Based on the New Roads and Street Works Act 1991
Legal Duties & Powers Utility Company S60 Duty to cooperate S65 compliance with ‘safety’ Code S67 Requirements for qualified staff S70 Duty to reinstate S71 Compliance with the SRoH S73(4) Utility responsible for reinstatement done by Authority S81 Maintenance of apparatus S82 Compensation for damage to the highway resulting from works or a leak Highway Authority S68 Powers to inspect sites S72 Powers to inspect & undertake work to make safe S75 Powers to charge inspection fees S81 Powers to inspect apparatus and undertake works to make safe
Terminology WIR, Works Inspection Report – the report that is completed following an inspection Initial inspection – the first inspection. Can be a Sample, Investigatory, Routine or 3 rd Party inspection 3 rd Party Inspection – Done as a result of an enquiry from non staff member – Defective results can be Charged Routine inspection – A problem site found whilst undertaking other highway duties – Not charged for (because you’re already out there) Sample Inspection – Random inspection used for performance – All results may be Charged
Terminology Defect Inspection – a D1, D2 or D3 Inspection D1, Joint Inspection – A site inspection where the Utility AND Authority meet to agree the extent of the defect D2, Defect Follow-Up – An inspection done as the remedial works are IN PROGRESS D3, Defect Follow-Up Completion – an inspection done AFTER the remedial works have been completed All Defect inspections are charged for where an inspection is actually carried out S81 – Unsatisfactory apparatus. ‘Satisfactory’ determined by Authority – It is NOT a defect S82 – Compensation resulting from Damage caused by Utility works or catastrophic apparatus failure
Basics All WIR’s should be sent to the Utility via EToN within 1 working day of the inspection being done 3 rd Party WIR’s should include the customer enquiry ref A D1 ‘should’ be done unless BOTH the Utility and the Authority agree that it is not needed Good practice. If BOTH agree that a D1 is not needed any agreement may be noted on an EToN comment or a £0 charge D1 WIR Purpose of a D1 is as follows; Agree ownership Agree validity of defect Agree extent of remedials Agree timescales. Good Practice – if no D1 then default position is that the defect is valid, must be fixed within the default timescales and the whole reinstatement needs replacing.
Basics Interim sites > 6 months old could be treated as a defect (If the perm notice has been served) or breach of legislation(If the perm notice has not been served) One inspection per 5 small patches or 200 linear metres of trench Only inspections ACTUALLY DONE can charged for Defect inspections (D1-3) are NOT done for Signing & Guarding defects Dangerous defects MUST be telephoned through immediately It is good practice for Authority’s to identify a ‘dangerous’ defect / apparatus in the same manner as they would a non utility highway defect. It is good practice for inspectors to sign site ‘visitors books’ when they undertake inspections of live sites
SLG Defect – Site Staff Present (Dangerous or Non Dangerous) 1. Authority signs visitor book & completes initial WIR 2. Authority informs operatives of non-compliances a) The Authority may provide a hardcopy of the WIR to the operatives 3. Operatives rectify problem immediately a) Authority may remain on site to check that remedial works are done. 4. Authority sends the initial WIR via EToN. Instead of staying on site the Authority may return to site after 2 or 4 hours. a) If the remedial works are done then no further action is taken. b) If not then the Authority can start again at stage 1 (above). c) If the remedial works are not done and there’s no one on site then the Authority should make safe and recharge
SLG Defect - No Site Staff Present (Dangerous or Non Dangerous) 1. Authority inspects site & completes initial WIR a) The Authority should make the site safe if it is dangerous 2. Authority phones utility with details of non-compliances a) (utility and Authority log details of phone calls. The Authority may also send a copy of the WIR by fax or EToN) 3. Utility attends site within 2 or 4 hrs depending on severity a) Authority should make safe if the utility cannot be contacted or cannot get to site in 2 or 4 hours (This activity can be charged) 4. Authority sends the initial WIR via EToN. (if not sent by EToN earlier) The Authority may return to site after 2 or 4 hours. a) If the remedial works are done then no further action is taken. b) If not then the Authority can start again at stage 1 (above). c) If the remedial works are not done and there’s no one on site then the Authority should make safe and recharge
Reinstatement Defect - Non Dangerous 1. Authority inspects site & completes initial WIR a) Authority sends initial WIR via EToN. 2. Utility contacts the Authority within 1 day to discuss need for a joint inspection (D1) a) If BOTH agree that a D1 is not needed then this stage is skipped. 3. Unless agreed otherwise the D1 occurs within 10 days (Or longer if agreed) a) The Authority sends the D1 WIR via EToN (including details of agreements). 4. Utility undertakes remedial works within 10 days (Or longer if agreed) 5. Authority may carry out a Defect Follow-Up (D2) during remedial works. (don’t forget to sign the site diary) a) The Authority sends the D2 WIR via EToN. If the remedial works are not satisfactory then the Authority should discuss this with operative on site. If the problem is not resolved the D2 is failed and the process starts again at step 2 6. Authority may carry out a Defect Follow-Up Completion (D3) after completion of the remedial works. a) The Authority records & sends the D3 WIR via EToN. If the remedial works are not satisfactory then the D3 is failed and the process starts again at step 2.
