1

Administration of Street & Highway Works Notices

TRAINING HAND OUT

For those involved in the administration of street works notices

Based on the New Roads and Street Works Act 1991

Code of Practice for the Co-ordination of Street Works and Works for Road

Purposes and Related Matters

Technical Specification for the Electronic Transfer of Notifications

(EToN)

2

Background & Basics

Hand out for

3

Code of Practice for the Co-ordination of Street Works and Works for Road Purposes and Related Matters

7 WORKS CLASSIFICATION

7.3 Registerable Works Page 42

7.3.4 Included and Excluded Works

Works promoters must register, or notice, all works that:

(a) Involve the breaking up or resurfacing any street, (see below for pole testing and coring involving excavation).

(b) Involve opening the carriageway or cycleway of traffic-sensitive streets at traffic sensitive times.

(c) Require any form of temporary traffic control as defined in the Code of Practice for Safety at Street Works and Road Works.

(d) Reduce the lanes available on a carriageway of three or more lanes.

(e) Require a temporary traffic regulation order or notice, or the suspension of pedestrian facilities.

(f) Require a reduction in the width of the existing carriageway of a traffic-sensitive street at a traffic-sensitive time

Works promoters do not need to register the following works in advance however, where reinstatement is carried out it must be registered within 10 days of completion.

• traffic census surveys - because disclosure prior to a census can encourage a change in normal traffic flows

• pole testing involving excavation - does not require registration in advance, unless one or more of rules (b) - (f) above, apply.

• core holes - not exceeding 150 mm in diameter do not require registration in advance, unless one or more of rules (b) - (f) above, apply.

• road markings - that are not part of a larger set of works and do not reduce the width of the carriageway, as they do not involve breaking up of the highway

If a street authority gives prior written agreement to a works promoter, small excavations may not need to be registered in advance, unless one or more of rules (b) - (f) above, apply. For this purpose small excavations are defined as those associated with existing apparatus and that do not exceed 150 mm distance from the building line and are no larger than150 mm.

The statutory requirements for signing, lighting and guarding of all of the above activities, as well as the requirements for the legal parking of any associated vehicles, must be complied with at all times.

4

Where do we send a notice?

Notices for works on publically maintainable streets go to the Street Authority. (The Highways Agency is the Street Authority for most motorways and trunk roads)

Notices for works on private streets go to the ‘street manager’ or all the frontagers. A copy should also be sent to the Street Authority for recording on their Register. A promoter should take all reasonable steps to determine the identity of a ‘Street Manager’ for a private street.

Some streets may have an ‘interested organisation’ registered on the gazetteer. Notices should also be sent to any interested organisations. (eg Network Rail for works on streets that have a level crossing).

5

What type of notice to send

Hand out for

6

How do you decide what Notice to send?

Major:

Standard:

Minor:

Immediate - Urgent

Immediate – Emergency

11 + days4 to 10 days (Maximum)3 days (Maximum)

Duration determined by nature of works - extensions can be requested

Duration determined by nature of works - extensions can be requested

Estimated Duration

7

NO

Is immediate work required to prevent or end a dangerous situation (includes dangerous defective works or reinstatements)

Immediate EmergencyWorks

Is work to prevent or end an unplanned interruption to a supply or to avoid substantial loss with respect to an existing supply, or to

reconnect a supply to comply with a statutory duty(HA works: signs, bollards etc)

ImmediateUrgentWorks

Are the works in the annual programme OR need a TTRO OR have a planned duration of 11 days or more, other than

immediate works

NO

Are the works, other than immediate OR major works with a planned duration of 3 days or less

NO

Standard Works

NO

WORKS CATEGORY SELECTION

YES

MajorWorks

MinorWorks

YES

YES

YES

8

Notice periods and sequence

Hand out for

9

Advance Warning – minimum periods

Advance s 54.

Proposed Start s 55 (Immediate Urgent s55. Immediate Emergency s 57).

Works Start or Revised Duration s 74.

10

What information is required on the initial notice?

