National Roads Maintenance Review Phase 1 Report

B Technology & Productivity Innovation

B.1 Introduction

Scotland's road network is the country's largest community asset. Innovation in maintenance techniques, materials and productivity is important to ensure the network is resilient in supporting Scotland's sustainable economic development.

The current economic climate is particularly challenging for road maintenance organisations in both public and private sectors, with high industry inflation on material costs creating tension with contract costs which are being driven down due to a combination of scarcity of work and reducing budgets. There is a risk that this continued tension will discourage investment in the development and use of new ideas and techniques. Conversely, the current climate provides an opportunity for those looking to foster support for more cost effective methods and materials.

The review has investigated the current position in Scotland for the development and use of new techniques and materials to support the continued maintenance and use of Scotland's roads. This paper addresses the baseline, best practice and innovation in the areas of:

  • research and development;
  • appraisal and approval processes;
  • lean management;
  • timing of road works; and
  • communications technology.

B.2 Research and Development

Headline Summary

  • New techniques are being used by Scottish roads authorities; however, some previous experiences have fostered a risk adverse approach.
  • Innovation research and development is predominantly undertaken by the private sector although there are examples of public sector organisations working together, and with their supply chains, to develop new materials and techniques.
  • There is no over-arching strategy or coordination within the sector on research and development. As a consequence, the development and use of new ideas, techniques and materials can be inconsistent.
  • The work being undertaken by Transport Scotland's Trunk Road Research Board has been identified as good practice, as is the joint development of new surfacing material by Tayside Contracts, Dundee University and Nynas.

Research and Development - Baseline

All roads authorities use tried and tested maintenance techniques which have evolved, through experience, to ensure road assets continue to be maintained in a safe and serviceable condition, whilst being accessible to all. These working practices are designed to ensure compliance with standards and associated codes of practice eg., the Design Manual for Roads and Bridges (DfT) and Well Maintained Highways (UK Roads Board).

The road network, in conjunction with the landscape, varies considerably throughout Scotland, leading to significant local variations in weather and traffic conditions. As a consequence, a 'one size fits all' approach for the use of new materials and techniques is not always appropriate. Material trials are generally undertaken by individual roads authorities, without central coordination.

The development and introduction of new ideas that are driven by the private sector generally seek to address customer concerns, or to develop competitive advantage. For example, new products have been developed, and are in use, to provide single-visit, permanent repair of potholes thus reducing the need for repeat visits.

Roads authorities also seek to support new ideas to create savings and deliver better services. For example, Transport Scotland has recently developed and introduced a new specification for surface course materials, known as TS2010[56]. This specification required considerable research and trials to develop a more durable product that will deliver a better, long-term, cost effective solution.

Transport Scotland has a Transport Research Term Commission contract to provide ready access to research organisations and its Trunk Roads and Bus Operations (TRBO) Directorate manages a Roads Research Programme. This programme is aligned with the Scottish Government's strategic objectives and encourages research projects that support the activities of local authorities as well as Transport Scotland. Recent research has included a number of initiatives undertaken jointly with SCOTS. To be eligible for funding, research projects should be able to realise real benefits in terms of the operation and function of roads in Scotland, be of a priority to roads authorities and investigate Scottish circumstances where these are likely to differ from the rest of the UK.

The annual research budget has been in the region of £650,000 over the last few years, which equates to approximately £200 per km of trunk road. This falls in the mid-range of seven other comparable international roads authorities, which range from £3 per km (for all public roads in Alberta, Canada) to £1000 per km (Denmark)[57]. However, this financial year saw Transport Scotland's research budget reduced to £250,000 (equivalent to approximately £73 per km of trunk road).

In the current economic climate, there is perhaps potential to make use of alternative funding streams for research in the road asset, such as those available to universities and colleges. Tayside Contracts, a public sector commercial organisation, and Dundee University are working together with Nynas through the Tayside Knowledge Transfer Partnership (KTP) on the use of recycled aggregates in surfacing materials[58] and have also developed an advanced surfacing material with improved sustainability.[59] The Tayside KTP was established to develop formal links between universities and industry organisations.

