1. Street Works Administration of Street and Highway Works Notices For those involved in the planning and administration of street works notices

2. 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.

3. Background & Basics

4. Based on the New Roads and Street Works Act 1991

5. 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

6. 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

7. 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:

8. 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

9. Notice not required when...... Traffic census surveys Pole testing involving excavation (rules apply) Core holes - not exceeding 150 mm Road markings

10. 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

11. 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)

12. How are Notices Sent ? 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’

13. How are Notices Sent ? 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

14. Questions ?

15. What to Check Before Sending the Notice

16. 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

17. 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

18. 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;

19. 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.

20. 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;

21. Check For Restrictions Such restrictions prohibit any non emergency or connection works for the following durations following the major works; New Roads & Reconstructed Roads5 Years Resurfaced Roads3 Years Other Works1 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)

22. Examples of a “S58” warnings…

26. Questions ?

27. What type of notice to send

28. 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

29. 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 Estimated Duration

30. 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

31. Notice / Works Classifications 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.

32. Notice / Works Classifications 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

33. Notice / Works Classifications 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

34. N O Is immediate work required to prevent or end a dangerous situation (includes dangerous defective works or reinstatements) Immediate Emergency Works 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) Immediate Urgent Works 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 N O Are the works, other than immediate OR major works with a planned duration of 3 days or less N O Standard Works N O WORKS CATEGORY SELECTION YES Major Works Minor Works YES YES YES

35. Questions ?

36. Notice periods and sequence

37. 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.

38. 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

39. Estimated Start Date 3-Month notice served Must be sent at least 10 working days before end of 3 Month notice period 10-Day follow up New Latest Start Date The 10-Day follow up notice can confirm the Estimated Start Date or move it up to 15 days forward Work may start within the next 5 working days following the Estimated Start Date given in the 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 Latest Possible Start Date 3 Months Advance Notice Model Before works start

40. 10 Days Notice 5 Days Duration of works Issue Proposed Works Notice Proposed Start Date Estimated End Date Latest Possible Start Date HA can issue S74 Duration Challenge Work Starts send S74 – In Progress Actual Start Revised Duration of works Revised Estimated End Date A A 5 Days HA can issue S74 Duration Challenge B B S74 – In Progress Revised Duration Revised Duration of works Revised Estimated End Date C 5 Days HA can issue S74 Duration Challenge C S74 - Works Clear/Closed Standard Works Section 74 Operation Model

41. 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

42. 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:

43. 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)

44. Questions ?

45. What information is required on the initial notice?

46. 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:-

47. 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)

48. 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

49. 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

50. 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

51. Questions ?

52. Works completed – what happens next ?

53. 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

54. Works Completed – Reinstatement details 246282012222426818101416 Front Street Side Street Proposed Notice Site 1 The Initial Notice would be created using the USRN for Front Street Works_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 1 Street_Location: – Footway (optional) Site_Location_Text: - From o/s No 6 to outside No 24.

55. Works Completed – Reinstatement details 246282012222426818101416 Front Street Side Street Site 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: - Footway Site_Location_Text: – From o/s No 6 to jcn Side Street. Length x Width: - 30m x 0.4m Site 2 (New) Street_Location: – Carriageway Site_Location_Text: – Across jcn of Side Street. Length x Width: - 10m x 0.4m Site 3 (New) Street_Location: - Footway Site_Location_Text: – From jcn Side Street to o/s No 24. Length x Width: - 30m x 0.4m

56. Questions ?

57. Fixed Penalty Notices (FPNs)

58. FPNs Explained The fixed penalty notice scheme is introduced by section 41 of the TMA Offences refer to noticing non compliance

59. 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:

60. Offences Table 11.1: Summary OffenceBrief descriptionDuties 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) See handout for details 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 See handout for details 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) See handout for details 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) See handout for details

61. FPN Offences No notice Wrong content Missing content Sequence Late noticing/timing FPN’s can be served for the following reasons;

62. 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

63. 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:

64. 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

65. Questions ?

66. Permit Schemes

67. 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

68. 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

69. 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

70. 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

71. 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

72. 2 nd consultation document Out 18 August 2008 Comments by 19 Sept’ Submit Application to DfT end of October Trial of own Permitting 6 th July 2009 DfT Approval 30 th July 2009 Started January 25 th 2010 The Kent Permit Scheme

73. KENT PERMIT FEES Road Category 0 – 2 Or traffic-sensitive Road Category 3 & 4 Non traffic-sensitive Provisional Advance Authorisation £87£73 Major Activity£225£146 Standard Activity£130n/a Minor Activity£65n/a Immediate Activity£57n/a For Permit Variations Kent County Council as Permit Authority will charge £35 or £45.

74. 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;

75. Questions ?

76. And Finally…….

77. 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

78. Unattributable Works Street Authorities can send an unattributable works notice where they find unidentified works Works Promoters can accept or reject this notice

79. 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

80. Q&A and Quiz

81. Administration of Street & Highway Works Notices Further info available: - DfT Websitewww.dft.gov.ukwww.dft.gov.uk SEHAUC Websitewww.sehauc.org.ukwww.sehauc.org.uk HAUC(UK) Websitewww.hauc.org.ukwww.hauc.org.uk Elginwww.elgin.gov.ukwww.elgin.gov.uk For full information and advice notes