HAUC(England) Guidance Operation of Permit Schemes (inc. Permit Condition Text) Training Guide (April 2017)
Foreword I support the introduction of well-developed and reasonably operated permit schemes as the best means of proactively managing the road network, essential to support the country s economy. I am pleased to see how many authorities have seized the opportunity to introduce such a scheme, and would like to see more. I applaud the work undertaken by HAUC (England) to produce this practical day to day operational guidance to support schemes. Andrew Jones MP Parliamentary Under Secretary of state for Transport
Agenda Background Timeline Participants Consultation Legislation Part I - Operation of Permit schemes Part II - Use of Permit Condition Text
Background The introduction of the Statutory Guidance for Highway Authority Permit Schemes (Oct 2015) and The Advice Note on developing new or varying existing permit schemes (June 2016) No operational guidance in place Common standard and practice for all street/road work practitioners
Timeline Jan 2016 - HAUC convene guidance group Summer 2016 1st Draft produced and sent for consultation Autumn 2016 Consultation Closed Sep - Jan 2017 Over 1300 comments reviewed Jan 2017 Final version prepared March 2017 - Published and in-use April 2017- Training Guide Issued
The Working Group David Latham (Chair) Helena Kakouratos Peter Loft Paul Gerrard Samantha Brothwell Chris Davies
The Consultation 44 responses from organisations or individuals Comprising ~1340 individual comments
Verification
Existing Documentation Code of Practice for Permits - March 2008 Statutory Guidance for Permits March 2008 Permit Fee Guidance July 2008 Permit Schemes Decision Making and Development (2 nd edition) Guidance Nov 2010 Additional Advice Note For Developing and Operating Future Permit Schemes Jan 2013 Permit Scheme Advice Note: Implementing changes required by 1 October 2015 July 2015 Individual Scheme Operational Guidance Wi t hdr aw n
PART I This document seeks to clarify and offer guidance on any ambiguous interpretation of the Regulations and Statutory Guidance for both works promoters and authorities
Content Early Engagement 1. What is a permit and when is one required? 2. What information is required on a permit 3. When should a permit application be sent? 4. Granting a Permit Application or PAA 5. Requesting a Change to a Permit Application 6. Conditions 7. Early start 8. What if things change? 9. Permit durations and the reasonable period 10.Permit Durations and validity periods 11.Permit Fees 12.Sanctions 13.Error Correction 14.Scheme Evaluation and Reporting
Early Engagement Forward Planning Information Enabling: early co-ordination; consider joint working; consider trench sharing; highlight other activities which need to be coordinated with these works; Does your organisation do this? If not why not?
1.What is a permit and when is one required? A request for space on the highway Statutory Undertaker and Highway Authorities (S50 exempt) One permit can only cover works on one street USRN Registerable activities as defined Portable Traffic Signals
2. What information is required on a permit? (1) PAA are only required for Major Works Details required for co-ordination are: location of works; proposed start and end dates and, by inference, expected duration; an outline description; times of working, including hours of the day and any weekend provisions; the road space occupancy; method of working; traffic management.
2. What information is required on a permit? (2) Information required is set out within the document Conditions - Apply where known EToN Limitations Phased Works
3. When should a permit application be sent? (1)
3. When should a permit application be sent? (2) Planned works on Cat 0, 1, 2 and traffic sensitive streets Actual Start should be given by 10.00am the next working day PAA and PA - Timing
4. Granting a Permit Application or PAA Propose Assess Grant Modify
5. Requesting a Change to a Permit Application (1) Permit Durations Planned Immediate EToN Anomalies No response times for PMR s Early in the notice period Recommended response time 1 day (promoter + authority)
5. Requesting a Change to a Permit Application (2) Permit Modification Requests & Modified applications PMR allows changes to the PA PMR Classed as a refusal if no response PMR Should give clear reason(s) MA Response to a PMR Response Times (MA) Within the original application period Or within 2 days of receipt of the PMR
5. Requesting a Change to a Permit Application (3) PMR & Immediate works PMR should NOT be used PMR AIV should be used 2 working hour response on AIV AIV No charge for AIV PMR should not be used when works have been completed
6. Conditions All conditions attached to permits must comply with National Conditions document. Plenty more of this later. To apply or not to apply where is the congestion?
7. Early Starts Prior to Application submission PA with Proposed Dates submitted State reason why requested Phone Contact After application submission Permit Variation New Dates State reason why requested Phone Contact Agreement reference may still be required to verify early start
8. What if things change (1) Why? Cancelled Location Change/multiple excavations Duration Unforeseen Event How? PMR AIV Revocation (exceptional circumstances)
8. What if things change (2) Duration (DVA) Made as soon as possible Valid reason for extension Not unreasonably refused Duration Variation application (DVA)
8. What if things change (3) Duration not Agreed - refuse DVA Exceptional Circumstances Site needs to be cleared Duration not Agreed - Grant DVA S74 duration challenge Permit & reasonable period will NOT coincide Duration Agreed Grant DVA Permit & reasonable period will coincide
9. Permit durations and the reasonable period Section sets out how the reasonable period is determined How the permit duration is determined Valid reasons for extensions should be recorded Valid reasons for refusal of extensions should be recorded
10. Permit Durations and validity periods
10. Permit Durations and validity periods (2) 0+1+2 or TS Street: Start on Day 1 or lose time on your duration end date does not move. 3+4 Non TS Street: On category 3 and 4 streets that are not traffic-sensitive, permit start and end dates should allow for flexibility in the start of the activity but once the activity is started it must be completed within the duration period specified in the permit. The starting date will be the planned start date for the activity but the end date must allow for the activity starting on the last day of the starting window, noting that the last day of the starting window would then be day 1 of the activity duration.
