1. Yorkshire Common Permit Scheme For Road Works & Street Works

2. Agenda Welcome & Introductions. Domestic Arrangements. Presentation.
Comfort Break.
Presentation Continued.
Please ask questions at any point throughout.

3. What We Will Be Covering
Permit Scheme Overview.
Permit Activity Categories.
Permit Application.
Information Requirements.
Permit Conditions.
Permit Variations.
Transitional Arrangements.
Performance Monitoring.

4. Introduction to Permit Schemes
Permit schemes were introduced by Part 3 of the Traffic Management Act 2004 (TMA) to improve authorities’ abilities to minimise disruption from street and highway works.
Permit Schemes provide a new way to manage activities in certain streets in the Public Highway.

5. Introduction to Permit Scheme
In permit streets, instead of informing a Street Authority about their intentions to carry out works in the area, all works promoters will need to obtain a permit for their works.
Permit schemes provide a change to the ‘Notification System’ under the New Roads and Street Works Act, 1991 (NRSWA).
Here we describe the fundamental change from the current system of noticing to the new permit scheme. A permit has to be obtained before the works can be carried out on any permit street in the authority’s network.

6. Members of the Yorkshire Common Permit Scheme
Phase I Implementation
12th June 2012
Barnsley MBC
Doncaster MBC
Kirklees Council
Leeds City Council
Rotherham MBC
Sheffield City Council
Phase II Implementation 2013
Bradford MDC
Calderdale Council
Wakefield Council

7. Scheme Purpose and Objectives
To reduce delay and disruption to travelling public.
Focus on the busier parts of the network.
To save traffic congestion and reduce vehicle operating costs.
To enable improved LA coordination and control of works on highway.
To demonstrate parity.
Local people and businesses want reliable services  and well maintained, safe roads but are concerned about the delay and disruption to their daily lives and  travel that road works and street works cause them. The former labour Govt put in place legislation which would enable more control and co-ordination of works on the highways to reflect these concerns.
The Traffic Management Act imposed duties on Traffic Authorities to deal with traffic problems but the only real new power that came with those duties was the ability to bring in a permit scheme. One of the significant aims of the Yorkshire scheme is parity of treatment of all works promoters, so that utility works and highway authorities own works are treated in the same way.

8. Elements in Common with the NRSWA Notice System
Registered Activities / Works.
Categories of Activities / Works (Major, Standard, Minor and Immediate).
Street Gazetteers, including street references, by means of Unique Street Reference Numbers (USRN) and Additional Street Data (ASD).
Streets designated as protected, having special engineering difficulty or traffic sensitivity.
So – we still have the same definitions for works categories – major, standard, minor, and immediate. The local gazetteers still contain the same type of information. The road reinstatement categories remain the same and special designations are the same.

9. Key Points of Permits
A permit is only valid for the period of time stated on the permit.
The start and end dates will be in calendar days, even though many aspects of the scheme will operate on working days.
Where a permit allows weekend and Bank Holiday work, then the permit start and end dates will accommodate that.
A late start on site means duration lost. The end date cannot be ‘stretched’ without an approved variation.
No Permit No Work

10. Working Day NRSWA Section 98(2)
For the purposes of administration of the Permit Scheme ‘Working Day’ means a day other than a Saturday or Sunday, Christmas Day or Bank Holiday; and for the purpose of this permit scheme, a working day will be treated as
08:00 to 16:30
This definition of the working day has nothing to do with site working hours, but describes the times that are applicable to the permit noticing and applications system.
Notices & Permits must be received by the permit authority before 4:30pm

11. Streets Covered The scheme will cover all streets which are:
Reinstatement Categories 0, 1 or 2
Traffic Sensitive Streets
Protected Streets
On Average 25% of road network

12. Exclusions from The Scheme (NRSWA Notices only)
Trunk roads and motorways, for which the Highways Agency is the Highway Authority.
Private streets.
Category 3 or 4 streets that are not Traffic sensitive.
On Average 75% of road network.

