CAMBRIDGESHIRE PERMIT SCHEME. Year 1 Evaluation 2016/17. Sarah Widdows

Transcription

1 CAMBRIDGESHIRE PERMIT SCHEME Year 1 Evaluation 2016/17 Sarah Widdows sarah.widdows@cambridgeshire.gov.uk

2 Cambridgeshire Permit Scheme Contents 1 Executive Summary Summary Highlights Introduction Objectives of the Cambridgeshire Permit Scheme The Permit Scheme Objectives Sub-objectives of the Permit Scheme Fee Structure Performance Indicators Permit Data Provisional Advance Authorisations Permit Applications and Variations Deemed Permits Permit Modification Requests KPI 1- Granted / Refused / Deemed Permits KPI2 - The number of conditions applied by condition type KPI3 - Number of approved revised durations KPI4 - Number of occurrences of reducing the application period TMA Performance Indicators TPI 1 Works Phases Started TPI 2 Works Phases Completed TPI 3 Days of Occupancy Phases Completed TPI 4 Average Duration of Works TPI 5 Phases Completed Involving Overrun TPI 6 Number of Deemed Permit Applications TPI 7 Number of Phase One Permanent Reinstatements Authority Measures AM1 Average Duration of Works by Permit Type AM2 - Inspections Sample A Inspections Sample B and C Inspections Permit Condition Compliance AM3 - Number of Occurrences of Collaborative Working AM4 - Response Code Minor Works P a g e

3 7.4.2 Standard Works Major Works Emergency Works Urgent Works All Works AM 5 - Fixed Penalty Notices AM 6 - Journey Time Conclusion Appendix A Conditions Applied by Statutory Undertaker Appendix B TPI data by Statutory Undertaker Appendix C Sample A Inspections Permit Condition Compliance Appendix D Response Codes Appendix E FPN by Works Promoter and Offence Type Bibliography List of Tables Table 1: Cambridge Permit Scheme Fees... 8 Table 2: Permit Applications and Variations Table 3: Percentage of Permit Applications that deemed Table 4: Permit Modification Response Times Table 5: Comparison of granted, refused and deemed permits Table 6: Number of Conditions by Condition Type Table 7: Percentage of permits granted with condition type Table 8: Extension requests and refusals Table 9: Duration Challenges issued Table 10: Percentage Early Starts Table 11: Statutory Undertaker TPI Data Table 12: Highway Authority TPI Data Table 13: Average Duration (Days) by Permit Type Table 14: Sample A Inspection Outcome Table 15: Sample B Inspection Outcome Table 16: Sample C Inspection Outcome Table 17: Permit Condition Checks Table 18: Collaborative Working P a g e

4 1 Executive Summary This is the first Cambridgeshire Permit Scheme Annual Evaluation Report covering the financial year for 2016/17 The report details the income, expenditure, Key Performance Indicators and successes demonstrated through the management of Roadworks and Streetworks in Cambridgeshire. 1.1 Summary Highlights 33,144no Provisional Advanced Authorisation, Permit Applications and Permit Variations were received this year, 23% more than anticipated during the development of the scheme 311no instances of collaboration were achieved saving a total of 179 days of highway occupation. 24,477no Permit Applications and Permit Variations were granted this year; 89.5% of applications received. 2,834no Permit Applications and Permit Variations were refused this year; 10.3 % of all applications received. 7.21% of applications from the Highway Authority were refused, and 10.92% from Statutory Undertakers, demonstrating parity of treatment between all Promoters working within Cambridgeshire. 24no Permit Applications / Permit Variations were deemed by the Streetworks system (automatically granted as response time missed) 0.08% of all Permit Applications / Variations received. 7.22% of duration variation applications were denied this year for all work promoters, wherein promoters were unable to complete works within their given time frame due to complications and as a result of poor planning. 23,500no conditions were applied to Permit Applications.. 2,644no condition inspections were conducted, of which 628no were found to be noncompliant. An average of 23.75% failed however, a downward trend was seen throughout the year. 3 P a g e

