street works administration of street and highway works notices for those involved in the planning...

Street WorksAdministration of Street and Highway Works Notices

For those involved in the planning and administration of street works notices

Contents Background & basics What to Check before Sending the notice What type of notice to send Notice periods and sequence What information is required on the initial

notice? Works completed - what happens next? Fixed Penalty Notices (FPNs) Permit Schemes And finally.... Q&A and Quiz.

Background & Basics

Based on the New Roads and Street Works Act 1991

Who & What?

Works Promoter – Anyone undertaking works

Highway Authority – An Authority undertaking ‘road works’ in order to maintain or improve a road

Street / Traffic Authority – An Authority with duties to coordinate

Utility Company / Statutory Undertaker – A company that undertakes ‘street works’ on it’s apparatus using statutory powers

Highway – Any part of the road, footpath, footway, verge and cycleway

Why issue notices?

It is a vital component of the co-ordination process It is a statutory requirement for many works types It standardises the data format It enables emergency notices, which can prompt the

emergency procedures of other organisations It triggers the inspection regime & the reinstatement

guarantee It records who has worked at a particular location It facilitates charging regimes It is an essential element of the authority’s duty for

keeping a register

When a notice is needed

Street Works – (Utility Company works) work on plant and apparatus in the street

Works for Road Purposes – (Highway Authority works) - maintenance and improvement works to the road itself, utility works for street lighting

Registerable (notifiable) works include:

Involve the breaking up or resurfacing any street Involve opening the carriageway or cycleway of traffic-

sensitive streets at traffic sensitive times Require any form of temporary traffic control as defined

in the Code of Practice for Safety at Street Works and Road Works

Reduce the lanes available on a carriageway of three or more lanes

Require a temporary traffic regulation order or notice, or the suspension of pedestrian facilities

Require a reduction in the width of the existing carriageway of a traffic sensitive street at a traffic-sensitive time

Works promoters must register, or notice, all works that:

When a notice is needed

Notice not required when......

Traffic census surveys

Pole testing involving excavation (rules apply)

Core holes - not exceeding 150 mm

Road markings

Where to send a notice?

Notices for works on publicly maintainable streets go to the Street Authority

Notices for works on private streets go to the ‘street manager’ or all the frontagers

Some streets may have an ‘interested organisation’ registered on the gazetteer

How are Notices Sent ?

Files are transferred almost instantaneously from the promoter to the authority via the internet

Most IT systems will not allow invalid notices to be created or sent

If the format is OK then the file is allowed ‘in’ at the receiving system where a more thorough checks are made on sequence and content. If the sequence or content are wrong then the receiving organisation may reject the file

Electronic Transfer of Notices (EToN)


Not generally permitted under the current legislation – All notices must be sent via EToN

Only used if IT systems have failed. (Street Authority or Statutory Undertaker)

All data sent via ‘paper’ notices must still comply with the sequence and content requirements

‘Paper Notices’


Delivery of the notice is the responsibility of the sender.

An electronic ‘receipt’ of delivery is still no guarantee that the notice is accurate and on time

Accuracy of the notice is the responsibility of the promoter

Questions ?

What to Check Before Sending the Notice

Things to Check First

The National Street Gazetteer (NSG) for the Unique Street Reference Number (USRN) and Associated Street Data (ASD).

The promoters own records for details of any S58 / S58A protection

One notice for each street works activities are taking place in

The Gazetteer

Authorities maintain a gazetteer which lists ALL streets in their area which is available to all works promoters.

All streets will have a USRN - Notices must be served using the USRN for the street ON WHICH THE ACTUAL WORKS WILL TAKE PLACE, One Street – One notice)

The gazetteer also contains vital information which will affect the timing and content of a notice. This information is called Associated Street Data (ASD)

Interested Parties – TFL, ORN or Network Rail as examples

Associated Street Data (ASD)

Protected Streets

Traffic Sensitivity

Special Engineering Difficulties – S.88 requirement to consult with Bridge Authority

Reinstatement category

ASD should include as a minimum;

Traffic Sensitive Streets

Streets subject to special controls. Designation procedures allow for attention to be focussed on particularly sensitive streets. Traffic-sensitive streets are especially important in this context. See chapter 5 in the CoP.

A S D (continued)

The presence of any structures (non bridges) Level crossings Environmental factors (RVEI’s, SSSI’s etc) Special surfaces (Anti skid, coloured surfaces etc) Oil & gas pipelines (Data provided by asset owner) Priority lanes (Buses & Cycle Lanes) Strategic routes Parking restrictions Pedestrian Crossings Special events Special construction needs Early notification of immediate works – Phone authority

Other key data included in the ASD is as follows;

Check For Restrictions

Such restrictions prohibit any non emergency or connection works for the following durations following the major works;

New Roads & Reconstructed Roads 5 YearsResurfaced Roads 3 YearsOther Works 1 Year / 6 Months

Non emergency works MUST be authorised by the authority

S58 is designed to encourage works promoters to combine works

An authority may place restrictions on further works following major utility or authority works

(S58 & S58A of NRSWA)

Examples of a “S58” warnings…

Questions ?