13. What Activities Need A Permit?
Registerable activities that involve the breaking up or
resurfacing of any street in Cat. 0, 1 and 2 roads or Traffic
Sensitive, or Protected streets, at any time.
All activities that involve the opening of the carriageway of Cat. 0, 1 or 2 roads, or Traffic Sensitive streets, or cycleways at Traffic Sensitive times.
Not all activities on the permit network need a permit. These do. The permit network covers only streets in reinstatement categories 0, 1, and 2, plus any Traffic Sensitive or protected streets. (For those who are not aware, a protected street is one where there is a general presumption against the installation of utility equipment – an example being a high speed road, with no directly accessible frontage development or pedestrian footways). Registerable activities need a permit on a traffic sensitive street whatever time the activity is planned, whether or not that will be the same time as the traffic sensitive times.

14. What Activities Need a Permit?
All activities that require any form of temporary traffic control.
All noticeable activities that reduce the number of lanes available on a carriageway of three or more lanes.
All activities that require a Temporary Traffic Regulation Order, or Notice, or the suspension of pedestrian crossing facilities.
Emphasise that traffic control includes;
Give & Take
Priority
Stop & Go
All temporary traffic signals
Lane Closures

15. What Activities Need A Permit?
All activities that require a reduction in width of the existing carriageway of a traffic sensitive street at a traffic sensitive time.
Pole testing which involves excavation, and any reinstatement following pole testing, whether it involves any of the above criteria or not.
So any activity that reduces the width of the carriageway of a traffic sensitive street regardless of the traffic sensitive times needs a permit, even if the job is outside the traffic sensitive times.

16. What Activities DON’T Need A Permit?
Non registerable activities:
Traffic Census surveys.
Pole testing which does not involve excavation.
Road-marking works that are not part of other works, providing the ‘Registered Criteria’ do not apply.
Any works or other activities on a reinstatement category 3 or 4 street, that is not traffic sensitive do not need a permit. The majority of the highway network in the main Yorkshire districts is made up of category 3 and 4 roads. This means that only roughly a quarter of the highway network will be subject to this permit scheme and it will apply only to the busiest roads, where it can have the maximum effect.
Explain that if any part of the street is traffic sensitive a permit is required
For non registerable activities on a traffic sensitive category 3 or 4 street, a permit would only be needed if the activity coincides with the traffic sensitive times. NB: Activities in the footway that do not involve breaking up or opening the footway and do not impact on the carriageway do not require a permit.
Works on Cat. 3 and 4 streets which are not Traffic Sensitive at any time or in any part.

17. Permit Fees
Permit fees are chargeable for the approval of applications by utility companies. The Department of Transport have set maximum levels for the fees for each type of permit. The only fee which is as high as the set maximum is that for a variation approval. All of the first six authorities have set this as £45. The other fees vary by authority and are, in the main substantially below the maximum permissible figure. In order to calculate their fees for each type of permit, the individual authorities had to complete a detailed Department for Transport matrix, which had to be approved as part of the permit scheme application. The total income from fees has to be used only for the administration of the utility company permits and must not produce a surplus. Account reviews will be required annually and fee adjustments may be required from time to time, following consultation.
Explain that the fees are to cover the cost of administering permits for utility works i.e. 50% of works.

18. Permit Activity Categories

19. Activity Categories Major Activities
Those works which have been identified or planned as
part of a programme.
Works requiring a Temporary Traffic Regulation Order
(Not a Temporary Traffic Notice).
Works having a duration of 11 working days or more.
As mentioned earlier, the works categories remain the same as now. First – major works – those jobs that are on the co-ordination programme, need a traffic order, or will take more than 10 working days on site.

20. Activity Categories Standard Activities
Works other than ‘major’ or ‘immediate’ that have a
planned duration of between 4 and 10 working days
inclusive.
Standard works – again as existing.

21. Activity Categories Minor Activities
Works other than ‘major’ or ‘immediate’ that have a
planned duration of 3 working days or less.
Minor works – as existing

22. Activity Categories Immediate Activities
Emergency Works
Required to end or prevent circumstances existing or
imminent which can cause damage to people or property.
Urgent Activities – (Not being Emergency Works)
To avoid substantial loss to the promoter.
To prevent unplanned interruption to service.
To re-connect supplies or services where the promoter will
be under civil or criminal liability if delayed.
Includes works that cannot be unreasonably severed.

