Interim Advice Note 182/14
Major Schemes: Enabling Handover into Operation and Maintenance
INTERIM ADVICE NOTE 182/14
Major Schemes:
Enabling Handover into Operation
and Maintenance
Summary
This document provides advice on the
process, requirements, and maintenance
associated with delivery of Major Schemes.
Instructions for Use
This document applies to all Major
Schemes. It is to be used by all those
responsible for the delivery of the scheme.
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Table of Contents
1 Introduction ........................................................................................................... 1 Purpose .............................................................................................................. 1 Implementation ................................................................................................... 1 Document structure ............................................................................................ 1 Relationship to other documents ........................................................................ 2 Alignment with Project Control Framework ........................................................ 2 Key policies and principles ................................................................................. 3 Handover on a scheme or sectional basis.......................................................... 4 2 Stage A: Pre-works ............................................................................................... 5 Roles and responsibilities during pre-works ....................................................... 5 Key considerations during pre-works ................................................................. 6 Engage early in preparation for handover .......................................................... 6 Setting out the Detailed Local Operating Agreement ......................................... 8 Implications on Health and Safety File ............................................................... 8 Planning for maintenance during construction ................................................... 9 Managing asset information ............................................................................. 11 Instigating the technology site data process..................................................... 13 3 Stage B: Construction ......................................................................................... 16 Roles and responsibilities during construction ................................................. 16 Key considerations during construction ............................................................ 16 Handover process requirements ...................................................................... 17 Health and Safety File requirements during construction ................................. 19 Asset data handover during construction ......................................................... 19 Implementing the site data process .................................................................. 19 Systems testing and commissioning ................................................................ 20 4 Stage C: Asset Readiness .................................................................................. 22 Roles and responsibilities for asset readiness ................................................. 22 Key considerations during asset readiness ...................................................... 22 Considerations for the handover process ......................................................... 23 Interim Health and Safety information and implications on sectional handover 23 Systems commissioning ................................................................................... 24 5 Stage D: Operational Regime Testing ................................................................ 25 Roles and responsibilities during operational regime testing............................ 25 Key considerations during operational regime testing ...................................... 25 Provision of Health and Safety information ...................................................... 26 RCC readiness ................................................................................................. 26 System performance monitoring period............................................................ 26 Site data commissioning .................................................................................. 27 All Lane Running: transitioning options ............................................................ 27 Consent to Implement ...................................................................................... 30 Implications for Hard Shoulder Running ........................................................... 31 Interim Scheme Specific Maintenance (ISSM) ................................................. 33 Calibrating Smart Motorways ........................................................................... 33 IAN 182/14
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6 Stage E: Acceptance into Operation and Maintenance....................................... 35 Roles and responsibilities for Acceptance into Operation and Maintenance .... 35 Key considerations during acceptance into operation and maintenance .......... 35 Finalising the Health and Safety File ................................................................ 36 Scheme handover ............................................................................................ 36 Outstanding defects and faults ......................................................................... 38 Smart Motorways calibration ............................................................................ 38 7 Stage F: Post Handover...................................................................................... 39 Roles and responsibilities for post handover .................................................... 39 Key considerations during post handover ........................................................ 39 Project closeout ................................................................................................ 39 Updating the Health and Safety File during the defects liability period ............. 40 Smart Motorways post opening optimisation .................................................... 40 Site data implications during post handover ..................................................... 40 List of Annexes
Annex A – Glossary of acronyms and terms
Annex B – RACI Definition
Annex C.1 – Mobile Mapping Data Process Map
Annex C.2 – Drainage Data Process Map
Annex C.3 – Carriageway Inventory Process Map
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1 Introduction
Purpose
1.1
This Interim Advice Note (IAN 182) provides guidance to all those involved in
the delivery of major schemes and their acceptance into operation and
maintenance. It sets out best practice and key considerations regarding a
number of activities and responsibilities that are important to achieving
successful scheme handover. The focus is on providing clarity around known
issues, areas of complexity and key risk items.
1.2
This document replaces IAN 165/12 Managed Motorways – Commissioning
and Handover Guidance in two key ways. Firstly, this IAN is broader in scope
and focuses on a number of areas that are critical to successful delivery of all
types of scheme such as the Health and Safety File and asset data. Secondly,
elements from IAN 165/12, in particular relating to technology commissioning
and operational regime testing, have been revised so they are applicable to
Smart Motorway All Lane Running schemes.
Implementation
1.3
The guidance set out within this IAN should be used forthwith by all major
schemes provided that, in the opinion of the Overseeing Organisation, this
would not result in reduced value for money or delay progress.
Document structure
1.4
All major schemes broadly follow the scheme delivery lifecycle depicted in
Figure 1; however the applicability and scope of stage D is very much
dependent on the type of scheme. Further explanation of each stage is
provided at the start of every chapter.
Figure 1: Scheme lifecycle
1.5
Each of the stages in the scheme lifecycle forms a chapter of this document.
One of the most fundamental ways in which a scheme can ensure successful
handover is to carry out the right tasks at the right point in time. Therefore,
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using the scheme lifecycle to structure this guidance document should help
schemes to programme activities effectively.
1.6
Every chapter includes a summary of key points that need to be considered
within that stage. Further detail about these key points, and broader guidance,
is then included in the main content of each section. A RACI (Responsible,
Accountable, Consulted, and Informed) matrix is also included in each
chapter, identifying some of the key tasks which require clarity over roles and
responsibilities (Annex B provides further explanation of RACI matrices). The
glossary contains an explanation of the key stakeholders referred to
throughout this document; in particular, schemes should recognise the
Network Delivery and Development (NDD) Senior User as the single most
important stakeholder where scheme handover is concerned.
Relationship to other documents
1.7
The scheme delivery process is governed and supported by a wide range of
formal documentation which must be used in conjunction with this IAN. Much
of this documentation falls into one of three groups:

Guidance on technology commissioning and handover - MCH document
suite

Standards on the handover of civil infrastructure - DMRB Volumes

Project Control Framework (PCF) Products
Alignment with Project Control Framework
1.8
The Project Control Framework (PCF) sets out the formal management and
governance arrangements for delivering major schemes. Some projects are
not bound by the requirements of PCF, but nevertheless, aspects of it still
remain relevant. Therefore where reference is made to PCF products
throughout this document, project managers will need to consider whether the
same principles being advocated apply to the project management approach
being used on the project.
1.9
PCF contains a significant amount of advice through product templates and
guidance notes. The intention of this IAN is to support delivery in conjunction
with the PCF and therefore the following diagram shows the interrelationship
between the PCF and scheme delivery lifecycles.
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Figure 2: Relationship between PCF and the Scheme lifecycle
1.10
This IAN must not be used as an alternative to, or replacement for, any
requirements set out in PCF or the scheme Works Information.
Key policies and principles
1.11
The overarching policies and principles that relate to the handover of a major
scheme into operation and maintenance are as follows:

Scheme designers and construction suppliers are required to design for
maintenance in accordance with IAN 69; successful handover starts with
designing an asset that Maintenance Service Providers can safely adopt.

The construction supplier delivering the scheme on behalf of Major
Projects should be responsible for the scheme up until it has been
accepted into operation and maintenance by Network Delivery and
Development Directorate (NDD) and Traffic Management Directorate
(TMD). Those responsibilities include all aspects set out in the Works
Information and relate to construction, commissioning, testing, maintaining
and handing over the scheme.

Unless alternative arrangements are agreed with the NDD Senior User (via
a Detailed Local Operating Agreement [DLOA]), throughout the delivery of
the scheme, maintenance of existing and new assets (e.g. technology and
civil infrastructure) should be the responsibility of the construction supplier
delivering the scheme on behalf of Major Projects.

A scheme should only be considered accepted into operation and
maintenance, when the NDD Senior User is satisfied that all the
acceptance criteria and requirements (see chapter 6) have been
successfully achieved by the construction supplier delivering the scheme
on behalf of Major Projects. Regular liaison with the NDD Senior User
throughout the project will help to prevent any of these
criteria/requirements being an issue at handover.
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
Handover should be governed by the Project Control Framework which
requires the NDD Senior User sign-off of the Civil, Technology and
Operational handover certificates in Stage 6 of the PCF lifecycle.

Where a scheme is being delivered that impacts a Design, Build, Finance
and Operate (DBFO) route, then the DBFO Company should be
consulted/informed in the same way as the MSPs and NDD Senior User.
Handover on a scheme or sectional basis
1.12
Handover can be provided in two distinct ways, on a scheme basis as one
entity, or on a sectional basis as multiple entities. Sectional handover
recognises that in some instances it is either not possible or desirable to hand
over a scheme as one, and there is benefit in sub-dividing it, to for example,
bring about early realisation of benefits. This sub-division can be defined in a
number of ways such as using marker posts, junctions or carriageway
references.
1.13
The definition for sectional handover in this document is as follows;
“The scheme is formally handed into operation and maintenance on a
sectional basis with stages B to E of the scheme lifecycle being formally
completed for each section of the scheme before the entire scheme is closed
out”.
1.14
It must be noted that this differs from the definition used in MCH 1349F which
refers to sectional handover in the context of handing over only discrete
elements of a scheme into operational service (e.g. civils and structures
infrastructure, then technology infrastructure), before formal handover.
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2 Stage A: Pre-works
2.1
This stage spans from the early development of a scheme through to having a
pre-construction design in place and a construction supplier commissioned.
The contracts put in place, design philosophy and approach to delivery
defined in this stage all provide the framework that will define handover
activities later in the lifecycle.
MAC/ ASC and
Service Delivery Manager
MP Project Manager
NDD Senior User
Lead Operations Manager TMD
and RCC Operations Manager
NTIS
C
C
C
C
A
C
C
C
C
C
C
C
C
A
C
C
C
A
C
R
C
R
C
R
C
I
C
C
A
C
C
R
C
C
C
A
C
C
I
C
C/I*
C/I*
C/I*
A
I
C
R
Key: R: responsible, A: accountable, C: consulted and I: informed.
C/I* - Determined by Audit Team Leader.
Table 1: Roles and responsibilities during pre-works
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Road Safety Auditor
TechMAC/ RTMC and
Service Delivery Manager
R
Scheme CDM Coordinator
NRTS
Agree Detailed Local Operating
Agreement (DLOA)
Obtain Pre-construction
Information (PCI) to validate the
delivery implications on H&S
and agree H&S file
format/content (in accordance
with the approach to handover
and acceptance criteria)
Engage MSPs to agree
maintenance approach during
construction (as part of DLOA)
Agree on programme for asset
data handover (as part of
DLOA)
Agree approach to handover (as
part of DLOA and works
information)
Conduct Road Safety Audit
(RSA) Stage 1 and 2 as per
HD19
Scheme Designer
Task
Construction Supplier
Roles and responsibilities during pre-works
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Key considerations during pre-works
2.2
The following summarises the issues that should be considered at this stage:
 The construction supplier should engage the other stakeholders in setting
out a Detailed Local Operating Agreement (DLOA) as early as possible to
understand local constraints and conditions, and to agree a conflict
resolution and escalation process. This should enable resolutions to be
agreed earlier in the delivery programme and in a timely fashion throughout
the scheme lifecycle.
 The approach to handover, and roles and responsibilities required for the
associated activities, must be clearly defined. In particular, the implications
of whether implementation and handover is conducted on a scheme or
sectional basis should be considered and the approach defined and agreed.