Hand out for

11

Error corrections/Amendments

• Works description – can only be amended with agreement• USRN/Provisional street details – can only be amended with

agreement• Applicable designation – can only be amended with agreement• Grid reference/s – can only be amended with agreement• Location description – can only be amended with agreement

• Restricted notice flag – can be updated without agreement• Attachments – can be added without agreement• Project reference & Description - can be amended without

agreement• Promoter & Contractor details – can be amended without agreement

The following information can be corrected using a Works Data Alteration notice, some of which need an agreement from the authority

Agreements must be obtained from the relevant authority

12

Retracting S74 notices sent in error

• If an Actual Start, or Works Stop notice has been issued on a notice in error, it may be possible to retract the notice using a Works Status Correction notice

• An agreement must be reached with the relevant authority before sending this correction notice

13

Works completed what happens next ?

Hand out for

14

Works Completed – Detail of reinstatement

2 4 6 282012 22 24 268 1810 14 16

Front StreetSi

de S

tree

t

Proposed Notice

Site 1On the Proposed Notice the notice would be created and sent on the USRN for Front StreetWorks_Description: -Lay 1 x 100mm dia. pipe, 10m in C/W at 600mm cover, 60m in F/W at 350mm cover.It is only necessary at the this stage to create 1 site on the notice.

Site 1Street_Location: – Footway (optional)Site_Location_Text: - From o/s No 6 to outside No 24.

15

Works Completed – Detail of reinstatement

2 4 6 282012 22 24 268 1810 14 16

Front Street

Side

Str

eet

Partial Registration – works still in progress

Site 2

30m F/W 10m C/W 30m F/W

Site 3Site 1

We now need to add the location text on Site 1 and create additional sites to cover the different surfaces in the trench work, and add reinstatement details, including a grid reference for all works.

Site 1 (Amended)Street_Location: - FootwaySite_Location_Text: – From o/s No 6 to jcn Side Street.Length x Width: - 30m x 0.4m

Site 2 (New)Street_Location: – CarriagewaySite_Location_Text: – Across jcn of Side Street.Length x Width: - 10m x 0.4m

Site 3 (New)Street_Location: - FootwaySite_Location_Text: – From jcn Side Street to o/s No 24.Length x Width: - 30m x 0.4m

16

Works Completed – Detail of reinstatement

2 4 6 282012 22 24 268 1810 14 16

Front Street

Side

Str

eet

Full Registration

Site 2

30m F/W 10m C/W 30m F/W

Site 3Site 1

We now need to add the location text on Site 1 and create additional sites to cover the different surfaces in the trench work, and add reinstatement details, including a grid reference for all works.

Site 1 (Amended)Street_Location: - FootwaySite_Location_Text: – From o/s No 6 to jcn Side Street.Length x Width: - 30m x 0.4m

Site 2 (New)Street_Location: – CarriagewaySite_Location_Text: – Across jcn of Side Street.Length x Width: - 10m x 0.4m

Site 3 (New)Street_Location: - FootwaySite_Location_Text: – From jcn Side Street to o/s No 24.Length x Width: - 30m x 0.4m

17

Fixed Penalty Notices (FPNs)

Hand out for

18

Offences under

• s54 (5) Advance Notice

• s55 (5) Starting Date

• s55 (9) Cancellation

• s57 (4) Immediate - Emergency

• s70 (6) Registration

• s74 (7b) Actual Start/Revised Duration/Works Stop

19

OffencesTable 11.1: Summary of duties and obligations

Offence Brief description Duties and obligations

An offence

under s.54(5)

Failure to comply

with duties under

s.54

In certain cases prescribed in regulations prescribed periods of advance notice must be given to a street authority

by an undertaker proposing to execute street works. Each notice must state the proposed start date on which it is

proposed to begin the works and contain the information prescribed in regulations. After giving advance notice

under section 54, an undertaker must comply with the requirements prescribed in regulations, or imposed by the

street authority. These concern the provision of information and procedural steps to co-ordinate the works with

other proposed works of any description. If an undertaker who has given advance notice under section 54 has not,

before the starting date specified in the notice, given to the street authority a notice under section 55 in respect of

the works, he must within such period as may be prescribed in regulations (Regulation 8(2)) give to that authority a

notice containing prescribed information.