There are regular commercial exhibitions, seminars and conferences relating to road maintenance, including the annual Scottish Transport Applications and Research (STAR) Conference and organisations such as Scottish Enterprise provide support for developing innovation. In addition, SCOTS organises collaborative research via its Roads, Bridges, Street Lighting[60] and Research and Staff Development working groups; however, despite SCOTS best efforts to capture innovation as it happens there is still no over-arching strategy or coordinated approach to research across Scottish roads authorities.

Research & Development - Best Practice

Best practice in Research and Development should involve identifying and sharing knowledge to provide better outcomes at the same or lower long-term cost.

Across the UK, guidance has been produced for roads authorities, contractors and material producers to support the use of recycling and use of alternative materials[61]. There are UK wide bodies, such as the UK Roads Liaison Group, that bring together national and local roads authorities to consider issues. Trade bodies such as the Highways Term Maintenance Association (HTMA) provide a focal point for contractors to share knowledge of new products and to demonstrate innovation. In addition, there are other research bodies, such as the Nottingham Asphalt Research Consortium (NARC), a research led collaboration between Nottingham and Cambridge Universities and the asphalt industry.[62]

Elsewhere, there is significant involvement of academic organisations in the development and appraisal of new techniques and materials. For example, in the USA., the Advanced Highway Maintenance and Construction Technology Research Center at the University of California is funded by the California Department of Transportation. Projects include the use of 3D laser scanning, bridge profiling, crack sealing and fleet management, as well as a specific road materials research centre. This practice seems widespread throughout the USA.

Across Europe, national roads organisations share knowledge, experience and the costs of research through the European Research Area Network (ERAnet) organisation. An example of a successful project was a review of the development and use of performance-based contracts, known as Performance Based Service Agreements (PBSA)[63]. The PBSA report included an evaluation and analysis on how participating countries' contracts address key issues that affect service delivery. These included risk, payment mechanisms, partnering and environmental/ sustainability issues.

In Romania, the national roads authority runs a roads and bridges congress every four years[64]. This brings together local research papers and international best practice to share knowledge and drive progress.

In Australia and New Zealand a central organisation, Austroads, coordinates and undertakes road-related research projects with Federal, State and Territory Governments.

There are several international working groups and conferences covering road maintenance, including European Pavement Asset Management Conference (EPAM) held every three years and annual Transportation Research Board (TRB) Conference in the USA.

Work undertaken by Transport Scotland's Research Board is also identified as good practice. The board comprises Transport Scotland and SCOTS and following approval of a business case, the Research Board funds research, with the results made available to all members.

Some other examples of good practice in the use of innovative maintenance techniques and new surfacing materials by Scottish roads authorities include using:

  • high velocity air road repair techniques to address road surface defects. This approach reduces the time and manpower required to undertake repairs, thereby improving productivity;
  • reed beds to filter waste material from road gullies. This reduces the amount of waste disposed of at licensed tips, produces a material that can be used as compost, improves environmental performance and has delivered £150,000 annual savings[65] for one operator over costs of traditional disposal methods; and
  • screw piling techniques for the installation of gantries for Variable Message Signs (VMS) and CCTV mast foundations preventing the need for time consuming and costly work to provide traditionally constructed foundations.

In addition, several authorities have reviewed their approach to pothole repairs and are currently trialling a number of new techniques including first time permanent repairs.

Research & Development - Innovation

Innovation in this context is defined as maintenance techniques which are currently undergoing development, or emerging approaches currently being used by a small proportion of the sector (say less than 10%) Examples include:

  • Transport Scotland currently involved with Heriot Watt University and the Department for Transport on the use of new composite materials for strengthening/stiffening bridges.[66] Although this project is still ongoing, early results suggest that this could lead to significant cost benefits in terms of strength gain, material costs and ease of installation; and
  • measuring Fife Council's new "green" street lighting policy, aimed at reducing energy consumption and CO2 emissions. When this policy is fully implemented across the network, it is projected to produce annual financial savings of £689,000 as well as reducing CO2 emissions by 4, 200 tonnes per annum.[67]

The scope of the Transport Scotland Research Board could be widened to coordinate all road transport related research projects being undertaken in Scotland, with the publication of the research findings a particular priority.