The delivery requirements and implications for the H&S File should be
incorporated within the Construction Phase Plan. H&S File proformas and
handover trackers should be established early, and then continuously
updated throughout the scheme lifecycle.

Maintenance arrangements should be agreed for periods of the scheme
lifecycle during construction, interim scheme specific maintenance and
acceptance into operational maintenance.

If asset data required for scheme development is not sufficient within the
HA’s primary asset data systems, additional reviews and validations should
be undertaken to determine the extent of further surveys required. Asset
data generated by the scheme designer or construction supplier should be
managed in a way that facilitates efficient transfer of the data to the HA’s
asset data systems.

The Site Data Designer should begin liaison early on with relevant parties,
allowing sufficient time in advance of a site data load. Changes to the
technology roadside equipment will require a site data change.
Engage early in preparation for handover
2.3
Early and ongoing engagement with stakeholders throughout the scheme
lifecycle is critical to facilitating efficient and effective handover. Handover
discussions between the scheme and maintenance service providers (MSPs)
should be initiated from the outset. The construction supplier should consider
assigning the role of handover manager to drive the handover process; items
which should be discussed include:

Handover roles and responsibilities: Roles and responsibilities for
handover activities must be clear to facilitate budgeting and effective
execution of activities; clearly defined in a DLOA.

Agreement of approach to handover with stakeholders: The
construction supplier should seek early agreement between stakeholders
as to the approach and strategy for handover. It is essential for the
construction supplier to define with stakeholders: handover activities,
interdependencies (critical path) between activities, scope and
acceptability standards for products (by receiving MSP). Handover trackers
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should then be set up to monitor progress against the strategy and record
agreements relating to progress against milestones.

Liaise with MSPs to ensure resource availability: The HA and MSPs
have finite resources so careful planning and close liaison is required by
the construction supplier to ensure that the HA and MSP staff and
engineers are available for inspections and document reviews when
needed, for example, by giving them advance notice and adequate review
periods.

Consider implications of sectional handover: Implications of the
approach to handover need to be fully considered e.g. for sectional
handover an additional Road Safety Audit 3 would be required (e.g. RSA1,
2, 3 for each section and RSA3 for overall scheme). Further consideration
should also be given to the temporary operational regimes for sectional
handover and additional modifications to assets to facilitate the temporary
regime, for example the implications on the use of Advanced Direction
Signs (ADS) as discussed under the next bullet.

Early agreement of the delineation of works for sectional handover:
Delineation of works must be agreed on a local basis – MSPs need to
know the location of the boundaries for each section. In some cases traffic
management may overlap into a handed over section in an adjacent link
and the ADS may need to be temporarily modified to reflect the temporary
operational regime (i.e. temporary lane drop prior to through junction
running layout). If sections are defined by junction-to-junction, there is a
need to consider the impact on complex junctions and interchanges
carefully.

Agreement of handover products (scope, templates, media etc): The
construction supplier must agree with MSPs the scope of handover
products e.g. handover document structures, handover templates with
placeholders, formats, media and programmes for submission. Agreement
of these products should increase the efficiency of pulling together the
handover information as MSPs will receive the correct information, in the
format they require, when they need it. PCF products should be kept as
one document (i.e. use of interim products) to reduce repetition, not
duplicated for each section i.e. document updated as each section is
completed. Thus, there is only one single document to review with a
changes log identifying the new items added for each new section so it is
clear what items need reviewing.

Agreement regarding the MRSS and maintenance access
arrangements: Discussions should be held with NDD and MSPs to gain
agreement to the Maintenance and Repair Strategy Statement (MRSS)
and maintenance access arrangements as early as practicable. They
should demonstrate these arrangements to MSPs and communicate how
schemes are designing for maintenance.

Sharing of designs and new infrastructure / technology / operational
solutions: Early and ongoing engagement should include sharing of
designs and discussing new assets / technologies. New items introduced
to the scheme can create new training needs (and lead in times could be
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significant e.g. 6 to 9 months), alongside new maintenance or spares
requirements. Frequent liaison will prevent the disruption caused by
surprises and allow time for pre-planning and enhancing the handover
strategy.

Agreement of approach to new asset equipment: Where non-standard
equipment is proposed, early discussion with MSPs is needed to address
any lack of familiarity with the equipment and limited information on failure
rates. Items to be discussed and agreed upon include: spares lists, training
and maintenance requirements in addition to demonstrating that new
UMSUG charge codes have been obtained and agreed. The HA generally
has data on the failure rates of standard technology and therefore the
construction supplier should be able to acquire accurate estimates of the
required spares.
Setting out the Detailed Local Operating Agreement
2.4
The DLOA is a critical tool for ensuring that the key stakeholders involved in
delivery and handover of a scheme have a common, and agreed,
understanding of all parties’ responsibilities. There will be complexities and
challenges in agreeing scheme specific arrangements, and so it is usually
helpful to use a pre-existing template to aid the discussions. A DLOA PCF
product template is available to provide a consistent starting point for schemes
in their development of DLOAs. For further information refer to the PCF.
Implications on Health and Safety File
2.5
The requirements for major scheme Health and Safety (H&S) Files are set out
in Interim Advice Note IAN 105, which is the implementation guidance for the
Construction Design and Management (CDM) Regulations 2007, and is part of
the Project Control Framework (PCF). The scheme’s CDM Coordinator will
support the delivery and development of the H&S File to meet the needs of all
parties. Therefore the contract for the CDM Coordinator, and the Works
Information for the scheme, should be reviewed throughout the scheme
lifecycle to ensure they align and support the approach to handover.
2.6
It is the responsibility of the CDM Coordinator to set out the needs and
requirements of the client in terms of H&S. The construction supplier and
scheme designer should ensure that these needs and requirements are
incorporated within the Construction Phase Plan (CPP). CDM Duty Holders
must validate the delivery requirements and their implications on the H&S File.
Incremental development of the Health and Safety File
2.7
The amount of information contained within the H&S File means its
development should begin early and be incremental, rather than being seen
as an activity to be carried out immediately prior to handover. Incremental
development and frequent review with MSPs is also important because assets
can be brought into operation before scheme construction is formally complete
but only if there is appropriate H&S information to enable safe operation (an
approach that is recognised by the CDM Regulations 2007 Approved Code of
Practice).
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2.8
Careful consideration is required where the incumbent MSP is contracted by
the construction supplier to provide scheme maintenance. To support this, the
interim handover of H&S information must be sufficiently developed to fulfil the
H&S duty of care and enable the MSP to undertake their works in a safe
manner. The stakeholders, including MSP, will have to agree the H&S
information is sufficient to undertake any works. However, care must be taken
if the MSP undertakes any works before the completion and handover of the
H&S File. A joint review of the H&S File for the whole scheme could be
undertaken to mitigate any issues. If exceptions are agreed regarding the
information required, a clear plan for the completion of this information and
implications for non compliance should also be agreed.
2.9
Irrespective of the overall approach to scheme delivery and handover, the
approach to developing and handing over the H&S File must be aligned, and
reflected in the CPP.
Health and Safety File proformas
2.10
2.11
H&S File proformas are provided within the PCF. The proforma documents
enable a consistent structure to be adopted in the electronic production of
H&S Files. There are two approaches, to use either a:

document based structure, in accordance with IAN 105 and associated
PCF templates. The sections within each requirement are expanded and
hyperlinked into a database of information; or a

spreadsheet based structure, where the H&S File is isolated for each
discipline area, again with core document areas being hyperlinked into a
document database.
At this stage, design teams should enter content on their design philosophies,
decisions, hazard elimination and associated information into the relevant
discipline area of whichever structure is adopted. Once completed, the
documentation should be treated as ‘live’ and continuously updated as
required during the design, construction and delivery phases.
Health and Safety File handover trackers
2.12
The H&S File PCF product incorporates a number of handover trackers.
These trackers monitor, and subsequently demonstrate the completion of
works to the standard required for effective handover and support a consistent
approach for all major schemes. The most relevant trackers are: BD62
Structures Tracker; MCH 1349 Technology Tracker; Highways Tracker
(covering the remaining aspects of the highway); Outstanding Works schedule
and the Handover/Joint Inspection schedule.
Planning for maintenance during construction
2.13
The DLOA should record the agreement between the construction supplier,
NDD Senior User, MSPs, Lead Operations Manager and Senior Responsible
Officer regarding which assets should be taken out of maintenance, and the
arrangements that will be put in place to maintain any equipment that remains
on the network during the construction works. It should set out the approach to
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conducting condition surveys, define the obligations of all parties during the
construction phase, and describe how the handover process will be managed
during the scheme lifecycle and acceptance into operation and maintenance.
2.14
Schemes should liaise with MSPs to consider their forward maintenance plan
and collaboratively plan works to enable best use of traffic management. In
this instance, the construction supplier will retain Principal Contractor
responsibilities, as defined in CDM regulations, with access to undertake
planned maintenance controlled as defined in the scheme access
arrangements.
Maintenance requirements
2.15
Maintenance responsibilities need to be agreed at a detailed level so it is clear
which party has responsibility for each asset at any particular point in the
scheme lifecycle. This is particularly important at scheme boundaries and
interfaces, where access arrangements and protocols are likely to be required
to enable the MSP and construction supplier to fulfil their respective duties.
These maintenance arrangements are to be agreed and recorded through the
DLOA.
2.16
The construction supplier is responsible for maintenance during construction
and interim scheme specific maintenance (ISSM) up to the point of
acceptance into operational maintenance; however there may be exceptions
required as to the scope of the construction supplier's responsibilities which
should be agreed in the DLOA. The construction supplier may have the
capability to deliver maintenance directly, or alternatively may wish to contract
a third party (e.g. ASC, RTMC or others) to provide the maintenance on their
behalf. When determining who provides the services, the construction supplier
should demonstrate value for money.
2.17
The construction supplier is not responsible for maintenance related to winter
service; these services will continue to be provided by the MSPs.
2.18
Due to the evolving nature of schemes, maintenance requirements vary
throughout the scheme lifecycle. The level of maintenance which must be
provided by the construction supplier also varies as the scheme progresses;
there are three distinct phases as follows:

During stages B and C: maintenance during construction

During stage D: interim scheme specific maintenance

During stage E: handover to HA for operational maintenance
Level of maintenance
2.19
The maintenance of the strategic road network under normal operation is
generally governed by the Asset Maintenance and Operational Requirements
(AMOR) and Technology Maintenance Management Manual (TMMM). These
are outcome based approaches to maintenance which stipulate the minimum
requirements that a MSP must comply with to ensure that the HA network is
satisfactorily maintained. In principle, all scheme maintenance should be
carried out by the construction supplier to the same level of service as that
provided by the MSPs within each region.
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2.20
Schemes should liaise with the NDD Senior User and NDD Service Delivery
Manager to obtain details of the specific service level being provided by MSPs
and agree how this is interpreted and varied through the construction phase of
a scheme. Where ambiguity exists (for example technology being installed that
is currently not covered within MSP maintenance), the construction supplier
should provide suitable levels of service as regionally agreed with the NDD
Senior User and the Regional Operations Board (ROB) and should be based
on the overall availability of assets.
2.21
Table 2 defines the level of maintenance the construction supplier delivering
the scheme should provide at each stage of the scheme lifecycle for (1) preexisting and (2) new assets.
Stage
Asset type
(1) Pre-existing vs (2) New
Maintenance
during
construction
(Stage B – C)
Interim
Scheme
Specific
Maintenance
(Stage D - E)
Level of Maintenance
(1) Pre-existing
In accordance with the DLOA,
Maintenance Specification for MSP(s)
and/ or relevant levels of service agreed
by the Senior User/ ROB.
(1) Pre-existing
In accordance with the DLOA,
Maintenance Specification for MSP(s)
and/ or relevant levels of service agreed
by the Senior User/ ROB.
(2) New
Under test
To a level agreed between construction
supplier and the Senior User to support
activities during operational regime
testing.
In operational use (e.g. manual
settings initially, followed by
MIDAS queue protection and
other subsequent operational
regimes – after appropriate
monitoring periods.)
In accordance with the DLOA,
Maintenance Specification for MSP(s)
and/ or relevant levels of service agreed
by the Senior User/ ROB.
Table 2: Level of maintenance
2.22
Note:
(1) Pre-existing is defined as assets that were available prior to start of works
and remain in operation during the course of the works.
(2) New is defined as assets that were installed as part of a scheme.
Managing asset information
2.23
Core information about non-technology assets on the strategic road network is
contained in the HA’s primary asset data systems, as defined by the Asset
Data Management Manual (ADMM). Construction suppliers must ensure the
data they provide is compatible with these primary asset data systems to
enable efficient exchange of information; guidance on this is provided through
the ADMM. The HA is in the process of rolling out the Integrated Asset
Management Information System (IAM IS). Compliance with the requirements
set out in the ADMM will ensure scheme data is compatible with IAM IS.
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2.24
For technology assets, MCH 1399 sets out the requirements to provide
information about the assets being removed or added as part of a scheme.
The construction supplier should provide information in line with MCH 1399 as
early as practicable in the scheme development and seek further clarification
from the HA’s Logging Environment (HALOGEN) and HA’s Technology
Performance Management System (HATPMS) services.
2.25
Asset specific H&S information should be uploaded into the associated HA
database where applicable, for example the H&S access or egress information
associated with a structure should be uploaded into SMIS.
Data requirements for the HA’s primary asset data systems
2.26
During this stage scheme designers and construction suppliers should
consider how as-built data will be transferred back to the MSP at handover.
With regard to Computer Aided Design (CAD) drawings and Building
Information Models (BIMs) there are two key considerations to bring about
efficiency:

Data structure and attributes: If the same naming and attributing
conventions are accommodated in the data underlying CAD drawings
and/or BIMs as those used in the HA’s primary asset data systems (e.g.
IAM IS) then it will be more efficient to compile the datasets required for
handover. Further information on the naming and attributing conventions
required is available in the ADMM Major Scheme addendum.

Unique identification (ID) references for assets: To enable scheme data
to be updated efficiently into the HA’s primary asset data systems,
consideration should be given to a system of unique IDs. Where existing
assets are removed or modified, the ID system should consider linking
back to the original data source. IDs can be retained throughout design and
construction stages, in the underlying data for CAD drawings and BIMs, so
that linkages in the as-built asset data can always be traced back.
Asset data required for scheme development
2.27
The scheme designer and construction supplier require relevant and available
asset data in order to enable the design and Works Information to be
developed. It further enables the compilation of the pre-construction
information required for identifying hazards and constraints that will impact the
programming and methods of work.
2.28
The data held within the HA’s primary asset data systems may not be
complete, current or accurate enough for the purposes of the major scheme.
Therefore the scheme designer and/or construction supplier will need to
undertake a review and validation exercise to determine if further surveys are
required. Process guidance on obtaining, reviewing and initiating further
surveys is provided in Annex C for the following key datasets:

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Mobile mapping data: The HA has a network wide programme of Mobile
Mapping surveys which provide high definition imagery and a LiDAR point
cloud from a driven survey. The process map (Annex C.1) shows how the
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LiDAR data can be obtained, and enhanced, to ensure it is fit for
topographic mapping.

Drainage data: Designs based on uncertain drainage data create a
significant risk to scheme delivery, notwithstanding the fact that a lack of
drainage data impacts effective operational management of the network.
Therefore, where the HA does not have current and comprehensive data
regarding its drainage asset, scheme designers should commission full
asset detailed defect drainage surveys (in accordance with IAN 147) to
inform the design used for target cost negotiations. The process map
(Annex C.2) shows the steps to determining whether a survey should be
carried out.