11. Permit Fees (1) The Issue of a permit An application for a permit Each variation of that permit The PAA is payable upon receipt of the associated PA
11. Permit Fees (2) Where fees MAY not apply: Cancelled Works Completed works (prior to grant) Immediate Works Only Planned Works (failure to send a permit) Lane Rental Schemes Please note that this advice does not apply to works still in progress. In such circumstances the fee will still apply
11. Permit Fees (3) Discounts on Fees: Traffic Sensitive Streets outside Traffic Sensitive Time Deselecting designation Comment Fee or reduction of based on data provided There is no need to also add this as a condition on permits though the permit authority may take reasonable action if the works are on site during traffic sensitive times
11. Permit Fees (4) Invoicing: A reconciliation template is available in Appendix 1 Monthly Invoices Payment within 28 days or as agreed
12. Sanctions Offences Working Without a Permit (Reg 19) Breaching a National Condition (Reg 20) Noticing failures Consequences Prosecution FPN
13. Error Correction The information on the register needs to be timely and accurate If an error is found correct it Within 1 working day
14. Scheme Evaluation and Reporting All schemes must be evaluated Every 12 months for initial 3 years Every 3 years there after Measure Objectives Available to ALL stakeholders Governance and effectiveness
End of Part I Take A Break?
PART II Guidance for the condition text has been provided by many of the existing permit schemes across England and has been used to produce this document. All conditions must comply with and be of the type specified in Regulations and must not conflict with other statutory requirements.
Conditions This document includes an introductory section which provides clarity and context that was not included in the Stat Guidance All conditions should be of the format NCT xx yy The Conditions have not been changed
NCT01 (a)(b) Date Constraints Applies to ALL permits No reason to attach (auto apply) Permit should not be refused for inclusion or exclusion of this condition NCT01a/b
NCT02a Time Constraints Limits time of day Clarifies the timing of occupation In theory Reduces the working hours Normal working Hours (Permits) 8am to 6pm Mon to Fri 8am to 1pm Sat No works on a Sunday
NCT02b Time Constraints Extends the time of day Clarifies the timing of occupation In theory increases the working hours Utilise OOH Box Normal working Hours (Permits) N/A for Immediate works 8am to 6pm Mon to Fri 8am to 1pm Sat
NCT03 Out of Hours work This condition should NOT be used
NCT04a Material & Plant Storage This condition should be imposed to Limit the footprint Remove excess plant & materials PA should give reason for use Not to be imposed on every permit Timescales - realistic
NCT04b Storage of Surplus Material and/or plant This condition should be imposed to Limit the storage of plant & materials within the site May require storage off site PA should give reason for use Not to be imposed on every permit Timescales - realistic
NCT05a Road Occupation Dimensions This condition could be used to Define the area in which the works can be undertaken Should be detailed within a Traffic Management plan
NCT06a Traffic Space Dimensions Define the minimum width of a footway or carriageway to be maintained Should not conflict with the Safety Codes of Practice Not applied where Safety Codes is deemed the minimum Reasons over and above the Safety Codes should be given
NCT07a Road Closed to Traffic Not applied to all Road closures Not to mandate a gateman At request of Permit Authority Closure of Minor Road at a junction Is NOT an addition to the TTRO process
NCT08a Traffic Management Request Where TM over and above the Safety Codes is required To be used where TM has NOT been stated by promoter That TM is required at specific times Stop/Go near a school between 1500 & 1600 NOT applied on every occasion TM is used
NCT08b Manual Control of Traffic Management Authority driven Site Specific Time Specific Not applied to all permits with TM Defined reason to be given Substantial Financial Impact Technology remote operation
NCT09a Traffic Management Changes Promoter driven Telephone Call & Variation Not used on ALL works By exception Convoy System to Protect Workforce
NCT09b Traffic Management Arrangements Authority driven Drives TM to be moved/completed prior to further phasing of works Details to be supplied on a TM plan
NCT09c Signal Removal from operation when no longer required Authority driven Requires removal from the traffic flow of Portable traffic signals Within 4 hours of work completion Should not cause obstruction
NCT10a Employment of appropriate methodology Methodology agreed in advance Condition used by exception Specific to particular works May be more than one NOT to be used for 1st time reinstatement on all works Half/full width reinstatement
NCT11a Display of Permit Number Applies to all Permits Prominent Place Not mandatory to attach condition as it applies to all permits May require more than 1 board on large sites
NCT11b Publicity for proposed Works Advanced Information Boards Variable Message Boards Exceptional Locations Exceptional circumstances (Night work)
NCT12a Limiting time of Activities Used for environmental issues Noise Light etc. Clear reason for application
NCT13 Condition(s) not covered Not routinely used Where site requirements dictate It is NOT a local condition Exceptional circumstances (e.g NATO Conference) MUST be agreed with works promoter prior to application
Next Steps A living document updates to this Guidance rather than scheme specific Advice Notes Feedback via the HAUC England Permit Forum No support from Regional or National HAUC s for those operating outside this guidance Evaluation of Permit Schemes A return visit to the Minister
And Finally. This has taken many hours of work and has received much input and comment from the HAUC community which has enriched and improved the published document. This Document was created by the community for the community Thank You