B.3 The Appraisal and Approval Process

Headline Summary

  • Appraisals of new techniques and materials are undertaken across the road network at both the national and local level, although this is not coordinated at present. Each roads authority undertakes its own trials, based upon the needs of their network.
  • The UK approach for approval of new techniques and materials may not be particularly suited to Scottish conditions. As its use is not mandatory in Scotland, individual roads authorities undertake their own approvals.
  • Rigorous appraisal and approval processes are used by Transport Scotland and local authorities. The results are not systematically shared across the Scottish road maintenance community, which may result in the duplication of effort and a lack of shared knowledge.
  • Barriers to the implementation of new techniques and materials include the lack of coordination of trials and approvals, lack of knowledge sharing, the need to provide guarantees and the annuality of budgets.
  • Elsewhere there is a greater involvement of academic organisations in the development and appraisal of new techniques and materials.
  • Transport Scotland's has adopted the Type Approval Installation Trials (TAIT) approach which provides a mechanism for the testing of materials and techniques on the road network. It could be adapted to have a greater scope.
  • Road Surfacing Treatments Association (RSTA) has developed a code of practice for surface treatments, and provides assistance in approval and use of materials.
  • There is potential for, and the review and adoption of, techniques and materials that are being used outside Scotland.

Rigorous appraisal and subsequent approval of new materials and techniques is needed to establish their value, suitability and durability. All innovations have to go through an appraisals and approvals process before they can be accepted for use on the road network.

The Appraisal and Approval Process - Baseline

The current baseline assessment highlights that there is limited sharing of knowledge gained and results of trials on new techniques and materials amongst the roads authorities.

The purpose of any approval process is to permit the introduction of new systems, materials and techniques in a controlled manner, to ensure consistency in production and application, compliance with specification and to demonstrate that properties and performance are as intended. There is currently no single, agreed method for seeking and gaining approval for new techniques and materials across road authorities in Scotland. Consequently, the approvals process requires the innovating organisation to approach each road authority individually to undertake trials and seek approval for use on each authority's road network. This can be costly and repetitive and could lead to a number of roads authorities simultaneously trialling the same product.

Transport Scotland's appraisal process involves the use of research trials conducted either by in-house staff, the Operating Companies or consultants. The appraisals process is rigorous and can require the manufacturer/owner of a product to undergo additional trials and assessments to demonstrate the product life. Transport Scotland has adopted the Type Approval Installation Trial (TAIT) approach for the implementation and approval of TS2010. The TAIT approach allows progressive approval in a controlled manner.

The appraisal processes in local roads authorities varies, and there is no formal sharing of results on a consistent basis. Some smaller authorities do not have the resources available to conduct their own trials and appraisals. Where funding is available, SCOTS do undertake trials for particular techniques and materials.

Following completion of any appraisal of a new technique or material, where appropriate approval is granted for use on the network, however this is not always formalised.

Approval for new materials and techniques in the UK is sought through the Highways Authorities Product Approval Scheme (HAPAS)/ British Board of Agreement (BBA) accreditation scheme. It is understood from discussions with the working groups associated with this review that gaining HAPAS/BBA approval can be both a costly and lengthy process.

Through the working group associated with this review, it has become clear that there is consensus that the HAPAS/BBA approval scheme does not adequately consider the variability in Scotland's topography, geology, climate and traffic flow. Consequently, the HAPAS/BBE approval approach is not always relied upon, resulting in roads authorities individually undertaking trials and approvals specific to Scotland. This can act as a barrier to entry for new materials and techniques.

The Appraisal and Approval Process - Best Practice

A best practice approach to appraisals and approvals would provide fast, coordinated, reliable and widely shared testing, enabling suitable products to be quickly adopted for use.

The approvals processes used outside the UK are designed around the needs of the roads authorities within each country. In France, approval for new materials is formalised allowing a single point of contact for the dissemination of products, through the technical advice system 'Avis Technique'.

The Appraisal and Approval Process - Innovation

Innovation in appraisals and approvals could take the form of suppliers self-certifying their new material/technique without the need for going through the current formal approval processes. This would speed up the introduction and use of new materials and techniques by preventing repetition of appraisal and approval. However, the allocation of costs associated with the risk of failure and replacement would need to be carefully considered between the supplier and roads authority.