Carriageway inventory data: The ADMM Major Scheme Addendum
provides guidance on the process for handing over data from the MSP,
who manages data on behalf of the Agency, to the scheme. Appendix E of
the ADMM details the scope of the carriageway inventory data held by the
Agency’s primary asset data systems. The process map (Annex C.3)
shows how the most current and accurate data can be obtained and
validated.
Programming for asset data handover
2.29
The amount of data to be handed over from the construction supplier as a
result of carrying out the scheme works is likely to be substantial. Therefore as
part of the preparations for handover, the construction supplier should agree
with the MSP a programme for transferring scheme data. This programme
should also recognise the resource demands on the MSP in being able to
review and approve the data being provided ahead of accepting the scheme
into maintenance.
2.30
If the scheme is being handed over in a sectional approach, the scheduling of
data handover will need to reflect the fact that acceptance into operation and
maintenance is dependent on the MSP having the data required for the HA’s
primary asset data systems ahead of this transfer of responsibility.
2.31
The scope of data required for handover is detailed in a number of standards
and guidance documents which are summarised in the ADMM Major Scheme
Addendum.
Instigating the technology site data process
2.32
Site data consists of information about the technology equipment on the road
network, such as locations and relationships between pieces of equipment or
software configurations (for example MIDAS speed / flow thresholds required
to automatically set variable speed limits on signs and signals).
2.33
Most schemes require changes to site data, to reflect changes to the roadside
equipment. Most of the site data is used by the Highways Agency Traffic
Management System (HATMS). However, separate control systems for
Emergency Roadside Telephones (ERT) and CCTV cameras, called ICCS
and TVBS respectively, exist. The scheme should be aware of these
differences and that any inconsistencies in site data could potentially impose
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delay to delivery and costly rework. As such, suitable emphasis should be
placed on building quality and accuracy using correct procedures and suitably
experienced staff to deliver a “right first time approach” in order to minimise
the impact on operations.
2.34
This should be facilitated through close liaison by the Site Data Designer
(SDD), who usually works for the scheme designer, and close interaction with
the Technology Commissioning Plan, which sets out which assets are being
decommissioned/ commissioned and the programme for implementation. The
process for changing site data is described in MCH 1596. This document is
available
from
the
Site
Data
Centre
(SDC)
website
(https:/www.sitedatacentre.com/), along with other information including a
simple guide to site data, and the tools required. A brief synopsis of the
process is as follows.
Scheduling site data changes
2.35
The SDD should produce a draft schedule of site data changes required
throughout the scheme. Each site data change is given a National Site Data
Change Number (NSDCN). NSDCNs are released in "Groups" or Site Data
Loads (SDLs) and each Group typically includes NSDCNs for various
schemes and within a scheme. Due to the lead time for planned site data
changes, and the frequency of Groups (up to four per year), it is essential that
the draft schedule be as detailed and accurate as possible. For schemes
under PCF, this schedule is published and maintained in the PCF product Site
Data Change Request.
Raising NSDCNs
2.36
The SDD should raise draft NSDCNs for all scheduled changes. This involves
completing a simple form on the SDC website. Raising a draft NSDCN
automatically generates a unique number for the change. Each draft NSDCN
needs to be raised sufficiently in advance of the date required for the data
load. For further details, refer to the SDC Website.
Outline site data design
2.37
The SDD should design and specify the site data changes using the scheme
design. As part of this work, the SDD can download copies of site data from
the SDC website to determine the status of the data prior to the scheme.
2.38
It is rare that a design is fully complete by the time the SDD starts work on the
data, so ongoing liaison with the scheme designer and construction supplier is
essential to ensure that the data is cognisant of the situation on site.
Experience suggests that the existing data is used as a starting point, and that
the information is built up in a schedule of devices. The initial schedule can
also help to inform any site surveys of existing assets.
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Initiating third party liaison
2.39
The SDD should initiate liaison with all third parties that have an interest in the
site data. Regional Control Centres (RCCs) may be supported by a Regional
Site Data Designer (RSDD) who is a maintenance service provider resource.
The RSDD is an experienced SDD with knowledge of the region, and is
responsible for assuring the overall quality of the site data for the RCC. The
SDD should liaise with the RSDD early in the scheme development to ensure
that the RSDD is sufficiently familiar with the data changes.
2.40
Although the site data design is produced by the SDD, IP addresses are
allocated and updated by the National Roads Telecommunications Service
(NRTS). As such, there is a responsibility on the SDD to keep NRTS informed
of the design throughout its development. Additionally each RCC has a forum
(the Site Data Action Group (SDAG)) whose primary responsibility is to review,
coordinate, schedule and allocate NSDCNs to site data Groups. SDAG
meetings are essential and they are held at least every quarter, and also on
an ad hoc basis as required. The SDD must initiate liaison with the SDAG as
early as possible.
2.41
The scheme designer should liaise with the RCC to manage RCC based
activities during the scheme, and as part of this the SDD should initiate liaison
on site data issues; the contact point for this is the Regional Technology
Operational Lead (RTOL).
Enabling MIDAS traffic counting
2.42
An NSDCN should be implemented during the pre-works to enable MIDAS
sites in the scheme area for traffic counting. This enables the collection of
actual traffic data for a 56-day period before construction starts to baseline the
flows.
2.43
Note: This change is only required if there are insufficient sites already
enabled, as data is generally available, and can be used to derive initial speed
/ flow thresholds data. Given the 56-day period, the scheme designer should
identify as early as possible whether a change is required and ensure suitable
data is collected before the works start.
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3 Stage B: Construction
3.1
In this stage designs are finalised, works commence on site and infrastructure
is put in place.
Lead Operations Manager TMD
and RCC Operations Manager
C
C
A
I
C
A
R
C
C
C
C
R
C
C
R
C
C
I
R
I
C
I
I
Scheme CDM Coordinator
MP Project Manager
C
NTIS
MAC/ ASC and
Service Delivery Manager
R
TechMAC/ RTMC and
Service Delivery Manager
Undertake maintenance during
construction as per DLOA
Provide live updates in H&S file
Update Site Data and data
handover during construction
Ensure NRTS requirements are
met for handover to enable asset
transfer
Perform SAT1
NRTS
Task
Scheme Designer
Construction Supplier
Roles and responsibilities during construction
C
A
I
A
I
I
A
Key: R: responsible, A: accountable, C: consulted and I: informed.
Table 3: Roles and responsibilities during construction
Key considerations during construction
3.2
The following summarises the issues that should be considered at this stage:

The construction supplier should produce handover documentation in
accordance with MCH 1349 and BD 62 and should ensure that records
required for handover are kept up-to-date as a ‘business as usual’ activity.

Surveys and inspection of works should be conducted as early as possible
with NRTS and the MSPs who will accept the scheme into maintenance, to
ensure appropriate requirements have been met and to support
preparations for handover.

The construction supplier should also ensure that the H&S File and tracker
are kept up to date as a live document set, this will enable consistency and
minimise the potential for data duplication.

Where the construction supplier takes ownership for maintenance of
existing assets during the scheme, they should follow the requirements and
process set out in the ADMM Major Scheme Addendum to ensure
maintenance records are kept up to date.
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
The construction supplier should give careful consideration to the removal
of assets and decommissioning of devices that will be temporarily
disconnected and their site data requirements; this may require moving
assets on to a temporary communications network to enable operation (and
visibility to operators) during works.

Site Acceptance Tests (SAT) provide assurance that the infrastructure and
systems have been designed and installed to an acceptable standard, and
are able to be operated effectively. The construction supplier should
reconfirm the plans for the asset readiness (stage C) and operational
regime testing (stage D) at this stage with the Lead Operations Manager.
NRTS requirements will need to be met ready for asset transfer as NRTS
circuit activation must be in place prior to commencement of asset
readiness testing.
Handover process requirements
3.3
The construction supplier should ensure that records required for handover
are kept up-to-date as a ‘business as usual’ activity. These records should be
submitted to MSPs early enough to allow thorough reviews so that any
required amendments can be made prior to handover.
3.4
Standardised handover trackers should be used to improve the organisation,
efficiency and clarity of handover progress. The preparation of handover
documentation such as the as-built drawings, H&S File, operation and
maintenance manuals (BD62 & MCH 1349) should commence in, and be
ongoing throughout this stage.
3.5
MCH 1980: Schemes should be cognisant of the process described by MCH
1980 - Process for the Commissioning and Handover of Technology Schemes
- when planning the commissioning and handover of technology assets, and
ensure that the requirements of MCH 1349 are met in advance of handover at
acceptance into operation and maintenance (stage E).
3.6
Risks to handover: Key risk items which are likely to impact the handover
programme if not closely managed include:

Completion of H&S File, due to the multiple interdependencies with other
handover requirements which all require careful management, eg.
electrical records and test certificates for all technology (MCH 1349),
structures inspection data, structures restrictions, capacity assessments,
and SMIS data etc.

Completion of MCH 1349 and BD 62 documentation, including, but not
limited to, test certificates, training, maintenance and commissioning
spares, defects and faults.

Completion of the as-built drawings required for the H&S File; schemes
should allocate sufficient resource to complete to programme.

Agreements regarding land ownership and boundaries, which are known
to create legacy issues. Engagement with land owners is imperative to
ensure requirements for handover are understood and complete by
stage E.
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3.7
The PCF handover schedule should be reviewed at an early stage and
activities programmed such that all handover requirements are complete by
stage E.
Enabling transfer of assets to National Roads Telecommunications Service
(NRTS) requirements
3.8
The primary NRTS documents that relate to acceptance and transfer of
infrastructure are GYS/RGD/TSP/0056 and GYS/RGD/TSP/0080. (Note: The
reader should check for latest versions and any successor documents to
ensure full compliance with NRTS requirements).
3.9
These requirements should be discussed with NRTS and completed in
readiness for asset transfer early in the construction phase; i.e. before NRTS
start work. The construction supplier will need to be able to provide the
relevant documentation for the assets (e.g. ducts / chambers) which NRTS
will be taking on in order to install communications cabling.
3.10
Within GYS/RGD/TSP/0056, the following sections are noteworthy:

Section 6.1: “The Delivery Partner [construction supplier] and NRTS
should work closely during the design period to ensure the infrastructure
design meets the GeneSYS 6-pack specification.”

Section 6.2: “When the infrastructure build is complete, NRTS will inspect
it, review test documentation and drawings etc, then accept is as fit for
purpose i.e. of an acceptable quality to install cables into it.”
3.11
GYS/RGD/TSP/0080 ‘Civil Roadside Infrastructure and Cabling’ also defines
the Design and Acceptance Criteria in more detail. Works associated with
NRTS activities (e.g. ducted network) need to be prioritised and completed as
early as practicable in this stage to enable technology installation works to be
programmed effectively. Schemes should conduct thorough internal checks to
ensure NRTS requirements are met before inviting NRTS to site to witness
infrastructure installation and testing, in order to prevent abortive or additional
site visits.
3.12
Note: There may be a requirement from the RCC to provide CCTV
connections to the construction supplier’s temporary CCTV system. The
construction supplier should use existing CCTV camera connections that have
been (or will be) interrupted during the works where possible in preference to
requesting new service delivery points. Where this is not possible, the
construction supplier should engage with NRTS at the earliest opportunity to
request temporary service delivery points.
Inspections
3.13
Early surveys and inspections of works by MSPs should be considered well in
advance of handover. This is to identify any issues in sufficient time, so that
they can be resolved prior to the planned handover time. This is of increased
importance within an All Lane Running (ALR) environment as any inspections
post stage D will need to be undertaken at night with a Lane 1 traffic
management closure.
3.14
It is good practice to undertake handover inspections early in the programme
to allow snagging issues to be mitigated. However, there is a risk that the
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asset status / condition could change before handover; therefore achieving
final agreements should only be undertaken as set out with the MSP in
accordance with the DLOA.
Health and Safety File requirements during construction
3.15
The H&S File information, in accordance with IAN 105, is established by the
scheme designer and construction supplier (Principal Contractor) and
supported by the CDM Coordinator. The aim is to keep the project H&S File
information as a live, actively compiled document throughout the construction
of the project.
3.16
If during the pre-works stage the H&S File content has not been fully
established, then this should be undertaken as an early activity in the
construction phase, working with the CDM Coordinator. The objective is to
make compilation of the H&S documentation a coordinated activity. This will
trigger effective document control and identify management issues early in the
project. An interface meeting should be established to agree any technical,
handover or interface management issues. This will include the consultees
shown within the RACI but will need support from operational asset
specialists. The DLOA could be used to establish the staff that are required
from all stakeholders.
3.17
The H&S File and interim handover trackers should be developed and
integrated as part of the project management meetings. These will improve
the effectiveness and efficiency of the project’s return to operation and
maintenance as well as pre-empting any interface issues due to design or
construction strategies.
Asset data handover during construction
3.18
Where the construction supplier takes ownership for maintenance of existing
assets during the scheme, the HA needs to ensure its maintenance records
retain their integrity. The ADMM Major Scheme Addendum sets out the
requirement for construction suppliers to capture this data and the process to
be followed.
Implementing the site data process
3.19
Several types of NSDCN need to be completed during the construction stage.
The Site Data Designer (SDD) should maintain a site data change schedule in
addition to maintaining an outline site data design, NSDCNs and third party
liaison.
Adding new devices as commissioned
3.20
Site data changes are needed to add new and modified technology devices
resulting from the main works. Devices should be added as commissioned
and marked not in use, so that they are visible to operators but not available
for use during construction. This enables operators to become familiar with
the new scheme layout. This means during this period there will be a
mismatch between the system and what is on the road, therefore implications
such as the device being shown as faulty will need to be managed by liaison
with the RCC operators. The SDD will need to make an agreement with the
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Lead Operations Manager and RCC Technology Manager to ensure the
situation is acceptable and manageable.
3.21
To perform any relevant Site Acceptance Tests (SAT), the device will need to
be brought into use via the HATMS Engineers Terminal. The site data should
include initial 3 lane, 4 lane or link flow state thresholds. These thresholds are
to be determined in line with MCH 2584 (Draft): Guidance for the calibration
and optimisation of Managed Motorway systems ((Product COM2 and COM5)
available via [email protected]) and provided to the scheme
designer for inclusion within the new site data.
3.22
Note: Whilst the scheme should be responsible for the threshold calculation
and calibration activities (refer to MCH 2584 (Draft) Product COM1 through to
COM7) the key role of Scheme Optimisation Engineer, as defined in MCH
2584 (Draft), may be provided by the construction supplier or the scheme
designer.
Managing existing technology assets prior to main construction works
3.23
A site data change is needed for most major schemes to deal with the impact
of the start of the main works, when NRTS bypasses communications to all
devices within the scheme. A decommissioning change involves:

devices which are to be removed or temporarily disconnected. Where
devices are to be retained during the scheme works (and where this has
not been done already) this may mean moving them to a temporary
communications solution.

where required, relocating controlling devices outside of the NRTS
bypassed areas, to keep devices outside the scheme area operational.
3.24
The changes will also apply to modernisation works in the central reserve.
3.25
The SDD should ensure that data is loaded as soon as possible after the
changes have occurred on site and liaise with the Lead Operations Manager
to ensure they are aware of the situation during the period where there is a
mismatch between site data and the roadside.
Systems testing and commissioning
3.26
Following the installation of the technology infrastructure and systems during
the construction period, they are subject to a series of Site Acceptance Tests
(SATs). These provide assurance that the infrastructure and systems have
been designed and installed to an acceptable standard and are able to be
operated effectively.
3.27
The commissioning activities are provided in three stages SAT1, SAT2 and
SAT3, the details of which are provided in the Technology Commissioning
Process Map (available via [email protected]). Figure 3 provides a
graphical illustration of this sequence of SAT activities throughout the scheme
lifecycle.
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Figure 3: Sequence of SAT activities
3.28
SAT1 is conducted in this stage. It is made up of the local commissioning
activities that involve individual groups of technology devices being tested.
This is likely to be tests involving outstation equipment and roadside devices
on site. At this stage NRTS activation, and subsequently the service delivery
point provisions, are not required. The construction supplier should also
confirm plans with the Lead Operations Manager in relation to asset readiness
(stage C) and operational regime testing (stage D).
3.29
SAT2 is conducted in stage C. It comprises the testing of single or groups of
devices from a remote location, including NRTS provided longitudinal circuits.
SAT2 is dependent upon having part(s) or all of the longitudinal cable network
installed and tested.
3.30
SAT3 is conducted in stage D. It is the final end to end testing of the whole
system, including the in-station and its associated site data, the complete
NRTS circuits, and the end devices and outstations. All operational critical
issues will need to be resolved before proceeding to operational regime
testing.
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4 Stage C: Asset Readiness
4.1
In this stage the scheme confirms the civil assets that have been installed are
ready for operational conditions. Where technology is being installed, the
scheme undertakes commissioning to SAT2.
NTIS
C
C
R
C
C
I
C
A
I
I
I
C
C
C
C
A
I
C
R
C
C
R
C
C
C
A
I
C
R
C
C
C
A
C
C
A
A
R
I
I
Key: R: responsible, A: accountable, C: consulted and I: informed.
Table 4: Roles and responsibilities during asset readiness
Key considerations during asset readiness
4.2
The following summarises the issues that should be considered at this stage:

The construction supplier should ensure that project trackers and the H&S
File contain sufficient detail and any exceptions are agreed between the
parties within the RACI and DLOA.

The construction supplier should continue to update MCH 1349 and BD 62
and obtain agreement and sign-off of the required PCF products.

The scheme designer should ensure the Statutory Instrument (if required)
is in place, to allow the scheme to move to stage D.

Interim handover of the H&S information can take place at this stage if this
was agreed in the Pre-Works stage. The construction supplier should
ensure that the project information provided is suitable and sufficient for
the designated assets to be taken into interim scheme specific
maintenance.
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Road Safety Auditor
Lead Operations Manager TMD
and RCC Operations Manager
C
NDD Senior User
R
MP Project Manager
TechMAC/ RTMC and
Service Delivery Manager
I
NRTS
C
Scheme Designer
Perform SAT2
Site Inspection in accordance with
BD62
Conduct Interim Road Safety Audit
(RSA) Stage 3
Site Inspection in accordance with
MCH 1349
Where agreed, complete relevant
documentation for sectional handover
Finalise requirements and timescales
for scheme handover
Construction Supplier
Task
MAC/ ASC and
Service Delivery Manager
Roles and responsibilities for asset readiness
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
SAT2 tests are conducted from the HATMS Engineers Terminal within the
RCC. The RCC operators need to be informed that they should not use
new signs or signals until they are fully commissioned as this may
compromise the tests.

Training of operators and maintenance staff is crucial to enable
operational regime testing. The scheme should provide early engagement
with the relevant group to ensure training is suitably progressed in
accordance with scheme delivery timelines as lead in times could be
significant.
Considerations for the handover process
4.3
4.4
The construction supplier will need to continue to liaise with stakeholders and
ensure that handover documentation requirements are developed and
completed during this stage. Activities will include:

Continued updates to handover documentation to BD 62, MCH 1349 and
PCF handover requirements

Complete relevant sectional handover documentation as agreed in stage
A.

Validate timescales for handover
For schemes which include variations against TSRGD in their operation, such
as variable speed limits, or use of the hard shoulder, the scheme designer will
also need to ensure that the Statutory Instrument is in place at this stage to
allow the scheme to be operated under its new operating regime under stage
D.
Interim Health and Safety information and implications on sectional handover
4.5
If agreed during pre-works, interim handover of H&S information can take
place at this stage. The construction supplier should ensure that the
information provided is suitable and sufficient for the designated assets to be
taken into interim scheme specific maintenance. The stakeholders, including
MSPs, will have to agree the H&S information is sufficient to undertake any
works required and that the H&S duty of care is mitigated.
4.6
Project trackers should be used to help evidence that the relevant H&S
information is available. In these circumstances, emphasis should be placed
on detailing what exceptions exist and ensuring appropriate agreements are
made within the DLOA to provide the remaining information.
4.7
This will confirm when the final H&S File information will be completed for the
project and the changes required between handover on a scheme or sectional
basis. The scheme is not complete under CDM until the final H&S File has
been handed over; the Senior Responsible Owner will ensure, in any
circumstances, this is carried out.
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Systems commissioning
4.8
SAT2 is carried out on individual or groups of technology devices being
tested. SAT2 is conducted from the HATMS Engineers Terminal at the RCC
to ensure full connectivity to the end equipment, whilst validating the
transmission network in conjunction with site data for the technology devices
being tested. During SAT2 the operators may notice new devices become
available on the operator interface. The construction supplier must ensure
operators are asked not to use the signals and signs as it may affect SAT2.
MIDAS algorithms must be disabled from the HATMS Engineers Terminal to
ensure operators cannot enable queue protection from the operator interface.
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5 Stage D: Operational Regime Testing
5.1
In this stage the scheme ensures that the technology that has been installed
works as an entire system to control the live operational environment.
R
R
C
R
C
R
I
C
R
I
I
I
A
A
A
C
C
A
C
C
C
A
I
C
C
C
C
A
I
C
C
C
A
C
C
R
C
Key: R: responsible, A: accountable, C: consulted and I: Informed.
Table 5: Roles and responsibilities during operational regime testing
Key considerations during operational regime testing
5.2
The following summarises the issues that should be considered at this stage:

The operational regime testing is designed to be an extension of the third
Site Acceptance Test (SAT3) requirements, and will vary according to the
scale and complexity of the scheme.

Although the SAT3 testing will often constitute the operational regime
testing; schemes must agree their approach (set out during pre-works)
with both the NDD Senior User and the Lead Operations Manager.

Several milestones must be reached before operational regime testing can
commence. These include: agreed level of H&S information provided;
assessing RCC readiness; arranging the system performance monitoring,
and planning site data changes.
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Road Safety Auditor
Scheme CDM Coordinator
C
Lead Operations Manager TMD
and RCC Operations Manager
C
NDD Senior User
C
MP Project Manager
MAC/ ASC and
Service Delivery Manager
C
TechMAC/ RTMC and
Service Delivery Manager
R
NRTS
Scheme Designer
Task
Ensure Interim Scheme Specific
Maintenance is in place
Perform SAT3
Performance Monitoring Period
If required, review site data and
finalise technology asset list
Complete MSPs and TMD training
where required
Complete Road Safety Audit
(RSA) Stage 3
Ensure CTI Stage 1 and 2 has
been completed
Construction Supplier
Roles and responsibilities during operational regime testing
Apr 2014
C
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
The approach to conducting operational regime testing varies by scheme
type, with different approaches required for Smart Motorway All Lane
Running and Hard Shoulder Running schemes. Non-Smart Motorway
schemes will need to determine if they require any element of operational
regime testing and what this will constitute.

Full testing cannot be completed while traffic management remains in situ.

