Missing or badly worn road markings Dirty or otherwise obscured traffic signals and signs Damaged safety fencing, parapet fencing, handrail, and other barriers Sightlines obscured by trees, unauthorised signs and other features
Whether any of these deficiencies should be dealt with as Category 1 will depend upon:
y The depth, surface area, or other extent of the defect y The location of the defect relative to highway features such as junctions and
bends
y The location of the defect relative to the positioning of users, especially

vulnerable users, such as in traffic lanes or wheel tracks
y The nature and extent of interaction with other defects y Forecast weather conditions, especially potential for freezing of surface water
The weight given to each of these parameters in determining whether any individual defect should be treated as Category 1 will be a matter of on site judgement but will also have regard to the outcome of legal proceedings. In this context, for example, a pothole depth of 100mm in carriageways or 20mm in footways and cycleways is presently considered to require particularly careful consideration.
B 2
APPENDIX C : OPTIONS FOR HIERARCHY DEVELOPMENT

C1
C1.1
Approaches to Hierarchy
The concept of hierarchy is an essential element for the application of standards to a highway network and guidance on establishing basic local hierarchies is outlined in the Code. The new approaches of Best Value and Integrated Transport, however suggest that authorities might wish to consider a more flexible approach to hierarchy, reflecting more accurately actual function and use of different sections of the network. This Appendix suggests a new approach to hierarchy building on the base hierarchy for each section in the network. This base hierarchy is then modified to take account of different functions and use where specific local criteria apply. These criteria should be easily identifiable, and transparent (An example might be that, in a location used by vulnerable road users, an enhanced hierarchy and weighting would be used for the determination of safety inspection frequencies than might otherwise have been suggested by the base hierarchy). The criteria should be flexible enough to cater for the range of circumstances encountered in that authority and are, in effect an expression of a risk assessment carried out, for each function and on each section of the network. In most cases the base hierarchy will be sufficient, and it is likely than only in a minority of cases will it be appropriate to define a functional hierarchy, although the application of the relevant criteria will need to cover the whole network. Once assigned to the network, using a checklist approach similar to that described below, the base hierarchy and any functional hierarchies become the hook on which standards may be attached to specific sections of highway. Associated targets and performance indicators will also be assigned, taking into consideration factors for each of the core objectives.
C1.2
C1.3
C1.4
y Safety y Serviceability y Sustainability

C1.5 It should be noted that additional functional hierarchies, if used, always result in a raised standard for a particular function, and never a reduced standard. Hence the base hierarchy becomes the criteria used for defining minimum standards.
C2
C2.1
Development of Functional Hierarchy

The suggested steps to be undertaken are:
y STEP 1 Assign the base hierarchy based on the advice in Section 8 of this
Code of Practice
C 1

C2.2
y STEP 2 Develop (optional) functional hierarchies

Functional Factor Access route (school/hospital etc.) Criteria Yes/No and importance Noise, appearance, etc. Yes/No Factors applying Safety Service Sust Y Y
Special environmental considerations Special traffic zone (eg calming) Winter service route Vulnerable users or with special needs Lorry route Public transport route Cycle network
Yes/No Extent applicable
Y Y Y
Yes/No Yes/No Yes/No Y
Y Y Y
Y Y Y
A table, similar to this is used as checklist for every section in the network and, for each of the factors considered important locally. For each core objective, an indicator is set if, on that section, safety or service or sustainability considerations warrant a raised standard. The local rules for determining whether the factors warrant the indicator being set should be clearly documented and adhered to. This indicator is then considered in Step 3 when applying the hierarchy to standards in the range of functions and activities covered in the Code.
y STEP 3 Apply Hierarchy

When applying hierarchy in the range of policy contexts, the base hierarchy should form the basis for standards, but with optional additional factors being taken into Examples of Activities and Associated standards that May be Determined by Local Factors Frequency of safety inspections Inventory levels applied to defects Safety defect response times Standards for winter service Frequency of routine maintenance Designation of NRSWA protected streets Design standards and choice of materials Related Objectives Safety Service Sust
C 2
account in each case to determine whether or not an enhanced functional hierarchy applies. For example; an authority that has defined a Cycle Route Network (CRN), might adopt this a criteria for raising the standards applicable to safety and serviceability on sections of the network which have cycleways that are part of the CRN.
C3
C3.1
Discussion
When additional functional hierarchies are adopted, this may increase significantly the complexity of the network model used by an authority. However, many systems, including UKPMS accredited systems, have the potential to assign different hierarchies to different features (for example, to each footway or cycletrack) not just to whole sections, but dynamically by length along a section. For example, a section of road as recorded in an authoritys UKPMS or highway management system, may have varying road hierarchies along the carriageway, and may also have different hierarchies for footways on each side of the road. In most cases it will be sufficient to record a single hierarchy for the whole section for the associated carriageways and footways. Only in those locations, where there is a genuine difference in the level of use or function of a feature within a road section will this approach be worthwhile.
C3.2
C 3
APPENDIX D : U K P M S RU L E S PARAMETERS
D1
D1.1
AND
The UKPMS Rules and Parameters Project
During the development stages of UKPMS a set of Rules and Parameters was produced for use in early trials of the system. When fully implemented, a review of this rule set resulted in a nationallyapplicable set of data that:
y was robust and logically consistent y included the range of pavement types required in practice y revised the relationships embodied in the rules to reflect current maintenance
policy and engineering practice D1.2 The Rules and Parameters released centrally by the UKPMS project are appropriate for use as a default set with accredited UKPMS systems and also as a template for local adaptation. Up to the year 2000, the release set designated RP2.0 was approved for use in producing Best Value Performance Indicators in conjunction with Tranche 2 accredited UKPMS systems. A release set RP3.0 will be available to cover the requirements of UKPMS Tranche 3. In future, other releases will be issued either as updates to the earlier series, or with new applications in mind. There are implicit assumptions in the development of the rule set, for example in the costing of certain treatments, which users need to be aware of for correct implementation. This information may be accessed using the Rules and Parameters Viewer, a software tool developed in association with the MARCH Group. Such tools will greatly assist a UKPMS user in increasing the depth of their understanding of the Rules & Parameters.
D1.3
D2
D2.1
The Concept of a Rule Set

The automated processing of UKPMS termed the Automatic Pass provides the key function of translating recorded pavement condition across the network to a prioritised schedule of treatment lengths with a recommended treatment option and associated cost for each length. This processing draws upon both the physical data for the network condition data, network and inventory information and also the engineering parameters and rules, for example defining the relationship between pavement condition and treatment. It is these latter rules and parameters that are set up within the system, either using the national defaults or by being configured by the user. It is therefore important for all practitioners using proprietary UKPMS systems that they use the correct, and most uptodate, version of the Rules & Parameters applicable to the task in hand.
D 1
Code of Practice for Maintenance Management D 2
Figure D1 Single Year Analysis

RAW OBSERVATIONS
INVENTORY DATA
Rating Rules
Rating lengths with % defectiveness
Multi Year Analysis/Economic Prioritisation (additional rule elements)
Rating Length Condition Index Calculation Rules
Rating lengths with Rating Values
Condition Projection Rules (Rated Defects) Or Condition Projection Rules (Condition Indices)
Initial Defect Lengths with Individual Condition Index Values
Defect Length Overall Condition Index Calculation Rules
Merged and Chopped Initial Defect Lengths
System Intervention Levels Treatment Selection Rules
Final Defect Lengths with Overall Condition Indices
Treatment Lengths
ESTIMATING COST RATES
Condition Ranking Curves
Costed Treatment Lengths
Economic Prioritisation Cost Parameters and Rules
Prioritised Treatment List

