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

2. Introduction
The Yorkshire Common Permit Scheme for Road Works and Street Works is made pursuant to Part 3 of the TMA 2004, Sections and the Traffic Management Permit Schemes (England) Regulations 2007, Statutory Instrument 2007, No. 3372, made on the 28th November 2007.
This slide just gives the legal framework for the permit scheme. You’re not expected to remember it, but the information is there for reference purposes only, if anybody needs it.

3. 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.

4. 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.

5. Scheme Purpose and Objectives
To enable improved LA coordination and control of works on highway.
To reduce delay and disruption to travelling public.
To save traffic congestion and reduce vehicle operating costs.
To demonstrate parity.
The former, Labour government felt that there was a need for more control and coordination of temporary works on the highway. 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. A significant aim of the Yorkshire scheme is one of parity of treatment of all works promoters, so that utility works and highway authorities own works are treated in the same way.

6. 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);
The distinction between Main roads and Minor roads;
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.
Streets designated as protected, having special engineering difficulty or traffic sensitivity.

7. 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.

8. Streets Covered The scheme will cover all streets which are:
Reinstatement Categories 0, 1 or 2
Traffic Sensitive Streets
Protected Streets

9. 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

10. 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. For non registerable activities on a category 3 or 4 street, a permit would only be needed if the activity is at the same time as the traffic sensitive times. If the street is traffic sensitive at all times, that means that all activities need a permit.
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.

11. What Activities Need a Permit? (cont’d.)
All activities that require Traffic Control.
All activities that reduce the number of lanes used in a carriageway
of 3 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

12. What Activities Need A Permit? (cont’d.)
All activities that require a reduction of width of the existing carriageway of a Traffic Sensitive street at any 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.

13. 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.
Works on Cat. 3 and 4 streets which are not Traffic Sensitive at any time or in any part.

14. 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

15. Permit Activity Categories

16. Activity Categories
Major
Standard
Minor
Immediate

17. 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 forward programme, need a traffic order, or will take more than 11 days on site.

18. Activity Categories (cont’d)
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 now.

19. Activity Categories (cont’d)
Minor Activities:
Works other than ‘major’ or ‘immediate’ that have a
planned duration of 3 working days or less.
Minor works – as now

20. 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.

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

22. 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.

23. 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 EToN. The Yorkshire Scheme has been certified by a member of the EToN developers group as being fully compliant.

24. 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 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

25. 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.
A PAA is only required for major works and replaces 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.

26. Timing of Applications
(cont’d.)
Standard activities:
Permit application required a minimum of ten days before the proposed start date.
Minor activities:
Permit application required at least three 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.

27. Timing of Applications (cont’d.)
Recap timings and how permits compare to noticing

28. Information Requirements

29. 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.

30. Information Required (Contd.)
Traffic Management and Traffic Regulation Orders
Depth
Reinstatement Type
Inspection Units
Contact Person
Early Starts
If there has been an agreement to an early start, before the application notice duration, the application should show that and give details of the person who has agreed.

31. Permit Conditions

32. 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

33. 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.

34. Timing and Duration Start and end dates (calendar days)
Bank Holidays, weekend, out of hours?
For Traffic Sensitive Streets – include times of day
to be carried out

35. 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.

36. 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.

37. Methodology of Carrying
Out Activities
Seek to use minimum dig technology wherever possible.
Permit Authority may require special provisions – in discussion

38. 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.

39. Environmental Conditions
Activity promoters must contact relevant HA 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. Will be requested asap to enable inclusion in permit application.

40. Environmental Conditions (cont.)
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.

41. 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.

42. YCPS Model Conditions

43. Permit Condition 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

44. Permit Variations

45. 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.

46. (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 if agreed
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.

47. Permit Variations (cont’d.)
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 extension granted, 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.

48. Early Starts
When an early start has been agreed after a permit application, the Promoter shall submit an application for a variation to the permit.
In the case of a Provisional Advance Authorisation, the Promoter will include the revised dates on the permit application.

49. 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.

50. Revocation
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 permit fee therefore remains payable.

51. 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.

52. Transitional Arrangements
Permit Go Live Date
3 month
1 month
Standard,
Minor Immediate
Major
Works raised prior to Go live 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 go live must be re-raised as a Permit
Major that starts in excess of 3 months from the go live date must be re-raised as a Permit

53. Criminal Offences
It is a criminal offence for an undertaker or someone
acting on its behalf to undertake works without a
permit.
The offence 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.
£120 (standard FPN fee) for working in breach of
permit conditions. If paid by 29 days then the fee is
reduced to £80.
The payment of a fixed penalty charge discharges the liability to prosecution for the criminal offence of working without a permit.

54. 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);
Penalty amount is £500 for the offence of working without a permit, discounted to £300 if paid within 29 days;
For working in breach of a permit condition, the penalty is £120, or a discounted amount of £80 if paid within 29 days;
If undertaker fails to pay within the required period (36 days), the Authority may bring proceedings in Magistrates’ court.

55. 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 fees which are 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. Audited accounts will be required annually and fee adjustments may be required from time to time, following consultation.

56. Key Performance Indicators
A key principle and objective of the scheme is that it treats all activities covered by the scheme on an equal basis.
The present 2007 Permit Regulations provide for both street-works and Highway Authority works.
In order to show that the Permit Authorities are operating the scheme in a fair and equitable way, the Permit team will generally be separated from the highway scheme design and build activities of the Authority.

57. Members of the Yorkshire Common Permit Scheme
Phase I Implementation ??? 2012
Barnsley MBC
Doncaster MBC
Kirklees Council
Leeds City Council
Rotherham MBC
Sheffield City Council
Phase II Implementation 20??
Bradford MDC
Calderdale Council
Wakefield Council

58. Yorkshire Common Permit Scheme
Initially Six Authorities ‘go live’ at ??????
Three more may follow later in 2013
Fundamental change in thinking
Only part of the network
Obvious from EToN system
Internal training on details of own systems
Good luck
Work together

59. Thank You – Any Questions