5 2 Introduction Any activity undertaken in a street has the potential to cause disruption. Activities can reduce the width of the street available to traffic, pedestrians and other users, and can also inconvenience businesses and local residents. The scale of disruption caused is relative to the type of activities being undertaken, the capacity of the street, the duration and timing of the works and the methods employed to carry them out. Works on those streets where the traffic flow is close to, or exceeds, the physical capacity of the street will have greatest potential to cause congestion, disruption and delays. The objective of the Traffic Management Act 2004 (TMA) is to enable the management of the traffic network to ensure expeditious movement of traffic (including pedestrians, cyclists and other vulnerable road users) as required under the TMA Network Management Duty. Permit Schemes provide a way to manage activities on the public highway and were introduced by Part 3 of the TMA to improve authorities ability to minimise disruption from street and road works. The Cambridgeshire Permit Scheme came into effect on 3 October 2016 and has had a successful first year. It is a requirement that an annual report be produced for each of the first three years that the scheme is in operation and then each third year. This report relates to the first year of operation, 3 October 2016 to 2 October The purpose of this report is to evaluate the Permit Scheme in respect to these successes and give consideration whether the Permit Scheme is meeting key performance indicators where these are set out in the Guidance. Prior to 3 October 2016 all works promoters were required to give notice of their intended works to the Highway Authority. This notification effectively booked the required road space. Under a permit scheme, all works promoters are required to obtain permission from the Highway Authority in order to proceed with their intended work. This permission, or permit, allows the Highway Authority an opportunity to require conditions to apply to how the works will be delivered in order to mitigate the impact the works could have on the road network. The Cambridgeshire Permit Scheme applies to the whole of Cambridgeshire s road network but excludes the trunk roads, motorways and Peterborough City Council s network. A permit fee applies to all permits, however a two-tier fee structure allows a lesser fee to be applied to less busy streets to reflect the amount of resource it takes Cambridgeshire to assess the permit application. In addition, concessions are provided to encourage best practices, such as working wholly outside traffic sensitive times on traffic sensitive streets and for collaborative working. The Highway Authorities and Utilities Committee England ((HAUC (England)) published HAUC (England) Guidance for the Operation of Permit Schemes and associated National Conditions and Text (NCT) (HAUC (England), 2017) to replace the DfT s Code of Practice that was withdrawn in 2015 as a result of the Deregulation of Permit Schemes. The operation of a Permit Scheme should also comply with the HAUC Guidance. All permit schemes must be able to demonstrate parity for all works promoters and mandatory Key Performance Indicators are required to measure this. It is a requirement that permit schemes operate on a cost neutral basis. The overall income from the permit fees may not exceed the prescribed costs of operating the permit scheme as defined in Regulation 29 of The Traffic Management Permit Scheme (England) Regulations 2007 as amended in A sustained surplus would indicate that the income regularly exceeds the prescribed costs and the permit fees should be adjusted in line with the Statutory Guidance for Highway Authority Permit Schemes (DfT, 2015). 4 P a g e