BUDGET HEAD AND AMOUNTS
List of Funded and NonFunded Treatments Key:

Standard Rules and Parameters USER INPUTS
Reports
Intermediate Processing Steps
D3
Overview of Treatment Selection and Prioritisation in the Automatic Pass

Process Elements The selection and prioritisation of treatments in the Automatic Pass of UKPMS is based on available visual and/or machine condition data, which is chosen for incorporation in the analysis of a section or sections. The analysis process involves a number of separate elements, the detail of which necessarily has a bearing on the treatment which is ultimately selected. The key elements are:
D3.1
y y y y y y y y
Defects Rating of Defects Condition Indices Condition Projection System Intervention Levels Treatments Treatment Selection Rules Prioritisation of Treatment Lengths
The sequence of the processing is illustrated schematically in Figure D1, and a brief overview of the function of the rule elements is given in the following sections.
D4
D4.1
Defects and Rating of Defects

The condition of the pavement, as identified from visual and/or machine survey techniques, is collected and presented for the purposes of UKPMS as discrete defects. These are defined both in terms of the observed pavement condition that should be classed as a particular defect and the parameters of the defect, such as area or extent, that should be recorded. Defects exist for the appropriate combinations of survey type, feature, and pavement type, which will in general give rise to a large number of individual defect definitions. The defects form part of a UKPMS rule set, with standard definitions issued for nationallyconsistent surveys such as the standard UKPMS CVI or DVI. It should be noted that the definition of defects may also be configured by the user. This provides far more flexibility and scope than previouslyused systems, and, for example, results in over 200 defects being defined for the current default UKPMS rule set; these are, therefore, not presented here but may be accessed through the Rules and Parameter Viewer or the UKPMS Owners Forum website (www.ukpms.com). Advice on recognition of these defects is given in the UKPMS Visual Survey Procedure Manual. The first step in a UKPMS analysis run is that each observed defect is assigned a rating value. The use of a rating value allows all defects to be evaluated on a common, dimensionless scale. The magnitude of the rating value reflects the extent and/or severity of the defect and is determined from the appropriate rating curve. Rating curves exist for each defect for each feature and construction type. An example rating curve for the DVI defects for bituminous carriageways is presented, in text format, below.
D4.2
D4.3
D 3
Defect: Whole Carriageway Major Fretting Defectiveness determined as percentage of area affected Defectiveness (%) 10 15 35 50 100 Rating Value 0 50 85 100 100
D5
D5.1
Condition Indices/Condition Index Calculation

The rating value that is derived for a particular defect is not used directly in the selection of a treatment to remedy that defect, but is used in the calculation of one or more Condition Indices. The use of Condition Indices is a means of grouping defects according to the part or parts of the pavement structure that they affect in order that an assessment of condition based on all relevant defects can be made. The Condition Indices that are utilised in the current rules and parameters set vary according to feature and pavement type; as an example those that apply to bituminous carriageways are listed below.
y y y y y
D5.2
Structural Condition Index Wearing Course Condition Index Surface Properties Condition Index Edge Condition Index Overall Condition Index
The form of the Structural Condition Index for bituminous carriageways in the current default rule set, which illustrates how the ratings of the various defects may be weighted and combined, is shown below: Structural Condition Index, Bituminous Carriageway The highest rating of: 1.0 1.0 1.4 1.0 1.0 1.0 1.0 1.0 1.0 1.0 1.0 1.0 1.0 1.0 0.4 1.0 1.0 0.5 x x x x x x x x x x x x x x x x x x Whole Carriageway (WC) Major Cracking Severe Local Settlement/Subsidence Whole Track (WT) Major Cracking WT Major Cracking + 0.5 x WT Rutting WT Rutting + 0.5 x WT Major Cracking WT Major Cracking + 0.5 x HRM Rutting HRM Rutting + 0.5 x WT Major Cracking Residual Life + 1.0 x WT Major Cracking Residual Life + 0.5 x WT Rutting Residual Life + 0.5 x HRM Rutting CVI Carriageway Major Cracking CVI Settlement/Subsidence CVI Carriageway Major Cracking + 0.6 x CVI Rutting CVI Rutting CVI Rutting + 1.0 x Residual Life Residual Life + 0.5 x CVI Carriageway Major Cracking HRM Rutting + 0.5 x CVI Carriageway Major Cracking HRM Rutting + 1.0 x CVI Carriageway Major Cracking
D5.3
Similar condition indices exist for each construction type for all features.
D6
D6.1
Condition Projection
Condition projection rules and parameters define rate of deterioration with time, taking into account previous performance based on existing condition data. Condition projection may be applied to either rated defects or Condition Indices and is used for updating existing condition data and/or multiyear analysis.
D7
D7.1
System Intervention Levels

System Intervention levels are used to set the value of a Condition Index at which treatment is applied. The value of each System Intervention Level is quoted by Base Hierarchy which, in principle, allows treatments to be invoked at different levels of condition according to the classification of the of road. The road hierarchies in the current rule set are based on the categories, numbered 1 to 4 previously defined in the Local Authorities Association Code of Good Practice, 1989, but also compatible with this Code. Note that Category 1 refers to motorways and is not, therefore, relevant for the intended application of UKPMS. The use of an alternative classification for road hierarchy is possible within UKPMS. System Intervention Levels exist for all features and hierarchies.
D7.2
D7.3
D8
D8.1
Treatment Selection Rules

The treatment selection rules operate on both the Condition Indices and the System Intervention Levels and represent the logic that is used to determine the appropriate treatment for the condition and Base Hierarchy of the feature. Treatment selection rules exist for all features and construction types.
D8.2
D9
D9.1
Treatments
Various treatment options exist, appropriate for each feature and pavement type, for selection according to pavement condition. The treatment options developed for the current default rule set are intentionally limited in level of detail since it was considered that, given the nature of the input data and the constraints of the automated processing logic, no more specific recommendation would be warranted and that the output should be regarded primarily as a guide to the likely nature and scale of treatment required.
D10 Prioritisation
D10.1 The treatment lengths determined from the Automatic Pass may be prioritised by one of two methods: Condition Ranking This represents a worst first approach whereby ranking values from predetermined ranking curves are assigned based on condition, base hierarchy and recommended treatment.
a)
D 5
b)
Economic Ranking This approach attempts to determine where treatments should most effectively be applied to prevent or minimise further deterioration from consideration of cost parameters including maintenance works costs, routine maintenance costs, delay costs and accident costs.
D10.2
Note that treatment costs have not thus far been issued in the standard Rule Sets; this is to allow for local and regional cost rate variations. It is possible in future that national cost data may be issued as part of a UKPMS Rule Set.
APPENDIX E : OPTIONAL PAVEMENT CONDITION ASSESSMENT REGIMES