What type of notice to send

Forward Planning Notice

• Non mandatory notice

• The sooner a Forward Planning notice can be submitted to the Street Authority the better it is for coordination between other Utilities and also any Highway works

• What information is submitted on a Forward Planning notice?

• Details of where works to take place

• What Traffic Management will be required (if known)

• Contact details of the Site Manager (if known)

• Date the promoter would like occupation of the Highway

• Extremely useful for coordination

How do you decide what Notice to send?

Major:

Standard:

Minor:

Immediate - Urgent

Immediate – Emergency

11 + days 4 to 10 days (Maximum)3 days (Maximum)

Duration determined by nature of works - extensions can be requested

Duration determined by nature of works - extensions can be requested

Estimated Duration

Notice / Works Classifications

• Have been identified in an undertaker’s annual operating programme or, are normally planned or known about at least six months in advance of the proposed start date

• Require a temporary traffic order (not a temporary traffic notice) under the Road Traffic Regulation Act 1984 for any works other than immediate works

• Have a planned duration of 11 days or more, other than immediate works

Major Works


Standard Works

Minor Works

Standard works are works, other than immediate or major works, with a planned duration of between four and ten days inclusive

Minor works are works, other than Immediate/Standard or Major works, with a planned duration of three days or less.


Immediate Works Emergency Works

Which are defined in section 52 of NRSWA, are works required to end, or prevent, circumstances, either existing or imminent, that might cause damage to people or property.

An example is street works away from an emergency site that are necessary to shut off or divert a supply.

Remedial works to dangerous, defective reinstatements are classed as emergency works


Immediate Works

urgent works as defined in the Regulations as street works:

(i) to prevent, or put an end to, an unplanned interruption of any supply or service provided by the undertaker

(ii) to avoid substantial loss to the undertaker in relation to an existing service

(iii) to reconnect supplies or services where the undertaker would be under a civil or criminal liability, if the reconnection is delayed until after the appropriate notice period

NO

Is immediate work required to prevent or end a dangerous situation (includes dangerous defective works or reinstatements)

Immediate EmergencyWorks

Is work to prevent or end an unplanned interruption to a supply or to avoid substantial loss with respect to an existing supply, or to

reconnect a supply to comply with a statutory duty(HA works: signs, bollards etc)

ImmediateUrgentWorks

Are the works in the annual programme OR need a TTRO OR have a planned duration of 11 days or more, other than

immediate works

NO

Are the works, other than immediate OR major works with a planned duration of 3 days or less

NO

Standard Works

NO

WORKS CATEGORY SELECTION

YES

MajorWorks

MinorWorks

YES

YES

YES

Questions ?

Notice periods and sequence

Advance Warning – minimum periods

Advance s 54.

Proposed Start s 55 (Immediate Urgent s55. Immediate Emergency s 57.)

Works Start or Revised Duration s 74.

Validity & Cancellation

Notices remain valid for a given period time. If works do not start within that period, the notice must be cancelled and a new notice should be issued allowing for the requisite notice period

Cancellation of a works/phase can be issued before the start date, on the start date e.g. cars parked over site. However, it must be issued before the end of the notice validity period

EstimatedStart Date

3-Monthnotice served

Must be sent at least10 working daysbefore end of3 Month notice period

10-Dayfollow up

New Latest Start Date

The 10-Day follow upnotice can confirmthe Estimated Start Dateor move it up to15 days forward

Work may start within the next5 working days following theEstimated Start Date given inthe 10-Day follow up notice *

*The subsequent s55 notice should specify a start date which is no earlier than 3 months after the date on which the s54 notice was given, and no later than 15 days after the provisional starting date given in the s54 notice.

3 Month notice must be served at least 3 Calendar Months before Estimated Start Date

15 Working Days3 Calendar Month Notice Period

LatestPossibleStart Date

3 Months Advance Notice Model

Before works start

10 Days Notice

5 Days 5 Days

Duration of works

Issue ProposedWorks Notice

ProposedStart Date

Estimated End Date

Latest PossibleStart Date

HA can issue S74 Duration Challenge

Work Starts send S74 – In ProgressActual Start

Revised Duration of worksRevised Duration of works

Revised Estimated End Date

AA

AA

5 Days


BB

BB

S74 – In ProgressRevised Duration

Revised Duration of works

Revised Estimated End Date

CC

5 Days


CC

S74 - Works Clear/Closed

Standard Works

Section 74 Operation Model

Notice Period – Early Starts

Early Starts can be requested before or after issuing a S54 or S55 notice. Agreement details must be obtained and this may include a ref number

If agreed, all information discussed must be included on the subsequent notice confirming the start date

Street Authority Responses

Not respond ! Request for further information Request change to Proposed Works Comment or Information Duration challenge S56 / S56a S66 S74 Informal overrun warning

Street Authority may:

Starting & Extending

Once works begin, an actual start notice must be issued by the end of the next working day

Unforeseen circumstances can delay the completion of works, so a revised duration estimate can be submitted at any time before the estimated end date. The notice must include justification for the extension

If the works take longer than the “Prescribed Period” or the “Reasonable Period” they become unreasonably prolonged, and the authority may charge for each day in excess these periods. (S74 overrun)

Questions ?