6 3 Objectives of the Cambridgeshire Permit Scheme The objectives of the Cambridgeshire Permit Scheme were laid out in Section 2 of the Scheme and are summarised below along with how they have been met: 3.1 The Permit Scheme Objectives The strategic objective for the Permit Scheme is to provide a capability to manage and maintain the local highway network for the safe and efficient use of road space, whilst allowing Promoters access to maintain their services and assets. The principle of the Permit Scheme is to improve the planning, scheduling and management of activities so that they do not cause unnecessary traffic disruption to any road user. It will help Cambridgeshire County Council meet their network management duty under the TMA. Co-ordination of activities through the Permit Scheme will enable differences between those competing for space or time in the street, including traffic, to be resolved in a positive and constructive way. 3.2 Sub-objectives of the Permit Scheme To manage proactively the local highway network to maximise the safe and efficient use of road space. Objective met: Less than 0.1% of Permit Applications deemed, therefore, 99.9% were fully assessed as detailed in Sections 5.1 and 5.2. Conditions were applied where appropriate. The majority of Conditions applied related to date and time restrictions and traffic space dimensions, both ensuring that the activities were carried out with the least disruption and minimum carriageway and footway widths were maintained for safe and expeditious movement of traffic and pedestrians. The application of Conditions is detailed in Section 5.3 and Appendix A To improve the quality and timeliness of information and compliance with highway legislation from all Activity Promoters. Objective met: Both Permit Requirement Monitoring and Site Occupancy Monitoring Inspections are proactively carried out to ensure compliance with the Permit and any Conditions applied as well as works being completed within the reasonable period. Where there are Breaches of Conditions, Fixed Penalty Notices are applied and where works continue beyond the reasonable period of the Permit, Section 74 charges are applied. Sample Inspections during the lifecycle of the works and reinstatement are also carried out to ensure site safety and quality of workmanship and where there is a noncompliance, defects are issued. Where the level of defects is above intervention level, improvement notices are issued. Outcome of inspections and FPNs are detailed in Sections 7.2, 7.5 and Appendices C and E. To improve the information available to the public to help provide and inform reliable journey times. Objective met: All roadworks and streetworks are displayed on once the Permit Application has been granted. This is accessible by the public. The Traffic Management module of has been implemented since the Permit Scheme has been introduced and all diversion routes for road closures are input by the Permit Officers once a closure has been approved. 5 P a g e

7 Our Integrated Highways Management Centre issues fortnightly bulletins to advise subscribers of forthcoming disruptive works, road closures and events based on Permit Applications that have been granted. Use of the National Condition 11 (NCT) Consultation and Publicity Condition on the Permit allows us to direct Statutory Undertakers to display advance warning signs and letter drop affected residents in advance of the works. This condition was used on 641 Permits as shown in Section 5.3. To manage road works and street works to support public transport (including buses) reliability and punctuality. Objective met: Permit Officers assess potential disruption to public transport and liaise directly with our Passenger Transport Team for their input on when the works can be carried out with the least disruption to the services. Provisional Advance Authorisation Applications provide adequate notification to service providers to ensure they can register any services that may not meet the bus punctuality agreements. Disruption to services is also monitored by Real Time Passenger Information systems, managed by the Integrated Highways Management Centre, allowing us to deal with any unplanned disruption and information relating to the services can be displayed on our Intelligent Bus Stops to inform passengers. Permit Application assessments and use of allows us to minimise conflicts if buses are diverted or rail replacement services are in use and ensure disruptive works are not permitted to be carried out on diversion routes. To ensure the safety of those using the street and those working on activities that fall under the scheme, with particular emphasis on people with disabilities. Objective met: Sample A inspections ensure compliance with the Safety at Road Works and Street Works Code of Practice which takes into account the safety of vulnerable highway users. The measure demonstrates a significant increase in failure rates following implementation of the Permit Scheme due to increased resources inspecting works in progress and a consistent approach to failures. The failure rate is gradually decreasing, indicating improved compliance with the Safety Code of Practice, which is a positive outcome for all highway users and those carrying out the works. The Outcome of Sample A inspections are detailed in Section 7.2 To protect the structure of the street and the integrity of the apparatus in it. Objective met: Sample B inspections, carried out 6 months after the reinstatement has been completed and Sample C inspections are carried out 3 months before the end of the guarantee period ensure the reinstatement is compliant with the Specification for the Reinstatement of Openings in the Highway (SROH) (DfT, 2010), reducing the liability to the Highway Authority once the guarantee period has expired. The implementation of the Permit Scheme shows a significant increase in visual defects that had been issued to the Statutory Undertakers compared to the previous year. This can be attributed to the increase in resources inspecting the reinstatements and training in relation to the SROH. Section demonstrates a gradual overall decline in failure rate since the implementation of the Scheme, suggesting that there is improved compliance with the SROH following the initial increased number of inspections and failure rate. Cambridgeshire County Council are working with a number of Statutory Undertakers to develop a collaborative coring programme in line with the Department for Transport s 6 P a g e