EI
E1.1
Developments in Pavement Condition Assessment
Since the last edition of the Code of Practice, there have been considerable developments in the type, cost and availability of the surveys and techniques available to authorities for the assessment of pavement condition. This Appendix proposes a framework within which a highway authority can develop optional regimes of such assessment techniques to meet particular local needs and capabilities. Three examples of optional assessment regimes are then given to illustrate the application of the framework. In specifying a condition assessment regime, and in making a case for instituting a particular survey or assessment, it is important to note that data are not usually collected only to support a single information need. Opportunities should be taken to gain maximum value from the data by utilising it in a number of ways. Condition assessment can support, but need not be limited to, the following activities: a At the scheme or project level:
E1.2
E1.3
y To support decisions on what, where and how to treat y To develop detailed scheme designs, and options for scheme designs y To provide an audit on the decisions taken by maintenance engineers in the y y y
choice, timing and priority of treatments To target more detailed assessments To determine whether treatments and reinstatements have been carried out to an appropriate standard To identify locations where functional or safetyrelated pavement characteristics do not meet a defined local or national standard (such as skid resistance, ride quality)
b At the authority highway network level:
y y y y y y
To pursue Best Value by aiming to optimise spend of limited resources To determine an appropriate level of budget for maintenance within an authority To determine physical characteristics of road pavements To develop and monitor local performance indicators To support the production of longterm programmes of work To enable subauthority benchmarking (eg, between agents or areas)
E 1
Code of Practice for Maintenance Management E 2
c Regionally, Nationally and Internationally
y y y y y y y y
E1.4
To assist production of national BVPIs To support international benchmarking To support interauthority comparison To support highway condition and maintenancerelated research and development To determine relative levels of funding at a regional or national level To monitor condition of the national road network To assess maintenance need at the national level To assess functional performance of the national road network
The first step in determining the surveys and associated data requirements is to review the information needs for each part of the network, in particular to determine how they vary by feature (carriageway, footway and cycleway etc.) by environment and by road class, or by levels within the hierarchy. In practice, however, a number of additional considerations come into play when determining the regime:
E1.5
y Availability of funding for assessment purposes y Physical constraints. (For example, the geometry on parts of the road network, y y
E1.6 particularly the unclassified network may make the use of certain machine surveys impractical) Pavement construction. (For example, Deflectograph surveys are of very limited value on rigid construction pavements) Availability of resources and machinery, at the appropriate time to undertake surveys and to process data
The timing of surveys and techniques may be constrained by weather and seasonal factors. SCRIM surveys are generally intended to be carried out between midApril and midSeptember, and a lower rate of productivity and progress should be assumed when planning visual surveys for the winter months. When the information needs have been established for each part of the network under consideration, and constraints on the application of surveys identified, then the required assessment regime can be defined.
E1.7
E2
E2.1
Minimum Survey Regime

It is suggested that the starting point should be the minimum regime that will allow to support requirements for Best Value Performance Indicators and to provide for participation in the National Road Maintenance Condition Survey (NRMCS). Table E(i) shows a possible minimum survey regime that meets these requirements. Note the following:
y Inventory data is not required y Full crosssection position recording is only used where machine surveys such as
rut surveys and TRACS type surveys (TTS), using a survey machine similar to that used on the Highways Agency contract, to record rut, transverse and longitudinal profile, texture and cracking are proposed DVI surveys are proposed for the offcarriageway features
Surveys (% per year)
XSP Method
Deflectograph
Network
Features
Urban Principal Rural Principal Urban Classified Rural Classified Urban Unclassified Rural Unclassified
Carriageway Others Carriageway Others Carriageway Others Carriageway Others Carriageway Others Carriageway Others
50 50 50 50 50 50 50 50 25 25 25 25
100 33 50 100 33 50 50 50 25
50 50
50 50
M M M M M M M M M M M M
F M F F M F
E3
Table E(i): Minimum Survey Regime.
Notes and Key
y Inventory will always be required on jointed concrete carriageways y Other features comprise kerbs, footways and footpaths, cycleways and cycle paths
and hardpaved verges
y The tables assume the new NRMCS regime including SCRIM surveys to be carried
out on a threeyear cycle
y CVI (walked) surveys may be carried out by cycling where appropriate y Further details of highway network categories are referred to in Section 8.8 of this
Code
y Summary of abbreviations. For full details refer to UKPMS Visual Survey Manual
XSP cross section position M minimal F full
y TRACS type (TTS) Surveys are to be introduced as a requirement for NRMCS from
20023. Other options are indicated for present use
y Rutbar information shown as optional but recommended for principal and

classified roads where TTS surveys are not used
Network level survey Alternative or supplementary survey Scheme only survey Inspection Frequency (% of Network Per Year)
Use Inventory?
N N N N N N N N N N N N
Ground Radar
CVI (Walked)
CVI (Driven)
SCRIM
Others
Rutbar
FWD
DVI
CVI
TTS
E 3
Network
Features
100 33 50 50 50 50 50 25 25 25 25 50 50 25 100 33 50 50
50 50 50 50 50 50
M M M M M M M M M
F F F M F F F F
Table E(ii): Example Enhanced Survey Regime.

E 4
Use Inventory?
Y Y Y Y Y Y Y Y Y Y Y Y
Deflectograph
CVI (Walked)
Ground Radar
CVI (Driven)
SCRIM
FWD
DVI
Others
Rutbar
CVI
TTS
E4
E4.1
Enhanced Survey Regime

Authorities may establish data requirements, over and above this minimum regime to support their own maintenance and management of the local road network. At this stage the focus is on network level functionality consistent with the application of UKPMS, where the purpose of condition assessment is primarily for the determination of budgetary need and for the firstcut determination of treatment proposals, for more detailed consideration by maintenance engineers. Table E(ii) illustrates this enhanced regime. Note the following:
E4.2
y Inventory data is collected to provide more accurate calculation of areas, rating y More detailed, DVI surveys may be chosen to provide additional information on y y
E4.3 the local road network. In the case of principal road carriageways, this is in addition to the TTS survey 1/3 of the principal road network is subject to SCRIM surveys TTS surveys are optionally extended to the classified road network of defects and derivation of cost estimates
This enhanced regime better supports the following activities at a local level:
y Consequences of historic funding and polices are monitored by tracking changes y Treatment length costing and evaluation. Once treatments have been formulated, y
priorities are established on a condition (worst condition) or economic (best value) basis Maintenance policies aimed at reducing wetskidding accidents in network condition
XSP Method
E5
E5.1
Further Enhanced Survey Regime to Support SchemeLevel Operation

Table E(iii) illustrates a regime that has been further enhanced by the following:
y Locations where DVI surveys have not been routinely carried out are subject to y Ground radar and Deflectograph or FWD investigations are proposed in to
support the design of individual treatments E5.2 Note that Scheme level surveys only collect data required over and above the networklevel data previously collected. This regime is designed to support the detailed assessment of treatment options at a scheme level. Condition data are used to justify bids for funding for specific maintenance schemes, to allow future audit of treatment decisions, and to allow allocation of relative priorities to schemes on a condition or on an economic basis.
XSP Method
schemespecific DVI surveys
E5.3
Network
Features
100 33 100 33 50 50 50 50 25 25 25 25 50 50 25 50 50
50 50 50 50 50 50
M M M M M M M M M
F F F M F F F F
Table E(iii). Example Further Enhanced Survey Regime.
Use Inventory?
Y Y Y Y Y Y Y Y Y Y Y Y
Deflectograph
Ground Radar
CVI (Walked)
CVI (Driven)
SCRIM
Others
Rutbar
FWD
DVI
CVI
TTS
E 5
APPENDIX F : SUGGESTED LOCAL PERFORMANCE INDICATORS

F1
F1.1
Introduction
Guideline local performance indicators for highway maintenance are listed under the core objectives of the asset management regime which can be summarised as follows:
y network safety y network serviceability y network sustainability