MCH 1349 and BD 62 requirements should be updated, agreed and
relevant PCF products signed off.
Provision of Health and Safety information
5.3
While the majority of H&S information will usually have been compiled during
earlier stages, the operational regime testing may result in additional
equipment testing being carried out. Completion certificates may be added
during this stage, together with a record of the scheme exceptions.
5.4
The stakeholders, including MSPs, will have to agree the H&S information is
sufficient to undertake any works required, for example, interim scheme
specific maintenance, and that the H&S duty of care is mitigated. Issues are
likely to include the acceptance of red line drawings and certification which is
awaiting sign-off.
RCC readiness
5.5
The successful completion of the end-to-end testing depends on the
readiness of the RCC, which in turn requires both upgraded systems capable
of controlling the roadside equipment and trained staff available to operate the
scheme.
5.6
To ensure RCC readiness is progressed in parallel to scheme delivery
timelines, the construction supplier should work closely with the regional HA
Service Delivery Team (SDT), Traffic Technology Division (TTD) and Lead
Operations Manager.
5.7
Applying a consistent approach to operational regime testing facilitates the
prompt removal of temporary traffic management and supports earlier benefit
realisation.
System performance monitoring period
5.8
The performance monitoring period is used to demonstrate that the systems
delivered are ready for operational use in the live environment. The latest
version of MCH 1349 must be followed.
5.9
The construction supplier is responsible for arranging systems performance
monitoring, and for supplying the evidence necessary to demonstrate
successful operation. Appropriate evidence may include equipment logs,
HATMS fault logs or HALOGEN logs.
5.10
Certain faults reported during the monitoring period may be attributed to
"known / identifiable faults”, “non-critical service affecting faults”, or “expected
due to MTBF”. These faults may be recorded as "exceptions" to the
performance monitoring period. Provided the requirements defined in MCH
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1349, Section 7.4 "Outstanding Defects, Faults and O&M Requirements" are
fully met, such faults do not prevent the entire system from being handed over
into maintenance.
Site data commissioning
5.11
For some Smart Motorways schemes, additional data loads may be required
at this stage to migrate from advisory to mandatory speed limits. This depends
on factors including the commissioning strategy, the operational regime
testing, and the timing of the Statutory Instrument.
All Lane Running: transitioning options
5.12
All Lane Running (ALR) schemes feature the permanent conversion of the
hard shoulder to a controlled running lane. While particular junction layouts
may vary from scheme to scheme, typically the hard shoulder within the
junction will also be converted to a running lane (i.e. through junction running).
5.13
Transitioning to an ALR scheme can be performed in one of two ways – on an
entire scheme basis, or on a sectional basis. Identifying the most suitable
approach requires consideration of a range of factors, as set out in the
following sections.
Transitioning on a scheme basis
5.14
The preferred approach, from an operational regime testing perspective, is for
direct transition to ALR across the entire scheme. This approach is dependent
on the successful completion of SAT3 testing, as this provides the RCC with
assurances that the technology systems are operational.
5.15
When transitioning directly to ALR, the SAT3 testing constitutes the
operational regime testing.
5.16
Under the this approach, the ‘old’ hard shoulder (and new lane 1) will remain
coned off with temporary traffic management (TTM), leaving a 3 lane
motorway with 50mph speed limits displayed on fixed plate signs. At this
stage, full coverage of CCTV can be demonstrated, and SAT3 tests carried
out under TTM for Signs, Signals, and ERTs. Testing of the MIDAS queue
protection system in the lanes remaining open to traffic (lanes 2-4) can also
be completed.
5.17
At this stage, with signs and signals confirmed as operational, the TTM can be
removed but the 50mph speed limit is retained. The decision on whether to
retain reduced speed limits using fixed TM signs, or display via electronic
signs/signals, requires support from the Lead Operations Manager. This
allows all lane running to take place in a controlled environment for a five day
period enabling sufficient MIDAS data to be collected from all 4 lanes, and
used to generate an appropriate space-time plot of traffic speeds. Once
MIDAS queue protection is confirmed to be active across all 4 lanes, the
scheme can move into the operational phase (stage E in Figure 4).
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Figure 4: Transitional implications on a scheme basis
5.18
Note:

Appropriate message sets must be agreed with the Lead Operations
Manager to enable Motorway Signal Mark 4 (MS4) demonstration.

Conducting Highways Agency Digital Enforcement Camera System
(HADECS) high speed verification requires engagement with the
enforcement authorities, especially where traffic management remains in
situ.

Where included as part of the design, fixed taper point sign testing may be
necessary.

The appropriate space-time plot of traffic speeds is initially conducted to
validate lanes 2-4. Therefore agreement is required with the Lead
Operations Manager on whether MIDAS queue protection is instigated
whilst the scheme is operated at 50mph (until such time plots are
completed for lanes 1-4 and ALR is run at 70mph).
Transitioning on a sectional basis
5.19
In some instances, it may not be possible to introduce ALR on a scheme
basis. There may instead be a requirement to introduce ALR on a sectional
basis, for example due to programme or traffic management constraints.
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5.20
SAT3 enables a transition to ALR on a sectional basis by demonstrating the
successful operation of the technology systems to the RCC one link at a time.
The ALR operational regime testing is undertaken as shown in Figure 5.
5.21
As with the scheme-wide approach, the ‘old’ hard shoulder (and new lane 1)
will remain coned off with TTM, leaving a 3 lane motorway with 50mph speed
limits displayed on fixed plate signs. At this stage, sectional coverage of
CCTV can be demonstrated, and SAT3 tests carried out under TTM for Signs,
Signals, ERTs, and HADECS on that link or section. MIDAS queue protection
testing in the lanes remaining open to traffic (lanes 2-4) can also be
completed.
5.22
Once signs and signals are confirmed as operational, the fixed plate speed
limit signs and TTM can be removed, and reduced (50mph) speed limits set
using signs and signals. All lane running can now take place in a controlled
environment while MIDAS data is collected from all 4 lanes over a 5 day
period to verify that queue protection is working across all lanes.
5.23
Careful consideration must be given whenever a temporary operational
regime is introduced (e.g. preventing 4 permanent lanes through a junction
affecting downstream traffic management through the creation of a lane drop);
and the interfaces between adjacent sections of network with different
operating regimes must be carefully managed.
Figure 5: Transitional implications on a sectional basis
5.24
Note 1:

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A temporary operational regime may require some devices to be initially
commissioned with limitations (where appropriate), and re-commissioned
with full functionality once the permanent operating regime is introduced.
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5.25

Conducting HADECS high speed verification requires engagement with
the enforcement authorities, especially where traffic management remains
in situ;

Where included as part of the design, testing of fixed taper point signs may
also be necessary.
When considering sectional handover, other key factors include:

Determine whether a simplified Safety Case (GD-04 assessment) is
required to reflect the interim operational regime, including whether a
temporary lane drop will affect traffic flows at junctions, and what
signage/coning is required to support any temporary works;

Whether changes are required to the available MS4 message set to
prevent inappropriate messages (e.g. ‘Lane 1 for Jxx’)’ from being
displayed;

The implications around site data for any devices within, near, or
immediately adjacent to sections with temporary operational regimes.
Consent to Implement
5.26
The Consent to Implement (CTI) process is incorporated within the
Operational (RCC) Handover Documentation and Certificate PCF product. It
has recently been updated to include the requirements associated with
handing over an ALR scheme, including testing and authorisations for
progressing through the operational regime testing stage. CTI applies whether
handover occurs on a scheme or sectional basis.
5.27
While the construction supplier remains responsible for engaging with
stakeholders to enable effective handover into operation and maintenance,
the updated CTI adopts a leaner process and provides construction suppliers
with greater scope to set out individual agreements which support faster
delivery. The updated CTI process is shown in Figure 6.
Figure 6: Consent to implement process
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5.28
Certain approvals are required when entering and exiting the operational
regime testing in order to maintain control. In an ALR scheme, the key stage
transition criteria are provided in Table 6.
Key activities for CTI entry criteria
 The Statutory Instrument (SI) is in place
 End-to-end systems commissioning (including SAT2) and RSA Stage 3 has
been completed
 Relevant documentation (including BD 62/07 and MCH 1349) has been updated
 Operator and MSP training has been completed
Key activities for CTI exit criteria
 Faults are at acceptable levels
 Operational regime testing has been successfully completed1
 Queue detection has been tested and validated2
 Systems are accurate and RCC is ready to ‘go live’
Table 6: Consent to implement: stage transition criteria
5.29
While stakeholder agreement is required to transition between stages,
agreement does not void the responsibilities of the construction supplier
delivering the scheme of ensuring RCC readiness.
Implications for Hard Shoulder Running
5.30
The ALR design is now the preferred solution for future Smart Motorway
schemes, however; guidance provided within this section is still required for
those Hard Shoulder Running (HSR) schemes that are yet to be handed over
into operations. The operating regime testing implications for HSR schemes
are shown in Figure 7.
5.31
The first part of the approach is similar to that proposed for ALR schemes.
TTM supported by fixed plate speed limit signs are retained to close Lane
Below Signal (LBS) 1 to traffic while SAT3 testing is completed for signs,
signals, MIDAS (LBS 2-4), ERTs and HADECS. PTZ CCTV coverage can
also be verified at this stage.
5.32
Once these tests have been completed, the fixed plate speed limits and TTM
can be removed, enabling HSR testing to commence. Reduced speed limits
can be shown on signals, where required. Following successful completion of
HSR trials, full dynamic hard shoulder running can be introduced.
1
SAT3 to be completed for CCTV, Signs and Signals, ERT and an appropriate space-time plot of
traffic speeds for running lanes
2
Queue detection will be validated for the running lanes. Completion of 4 lane space-time plot of
traffic speeds to be completed within 5 days of the Traffic Management being removed.
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Figure 7: Testing implications for HSR
5.33
5.34
One key decision relates to whether advisory speed limits are deployed during
handover. Factors that influence the decision include:

Presence of an approved Statutory Instrument: Schemes should
initiate the process of obtaining their Statutory Instrument well in advance
of the undertaking of their operating regime testing. In the event of not
having the SI in place, advisory speeds may be used as a temporary
measure.