8 Guidance on Streetworks Inspections Coring (DfT statutory guidance for streetworks inspections coring, 2017) To ensure parity of treatment for all Activity Promoters particularly between Statutory Undertakers and Highway Authority Promoters works and activities. Objective met: The Streetworks and Permitting Team are in the Traffic Manager s Group in the County Council. The Team is independent of the County Council s Work Promoters and therefore there is significant separation allowing Highway Authority and Statutory Undertaker s works to be treated with parity. The Performance Indicators, Key Performance Indicators and Authority Measures in Sections 5, 6 and 7 of the report all demonstrate that the Statutory Undertakers and Highway Authority Works Promoters were treated with parity. The Authority Measures in Section 7 demonstrate that the objectives are being achieved by the proactive management of Permit Applications and application of appropriate conditions: 7 P a g e

9 4 Fee Structure Table 1: Cambridge Permit Scheme Fees Reinstatement category of street Street designated as traffic sensitive or not Time and location of activity Main Roads Minor Roads 0, 1 and 2 3 and 4 3 and 4 All streets Traffic sensitive at certain times / locations Any time and location Any part within traffic sensitive times / locations Wholly within non traffic sensitive times / locations Provisional 105* Advance Authorisation Major Works over 10 days and all major works 240* requiring a traffic regulation order Major works 130* to 10 days Major works 65* up to 3 days Standard 130* Activity Minor Activity 65* Immediate Activity 60* Non traffic sensitive at any time or location Any time and location A discount will be applied where works are undertaken wholly outside of traffic sensitive times on Traffic Sensitive Streets. See Above. Note: That in line with the Permit Authorities policies and procedures, the above fees will be reviewed on an annual basis. PERMIT VARIATION FEES 45 for activities on category 0, 1 & 2 streets, and on 3 & 4 traffic sensitive streets. 35 for activities on category 3 and 4 non traffic sensitive streets. 8 P a g e

10 If a Permit variation moves an activity into a higher fee category, the Promoter will be required to pay the difference in Permit fee. No fee is payable if a Permit variation is initiated by the Permit Authority. The review will take into account the on-going Scheme costs and inflationary rates. The fees will not exceed the maximum charges as set by the DFT. All Promoters will be notified of any changes to the fees. Income - 1,226, Expenditure 1,124, Surplus - 101, Vacancy 40, Overall surplus - 60, A small surplus in Year 1 has been generated. This can be largely be apportioned to the vacancy that is within the Team and the higher than originally anticipated number of Permit Applications during the development if the Scheme. It is anticipated that the vacancy within the Team will be filled in Year 2. Cambridgeshire County Council is currently undertaking a traffic sensitive street review and the traffic sensitive network is likely to increase as the existing data is outdated. This will significantly increase the time taken to evaluate Permit Applications and the Permit Fee matrix may need to be re-evaluated in the future which may result in an increase of resources required to manage the Scheme effectively. As a result of the above and this is only the first year of the Scheme, it is not deemed necessary to review the Permit Fees at present 9 P a g e

11 5 Performance Indicators Year 1 provides baseline data for comparison with future year performance of the Permit Scheme as the indicators are wholly permit related and cannot be compared with the noticing regime. They do, however, demonstrate parity in line with the Statutory Guidance for Permit Schemes. 5.1 Permit Data Provisional Advance Authorisations 1963no. Provisional Advance Authorisation applications (PAA) were received. 72% were granted. None deemed Permit Applications and Variations 24713no. PAA / Permit Applications (PA) were received from both Statutory Undertakers and Highway Authority works promoters, 23% more than anticipated were received. During the development of the scheme it was estimated that applications would be received. Table 2: Permit Applications and Variations Works Promoter Total PAA / PA Total Variations % Variations Statutory Undertakers % Highway Authority % Total % Number of Permit Variations Statutory Undertakers Highway Authority Total Total Permit Applications Total Variations 10 P a g e