F1.2 The indicators described below are an initial attempt to provide a general overview of the highway maintenance service from the perspective of standards of service and the user viewpoint. Work in progress through Benchmarking Networks will further inform this process and revisions to this appendix will need to be issued in due course. There are also other aspects of the service for which indicators are appropriate and could fulfil the criteria for measuring performance. These include:
F1.3
y y y y y
F1.3
general management (processes, procedures, support services) project management (time, quality, cost) client arrangements consultants (inhouse, externalised, external) contractors (inhouse, externalised, external)
Proper management control should address all these issues and it is important, therefore, that performance indicators exist for all these aspects, whether as published indicators, or as general management information.
NETWORK SAFETY
Indicator SA1 Purpose Description Definition Highway safety inspections To measure the timeliness of the authoritys safety inspection regime The percentage of routine safety inspections completed within the required time limits by the authoritys highway inspectors Safety inspections are routine inspections of all highways maintainable at the public expense for the purpose of identifying dangerous and other actionable defects The effectiveness of the inspection regime is likely to have an effect on the overall safety of the highway as well as having a direct impact on the numbers and success of third party claims Inspection frequencies need to be defined for the different categories of road, footway and cycleway Inspectors need training and guidance manual of relevant defects Information to be recorded and compared based on financial year
Reasoning
Practical Issues
F 1
Code of Practice for Maintenance Management F 2
Supporting Indicators
Inventory of inspection routes Numbers of actionable defects identified Numbers of alleged defects reported from elsewhere Skidding resistance To ascertain a measure of the safety of the principal road network in respect of its skid resistance condition and monitor the change in this value over time The percentage of the principal road network with a skid resistance above the investigatory level Investigatory levels should be defined by the authority and be consistent with current DETR standards. Measurement should incorporate the whole network by using the latest available information Authorities should endeavour to ensure that appropriate skid resistance is provided across the whole network, both for safety reasons in respect of skidding and to provide a defence in cases of litigation Similar lengths of road to be measured each year Information to be recorded and compared based on financial year Standard method of testing to be adopted Percentage of network awaiting priority treatment for skid resistance Percentage of network measured for its skid resistance annually. Street light repairs To ascertain a measure of highway users personal safety and security by measuring the efficiency of an authority in repairing street lighting faults The average length of time in repairing street light faults and compare with the authoritys policies and objectives The average time is the time taken in repairing all faults, except faulty electricity company service cable and terminations, and knockdowns, from when the faults were known plus half the time between the regular inspections. Faults should be rectified as soon as practicable, as dark areas in streets are a cause for concern in regard to personal safety, especially for pedestrians, and a well lit safe environment is key to the well being and confidence that encourages people to use the highway Appropriate computer database needed for accuracy of information Data should be collected monthly to reflect seasonal variations Information to be recorded and compared based on financial year If the cable is owned and operated by the authority, then they have full control over its repair, and it should therefore be included in the indicator. Similarly the repair/replacement of a knocked down column is also under direct control and should therefore be counted. The transfer of electricity cables will, following deregulation, expected in October 2001 be subject to competition. Faults generated by inspections Faults reported by users Repairs completed within specified time limits Repairs completed outside specified time limits Dangerous faults repaired or made safe
Indicator SA2 Purpose
Description Definition
Reasoning
Practical Issues
Reasoning
Practical Issues
Indicator SA4 Purpose Description Definition
Street light column replacements To ascertain the effectiveness of an authoritys risk management strategy in timely replacement of the street lighting column stock The percentage of the lighting stock that is life expired Age expiry limits can be determined through condition assessments, age limit recommendations set by manufacturers or time limits assumed following structural improvements Columns should be replaced in an annual rolling programme such that age expiry limits are met and defective columns replaced The risk management strategy should ensure that the street lighting column stock is replaced at the recommended intervals in order to minimise the risk of sudden column collapse with its possible fatal consequences Appropriate computer database needed for data accuracy Regular structural assessments for the lighting column stock should be undertaken Information to be recorded and compared based on financial year Column replacement budget. Column inventory Third party claims To assess a measure of the highway safety standard from the perspective of the user and the effectiveness of the authoritys risk management strategy The percentage of third party claims repudiation rate over the previous three years. Third party claims are lodged in respect of alleged damage, injury and /or loss occasioned as a result of a perceived highway defect and claims repudiated are those which are settled with no payment to the claimant by the highway authority A measure of the state of the highway can be assessed by the number of third party claims submitted against the authority together with the number of successful claims leading to compensation payments Procedure for dealing with claims needs to be clearly defined Provisional threeyear figure estimates may be required as some claims can take many years to resolve Actual repudiation rates should be calculated when the figures are available for earlier years Information to be recorded and compared based on financial year Number of claim forms requested Number of claims forwarded to other organisations Costs of claims accepted
Reasoning
Practical Issues
Reasoning
Practical Issues
NETWORK SERVICEABILITY
Indicator SE1 Purpose Description: Actionable defects To ascertain the efficiency of effecting actionable non Category 1 repairs in the highway The average length of time in executing nonsafety actionable repairs in the highway and compare with the stated objectives of the authoritys policies Safety repairs are based on Category 1 defects and should be undertaken within 24 hours. Actionable non Category 1 repairs are to
Definition:
F 3
Reasoning:
Practical Issues:
be completed within the timescales specified by the authority Calculations for the average time of repair should be performed for each different priority of repair and then averaged pro rata to the number of repairs in each category Time should be measured in working days from the date of notification of the fault An authority should provide an efficient service in repairing non Category 1 actionable defects for the benefit of the community and to demonstrate the effectiveness of the inspection regime and repair procedure In all cases time for completion of permanent or temporary repair is to be measured and instances of making safe are to be discounted Information to be recorded and compared based on financial year Repairs effected within specified time limits Repairs effected outside specified time limits Category 1 repairs BVPI 105 Major Road Works To ascertain a measure of time predictability in respect of unpredicted disruption caused to users as a consequence of undertaking major road works The percentage of major road work schemes which overrun the published completion dates Major road work schemes are maintenance schemes in the annual programme that are estimated to take longer than 4 weeks together with other schemes which are likely to have a significant impact on users. These schemes should have information boards on site incorporating commencement and completion dates Road works which overrun published completion dates are a source of disruption and frustration to users and the community and accordingly should be avoided wherever possible For measurement purposes, completion is determined by the effect on highway users, and not necessarily contract completion Major road works within annual programmes which need information boards should to be specified Information to be recorded and compared based on financial year Programmed scheme duration Actual scheme duration NRMCS Index To evaluate annual changes in the condition of the highway network To assess the overall condition of the highway network by inspection on an annual basis Assessments are undertaken under the auspices of the National Road Maintenance Condition Survey (NRMCS) This survey is carried out by most authorities and produces direct comparisons of general condition assessment over all classes of road The overall assessment index across all classes of road will need input from the client Some authorities do not participate in NRMCS Other condition surveys.
Indicator SE2 Purpose
Reasoning
Practical Issues
Indicator SE3 Purpose Description Definition Reasoning Practical Issues
Indicator SE4 Purpose Description Definition
User Satisfaction To determine the overall level of user satisfaction in respect of the highway maintenance service Score of user satisfaction by conducting a regular survey through a representative sample Standard questionnaire covering all aspects of the service with each aspect to be scored and all scores to be averaged (the higher the score the higher the satisfaction rating) between 1 and 5 Average score of all returned questionnaires to be used as the overall level of user satisfaction A survey of a representative sample of users covering all aspects of the service will give a broad indication of user satisfaction, which is an integral element of best value To achieve an optimum return, consideration should be given to conducting the survey in conjunction with other surveys that the authority is undertaking It is likely that every authority will have a different standard questionnaire dependent on its own circumstances If surveys are not conducted every year the most recent survey will be considered current Other user surveys Winter Service Salting To determine a measure of efficiency in undertaking winter service precautionary salting operations The percentage of occasions that all precautionary salting routes were completed before the formation of ice The percentage is calculated from the total number of precautionary salting treatments over the winter period. The winter period will vary according to climatic conditions and from year to year. To maintain a salted network free from icy conditions it is essential to complete all salting operations before the onset of freezing conditions leading to the formation of ice If icy conditions apply after failure to salt this should be included in the calculation Systems and procedures are required to measure route completion and the onset of conditions likely for ice formation Ice will be considered to have formed when the surface is wet and the temperature is at or below 0 degrees C Salt coverage rate Route efficiency Spread rates for salting Vehicle fleet Time limits for salting
Reasoning
Practical Issues
Supporting Indicators Indicator SE5 Purpose Description Definition
Reasoning
Practical Issues
NETWORK SUSTAINABILITY
Indicator SU1 Purpose Description Maintenance cost rating To assess a measure of the cost effectiveness of the highway maintenance service The annual expenditure for reactive maintenance to running surfaces compared with the annual expenditure for programmed structural maintenance
F 5
Definition
Reasoning
Practical Issues
Reactive maintenance comprises the repair of Category 1 defects and nonsafety actionable Category 2 defects executed under a planned programme Programmed structural maintenance incorporates resurfacing, reconditioning and surface dressing schemes actioned under annually approved programmes A measure of cost effectiveness can be assessed by the cost ratio as the higher the ratio of structural / reactive maintenance costs, the more effective and longer lasting the maintenance treatments are likely to be with a further probable outcome of fewer insurance claims Precise definitions required of constituent elements of structural and reactive maintenance and rating assessment will need input from the client together with accurate benchmarking Surface dressing costs should include associated pre patching Information to be recorded and compared based on financial year Highway maintenance budget Reactive maintenance budget Structural maintenance budget Noise Pollution To assess a measure of the authoritys success in reducing noise pollution to comply with the Governments objective in the Ten Year Plan Annual road length resurfaced with low noise road surfaces Resurfacing schemes to be considered must comprise wearing courses of an approved type to ensure low noise surfaces. These comprise materials designed to reduce noise levels generated by tyre interaction on the carriageway surface A major environmental concern is that of noise pollution and it is considered that the level of public satisfaction is linked to the extent of noise amelioration that can be achieved by the use of special materials It is also a stated Government objective to reduce noise levels on roads Before and after noise surveys may be carried out if precise information on noise levels is required Annual length of roads resurfaced Information to be recorded and compared based on financial year Length of noise reducing schemes as a percentage of the network Recycled materials in maintenance To enhance and protect the environment by maximising the usage of recycled materials used in maintenance works The cost (or value) of recycled road construction material that is incorporated into maintenance works Maintenance works for this purpose comprise all programmed annual maintenance schemes The environment will benefit by reducing the overall requirement for sand and gravel extraction. Markets for recycled product will be developed Extent of recycled material usage will need to take account of the relative costs with traditional construction Recycled materials include pavements, kerbing and all other materials used Information to be recorded and compared based on financial year
Indicator SU2 Purpose
Reasoning
Practical Issues Supporting Indicators
Indicator SU3 Purpose Description Definition Reasoning
Practical Issues
Lengths of carriageway reconstructed annually by category Lengths of recycled carriageway constructed annually by category Average cost of reconditioned carriageway using traditional materials Average cost of reconditioned carriageway using recycled materials Winter Service cost rating To determine a measure of the cost effectiveness of the delivery of the winter service The outturn cost of winter service salting per salted kilometre Outturn should include all operational and managerial costs including client and other consultancy charges where appropriate, together with overheads as defined in the CIPFA Best Value Accounting Code of Practice Overall costs and comparisons will depend on the authoritys policy standards and the severity of winter in that area To be cost effective, the service should be provided at the minimum cost to meet the authoritys policy standards and the prevailing climate in that locality Costs should be based on the full extent of a winter, which may vary between authorities Cost comparisons will need input from the client and will have to be accurately benchmarked Incidence and extent of snow could have a marked effect on cost Pre salting coverage rate Route efficiency Time limits for salt spreading Amount of snow clearance
Indicator SU4 Purpose Description Definition
Reasoning
Practical Issues
F 7
APPENDIX G : KE Y PERFORMANCE INDICATORS FOR MAINTENANCE PROCUREMENT