Reinstatement Defects – Dangerous 1. Authority inspects site & completes initial WIR a) The Authority should make the site safe if it is too dangerous 2. Authority phones utility with details of non-compliances a) (utility and Authority log details of phone calls. The Authority may also send a copy of the WIR by fax or EToN) 3. Utility attends site within 2 hrs to make safe a) Making the site safe means doing the minimum possible – usually signing & guarding the defect. b) Authority makes the site safe if the utility cannot be contacted or cannot get to site in 2 hrs (This activity can be charged) 4. The Authority sends the initial WIR via EToN. a) Including any details of works the Authority has had to do 5. The process for non dangerous reinstatement defects is now followed starting at; a) step 2 (if the utility or Authority only did the bare minimum to make the site safe, eg signing only) or b) step 5 (if the utility undertakes works on site to fully remediate the defect)
Some Scenarios for Reinstatement Defects Utility fixes the defect without contacting the Authority Utility & Authority do NOT have a D1 inspection and the utility never fixes the defect Utility & Authority DO have a D1 inspection but the utility never fixes the defect Utility & Authority Do have a D1 inspection, but the Authority misses the remedial works in progress Defect is agreed on the phone or via a comment, but no further contact from Utility Authority has to undertake remedial works themselves
Utility Fixes the Reinstatement Defect Without Contacting the Authority The utility has denied the Authority the D1. If the remedial works were notified then the Authority ‘could’ have done a D2. If the remedial works were not notified then FPN’s may be appropriate However, look at it this way; The defect has been fixed. Which is good. The Authority can now undertake take the final inspection (D3). 1. Authority undertakes a Defect Follow-Up Completion (D3) inspection after completion of the remedial works. a) The Authority records & sends the D3 WIR via EToN. If the remedial works are not satisfactory then the WIR is failed and the process starts again at step 2 for a non dangerous reinstatement.
Utility & Authority do NOT have a D1 and the Utility Never Fixes the Defect Authority needs to be certain that the defect is valid and that the right utility has been informed Authority MUST NOT continue to send ‘failed’ WIR’s (utility co’s will rightly refuse to pay) And that’s it. No further inspections process starts until the D1 is completed. Once this situation arises and the defect remains then an Authority may have to undertake the works and recharge Good practice – Before Authority undertakes work - invoke the escalation process as per the HAUC(UK) advice note
Utility & Authority DO have a D1 but the utility never fixes the defect Authority needs to be certain that the defect is valid and that the right utility has been informed 1. 17 days AFTER the D1 (or 7 days after the agreed remedial works start date – whichever is greater) the Authority can undertake another inspection. (Do a D3) a) The Authority records & sends the D3 WIR via EToN. b) Assuming the remedial works have not been done (or they’ve been done but does not comply) then the process starts again at step 2 (Cat B or C non dangerous). 2. If the remedial works continue to remain outstanding then an authority may have to do the works themselves and recharge 1. Good practice – Before Authority undertakes work - invoke the escalation process as per the HAUC(UK) advice note
Utility & Authority Do have a D1 But the Authority Misses the Remedial Works Same process as for a normal defective reinstatement, however, the D2 is missed and the WIR sequence looks as follows; a) Initial Inspection (sample, investigatory, 3 rd Party) b) D1 joint inspection c) D3 Defect Follow-Up Completion inspection The D2 cannot be done retrospectively and cannot be charged for. If the Authority turns up to do the D2 and finds the work has been completed then a D3 inspection should be done instead