An offence

under s.55(5)

Beginning to

execute works in

contravention of

s.55

In relation to certain types of street works an undertaker must give prescribed periods of advance notice stating

the proposed start date and containing information prescribed in regulations. This notice must be given to the street

authority, to any other relevant authority, and to any other person having apparatus in the street, which is likely to

be affected by the works. The undertaker must not begin the works without notice, or before the end of the notice

period, without the consent of those to whom notice is required to be given.

An offence

under s.55(9)

Failure to give

notice in

accordance with

s.55(8)

If the notice of starting date ceases to have effect, the undertaker must give a further notice containing such

information as may be prescribed in regulations and within the prescribed period. This notice must be given to the

same people as the notice of starting date (see above).

An offence

under s.57(4)

Failure to give

notice in

accordance with

s.57

Where emergency works are of a kind which either do, or would, but for certain provisions in Schedule 3A NRSWA,

require a notice of starting date under section 55, an undertaker executing such works must give notice stating

his intention or, as the case may be, the fact that he has begun to execute the works. The notice must also contain

such other information as may be prescribed in regulations. The notice must be given as soon as reasonably

practicable, and in any event within two hours (or such other period as may be prescribed), to the persons to

whom a notice of starting date would be required to be given under section 55 (see above).

20

Offence Brief description Duties and obligations

An offence

under s.70(6)

consisting of

a failure to

comply with

subsection

(3) or (4A)

Failure to comply

with

requirements to

give notice of

completion of

reinstatement

Section 70(1) imposes a general duty on the undertaker to reinstate the street. The undertaker must, within ten

working days from the date on which the reinstatement is completed, give notice to the street authority of that

completion. The notice must state whether the reinstatement is permanent or interim, and give such other

information about the reinstatement as may be prescribed in regulations. In the case of an interim reinstatement,

the undertaker must within ten working days from the date on which the permanent reinstatement is completed,

give notice to the street authority of that completion. The notice must contain such other information about the

reinstatement as may be prescribed.

An offence

created by

regulations

made under

s.74(7B)

Failure to give a

notice required

by regulations

under s.74

(charge for

occupation of the

highway where

works

unreasonably

delayed)

The Street Works (Charges for Unreasonably Prolonged Occupation of the Highway) (England) Regulations 2001

create a criminal offence in respect of any failure to give a notice required by the regulations. An undertaker

executing street works in a highway, to which these regulations apply must, not later than the end of the day

following the day on which the works begin, give the highway authority an “actual start of works notice”.

This should confirm the actual start date and specify, by reference to the nationally consistent street gazetteer, the

street or streets, in which the works are to be carried out. Once an undertaker has completed interim reinstatement,

a written “works clear notice” must be given to the highway authority not later than the end of the day following

the day on which the highway was returned fully to public use. An undertaker who has completed permanent

reinstatement must give the highway authority a written “works closed notice” not later than the end of the

day, following the day on which, the highway was returned fully to public use. If the duration of the works will

exceed the prescribed period, a notice shall be given to the highway authority containing an estimate of the likely

duration. The estimated duration of works should:

• for works for initial placing of the apparatus, be given with the application for a licence

• for other works (not emergency) be given with the section 55 notice

• for emergency works be given as soon as practicable after the works begin.

This estimate is assumed to be agreed by the authority, unless it gives a written notice to the undertaker written

notice of its own estimate of a reasonable period for the duration within five days (major or standard works) or two

days (minor or immediate works) of receiving the undertaker’s estimate. If the duration of the works is exceeds the

prescribed period, or is likely to exceed either the period stated in a previous estimate of duration or the period

agreed or determined under section 74(2) to be a reasonable period, the undertaker shall give a notice in writing

containing an estimate or a revised estimate of duration. This estimate is assumed to be agreed by the authority,

unless it gives a written notice to the undertaker of its own estimate of a reasonable period for the duration within

two days of receiving the undertaker’s estimate.