G1
G1.1
Introduction
Within the Construction Best Practice Programme since its formation in 1998, the Movement for Innovation (M4i) Board has been working to introduce the principles of the Construction Task Forces report Rethinking Construction led by Sir John Egan. The Egan report developed the concept of Key Performance Indicators for construction contract management.
G2
G2.1
The Five Counties Initiative

During 1998/99 the authorities of Dorset, Hampshire and Oxfordshire applied to the M4i to become Demonstration Projects for their individual Term Maintenance Contract arrangements. Following the award of demonstration project status the three authorities attempted to apply the Construction Industry Key Performance Indicators to their individual contract arrangements, but found that several of the indicators were not applicable to Term Maintenance activities. A Peer Group of five counties was therefore formed from Dorset, Hampshire, Oxfordshire, Wiltshire and Gloucestershire to compile a set of KPIs specifically for Term Maintenance Contract works. A set of ten indicators was subsequently produced by the Group. During the development of the indicators, representatives from M4i and the DETR were present to ensure that the indicators produced would be relevant and enable comparisons with other sections of the construction industry to be achieved. The intention of the group now is, in conjunction with the M4i and DETR, to establish these indicators as another standard set in addition to those presently published for:
G2.2
G2.3
y y y y y y y
G2.4
All Construction New Build Housing Public New Build Housing Private New Build Non Housing Public New Build Non Housing Private Infrastructure Repair and Maintenance and Refurbishment
It is also the intention of those participating in the process, that quarterly returns will be submitted to the M4i. This will enable at the end of the first year, industry indicators and medians to be produced.
G 1
Code of Practice for Maintenance Management G 2
G2.5
The success of the Term Maintenance Contract KPIs is very dependent on the number of contributions but, a number of authorities have expressed interest and it is anticipated that many more will soon follow, and membership of the M4i Club will be required. Each contributor will receive a copy of the graphs and Radar Charts for each indicator, showing the industry benchmark score together with the score of their organisation. Contributors will be reassured to know that with the M4i and the British Research Establishment being the recipients and collators of the information produced, confidentiality will not be a problem. For Local Authority DSOs it provides the opportunity to compare performance with private sector providers on a common basis and could assist in meeting the requirements of Best Value reviews.
G2.6
G3
G3.1
The Five Counties Key Performance Indicators

