- Yorkshire Highway Authorities & Utilities Committee

Yorkshire Common Permit Scheme For
Road Works & Street Works
• Welcome & Introductions.
• Domestic Arrangements.
• Presentation.
• Comfort Break.
• Presentation Continued.
Please ask questions at any point throughout.
What We Will Be Covering
• Permit Scheme Overview.
• Permit Activity Categories.
• Permit Application.
• Information Requirements.
• Permit Conditions.
• Permit Variations.
• Transitional Arrangements.
• Performance Monitoring.
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.
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).
Members of the
Yorkshire Common Permit Scheme
Phase I Implementation
Phase II Implementation
12th June 2012
•Barnsley MBC
Bradford MDC
•Doncaster MBC
Calderdale Council
•Kirklees Council
Wakefield Council
•Leeds City Council
•Rotherham MBC
•Sheffield City Council
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
• To demonstrate parity.
Elements in Common with the NRSWA
Notice System
• Registered Activities / Works.
• Categories of Activities / Works (Major, Standard, Minor and
• 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.
Key Points of Permits
• A permit is only valid for the period of time stated on the
• The start and end dates will be in calendar days, even
though many aspects of the scheme will operate on working
• 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
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
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
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.
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.
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.
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.
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.
• Works on Cat. 3 and 4 streets which are not Traffic Sensitive at
any time or in any part.
Permit Fees
Permit Activity Categories
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.
Activity Categories
Standard Activities
• Works other than ‘major’ or ‘immediate’ that have a
planned duration of between 4 and 10 working days
Activity Categories
Minor Activities
• Works other than ‘major’ or ‘immediate’ that have a
planned duration of 3 working days or less.
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.
Permit Applications
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
• Subject to any conditions which are specified, or agreed, by
the promoter in the application.
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, email or hand delivery.)
• Applications must comply with the technical specification for
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.
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.
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).
Timing of Applications
Noticing V Permit
Section 54
Provisional Advanced Authorisation
Section 55
Permit Application
Revised Duration
Permit Variation
Immediate works
(2hrs after)
Permit Application
Actual Start/Works Stop
Actual Start/Works Stop
Application and Response Times
Information Requirements
Information Required
Unique Permit Reference Number – System generated
Description of Activity
Timing and Duration
Technique to be used for Underground Activities
Information Required
Traffic Management and Traffic Regulation Orders
Depth (Range of depth)
Reinstatement Type
Inspection Units
Contact Person
Early Starts
Permit Conditions
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
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
Timing and Duration
• Start and end dates (calendar days).
• Bank Holidays, weekend, out of hours working should be
• For Traffic Sensitive Streets – include times of day activities are
to be carried out.
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.
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.
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.
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.
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,
• 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
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.
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
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
Permit Variations
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.
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.
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
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.
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.
Transitional Arrangements
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.
Transitional Arrangements
Go Live Date
3 month
1 month
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
Performance Monitoring
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.
Fixed Penalty Notices (FPNs)
• Offer undertaker an opportunity to discharge liability for noncompliance 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.
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.
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
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
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
Thank You – Any Questions