In France, the innovation implementation system 'Charte d'Innovation' is used where the national roads authority identifies the need for innovation and then seeks proposals from industry to meet that requirement. The system establishes a risk sharing mechanism and contains two sections: the Charte d'Innovation Routière (dealing with road construction innovations) and the Charte d'Innovation d'Ouvrages d'Art (dealing with engineering structure innovations)[68].

Under this approach, the roads authority challenges industry to identify new solutions to existing problems and describes the expectations of the authority. Suppliers may also propose action on a certain topic where they have identified improvements. Suppliers are then invited to propose their ideas for meeting the requirement. They are asked to present:

  • a description of a product, technique or material;
  • a description of the application method;
  • the results of tests and trials;
  • the price; and
  • references of works that have already been executed.

When the proposal is acceptable to the road authority the solution is then developed and four steps are possible:

  • executing tests under laboratory conditions;
  • building a test section under laboratory conditions;
  • application in full scale projects for technical demonstration; and
  • application in full scale projects for economic demonstration.

B.4 Lean Management

Headline Summary

  • Where Lean has been used, there has been considerable success in improving the quality and efficiency of services.
  • Edinburgh City Council applied the use of Lean techniques for improving its gully cleansing service, improving the service delivered and receiving an APSE Best Efficiency Award. Similarly, Tayside Contracts has successfully applied Lean techniques on the
Whitfield Spine Road
scheme.

"Lean" management is a methodology designed to remove waste from processes to improve efficiency. It is widely used in the manufacturing sector.

Lean Management - Baseline

All local authorities operate performance management models such as the Public Sector Improvement Framework, and the Local Government Improvement Service has been working with councils on 'whole council' models of performance assessment[69]. Scottish local authorities have been using Lean tools and techniques for some time in a number of different sectors, but to date, these have not been widely used within the roads sector.

A trunk road operating company has applied the principles of Six Sigma (a specific part of "Lean") to nearly all areas of its business to improve efficiency and reduce waste. For example, it has used the Lean Sigma process to understand why it does not always achieve its internal and external Key Performance Indicators (KPIs). This process has allowed opportunities for improvement to be identified and subsequently implemented. Even where KPIs were being regularly achieved, it has allowed the operating company further improve its performance. This has ultimately improved customer satisfaction levels by increasing the consistency of its service delivery.

Lean Management - Best Practice

Best practice in Lean management would be where it is widely embedded within the culture of the roads authorities and their supply chain.

Several roads authorities have applied the use of Lean techniques to selected road maintenance activities. For example, City of Edinburgh Council has improved service delivery and received an Association of Public Service Excellence award in 2010 in the Best Efficiency Initiative[70] category for gully cleansing. Similarly, Tayside Contracts applied Lean techniques on the

Whitfield Spine Road
scheme. The scheme was run as a Lean project, saving 3% of the target costs of £1.69 million and delivered an additional 500 metres of road construction[71].

In Aberdeenshire, the 'Kaizen' process has been applied across the Council since 2007, initially on specific cross service projects such as vehicle utilisation in Social Care/Education. This specific example has seen cashable savings of several hundred thousand pounds on the back of improved utilisation and procurement. Since 2010, the focus has been on improving daily processes ranging from invoice processing through to street cleansing. On the back of the first part of this three stage process it was estimated that by end 2010 close to 800 staff had been engaged and estimated non-cashable savings of £770k identified through improved processes. Second stage projects are now being identified which are focussed on cashable savings.

There is a recently introduced and accredited Scottish Vocational Qualifications (SVQ) levels 2 to 5 training scheme which covers the use of business improvement techniques including Lean. Awareness of this course could be increased within the Scottish road maintenance community.

In England, there has been a significant adoption of Lean techniques[72] and tools (such as 'Kaizen' and 'six sigma') to introduce incremental improvement and the removal of non value adding activities within business processes. This has been successful in streamlining delivery processes, improving efficiency and releasing resources into other critical areas of road maintenance.

Surrey County Council and its maintenance contractor were highly commended at the Chartered Institution of Highways and Transportation's awards[73] for its use of Lean techniques for improving the categorisation of road defects and efficiency of repairs. They delivered improved efficiencies from an average of 3.5 defects repaired a day to 14 defects repaired a day, together with a £1 million saving.