The suggested Key Performance Indicators are as follows:
G3.1
The details of each suggested KPI are as follows: Indicator Indicator Indicator Indicator Indicator Indicator Indicator Indicator Indicator Indicator 1: 2: 3: 4: 5: 6: 7: 8: 9: 10: Commissioner Satisfaction Product Commissioner Satisfaction Service Contractor Satisfaction Service Defects Predictability Cost Predictability Time Profitability Productivity Safety Payment for Works
Indicator 1 Commissioner Satisfaction Product Objective To measure how satisfied the Commissioner was with the finished product or facility, using a 1 to 10 scale where: 10 = Totally satisfied 5 = Neither satisfied nor dissatisfied 1 = Totally dissatisfied Method Highway Routine Maintenance Returns to be completed by responsible officers for the various routine maintenance services, fourth or fifth tier level, on a monthly basis and using the suggested scale. Quarterly returns to be submitted to M4i. Highway Structural Maintenance Returns to be completed by responsible officers on an individual scheme basis. A scale of 1 to 10 where: 10 = Totally satisfied 5 = Neither satisfied nor dissatisfied 1 = Totally dissatisfied
Scale
Indicator 2 Commissioner Satisfaction Service Objective To determine the overall level of commissioner satisfaction with the service of the consultants and contractor during the project. Highway Routine Maintenance Returns be completed by responsible officers for the various routine maintenance services, fourth or fifth tier level, on a monthly basis and using the suggested scale. Quarterly returns to be submitted to M4i. Highway Structural Maintenance Returns to be completed by responsible officers on an individual scheme basis. Scale A scale of 1 to 10 where: 10 = Totally satisfied 5 = Neither satisfied nor dissatisfied 1 = Totally dissatisfied
Method
Indicator 3 Contractor Satisfaction Service Objective To determine the overall level of contractor satisfaction with the service of the commissioner and consultants. Highway Routine Maintenance Returns be completed by responsible officers for the various routine maintenance services, fourth or fifth tier level, on a monthly basis and using the suggested scale. Quarterly returns to be submitted to M4i. Highway Structural Maintenance Returns to be completed by responsible officers on an individual scheme basis. Quarterly returns to be submitted to M4i. Scale A scale of 1 to 10 where: 10 = Totally satisfied 5 = Neither satisfied nor dissatisfied 1 = Totally dissatisfied Indicator 4 Defects Objective Method To assess the impact on the client of any defects at the point of handover. Routine Maintenance Monthly analysis of monitoring officers sample of completed orders. For Exor Maintenance Manager users this is available in the quality inspection module. Structural Maintenance Analysis on an individual scheme basis. This information can also be held in Maintenance Manager.
Method
G 3
Scale
A scale of 1 to 10 where: 10 = Defectfree 9 = Some defects with no significant impact 5 = Some defects with some impact on commissioner 1 = Totally defective
Indicator 5 PredictabilityCost Objective To measure the reliability of cost estimates for both design and construction. Design Cost Is defined as the change between the estimated cost at Commit to Invest and the actual cost at Available for Use. Construction Cost Is defined as the change between the estimated cost at Commit to Construct and the actual cost at Available for Use. Method Highway Routine Maintenance Predictability Design Costs A comparison of estimated staffing costs as forecast in Business Plans (A) compared to actual costs from a staff diary system (C) expressed as a % of (A). Predictability Construction Costs A comparison of committed (A) and actual works orders costs (C), per works order as held in Maintenance Manager, expressed as a % of (A). Highway Structural Maintenance Predictability Design Costs A comparison of the estimated (A) and actual scheme design costs (C), expressed as a % of (A). Predictability Construction Costs A comparison of committed (A) and actual (C) works orders costs, as held in Maintenance Manager, expressed as a % of (A)
Indicator 6 Predictability Time Objective Method To measure the reliability of time estimates for both design and construction. Highway Routine Maintenance All works orders are required to be completed within one of four time bands starting from the identification of the defect. The time bands relevant to Category 2 defects (nonurgent) are subdivided into a period for the Engineer to
prepare the programme of work and to issue the order and a period for the Contractor to execute the work. Category 1 defects (urgent) are required to be repaired or made safe within either 1 hour or 24 hours of the recording of the defect. Predictibility Design Time A comparison of the actual time taken to issue works orders with the target time. The data is available in Maintenance Manager. Predictibility Construction Time A comparison of the actual time taken to execute works orders with the target time. The data is available in Maintenance Manager. Highway Structural Maintenance Predictibility Design Time A comparison of the actual duration to design a scheme with the agreed duration. Predictibility Construction Time A comparison of the actual duration to construct a scheme with the agreed duration.
Indicator 7 Profitability Objective Method To measure the profitability of a Construction Company before tax and interest The M4i KPI is not applicable to a Local Government Internal Trading organisation. It is recommended that the Dorset KPI be based upon the excess rate of return on capital employed expressed as a percentage of the annual turnover. Median to be developed. Indicator 8 Productivity Objective Method To determine the value added per employee of a construction company. The value of sales less the value of goods and services subcontracted to, or supplied to other parties, divided by the number of FTEs.
Indicator 9 Safety Objective To measure safety in terms of the number of reportable accidents per 100,000 employed (the accident incidence rate). This indicator, relating to the holistic service, can be calculated from Directorate records.
Method
G 5
Indicator 10 Payment for Works Objective Method To monitor performance in paying Contractors Valuations. The percentage of Contractors Valuations that are paid within the agreed timescales. Median to be developed.
APPENDIX H : WINTER SERVICE ISSUES

H1
H1.1
The following item coverage is considered to be the minimum desirable for a authoritys Winter Service Operational Plan, which should be a Controlled Document within the Quality Management Regime. More detailed guidance is contained in the ICE Design and Practice Guide Highway Winter Maintenance. Statement of Policies and Responsibilities
a)
y y y y y
b)
Policies and objectives Client and contractor risks and responsibilities Partnership or shared risks and responsibilities Decision making process and responsibilities Liaison arrangements with other authorities
Quality Plan
y y y y y
c)
Quality management regime Document control procedures Circulation of documents Information recording and analysis Arrangements for performance monitoring, audit, and updating
Route Planning for Carriageways, Footways, and Cycleways
y y y y y y y y y
d)
Carriageway routes for pre treatment Carriageway routes for posttreatment Carriageway routes for snow clearing Routes for footway treatment Routes for cycleway treatment Response and treatment times for all carriageway treatments Response and treatment times for footway and cycleway treatments Allocation of plant, vehicles, equipment and materials to routes Location and maintenance of salt bins and grit heaps
Weather Prediction and Information
y y y y y
e)
Forecasting, inspections and other decision support information Information to be provided Timing and circulation of information Reporting procedure Maintenance of ice detection equipment
Organisational Arrangements and Personnel
y y y y
Organisation chart and employee responsibilities Employee duty schedules, rotas and standby arrangements Plant and vehicle manning arrangements Schedules of contract and voluntary personnel (CVP)
H 1
Code of Practice for Maintenance Management H 2
y Contact and commissioning arrangements for CVP y Training and development arrangements y Health and safety procedures.
f) Plant, Vehicles and Equipment
y y y y y y
g)
Fleet inventory including licence requirements and capacity Location of plant, vehicles snowblowers and other equipment Garaging, servicing and maintenance arrangements Contact and hire arrangements for contract plant Calibration procedures Fuel stocks and locations
Salt and other Deicing Materials
y y y y y
h)
Location and capacity of stocks for salt and other materials Testing arrangements Loading arrangements Treatment requirements including spread rates Contacts and purchasing arrangements for supplies
Operational Communications
y y y y
i)
Technical systems information Inventory and allocation, including back up Reporting arrangements and protocols Standing proformas to be used
Information and Publicity
y Local press and broadcast contact information y Other key local and national contact information y Responsibilities and guidance for providing information
H2
H2.1
Decision Making Procedure

A suggested procedure for decision making on precautionary salting is given in table H1. This should be modified as necessary to suit local circumstances and the timing of operations should be mainly influenced by the timing of expected weather conditions rather than other considerations. The following notes relate to the letters on the table. A Particular attention should be given to the possibility of water running across carriageways and other running surfaces eg, off adjacent fields after heavy rains, washing off salt previously deposited. Such locations should be closely monitored and may require treating in the evening and morning, and possible other occasions B When a weather warning contains reference to expected hoarfrost considerable deposits of frost are likely to occur. Hoarfrost usually occurs in the early morning and is difficult to cater for because of the probability that any salt deposited on a dry road too soon before its onset may be dispersed before it can become effective. Close monitoring is required under this forecast condition which should ideally be treated just as the hoarfrost is forming. Such action is usually not practicable and salt may have to be deposited on a dry road prior to and as close as possible to the
Table H1.
H 3
Code of Practice for Maintenance Management H 4
expected time of the condition. Hoarfrost may be forecast at other times in which case the timing of salting operations should be adjusted accordingly. C If, under these conditions, rain has not ceased by early morning, crews should be called out and action initiated as rain ceases. D Under these circumstances rain will freeze on contact with running surfaces and full pretreatment should be provided even on dry roads. This is a most serious condition and should be monitored closely and continuously throughout the danger period. E Weather warnings are often qualified by altitudes in which case differing action may be required from each depot.
H3
H3.1
Target Spread Rates of Salt