23. Permit Applications In this section we will look at:
Requirements for a permit application
Method of making applications
Timing of applications

24. Requirements for a Permit
Any activity promoter who wishes to carry out any activity requiring registration in a permit street must obtain a permit from the Permit Authority.
The permit allows the promoter to carry out the specified activity:
At the specified location.
For a specific duration between the start and end dates shown.
Subject to any conditions which are specified, or agreed, by the promoter in the application.
This slide introduces the concept of ‘permit conditions’. Conditions will be explained in detail later in the presentation.

25. Method of Making Permit Applications
Permit applications should be made via EToN
(Where this is not possible, due to system failure, they may be made via alternative methods like fax, or hand delivery.)
Applications must comply with the technical specification for EToN.
One of the Department for Transport’s requirements before they will grant a permit scheme is that it must comply with the technical specification for the electronic transfer of notices (EToN). The Yorkshire Scheme has been certified by a member of the EToN developers group as being fully compliant.
We are actively testing the systems to ensure they work prior to implementation date.

26. Timing of Applications
The time period is measured from the time of receipt of the application by the Permit Authority.
Major activities:
These require a Provisional Advanced Authorisation (PAA) at least three months in advance of the activity and;
A Permit Application at least ten working days before the activity is proposed to start.
Now we come to the notice periods for permits for the different types of work. Major works on the forward programme need an application for a provisional authorisation at least 3 months before the job is planned to start on site. Then a full permit application is due 10 days before planned start.
PAA explained on next slide

27. Provisional Advanced Authorisation
Advanced authorisation is to be sought at least 3 months before start of Major activities.
A Provisional Advanced Authorisation (PAA) is an early provisional permit issued before the final details of an activity have been established. A PAA effectively ‘books’ the road space and ensures that others will not obtain a permit for conflicting planned works.
The forward planning and coordination of works on the highways enable us to reduce delay and disruption to the community as a result of those works. The Traffic Management Act provides for advanced notification of major works replacing the Section 55 notice under the NRSWA noticing system.  The ‘booked’ space can be protected from any other planned activities.  Any urgent works cannot, of course, be predicted, but anyone who has to carry out urgent works will be able to see from the register that there are planned works and make contact or take mitigating action.

28. Timing of Applications
Standard activities:
Permit application required a minimum of ten working days before the proposed start date.
Minor activities:
Permit application required at least three working days before the proposed start date.
Immediate activities:
Permit application required within two hours of the works commencing (for out-of-hours, within 2 hours of the start of the following working day).
Again, the application period for standard works is also 10 working days. Minor 3 days and for Immediate works an application should be made within 2 hours of the job starting.
The scheme document states that for immediate works a permit application must be issued within 2hrs of starting (24/7) but the permit authorities have decided to relax this. Therefore permit applications should be submitted before 10:00am the next working day.

29. Timing of Applications
Noticing V Permit
Section 54
Section 55
Revised Duration
Immediate works (2hrs after)
Actual Start/Works Stop
Registration
Provisional Advanced Authorisation
Permit Application
Permit Variation
Actual Start/Works Stop
Registration
Recap timings and how permits compare to noticing

30. Application and Response Times
Go through the details. If the authority does not respond to an application in the stated times, the application will be deemed to be granted to the applicant in the terms of the conditions contained in it.

31. Information Requirements

32. Information Required Unique Permit Reference Number – System generated
Description of Activity
Location
Timing and Duration
Illustration
Technique to be used for Underground Activities
Before an application for a permit can be submitted, there is a set list of information that has to be entered onto the application. Without all of the relevant information there is a risk that the authority will refuse the permit.
Illustrations requirements may be detailed CAD drawings for complex traffic management plans e.g. multi-way temporary traffic signals or diversions.
Or a not to scale representation may be sufficient e.g. to indicate work activity footprints

33. Information Required Traffic Management and Traffic Regulation Orders
Depth (Range of depth)
Reinstatement Type
Inspection Units
Contact Person
Early Starts
Early starts process has been agreed.
Sheffield will be following Option 1
The other permit authorities will be following Option 2