Local operational experience: Advisory limits provide a gradual
introduction to the full technology toolkit which may benefit RCC staff not
previously exposed to variable mandatory speed limits.

Local road user exposure to VMSL: Schemes in areas without
mandatory speed signals may wish to introduce the concept to the
travelling public through advisory speed signals.

Other factors: These include scheme sectional construction, site data
restrictions and other regional constraints.
Where interim advisory speed limits are not deployed, the scheme will
proceed directly to variable mandatory speed limit (VMSL) and HSR trials.
This is the preferred option as it reduces both the need for an additional site
data load, and the time and risk taken to progress from ‘Asset Readiness’ to
acceptance into operation and maintenance.
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Interim Scheme Specific Maintenance (ISSM)
5.35
A key activity during handover relates to maintenance of infrastructure (both
civil and technology) constructed and/or installed as part of the scheme. The
levels of maintenance are outlined in Table 2.
5.36
To support the delivery of sustainable value through management of the
supply chain, the scheme may wish to consider the use of the existing Service
Providers under the scheme contract for the continued provision of:

Routine maintenance: To conduct routine maintenance (in accordance
with their agreed levels of service and maintenance specifications) of any
newly installed assets, in conjunction with existing assets outside the
scheme area. Existing MSPs can provide (1) greater economies of scale
for the HA through maintenance amalgamation of scheme assets with
wider area assets, (2) better consistency with existing systems, processes
and procedures with minimal additional effort and (3) a consistent
approach to manage and mitigate H&S information and implications.

Monitoring: Monitoring of HALOGEN, TPMS, CMDTE, TVBS and HATMS
to identify faults is already undertaken by MSP as part of their wider
network role, in order to ensure service levels are achieved. If the MSPs
are not employed, additional access and security requirements would be
required to meet TTDs implementation of ISO27001; and further access
would be required for PEW. MSPs are already recognised as the first port
of call for many Third Parties (i.e. RCC, DNO, NRTS, and NTIS etc)
meaning additional communications protocols would be required between
these groups and new parties.

Fault rectification: The technology selected for major schemes is broadly
consistent across the network, meaning MSPs are likely to already hold
spares. As a competently trained maintainer of technology assets they
should have the appropriate plant and equipment required to access and
rectify faults, access to TPMS for closing out faults, and 24/7 working
arrangements. Where new types of technology are being deployed on a
scheme, some of these considerations may be less relevant.
Calibrating Smart Motorways
5.37
In accordance with MCH 2584 (Draft), the scheme is responsible for
conducting the initial calculations prior to implementing speed and flow
thresholds in HATMS, and any subsequent post implementation calibration of
those thresholds.
5.38
Note: In instances where the Works Information requires the construction
supplier to provide a Scheme Optimisation Engineer who will undertake the
threshold calculation and calibration, then calibration is not required for
Completion. Nevertheless the construction supplier must ensure that the
calibration activities are undertaken in a timely fashion, as agreed with the
Senior User, with any revisions to the thresholds being provided to the Site
Data Design as soon as practicable.
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Initial threshold review
5.39
Once the scheme has been opened to traffic at the national speed limit, the
initial speed and flow threshold values (derived from pre-construction data)
used in the initial site data load should be reviewed in accordance with MCH
2584 (Draft) Product COM3.
5.40
Following this review, a recommendation can be made as to whether the
section of the motorway can be operated as a ‘Controlled Motorway’. If, for
any reason, the recommendation is that the section should not be operated as
a Controlled Motorway, the review period should be extended to capture 56
days’ worth of actual traffic data. This robust data set is then used to revise
the thresholds prior to Controlled Motorway implementation.
5.41
The System Performance Monitoring report may identify sites where the
threshold values need to be updated. Depending on the number of sites, small
changes can be carried out via the Engineers Console on the HATMS system,
with agreement of the RCC. Any such changes will need to be included into
HATMS site data during the next site data load.
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6 Stage E: Acceptance into Operation and Maintenance
6.1
This should be a short and largely administrative stage whereby documents,
sign-offs and certificates are completed.
MP Project Manager
NDD Senior User
Lead Operations Manager TMD
and RCC Operations Manager
C
C
C
A
C
C
C
C
A
C
C
C
C
A
I
C
A
I
C
R
A
C
I
C
R/C*
R/C*
C
C
I
I
C
C
C
Scheme CDM Coordinator
MAC/ ASC and
Service Delivery Manager
R
TechMAC/ RTMC and
Service Delivery Manager
R
NRTS
Scheme Designer
Task
Formal handover completed
Issue completion report to start
defect liability period
Finalise H&S File
Review initial thresholds and
complete calibration as per MCH
2584 (Draft)
Termination of the DLOA
Construction Supplier
Roles and responsibilities for Acceptance into Operation and Maintenance
R
Key: R: responsible, A: accountable, C: consulted and I: Informed.
R/C* - As required by the Works Information.
Table 7: Roles and responsibilities during acceptance into operation and maintenance
Key considerations during acceptance into operation and maintenance
6.2
The following summarises the issues that should be considered at this stage:

Where a sectional handover has been agreed, each section should be
brought together and reviewed for completeness, resulting in one single
H&S File for final sign off.

For civils handover, the construction supplier should give particular
attention to the completion of the Handover Schedule as it contains
requirements and interdependencies with technology and operational
handover products. For sectional handover, the scheme will likely have an
RSA1, RSA2 and an interim RSA3 completed for each section. The final
RSA3 will be undertaken for the scheme as a whole.

For technology handover, the construction supplier must finalise MCH
1349 and BD62 and hand them over to the relevant MSPs.
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
Operational and maintenance handover will not always be concurrent, and
the construction supplier will need to engage with the NDD Senior User
and Lead Operations Manager to agree the programme.

The required PCF products must be agreed and signed-off or be in a state
of agreement between the parties to demonstrate readiness for SGAR6.
Finalising the Health and Safety File
6.3
The H&S File should include certifications, information about any agreed
exceptions, and any other documentation required for handover to, or
acceptance into, operation and maintenance. All documents must be
complete, with supporting material (such as trackers) closed out in
accordance with IAN 105 requirements.
6.4
Asset data is to be handed over in accordance with the agreed approach. The
ADMM Major Scheme Addendum details the requirements that must be
fulfilled in terms of asset data, as well as detailing the process and
responsibilities for uploading data to the HA’s primary asset data systems.
6.5
Where sectional handover has been agreed, a single H&S File should be
prepared with relevant information from each section; this should be in an
electronic format as shown within the PCF product and in accordance with the
Works Information and IAN 105. A gap analysis of the combined file must be
carried out to ensure compliance with H&S legislation, prior to seeking CDM
Coordinator sign off and MP project manager client acceptance.
Scheme handover
6.6
When handing over a scheme (or section thereof) into operation and
maintenance, there are three factors to consider:

handover of the civil infrastructure,

handover of the technology infrastructure and equipment, and,

handover of the scheme in to operation
6.7
The construction supplier is responsible for ensuring the handover criteria are
met by the end of the operational regime testing period, as this will facilitate
formal handover.
6.8
Frequent engagement with the MSP enables handover requirements to be
understood and completed to programme. Failure will result in handover
delays, increasing the maintenance and staffing costs incurred by the
construction supplier.
6.9
Irrespective of the approach adopted, the requirements for handover will
remain largely unchanged. This is because the primary impact is on the timing
of product delivery within the scheme programme.
6.10
Note: Where sectional handover is used, SGAR6 should only be completed
once per scheme (not once per section), to minimise administrative activities
associated with completing SGAR6 and ensure that SGAR6 takes account of
the entire scheme.
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Criteria for handover of civil infrastructure into maintenance
6.11
Requirements are defined in the Maintenance Handover Certificate within the
PCF product ‘Civils Maintenance (MAC/ ASC) Handover Documentation &
Certificate’.
6.12
The construction supplier should give particular attention to the completion of
the Handover Schedule as it contains numerous requirements and
interdependencies with technology and operational handover products. Where
sectional handover is proposed on a scheme, an RSA1, 2, and 3 will be
required for each section, with the final RSA3 taking cognisance of the
complete scheme.
Criteria for handover of technology infrastructure and equipment into
maintenance
6.13
Requirements are defined in the Maintenance Handover Certificate within the
PCF product ‘Technology Maintenance (TechMAC/ RTMC) Handover
Documentation & Certificate’.
6.14
The process is defined in MCH 1349 and supported by MCH 1980. Unless
otherwise agreed with the NDD Senior User, all MCH 1349 requirements must
be met in advance of handover.
6.15
The requirements of Section 4.9 of MCH 1349 (Acceptance Testing) are
known to impact the handover process. The construction supplier should
ensure that they carry out Acceptance Tests which demonstrate that all
systems meet requirements, and are suitable for handover. This can be
achieved by completing the following:

Acceptance Testing - Infrastructure and Transmission;

Acceptance Testing - Technology Equipment;

Acceptance Testing – System Software and Site Data; and,

Performance Monitoring Period
6.16
These four activities are essential in achieving technology handover, as they
demonstrate that the systems delivered are suitable and ready for use in a live
environment.
6.17
Note: There are additional requirements which need to be met prior to
handover e.g. electrical test certificates, spares, and training (refer to
MCH1349 for full details). The construction supplier should consider meeting
these requirements as early in the programme as possible, before conducting
a final review at this stage to confirm all requirements have been met.
Criteria for operational handover
6.18
Requirements are defined in the Operational Handover Certificate within the
PCF product ‘Operational (RCC) Handover Documentation & Certificate’.
6.19
The construction supplier must be aware that handover into operations and
handover into maintenance are not always concurrent. Early engagement with
NDD Senior User and Lead Operations Manager is advised to agree the
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delivery programme and discuss the maintenance arrangements throughout
the scheme lifecycle (particularly during ISSM).
Outstanding defects and faults
6.20
Before handing the scheme over (to NDD and TMD), the MP project manager
and the construction supplier must ensure that all outstanding defects and
faults arising from construction and technology installation have either been
addressed, or in extreme situations are recorded in the Exception Report /
Outstanding Matters Checklist, which forms part of the handover PCF
Products.
Smart Motorways calibration
6.21
Construction suppliers and scheme designers should ensure they have
referred to MCH 2584 (Draft) to understand the extent of system calibration
required from the scheme.
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7 Stage F: Post Handover
7.1
The scheme is being operated and maintained under normal network
conditions. The 12 month defect liability period does however mean the
construction supplier has an underlying responsibility.
TechMAC/ RTMC and
Service Delivery Manager
MAC/ ASC and
Service Delivery Manager
MP Project Manager
NDD Senior User
Lead Operations ManagerTMD
and RCC Operations Manager
NTIS
If required, update H&S file during defect
liability period
If required, update associated technology
asset list
NRTS
Task
Scheme Designer
Construction Supplier
Roles and responsibilities for post handover
I
C
C
R
A
I
I
C
R
A
I
I
Key: R: responsible, A: accountable, C: consulted and I: Informed.
Table 8: Roles and responsibilities during post handover
Key considerations during post handover
7.2
The following summarises the issues that should be considered at this stage:

Before Project Closeout, a Review Workshop should be held and, if
deemed necessary, a Closure Checklist produced to include details of all
outstanding claims and issues and identify who is to be responsible for
their resolution.