The following minimum spread rates of salt are suggested for different operational scenarios a) Pre Treatment Salting i) Salt stored under cover 10g per sq m ii) Salt stored in the open 15g per sq m b) Post Treatment Salting For all methods of storage i) Prior to snowfall, dependent on conditions 20g to 40g per sq m ii) Snow in place, depth over 30mm ploughing and salting up to 40g per sq m c) Hard Packed Snow and Ice i) Air temperature above minus 5C successive salting at 20g to 40g per sq m ii) Air temperature below minus 5C gritting with single size abrasive aggregate not exceeding 6mm or 5mm sharp sand.
H4
H4.1
DeIcing Materials
A number of alternative materials are available which could be considered for particular circumstances. Cost and environmental characteristics differ widely and should be analysed in detail prior to adoption. The main materials available for treatment are: a) Salt
i)
Commonly used in dry condition, will melt ice and snow at temperatures as low as minus 21C, but below minus 5C the effectiveness of the salt will be reduced and below minus 10C the amount needed increases to become environmentally and economically undesirable. ii) Prewetting of salt can improve the effectiveness of treatment in dry running
surface conditions by reducing particle distribution and increasing adherence to the surface. There is however an additional cost of about one third. Research and field trial trials are continuing. iii) Brine solution is effective in conditions for example, certain cycleways, where the volume and weight of traffic may be insufficient to activate dry salt. b) Calcium Chloride Will act at a lower temperature that salt, but is more corrosive and more expensive. It absorbs moisture freely and special requirements are needed for storage. The only use in UK is likely to be in blending with salt or as a prewetting agent in water. c) Urea No more effect on steel than water alone, but is less effective than salt for equivalent weight, and ceases to be effective at about minus 6C. Used in certain specialist locations because of its less corrosive effect. Supplied in pellets and needs special attention to storage. Conventional spreading equipment requires modification to obtain satisfactory results. Approximately 15 times more expensive than salt. d) Glycol Liquid supplied in bulk or in drums. Used on airfields and other specific locations. May have a slight adverse effect on skidding resistance. Approximately 20 times more expensive than salt. e) Calcium Magnesium Acetate Supplied in the form of spherical pellets, does not corrode bare steel but may be comparable to salt in the corrosion of reinforcement bars in concrete. Approximately 15 times more expensive than salt. f) Potassium or Sodium Acetate (Liquid Acetate) Liquid supplied in bulk or in drums. Fast acting and used on some airfields. There is some laboratory evidence that acetates may adversely affect the durability of concrete that has not been air entrained but the significance of this has not yet been proven. Approximately 20 times more expensive than salt. H4.2 It is possible to reduce the corrosive effects of salt by the addition of corrosion inhibitors and research is continuing into the implications of these. Research is also continuing into the environmental effects of salt and other treatments including how treatment practices using salt might be modified to reduce such effects. New surfacing materials, including thin surfacings, multiple surface dressings, micro surfacings and porous asphalt, exhibit different texture, drainage and thermal characteristics, and may require modifications in winter service practice. Research is continuing into the implications of this.
H4.3
H 5
APPENDIX J : EXAMPLE O F NETWORK ASSET VALUATON NORTHERN IRELAND

J1
J1.1
Background
Northern Ireland Roads Service uses a valuation model developed in conjunction with the consultants E C Harris, the Welsh Assembly and the Scottish Executive. The valuation produces a New Build Cost or Gross Replacement Cost which is then reduced to take account of current condition to give the Net Depreciated Replacement Cost. The Northern Ireland valuation is unique in that it includes all minor roads and footpaths as well as dual carriageways and motorways. It includes a total of over 24,000 km of carriageway with 7,000 bridges of all sizes and over 3,000 other structures. The resultant valuation is: 1999/2000 Net Depreciated Replacement Roads Structures Communications Land Land at Interchanges TOTAL Cost Million 8,837 398 4 3,249 15 12,503
J1.2
J2
J2.1
Data Issues
The valuation process involves the manipulation of vast quantities of constituent data. Very small changes in data can have a dramatic effect inside the model. (a) Data Collection and Validation Databases must be carefully maintained, to provide complete and accurate information. Any changes in data fields for operational reasons need also to be considered in light of the impact they might have within the model. A large base of costing information needs to be collected and where this is not available locally other sources have to be found. (b) Testing of Assumptions Incomplete data fields are filled within the model with assumed data. In addition a great many assumptions need to be made to value the data and these assumptions are not always apparent or well documented. They need to be continually tested as
J 1
Code of Practice for Maintenance Management J 2
to their suitability and their impact and replaced as necessary. This requires a detailed working knowledge of the model and a heavy ongoing resource commitment to the valuation process. (c) Use of Indices Indices are used to roll the valuation forward. The most appropriate indices need to be chosen and their application carefully monitored in case any material change takes place before the end of the accounting period.
J3
J3.1
Accounting Treatment
The model depreciates Bridges, Culverts, Retaining Walls, Gantries and Communications using the straight line method. In the case of Motorways and Trunk roads the results of the deflectograph survey are used to produce the condition reduction. No such mechanical inspection exists for minor roads therefore a financial model had to be devised to produce the condition reduction. (a) Condition Reduction The original formula used to model condition reduction did not work well when one of the inputs varied outside the expected parameters and, such is the sensitivity of the valuation model, that this created a huge condition improvement rather than the expected condition reduction. Any formula used by the model needs a high degree of testing to iron out any sensitivities.
(b) Backlog Depreciation Backlog depreciation arises from the annual revaluation of the network, it is necessary to identify this separately as it is disclosed as a Reserve movement whereas the inyear condition reduction is disclosed as an item in the Income and Expenditure Account. (c) Donated Assets These are assets for which the organisation has not incurred any capital outlay and so they have to be disclosed as a separate Reserve movement. This means that any data relating to them has to be separately identified. This involved a large manual exercise within Roads Service.
J4
J4.1
Northern Ireland Audit Office (NIAO) Scrutiny

Roads Service are now in their fourth year of producing Agency Accounts and have come under increasing scrutiny from the NIAO. The valuation process has been subjected to a high level of testing as the valuation model used is not transparent, particularly in the assumptions made. Considerable efforts are now being made to demonstrate to NIAO that appropriate testing and validation exercises are being carried out and that the assumptions within the model are regularly challenged.
APPENDIX K : REFERENCES
Transport Policy and Guidance