The Highways Agency has also been developing and implementing Lean practices for a number of years and has built up a database of its application on its road network that can be used to assist other roads authorities. This information is available to share amongst the roads community via the Agency's PartnerNet website (www.ha-partnernet.org.uk). In developing the use of Lean techniques, the Highways Agency has actively sought to work with its supply chain, improving the knowledge and experience in all areas of delivery.

Lean Management - Innovation

Innovation in Lean management would be that it forms part of the culture of the whole roads sector. This can be widely seen in the other sectors, such as manufacturing and the oil industry, but is not yet evident within roads maintenance community.

B.5 Timing of road works

Headline Summary

  • Budgets for road works should be set to support the execution of road works at the most favourable time of the year to provide maximum durability and value.
  • A study being undertaken by Transport Scotland's Pavement Forum has indicated that allowing the use of full road closures on suitable schemes could provide cost saving to the capital outlay of a scheme of between 10%-20%.
  • The Scottish Road Works Register is an exemplar of good practice for the planning and coordination of road works. All roads authorities and utility companies actively participate.
  • There is increasing use of communication technology to share information on road works with road users.
  • There is a careful balance to be struck between the need to keep a road open for users and the need to carry out intrusive maintenance.

Timing of road works - Baseline

Currently, maintenance works in Scotland are planned with due consideration for safety and to minimise their impacts on road users. Often this involves working in periods where conditions are less suitable, eg. during the night when temperatures are cooler (which can affect durability) or during the day time off-peak period, when working hours are restricted. These practices contribute to increased costs of working, such as higher staff payments for out of hours work, multiple phases of traffic management and associated supplier costs.

In some locations, notably in the Highlands, maintenance work is planned to avoid peak summer holiday periods to minimise negative impacts on tourism, reflecting local priorities. This can, however, be the best time of year to undertake durable repairs.

Sometimes where there is a wish to close the road for maintenance, suitable diversion routes may not always be available. As a result, "best" maintenance may not be possible because of the need to keep traffic flowing.

There are statutory processes for closing a road for maintenance purposes. The Scottish Road Works Register (SRWR) is used for the planning and coordination between utilities and roads authorities. It provides a nationally comprehensive system for the coordination of roadworks. Planned works are required to be notified at least three months in advance. Advice has been produced on improving flexibility[74], this could go further to recognise the need of fast moving, weather dependent operations.

There are currently two systems used for notifying and recording road works in Scotland. There is the SRWR and Traffic Scotland's Automated Diary Facility for motorway and trunk road works. These have similar information requirements, resulting in potential duplication.

Around 85% of local government funding comes from a block grant/ direct financial support from the Scottish Government; the remainder is derived from council tax, sale of assets and other charges for the provision of certain services. The Scottish Government funding is based upon three year spending review periods and is determined following negotiations with the Convention of Scottish Local Authorities (COSLA).

The basis of these negotiations is in part based on the needs of each local authority and includes a settlement for roads within the relevant three year period. Notwithstanding this settlement, each individual local authority sets annual budgets based upon their own internal procedures and local needs and priorities.

Road maintenance budgets are constrained by the financial year. There can be occasions when it suits the local authority to allocate additional monies for roads maintenance, often towards the end of the financial year, resulting in a peak of work being undertaken during February and March.

Timing of road works - Best Practice

Best practice would be carrying out road maintenance with minimal impact on the road users and delivering a cost effective and durable solution under optimum weather conditions.

Longer term budgeting with secured funding may assist in programming the execution of works during the most favourable times of year, avoiding winter and early spring periods when inclement weather is most likely.

Transport Scotland is currently undertaking overnight closures of some rural trunk roads in North West Scotland for maintenance works. This may not be appropriate for more heavily trafficked routes as there could be significant economic impacts caused by delays.

A study undertaken by Transport Scotland's Pavement Forum has indicated that allowing the use of full road closures could provide cost savings to the capital outlay of a scheme of between 10%-20%[75]. This study is ongoing, with further work being undertaken on the wider cost/benefits of greater use of road closures. Potential damage to the local road network as a result of any diverted traffic needs to be included in the considerations.