What information is required on the initial notice?

What info must be on the initial notice?

Charge category Traffic Management Proposed Start and End dates Phase type – asset activity to interim, permanent

reinstatement, remedial activity

Continued……….

Certain fields will be automatically populated by the notice management system on creating a notice. The following mandatory information must be included on initial notices:-

What info must be on the initial notice?

Grid references – either a single point, start & end points or a polygon

USRN or provisional street details Location description Works description Works type – major, standard, minor, immediate Estimated inspection units Number of phases (expected) Applicable designations Agreement information (if applicable) Notice Restricted flag (yes or no)

What other info can be on the initial notice? Promoter name and contact details Contractor name and contact details Project reference Project description Attachments – (SEHAUC portable traffic light form !) Although there is no specific field for site location on an

opening notice, it also may be beneficial to include this information – e.g. carriageway, footway, footpath, verge and cycleway

In the interests of best practice, although all of the above information is optional, it may be beneficial to include this information on opening notices wherever possible

Error corrections/Amendments

Works description – can only be amended with agreement USRN/Provisional street details – can only be amended with

agreement Applicable designation – can only be amended with agreement Grid reference/s – can only be amended with agreement Location description – can only be amended with agreement

Restricted notice flag – can be updated without agreement Attachments – can be added without agreement Project reference & Description - can be amended without

agreement Promoter & Contractor details – can be amended without agreement

The following information can be corrected using a Works Data Alteration notice, some of which need an agreement from the authority

Agreements must be obtained from the relevant authority

Retracting S74 notices sent in error

If an Actual Start, or Works Stop notice has been issued on a notice in error, it may be possible to retract the notice using a Works Status Correction notice

An agreement must be reached with the relevant authority before sending this correction notice

Questions ?

Works completed – what happens next ?

Works completed, what happens next ?

Section 70 Notice Required where there has been excavation The undertaker must inform the street authority, stating

whether the reinstatement is permanent or interim Registration of the reinstatement including the

dimensions reinstated areas must be within 10 days Inspection units must be updated to reflect actual works. If the reinstatement is interim, the undertaker must

complete the permanent within 6 months

Section 74 – Works Stop – Notice sent by the end of the next working day.

Non excavation works only require a works stop notice

Works Completed – Reinstatement details

2 4 6 282012 22 24 268 1810 14 16

Front Street

Sid

e S

tree

t

Proposed Notice

Site 1

The Initial Notice would be created using the USRN for Front StreetWorks_Description: - Lay 1 x 100mm dia. pipe, 10m in C/W at 600mm cover, 60m in F/W at 350mm cover- It is only necessary at the this stage to create 1 site on the notice

Site 1Street_Location: – Footway (optional)Site_Location_Text: - From o/s No 6 to outside No 24.

Works Completed – Reinstatement details

2 4 6 282012 22 24 268 1810 14 16

Front Street

Sid

e S

tree

tSite

2

10m C/W 30m F/W

Site 3

30m F/W

Site 1

We now need to add the location text on Site 1 and create additional sites to cover the different surfaces in the trench work, and add reinstatement details, including a grid reference for all works.

Site 1 (Amended)Street_Location: - FootwaySite_Location_Text: – From o/s No 6 to jcn Side Street.Length x Width: - 30m x 0.4m

Site 2 (New)Street_Location: – CarriagewaySite_Location_Text: – Across jcn of Side Street.Length x Width: - 10m x 0.4m

Site 3 (New)Street_Location: - FootwaySite_Location_Text: – From jcn Side Street to o/s No 24.Length x Width: - 30m x 0.4m

Questions ?