White Paper A New Deal for Transport Better for Everyone, DETR, July 1998 A New Deal for Trunk Roads in England, DETR, July 1998 White Paper Travel Choices for Scotland, Scottish Office, July 1998 Scottish Strategic Roads Review, Scottish Office, November 1999 Transporting Wales into the Future, Policy Statement, Welsh Office, July 1998 Driving Wales Forward, Strategic Review of Trunk Road Policy, Welsh Office, July 1998 Moving Forward, Northern Ireland Policy Statement, November 1998 Transport 2010 The Ten Year Plan, DETR, July 2000 Guidance on Full Local Transport Plans, DETR, March 2000 Tomorrows Roads Safer for Everyone, Road Safety Strategy, DETR March 2000 Encouraging Walking Advice to Local Authorities, DETR, March 2000 National Cycling Strategy, DETR, September 1996 Providing for Journeys on Foot, IHT Guidelines July 2000 Rural Safety Management, IHT Guidelines, November 1999 Cycle Audit and Cycle Review, IHT Guidelines IHT 1998 Cycle Friendly Infrastructure Guidelines for Planning and Design, IHT, January 1997 Guidance on the Use of Tactile Paving Surfaces, DETR, January 1999
Maintenance Strategy
Code of Good Practice for Highway Maintenance, Local Authority Association,1989 Code of Good Practice, Winter Maintenance Supplement, Local Authority Associations, 1991 Design and Practice Guide for Winter Maintenance, ICE, 2000 Code of Good Practice for Road Lighting Maintenance, CSSTAG, 2000 National Road Maintenance Condition Survey, Government Statistics, Annually Trunk Road Maintenance Manual, Highways Agency, Current Version Design Manual for Roads and Bridges, Highways Agency, Current Version Paving the Way Consultation Paper, Highways Agency, December 1999 Manual for the Preparation of Rural Road Hierarchies, Scottish Office and COSLA
Inspection Assessment and Condition

Getting Started UKPMS Guide, Chris Britton Consultancy, current version The Road to Everywhere Policy evaluation for Northern Ireland, Roads Service, Dec 1998 National Asset or National Disgrace, Scotlands Road Infrastructure, SCOTS, Aug 1997 Road 2000, The London Condition Survey, Hammersmith and Fulham, Oct 2000 Northern Ireland Road Maintenance Standards, Roads Service, Jan 2000 Chance or Choice, SOLACEZurich Municipal, 2000
Management of Utilities Current Versions
Statutory Code of Practice for the Coordination of Street Works. Statutory Code of Practice Specification for Reinstatement of Openings in the Highway Statutory Code of Practice Safety at Road and Street Works Statutory Code of Practice Diversionary Works Code of Practice Inspections Code of Practice Record Keeping
K 1
Code of Practice for Maintenance Management K 2
Best Value
Modern Local Government In Touch with the People, DETR, July 1998) Circular 10/99 Part 1 Best Value, DETR Seeing is Believing How the Audit Commission will conduct Inspections, Audit Commission, Feb 2000 Guide to Quality Schemes and Best Value, DETR, Feb 2000 Advancing Best Value in the Built Environment Taskforce Report, ICE, May 2000 Guidance to LA in Wales on Best Value, National Assembly, Mar 2000 Best Value in Local Government: Next Steps, Scottish Executive, 2000
Performance
BV and AC Performance Indicators for 2001/02, DETR, Dec 2000 Information on the SCQS/CIPFA/SCALA Benchmarking Service Standardisation guidance for Local Authorities on arrangements for Benchmarking within the context of BV Reviews, PPPP, 2000 National Best Value Benchmarking Scheme, CIPFA, Current Version
Sustainability and Environment

Strategy for Sustainable Development in the UK,DETR, May 1999 Strategy for more Sustainable Construction, DETR April 2000 Code of Practice on Litter and Refuse, DETR, 1999
Procurement
Rethinking Construction Report of the Egan Task Force ,July 1998 Contracting to achieve Best Value, PPPP, Dec 2000 Construction Industry KPIs 1999, Construction Best Practice Programme, Jan 2000
Finance
Code of Practice on Accounting for Capital, CIPFA, 1994 Statement of Recommended Practice on Accounting for Capital, CIPFA,2000
ACKNOWLEDGEMENTS
Partnership Project Sponsors
Department of the Environment Transport and the Regions Scottish Executive National Assembly for Wales Department for Regional Development, Northern Ireland Society of Chief Officers of Transportation in Scotland CSS (representing UK Directors of Strategic Planning, Transportation, Environment, Waste Management and Economic Development)
Steering Group Members

DETR Hilary Chipping Neil Macdonald Ian Holmes Andrew Oldland Local Government Association Jeff Romanis,Worcestershire CC Martin Cockersole, Essex CC Mike Bordiss. Northamptonshire CC Sean ODonnell, Essex CC Eric Lowson, Dudley MBC John Linsley, Doncaster MBC National Assembly for Wales Northern Ireland Roads Service SCOTS Highways Agency
(Joint Chair) (previously Joint Chair)
CSS (Joint Chair) CSS (previously Joint Chair) CSS CSS Technical Advisers Group Technical Advisers Group Louis Mahendra Grahame Fraser Mac West Les Hawker Alex Bray Ian Drummond Mike Kendrick
Technical Advice and Assistance

Transport Research Laboratory Richard Abell Marilyn Burtwell Paul Forman Paul Hillier Adrian Runacres Peter Scott Chris Britton Mike Gibb Andrew Pickett David Axon
Audit Commission Project Manager
Chris Britton Consultancy
Performance Indicators
And the wide range of colleagues from authorities and industry who have assisted through organising and attending workshops, or individually providing comments, contributions, photographs and general support.
Design and Publishing

The Institution of Highways & Transportation Wendy Hooper Executive Editor
DETR 2001 ISBN: 0 902933 37 X Front cover design: Dave Sexton Printed in England by HQ Design & Print, Basildon, Essex

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Code of Practice for Maintenance Management

Delivering Best Value in Highway Maintenance

Code of Practice for Maintenance Management July 2001

Code of Practice for Maintenance Management

Code of Practice for Maintenance Management 4

Code of Practice for Maintenance Management 2

This Code is supported, endorsed and recommended by

Code of Practice for Maintenance Management

Code of Practice for Maintenance Management 6

Code of Practice for Maintenance Management

Nature of Weather Emergencies Flooding High Winds

Code of Practice for Maintenance Management 8

14.4 14.5 14.6

High Temperature Other Highway Emergencies Civil Emergencies

Code of Practice for Maintenance Management

SECTION 1 : EXECUTIVE SUMMARY

Structure of this Code of Practice

Objectives of this Code

Code of Practice for Maintenance Management 10

Status of the Code

Code of Practice for Maintenance Management

The Partnership Project

The Importance of Highway Maintenance

Code of Practice for Maintenance Management 12

The Changing Agenda

Code of Practice for Maintenance Management

Code of Practice for Maintenance Management 14

Towards Sustainable Highway Maintenance

Code of Practice for Maintenance Management

SECTION 3 : PURPOSE AND SCOPE

Objectives of this Code of Practice

Code of Practice for Maintenance Management

Context for this Code of Practice

Code of Practice for Maintenance Management

y Replacement of the term warning levels with investigatory levels,

y Replacement of the term intervention levels with system intervention

y Replacement of the term detailed inspection with service inspection

Code of Practice for Maintenance Management

Purpose of Highway Maintenance

Scope of Highway Maintenance

Code of Practice for Maintenance Management

y Pretreatment y PostTreatment y Clearance of snow

Flooding High winds High temperatures Other emergencies

Code of Practice for Maintenance Management

Application to Devolved Administrations

Code of Practice for Maintenance Management

y Motorways and trunk roads are maintained through recently established y

Code of Practice for Maintenance Management

Local Highway Maintenance Authorities

Arrangements for Updating and Review

Code of Practice for Maintenance Management

SECTION 4 : COMPLEMENTARY ADVICE

Limitations to the Code of Practice

Further Advice and Guidance

Code of Practice for Maintenance Management

Code of Practice for Maintenance Management

SECTION 5 : POLICY FRAMEWORK

Strategic Policy Integration

Code of Practice for Maintenance Management

Transport Policy Integration

y For strategic roads over the period

y Halting the deterioration in local

y Providing lowernoise surfaces on