34. Permit Conditions

35. Permit Conditions
Regulations provide provisions for permit authorities to attach conditions to permits and specify the types of conditions which may be attached.
They may also specify certain conditions which apply to works before a permit is obtained i.e. for immediate activities
Refer to YPAN 004 Permit Conditions and explain different categories of conditions i.e.
National or standard conditions
Supplementary or local conditions
Immediate activity conditions

36. Permit Conditions
The range of conditions that can be applied to permits will fall under the following categories:
Timing and duration of activity
Road space
Traffic management provisions
Methodology for carrying out activities
Consultation and publicity
Environmental conditions
Supplementary and local conditions:
e.g. provision for vulnerable people
Special publicity
Immediate activities

37. Timing and Duration Start and end dates (calendar days).
Bank Holidays, weekend, out of hours working should be specified.
For Traffic Sensitive Streets – include times of day activities are
to be carried out.
Refer to YPAN 004 timing and duration model conditions
Emphasise the implications if works do not commence on day one i.e. permit authority must be informed the end date does not change unless a permit variation is agreed.

38. Road Space
The amount of space that can be used in the street during works.
In some locations a condition may be required by the Permit Authority to prevent materials and plant being stored on site.
In some locations the available space for the movement of pedestrians may have to be specified.
Refer to YPAN 004

39. Traffic Management Provisions
Promoter must submit Traffic Management proposals - e.g. closure, one-way, temp. signals, width restriction, lane closure, parking restrictions.
Changes during the course of the works to be explained.
May require conditions to notify Authority before change brought in.
Refer to YPAN 004

40. Methodology of Carrying
Out Activities
Seek to use minimum dig technology wherever possible.
Permit Authority may require special provisions – which may be agreed following discussions.

41. Consultation and Publicity
For all works, it is a requirement that the permit reference number, when issued, must be prominently displayed on the site information board at all times.
Where planned activities have the potential to be especially disruptive to local residents, businesses and/or road users, Permit Authorities can request a condition requiring the promoter to provide advanced notice to nearby householders or businesses, or to drivers or pedestrians using the road.
Road works can be very disruptive to the daily lives of local people and businesses. It is important that people/customers are informed of what is happening so they understand the problem and have a better chance of being able to plan to reduce the inconvenience to themselves. Those of us carrying out road works and street works should follow good practise to keep people informed. Permit conditions have also been developed to reflect this important aspect.
NB: There is no requirement for site information boards for mobile works

42. Environmental Conditions
Activity promoters must contact relevant council environmental health teams if proposing planned ‘out of hours’ work.
That is, outside of 8am – 6pm, Monday – Friday, and 8am – 1pm on Saturday (section 60: Control of Pollution Act, 1974).
Conditions may be required to protect residents, as well as people working, and schools close to proposed activities. Information needs to be requested asap to enable inclusion in permit application.

43. Environmental Conditions
Conditions may be needed where there is a concern about maintaining the site in a clean and tidy condition, including removal of any spillage of materials on the public highway during completion of the works.
Where trees will be affected by activities, promoters must contact the Authority’s Arboriculture Officers.
Sensitive locations like very busy city centre pedestrian areas might require special conditions on site maintenance and these need to be specified in the application.

44. Possible Local Conditions
Updated information boards situated around work site.
Stone cutting equipment to be used with dust suppression measures, i.e. water facility.
Where special materials are identified, works promoter must contact Highway Authority engineers.
New materials to be replaced like-for-like.
Works to be restricted in narrow roads on days of refuse
collection.

45. Permit Compliance Inspections
Permit compliance inspections may be made at the Permit Authority’s own expense.
Breach of conditions is an offence for which an FPN may be given.
Promote right first time approach

46. Permit Variations

47. Permit Variations
Changing circumstances, for either an activity promoter or for the Permit Authority, may require permits and/or the conditions attached to them to be varied.

48. (incl. extensions of duration)
Permit Variations
(incl. extensions of duration)
Prior discussion recommended if potentially contentious.
Application as soon as possible when known that any of the permit conditions may be breached.
If 2 days, or more than 20% of duration left – apply via EToN.
If less than 2 days, or 20% - telephone, then EToN.
Once a permit application is in, whatever admin stage, there is a means of changing the details by applying for a variation. The most likely subject for a variation will probably be a change of dates, such as early start or delayed works. If the work has already started there are rules as to when a variation can be applied for.