Timing of road works - Innovation

Innovation would be the development and use of new maintenance techniques that enable the delivery of the best maintenance solutions whilst minimising the impact of road works on road users.

There are some innovative examples from the United States that could be investigated for potential use in Scotland:

  • in Florida, concessionaires allow the removal of traffic management when road workers are not present, enabling the use of roads during resurfacing (with construction joint exposed) at reduced speed limits;
  • there are a number of states in the USA where the relaxation of temporary speed limits is allowed during road works when the workforce are not on site. This is tied with the doubling of speeding fines and penalties when the road workers are present, providing greater influence on driver behaviour through road works.

The benefit of both techniques is that traffic delay and disruption related to road works only occurs whilst the works are in progress. The application of proper risk analysis to each particular scenario would ensure the safety of the "relaxed" standards was appropriate.

B.6 Communications Technology

Headline Summary

  • The greater use of technology for informing roads users is developing in Scotland with a number of organisations trialling new methods.
  • Existing systems provide information to road users although do not always enable a two way communication flow.

The use of communication technology is important to enable roads users and operators to be able to plan journeys and identify concerns.

Communications Technology - Baseline

In addition to the areas covered by the Standards and Asset Management section, there are a number of other areas where communications technology is being used.

Local Authorities use existing corporate websites to provide traffic information, planned works within their networks and advice to road users but there is a lack of widespread information available for road users whose journeys cross authority boundaries. At present, with the exception of the Tayside and Central region, each website would need to be visited individually and most other current systems are focused on the road network rather than the transport network, preventing users from planning the most appropriate method of travel for a particular journey.

Transport Scotland, through its Traffic Scotland service, provides a dedicated travel website, focused on trunk roads and strategic local authority roads, providing information on road works, incidents and "live" travel information.[76]

The Scottish Road Works Register website, provided by the Office of the Scottish Road Works Commissioner, also holds data on all works across Scotland.[77]

Traffic Scotland has developed a data application ("app") for use on mobile phones to provide access to data on live road network conditions, as well as access to the Traveline Scotland website for public transport information. In addition, Transport Scotland and its Operating Companies are using social networking sites, such as Twitter, to provide live updates on road works and winter service activities.

Communications Technology - Best Practice

Best practice in communication technology would allow communication to take place between all parties through a single point of reference, making best use of existing and emerging communication channels.

Tactran, the Regional Transport Partnership covering the Tayside and Central authorities (Angus, Dundee, Perth & Kinross and Stirling) has developed a regional travel information website that serves as a multi-modal transport and roadworks information portal. It supplies information for all roads in the area, including direct live feeds from Traffic Scotland and Roadworks Scotland. There is also journey planning facilities to provide alternative travel options during times of disruption, as well as helping the public make more informed travel choices, across all modes. There is also links to social media which alert users to disruption on the transport network as/when posted by transport providers (e.g. ScotRail) or road users themselves[78].

Transport Scotland are currently trialling the use of 'blogs' as part of its bridge strike prevention programme to assist road users in understanding and reporting bridge strikes.

Aberdeenshire has seen significant improvements in how defects are reported and dealt with by using a commercial database solution. It allows remote working by inspectors and collation of information by route, location, type etc. The public can make a report via telephone or via the website http://www.aberdeenshire.gov.uk/roads/faults.asp

There are also external technology uses currently available that could be used to assist in the maintenance of the road network. Recently for example, the UK's national cyclists' organisation, CTC, and a road materials supplier have collaborated on a mobile phone 'App' that uses 3G phone GPS technology to enable users to accurately report the location of potholes directly to a roads authority (www.fillthathole.org.uk).

Communications Technology - Innovation

Innovation in communication technology would enable users to identify the most appropriate method of travel to meet their needs.

In Singapore and Hong Kong, technology is used to provide transport users with information across the whole transport network, (road, rail, air and water) providing integrated transport information. This use of technology allows users to decide the most appropriate form of transport for the time and nature of their journey. Whilst accepting that the nature of the transport networks in Singapore and Hong Kong are substantially different from Scotland, the use of technology to integrate transport information could be investigated further.