Table 11.1: Summary of duties and obligations

21

Offence Brief description Duties and obligations

An offence

created by

regulations

made under

s.74A (11)

Failure to give a

notice required

by regulations

under s.74 A

(Charge

determined by

reference to

duration of

works)

The Street Works (Charges for Occupation of the Highway) (England) Regulations 2001 create a criminal offence

in respect of any failure to give a notice required by the regulations. An undertaker executing street works in a

highway, to which these regulations apply, must, not later than the end of the day following the day on which the

works begin, give the approved highway authority an “actual start of works notice”. This should confirm the start

date and specify by reference to the nationally consistent street gazetteer, the street or streets in which the works

are to be carried out. Once an undertaker has completed interim reinstatement, a ‘works clear notice’ must be

sent to the approved highway authority, not later than the end of the day following the day on which the highway

was returned fully to public use. An undertaker who has completed permanent reinstatement must give the

approved highway authority a written ’works closed notice’, not later than the end of the day following the day on

which the highway was returned fully to public use.

Table 11.1: Summary of duties and obligations

22

23

FPN Offences - Content

Notice received time could not be determined.USRN not found in street gazetteer.

You are not among the list of notice recipients.Works proposed during restriction in force without agreement.

No agreement for provisional street works found.

USRN on confirmation notice from differs from that on the original notice or last error correction notice.Registration date not within 10 days of closed notice.

Registration received against non-excavation works.No length and width received for site.

Length and width received foe subsumed site.

Length greater than 10m while plotted as point type.Location co-ordinated not provided.

Location feature type not provided for location coordinates.Site coordinates not provided.

Site feature type not provided for site coordinates.

24

FPN Offences – Missing Content

Missing initial notice for major works, while confirmation has been notice received.

Notice has been received without previous notice.

Possible missing cancellation notice for major works.

Possible missing cancellation notice for minor/standard works.

Full reinstatement not received within 10 days of actual stop notice.

Cancellation notice received late.

Registration notice received late.

25

FPN Offences - Sequence

Possible missing notices, notice number greater than expected.

Notice sequence number already exists.

Unable to locate phase, confirmation notice sent without initial notice.

No phase found for works, works stop notice sent for non-existent works.

Works stop notice served before actual start notice.

No phase found, registration notice sent for non-existent works.

Initial notice received for cancelled works.

Reinstatement not received for the previous phase.

Initial notice received before previous phase has stopped.

26

FPN Offences - Timing

Proposed start is after estimated end.

Works proposed outside 58 response time.

Works proposed outside 58a response time.

Insufficient notice given for major works first phase initial notice

Insufficient notice given for major works initial notice.

Insufficient notice given for standard works initial notice.

Standard works duration exceeds 10 working days.

Standard works duration is less than 4 working days.

Insufficient notice given for minor works initial notice.

Minor works duration greater tan 3 working days.

Insufficient notice given for major works confirmation notice.

Proposed start date for major works outside validity period.

Insufficient notice given for major works confirmation notice.

Confirmation notice received after initial notice estimated start.

27

FPN Offences – Timing

Confirmation notice received during S54(4a) cancellation period.

S55 confirmation notice received whilst previous confirmation notice still valid.

Invalid proposed start on S55 confirmation notice.

Actual start before proposed start without agreement.

Actual start notice received late.

Actual start date in the future.

Major works started outside validity period.

Standard works started outside validity period.

Minor works started outside validity period.

Works stop date before actual start date.

Late notification of works stop notice.

Works stop date in future.

Invalid site reinstatement date.

Site reinstatement date in future.

Registration received for works that are either in progress or stopped.

28

Administration of Street & Highway Works Notices

Further info available: -

• DfT Website www.dft.gov.uk

• SEHAUC Website www.sehauc.org.uk

• HAUC(UK) Website www.hauc.org.uk

For full information and advice notes