49. Permit Variations
The Permit Authority must respond within 2 working days. Otherwise, the variation is deemed to be granted
Section 74 charges may still be considered, even if permit variation agreed, if ‘reasonable period’ exceeded
Authority imposed variation – no fee
As with PAA and permit applications, there is a response time for the authority to reply to an application for a variation. For all variations the response time is 2 working days.
What has to be pointed out is that there may be a case where it is accepted that the best course of action for the travelling public in the case of a delayed job is to allow it to continue and be reinstated as soon as practicably possible, but where the authority will consider that there has been unnecessary delay. In such cases, even where variation for an extension of time is granted, the authority may still consider the application of Section 74 over-run charges.
There is a fee for variations that are approved, but if the permit authority imposes a variation, say by requiring a change of traffic management type, there is no charge for that variation.

50. Early Starts
When an early start has been agreed after a permit application has been approved or deemed, the Promoter shall submit an application for a variation to the permit.
Follow agreed early starts process document.
Refer to early start YPAN or draft process document.

51. Revocation / Cancellation
No mechanism, nationally, for formally suspending or postponing
a permit, only for varying or revoking one.
If need for a revocation due to the promoter failing to comply with
the permit conditions, Authority may use provisions to clear the street
If promoter wishes to cancel a permit, MUST use the Cancellation Notice provided via EToN.
No charge for a cancellation Notice.
A permit cannot be suspended. In extreme cases of flouting the conditions or working without a permit the Authority can, as now, clear the works. A cancellation notice does not attract a charge, but the Authority will have done the work to approve the permit for a cancelled job, whether that job has started or not, and the utility permit fee therefore remains payable.

52. Transitional Arrangements

53. Transitional Arrangements
The basic rules of transition will apply on all roads where the permit scheme operates.
The permit regime will apply to all activities where the administrative processes, such as application for a Permit or Provisional Advance Authorisation, start after the commencement date.
Activities which are planned to start on site more than one month after the changeover date (for standard, minor and immediate activities) or three months (for major activities) shall operate under the permit scheme.
Any other activities/works which started under the notices regime will continue under that regime until completion.

54. Transitional Arrangements
Permit Go Live Date
3 month
1 month
Standard,
Minor Immediate
Major
Works raised prior to Change Over Date will be closed as notices only where they do not exceed the Transition windows above.
Standard, Minor and Immediate that start 1 month or more after change over date must be re-raised as a Permit
Major that starts in excess of 3 months from the change over date must be re-raised as a Permit

55. Performance Monitoring

56. Criminal Offences
It is a criminal offence for an undertaker or someone
acting on its behalf to undertake works without a
permit or breach of conditions.
The offence of working without a permit carries a maximum fine of level 5 on the standard scale. The FPN fee is £500, reduced to £300 if paid within 29 calendar days.
The offence of breaching a permit condition carries a maximum fine of level 3 on the standard scale . The FPN fee is £120 reduced to £80 If paid within 29 calendar days.
The payment of a fixed penalty charge discharges the liability to prosecution for the criminal offence of working without a permit.
To demonstrate parity shadow charges will be recoded and reported for highway authority works.

57. Fixed Penalty Notices (FPNs)
Offer undertaker an opportunity to discharge liability for non-compliance by paying a penalty amount;
FPN may not be given more than 91 calendar days after the act of non-compliance (beginning with the day on which the breach is committed);
If the undertaker fails to pay within the required period (36 days), the Authority may bring proceedings in Magistrates’ court.

58. Parity and Performance Monitoring
A requirement for permit schemes is to ensure that authorities apply a consistent approach to all activities and activity promoters, demonstrating parity of treatment.
Another requirement is to demonstrate the success of the permit scheme in meeting its objectives
Equality will be measured through KPIs. Permit Authorities will produce an annual set of KPIs that identify the treatment of individual promoters which will be published.
A series of measures designed to track delivery of the anticipated benefits will be established. These measures will be subject to periodic reviews (at least annually) in consultation with activity promoters.
- The “Code of Practice for Permits” sets out seven KPIs that can be used to demonstrate parity.
- There is a requirement for Permit Authorities to report on at least four KPIs, with KPIs 1 and 2 being mandatory.
- Under the Yorkshire Common Permit Scheme, Permit Authorities will report on KPIs 1, 2, 3 and 5, and one additional KPI developed for the Scheme.
- The KPIs will be provided and discussed at the quarterly co-ordination meetings and other regular meetings held with promoters.
- Permit Authorities will make KPI data available to Government and other regulatory bodies.