Fixed Penalty Notices (FPNs)

FPNs Explained

The fixed penalty notice scheme is introduced by section 41 of the TMA

Offences refer to noticing non compliance

Why FPNs ?

encourage accurate and timely notice data improve the co-ordination of works improve data quality for all works promoters contribute to the aim of the TMA -

minimising disruption

The objectives of the FPN system are to:

OffencesTable 11.1: Summary

Offence Brief description Duties and obligations

An offence under s.54(5) Failure to comply with duties under s.54 See handout for details

An offence under s.55(5) Beginning to execute works in contravention of s.55

See handout for details

An offence under s.55(9) Failure to give notice in accordance with s.55(8)


An offence under s.57(4) Failure to give notice in accordance with s.57 See handout for details

An offence under s.70(6) consisting of a failure to comply with subsection (3) or (4A)

Failure to comply with requirements to give notice of completion of reinstatement


An offence created by regulations made under s.74(7B)

Failure to give a notice required by regulations under s.74 (charge for occupation of the highway where works unreasonably delayed)


An offence created by regulations made under s.74A (11)

Failure to give a notice required by regulations under s.74 A (Charge determined by reference to duration of works)


FPN Offences

No notice

Wrong content

Missing content

Sequence

Late noticing/timing

FPN’s can be served for the following reasons;

Process & Regulation An FPN should be given as soon as is reasonably

practicable. It may not be given more than 91 calendar days after the commission of the offence

The penalty is £120. The period for payment is 36 calendar days and a discounted amount of £80 will apply if payment is made within 29 calendar days

Once an FPN has been given, proceedings for that offence cannot commence until the end of the period for payment

If the undertaker does not pay the penalty within the 36 calendar days then the street authority may bring proceedings in the Magistrates' Court for the original offence

Serving an FPN

• Part A includes information about the street authority and the offence

• Part B includes information about payment of the penalty. It also includes a table listing the relevant offence codes, for use in Part A and contact details of the Officer giving the FPN

The fixed penalty notice has two parts:

Withdrawing an FPN

If a street authority considers that an FPN ought not to have been given, they may give a notice withdrawing the fixed penalty notice

Questions ?

Permit Schemes

Why Permits?

The fundamental objective of the permit scheme is to create a common procedure to control ALL activities in the street

The permit scheme should support the aim of encouraging better planning, scheduling and managing of activities to reduce congestion

The difference between a Permit and a Notice? Permission & Notification

Permit Scheme A Traffic Authority / regions may apply to run their own

customised permit scheme Permit schemes differ from existing powers for managing

activities on the street in a number of key activities, in particular;- They book occupation of a street rather than give

notice on the highway authority Highway Authorities’ own work are included Conditions can be included

Permit schemes may vary

Permit Scheme

Each application shall only contain information about activities in one street

Application for permit

Provisional Advance Authorisation

At least 3 months before the proposed start of a major activity, the promoter can apply for a Provisional advance authorisation to pre book the road space

Permit Scheme

The TMA allows fees to be collected for issuing the permits and for variations but will not be charged for Highway Authority own works.

Fees up to £240 can be charged for a permit depending upon the activity and road type

Permit Fees

Permit Scheme

FPNs for breaches of permit conditions are similar to notifiable works.

Working without a permit attracts a charge of £500, reduced to £300 for early payment

Same processes for giving / withdrawing FPNs under noticing apply to permits.

Fixed Penalty Notices

Traffic Management Act 2004

• 2nd consultation document• Out 18 August 2008• Comments by 19 Sept’• Submit Application to DfT end of

October • Trial of own Permitting 6th July 2009• DfT Approval 30th July 2009• Started January 25th 2010

The Kent Permit Scheme

KENT PERMIT FEESRoad Category 0 – 2Or traffic-sensitive

Road Category 3 & 4Non traffic-sensitive

Provisional Advance Authorisation

£87 £73

Major Activity £225 £146

Standard Activity £130 n/a

Minor Activity £65 n/a

Immediate Activity £57 n/a

For Permit Variations Kent County Council as Permit Authority will charge £35 or £45.

Kent Reduced Permit Fees

Membership of Kent's considerate contractor scheme

Sharing trenches Combined permit application Extended working hours

Permit fees are reduced under certain conditions;

Questions ?

And Finally…….

Street Works Licences

This allows a person without a statutory right, to place, retain and remove apparatus in the street, and to do work necessary for that purpose

The licence system is governed by Section 50 of and Schedule 3, to NRSWA

A street authority may grant a street works licence

Unattributable Works

Street Authorities can send an unattributable works notice where they find unidentified works

Works Promoters can accept or reject this notice

Other Considerations

Portable Traffic Signals

The use of portable traffic signals must also be notified / authorised via a separate process

Traffic Regulation Order/Notice

Road closures and other TTRO / TRN (eg temp speed limits) are required in addition to the noticing process

Inspections

A Street Authority inspects works in 3 phases; In progress, after completion and shortly before the guarantee period expires

Q&A and Quiz

Administration of Street &Highway Works Notices

Further info available: -

DfT Website www.dft.gov.uk

SEHAUC Website www.sehauc.org.uk

HAUC(UK) Website www.hauc.org.uk

Elgin www.elgin.gov.uk For full information and advice notes

street works administration of street and highway works notices for those involved in the planning...

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