Updates may be required to the H&S File during the defects liability
period.

The optimisation process may require additional site data loads to modify
the initial speed / flow thresholds. Changes will be the responsibility of
NDD.

Changes to technology equipment under defect liability may require the
technology asset list to be updated; the project manager is responsible for
ensuring this takes place, in line with MCH 1399.
Project closeout
7.3
Prior to Project Closeout, a Review Workshop should be held and, if deemed
necessary, a Closure Checklist produced and agreed with the NDD Senior
User.
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7.4
This checklist should include details of all outstanding claims and issues
(including any remaining issues from the Outstanding Matters Checklist), and
identify who is to be responsible for their resolution.
7.5
The objective is to achieve Project Closeout as soon as reasonably
practicable after handover. Stage 7 of the PCF process (Closeout) affords the
opportunity for a final revision of all handover documentation. Once this has
been completed, SGAR 7 may take place, which formally closes out the
scheme.
Updating the Health and Safety File during the defects liability period
7.6
The CDM Coordinator’s role terminates once the H&S File has been
accepted, with any associated duties and responsibilities reverting back to the
client.
7.7
If, during the defects liability period, any updates to the H&S File are required,
the NDD Senior User will ensure a CDM Coordinator (and Designer as
required) is engaged to update the H&S File so that it accurately reflects the
current status of the network.
Smart Motorways post opening optimisation
7.8
The definition of optimisation and responsibilities associated with it can be
found in MCH 2584 (Draft). Schemes should refer to this to ensure they are
clear where their responsibility ceases and that this understanding is shared
with the NDD Senior User.
Site data implications during post handover
7.9
Changes to the MIDAS speed flow thresholds identified during the postopening optimisation period will require corresponding changes to site data.
More details can be found in stage A.
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Annexes
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Annex A – Glossary of acronyms and terms
Acronym/Term
AMOR
ADMM
ADS
ALR
ASC
Audit Team Leader
BIM
CAD
CCTV
CDM
CDM Coordinator
CDM Duty Holder
CMDTE
Construction supplier
CPP
CTI
DBFO
Delivery HUB
DfT
DLOA
DMRB
DNO
ERT
GeneSYS
GSL
H&S
HADECS
HALOGEN
Handover Manager
HATMS
HSR
IAM IS
ICCS
ID
IP
ISSM
LCGOD
Lead Operations
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Description
Asset Maintenance and Operational Requirements
(Specification used by ASC)
Asset Data Management Manual
Advanced Direction Signs
All Lane Running
Asset Support Contract (Maintenance Service Provider for
Civils)
Role defined by HD19 Road Safety Audit
Building Information Modelling
Computer Aided Design
Closed Circuit Television
Construction Design and Management Regulations 2007
A defined role from the CDM Regulations 2007 (appointed by
the Highways Agency for major schemes)
A person with defined legal duties regarding H&S (as per the
CDM Regulations 2007)
Centralised Maintenance Depot Terminal Equipment (ERTs)
Contractor delivering the scheme on behalf of Major Projects
(sometimes referred to as a Delivery Partner)
Construction Phase Plan
Consent to Implement
Design Build Finance Operate
Smart Motorways Delivery HUB
Department for Transport
Detailed Local Operating Agreement
Design Manual for Roads and Bridges
Distribution Network Operator (referring the electricity supplier)
Emergency Roadside Telephones
Consortium who manage NRTS consortium
Government Soft Landings
Health and Safety
Highways Agency Digital Enforcement Camera System
HA Logging Environment
A role appointed by the construction supplier to lead and
coordinate all handover related activities
Highways Agency Traffic Management System
Hard Shoulder Running
Integrated Asset Management Information System
Integrated Communications Control System
Identification
Internet Protocol (Communications)
Interim Scheme Specific Maintenance
Leadership and Capability Group Operational Delivery
A Highways Agency, TMD role based in the Regional Control
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Acronym/Term
Manager
LiDAR
MAC
MIDAS
MMOMB
MOU
MP
MRP
MRSS
MS4
MSP
MTBF
NDD
NDD Senior User
NTIS
NRTS
NSDCN
O&M
PCF
PCI
PEW
Principal Contractor
PTZ
RCC
ROB
Road Safety Auditor
RSA
RSC
RSDD
RTMC
RTOL
SAT
Scheme designer
Scheme Optimisation
Engineer
SDAG
SDC
SDD
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Description
Centre and nominated to liaise on scheme delivery
Light Detection and Ranging
Managing Agent Contractor
Motorway Incident Detection and Automatic Signalling
Managed Motorways Operations Management Board
Memorandum of Understanding
Major Projects Directorate (Highways Agency)
Maintenance Requirements Plan
Maintenance and Repair Strategy Statement
Motorway Signal Mark 4 (Pictogram capable)
Maintenance Service Provider – a contractor who provides
maintenance services on the strategic road network on a
routine basis
Mean Time Between Failures
Network Delivery and Development Directorate (Highways
Agency)
The NDD Divisional Director for the Region (represents end
user interests in scheme delivery)
National Traffic Information Service
National Roads Telecommunications Service
National Site Data Change Number
Operations & Maintenance
Project Control Framework
Pre-construction Information
Planned Engineering Works
A defined duty holder under CDM 2007, who is usually the
main or managing contractor for the work (construction
supplier)
Pan tilt zoom camera
Regional Control Centre
Regional Operations Board
Appropriately qualified person for carrying out Road Safety
Audits
Road Safety Audit
Roadside Controller
Regional Site Data Designer is responsible for assuring the
quality of site data on behalf of a technology maintenance
service provider.
Regional Technology Maintenance Contract
Regional Technology Operational Lead
Site Acceptance Test
Supplier to Major Projects responsible for design
A technician responsible for adjusting the algorithms operating
controlled motorways
Site Data Action Group
Site Data Centre
Site Data Designer
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Acronym/Term
SDT
SGAR
SI
SMIS
TechMAC
TM
TTM
TMMM
TPMS
TSRGD
TVBS
UMSUG
VASL
Description
Service Delivery Team
Stage gate assessment review
Statutory Instrument
Structures Management Information System
Technology Managing Agent Contractor
Traffic Management
Temporary Traffic Management
Technology Management and Maintenance Manual
Technology Performance Management System
Traffic Signs Regulations and General Directions 2002 2G CCTV Base Station
Unmetered Supplies User Group Variable Advisory Speed Limits
Works Information
Contractual document containing detailed breakdown of
requirements
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Annex B – RACI Definition
Reference
Accountable
(“A”)
Responsible
("R")
Consulted
("C")
Informed
("I")
Description
The individual who is ultimately answerable for the
function/activity. Includes ‘yes’ or ‘no’ authority and veto power.
Only one ‘A’ can be assigned to a function and this
accountability cannot be delegated to another role.
This person is responsible for action/implementation and
typically the individual(s) who actually complete the task, the
doer. However in some circumstances this person may
delegate parts of the work to others, including other
organisations. Under these circumstances, they retain
responsibility for ensuring that the task is completed.
Responsibility can be shared, with the degree of responsibility
on each person determined by the 'Accountable' person.
The individual(s) to be consulted prior to a final decision/action.
Communication should be two way, there being a requirement
on whoever is consulted to respond to the information provided.
The individual(s) who needs to be informed after a
decision/action is taken. The communication is one way. There
is no requirement for an informed person to respond.
"A" the person who ensures the task happens, only one person
"R" the person(s) who will do the task, may be one person or a team
"C" the person(s) who are consulted
"I"
the person(s) who are informed
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Annex C.1 – Mobile Mapping Data Process Map
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Annex C.2 – Drainage Data Process Map
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Annex C.3 – Carriageway Inventory Process Map
Carriageway Inventory
Workflow
Note: The Asset Management
Office are creating new
carriageway inventory datasets
in accordance with ADMM
Appendix E. Schemes should
check the availability of this
data when they request data
from Maintenance Service
Providers
IAM-IS
Carriageway
Inventory
ADMM App. E
From most recent cyclic
survey – contact Asset
Management Office
Desktop
Validation
Imagery
SPS
Framework
Mobile Mapping
Survey
Gap Analysis
Report
Current/
Complete?
<95%
Prepare CE
documentation
>95%
Submit to MP Project Manager
Use for
purpose
Preliminary Design
No
Provide
Inventory to
MSP to update
IAM-IS
Valid CE?
IAM-IS
Carriageway
Inventory
ADMM App. E
Yes
Commission
Survey
3 Quotes
Minimum
Recollect
Carriageway
Inventory
ADMM App. E
Glossary:
ADMM: Asset Data Management Manual
MSP: Maintenance Service Provider
IAM IS: Integrated Asset Management Information System SPS: Specialist Project Services
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