Defect Agreed (Phone, Comment or D1) but no Further Contact from Utility Note: This process is considered ‘good practice’ 1. 1 month after agreement the Authority may undertake another inspection. (Do a D3) 2. The Authority records & sends the D3 WIR via EToN. a) If the remedial works have been done then the D3 is passed and no further action is taken b) If the remedial works have been done then the D3 is failed and the process starts again at step 2 (reinstatement defect, non dangerous). c) If the remedial works have not been done then the defect escalation process as per the HAUC(UK) advice note is enacted. Usually there are two choices; a) Pay for the D3 and complete the remedial works b) Refuse to pay for the D3 and the Authority will undertake remedial works and recharge
Authority Undertaking Remedial Works If the Utility company continues to fail to undertake remedial works following a VALID defect then the only option for an Authority is for it to do the works and recharge. The following process is recommended; a) Authority notifies the utility that remedial works must be undertaken and gives them not less than 7 working days to undertake the work. b) If the reinstatement is causing danger then no advance notice is needed, but the Authority should still contact the utility c) Reinstatements should be done to SRoH d) Utility remain responsible for any Authority works e) Authority may recover their reasonable costs from the utility (management fees, notification fees, actual works costs).
Section 81 – Unsatisfactory Apparatus Apparatus should be judged ‘unsatisfactory’ based on the Authority’s existing highway safety criteria S81’s are NOT defects Unsatisfactory apparatus should be reported to the Utility a) Reporting to the wrong Utility may result in the Authority receiving an inspection charge / remedial action charge by the Utility who attended site b) S81’s should be reported via EToN6 c) Priority = dangerous or non dangerous. Non dangerous repair times should be agreed. Authority can undertake emergency works to correct ‘unsatisfactory’ apparatus a) Authority should give Utility as much notice as possible of any such works b) Authority can recharge for any emergency works
Section 82 – Compensation Utility co’s have to compensate an Authority for any loss or damage arising as a result of; a) A Utility undertaking street works (damage to adjacent surfaces) b) Catastrophic failure of apparatus (gas leak, water leak) Apparatus should be judged ‘unsatisfactory’ based on the Authority’s existing highway safety criteria Good Practice – S82’s may be reported using EToN via the defect process or the comment facility. As S82’s are NOT defects the inspection should not be charged nor should is count for performance purposes.
Maybe !!! Barriers not used correctly Note that advance signs are not required as there is no c’way incursion. But it might be good practice to set them out anyway. But if they are not there, it’s NOT a defect.
Defect… Probably The reinstatement hasn’t been compacted correctly leading to a void. Or it could be S82 – damage as a result of washout from a water leak Or it could be a problem with the highway ! Needs investigation if the Utility disputes it
Not Necessarily It could be a temp. In which case it’s OK If it’s a temp > 6 months old and the perm notice has been sent then it’s a defect If it’s a temp > 6 months old and the perm notice has not been sent then it’s a breach of S70(4) If an Authority has a policy of permanently replacing slabs with B’top then utility Co’s may also adopt this policy
Neither S.11.4.3 (and the NfG) in the SRoH states that the Authority and SU should ‘agree’ works to stop egress and both should bear costs “Utility apparatus is the Authority’s secondary highway drainage system” – Bob Beaney, Openreach.
Defect… usually… An attempt has to be made to replace the markings immediately before the site is cleared. Permanent markings have to be laid within 15 days. See the SRoH (S11.1.1) Legislation has determined that S74 may apply if no attempt has been made to replace the markings (works not complete) Regional good practice - SEHAUC has generally agreed to deal with these issues as a defect
Defect (if there’s no signs out, or not replaced after 15 days) Defect. Anti skid materials must be replaced within 15 days. ‘Slippery Road’ signs must be displayed at all times whilst the anti skid is not present. See the SRoH (S184.108.40.206)
Useful Web Links 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 Elginhttp://roadworks.orghttp://roadworks.org