59. Parity of Treatment (KPIs)
The number of permit and permit variation applications received, the number granted and the number refused.
The number of conditions applied by condition type.
The proportion of approved extensions.
The number of agreements to work in section 58 and section 58A restrictions.
The percentage of PAA, permits and applications cancelled 
This will be measured by promoter and shown as:
 - the total number of permit and permit variation applications received, excluding any applications that are subsequently withdrawn;
- the number granted as a percentage of the total applications made
- the number refused as a percentage of the total applications made
 - the number of permits issued;
- the number of conditions applied, broken down into condition types. The number of each type being shown as a percentage of the total permits issued.
 - the total number of permits issued;
- the number of requests for extensions shown as a percentage of permits issued;
- the number of agreed extensions as a percentage of extensions applied for.
 - the number of applications made to carry out works where a section 58 or 58A restriction is in place, other than the allowed exceptions:
- the number of agreements given for these works to take place as a percentage of the total number of requests.

60. Key Success Measures
Minimising delay and reducing disruption to road users arising from street and road works activity.
Reduction in remedial measures.
Better information for road users.
Improved compliance with the ‘Safety at Street Works and Road Works Code of Practice’.
Improved activity planning
Notes:
 ‘Traffic Master’.
 Being considered as a means of demonstrating improved journey time reliability.
  Number of Recorded Collaborative Works
 A separate reporting system required may need to be considered to indicate the number of permit authority instances where collaborative working has been introduced. This has benefits to permit applicants as no permit fee is chargeable through the YCPS in circumstances where road space has been shared by works promoters. There is scope to calculate a monetary value through the reduced occupation of the highway.
 N.B.  During the first year of operation of LoPS, a total 1793 days of traffic disruption were saved through collaborative working. TfL have calculated the economic benefit to the London from these days of disruption saved and estimate  this benefit to be in the region of £2.7 million. This is based on an average benefit of £1,500 per day.
  Number of Damaged Utility Apparatus Reported
 Need to consider the damage caused to utility apparatus during both ‘road’ works and ‘street’ works in determining total number of ‘reported utility damages’.
  Number of Remedial Works
 The % number of remedial works undertaken following the required statutory inspections (Cat ‘B’ and ‘C’) including any routine reinstatement inspections undertaken by the permit authority.
The % Number of first time reinstatements can also be evaluated through DfT TPI report (Occupation & Coordination): number of ‘Phase 1 Permanent Registrations’ v number of ‘Works Phases Started’.
  Inspections - ‘location’ and ‘traffic management type’ on EToNs
 Considering the % number occasions where we have issued error correction EToNs, e.g. occasions where we have received traffic light signal applications and the traffic management type on the notice is ‘non signing only’
Considering comparison between the number of unattributable works notices submitted on ‘notice’ streets compared with FPNs produced for ‘permit’ streets for working without a permit.
  Permit Refusals and Variations
 The number of permit refusals/variations issues should be reviewed and over time it is expected that these should.
 It needs to be recognised that the Permit Authorities’ ASDs need to be up to date and that there is a need to set out the criteria for permit refusal/variation.
 A checklist should be considered by Permit Authorities (content of ASD) to ensure that refusals and variations can be recorded as: ‘ASD not reviewed’ or ‘inadequate information supplied’ for example. A separate reporting system may be required to record these instances.

61. Yorkshire Common Permit Scheme
Initially Six Authorities change over 12th June 2012
Three more may follow in 2013
Fundamental change in thinking
Only part of the network – approximately 25%
Obvious from EToN system
Internal training on details of own systems
Good luck
Work together
Emphasise that the joint Yorkshire Permit Operations Group (YPOG) has been working together to achieve a common understanding of the requirements for YCPS.

62. Thank You – Any Questions