12 Works promoters are required to submit a variation request should anything change once the permit has been granted Permit Variations were received versus an estimated 1153, some 7 times more than expected. Variations can be submitted for numerous reasons, including: Date changes Changes in Traffic Management Co-ordinate changes Changes in Conditions It is not possible to carry out detailed analysis of the reasons for variations to establish any trends. There may also be multiple variations on the same Permit, therefore, the percentage of Permits varied show in Table 2 may be skewed Deemed Permits Permits that did not receive a response within the timescales were deemed by the Streetworks Register. Less than 0.1% deemed as a result of administrative errors removing Permit Applications from the Task Summary List before having been assessed in full and either granting or refusing. This was addressed and no further permits were allowed to deem after October The extremely low volume of deemed permits indicates that the Permit Applications are being dealt with in an efficient and timely fashion. Table 3: Percentage of Permit Applications that deemed Total Number Deemed Total PAA / PA Works Promoter / Variations Statutory Undertakers % Highway Authority % Total % Permit Applications / Variations Deemed % Deemed Statutory Undertakers Highway Authority Total Total Permit Applications / Variations Total Number Deemed 11 P a g e

13 5.1.4 Permit Modification Requests Permit Modification Requests are utilised by the Permit Authority to request the applicant to make minor changes or add National Conditions (HAUC (England), 2017) to enable the permit to be granted. The Guidance for the Operation of Permit Schemes (HAUC (England), 2017) recommends that PMRs are used in preference to Refusals in the first instance, and as the permits are fully assessed, the PMR identifies all modifications that are required on the PMR to assist the Statutory Undertaker to get their Permit granted on resubmission of the application. Table 4: Permit Modification Response Times Works Promoter Average Authority Permit Modification Request Response Time Average Promoter Permit Modification Request Response Time (minutes) (minutes) ANGLIAN WATER [9100] BT [30] Cadent Gas Limited [10] Cambridge Water Company [9113] CAMBRIDGESHIRE [535] Fulcrum Pipelines Limited [7294] GAS TRANSPORTATION CO LTD [ Harlaxton Energy Networks [7342] Interoute [7245] National Grid Electric PLC [7015] NETWORK RAIL -PROMOTERS NATIO Orange PCS Group [7233] Romec [7221] SSE DATACOM [7244] Telefonica (O2 (UK) Limited) [7182] T-Mobile (UK) Limited [7250] UK POWER NETWORKS EASTERN& L VIRGIN MEDIA [7160] Total Average (Minutes) Average Number of Days Whilst there are no statutory timescales to respond to Permit Modification Requests and Modified Permit Applications, the Guidance (HAUC (England), 2017) recommends that they are responded to within 1 working day. If a Permit Modification Request is not responded to by the Statutory Undertaker then the Permit Application is considered as refused and works cannot commence. Both the Permit Authority and the Statutory Undertakers are responding in less than 1 day ensuring that Permits can be granted with minimum delay. Cambridgeshire County Council does not use PMRs for Emergency Permit Applications. All Emergency Permits are granted and if conditions are considered missing from the Application, an Authority Imposed Variation is issued. If these are not responded to within the recommended 2 working hours, then the conditions are deemed as accepted by the Statutory Undertaker 12 P a g e

14 5.2 KPI 1- Granted / Refused / Deemed Permits 23296no Permit / Variation Applications were received from the Statutory Undertakers that were granted / refused or deemed, 89% were granted Permit Applications were refused. 7.2% of Highway Authority PAs were refused, 10.92% of Statutory Undertaker PAs were refused. The high percentage of granted permits reflects the successful use of Permit Modification Requests by the Permit Authority and subsequent submission of a Modified Permit Application by the Works Promoters. Despite the considerable increase in expected Permit Applications and Variations, the Permit Scheme has been managed within the resources recruited for the Scheme and only 24 Permit Applications deemed which is less than 0.1% of Permit Applications received. Table 5: Comparison of granted, refused and deemed permits Highway Authority Number Percentage of Total 74% Permit Applications were granted on first submission Number 1963no Provisional Advanced Authorisation applications were received 3846no PAA / PAs were cancelled before grant or refusal. Utilities Percentage of Total PA / Variations granted % % PA / Variations refused % % Deemed % % Total Permit Application / Variation Outcome 100% 90% 80% 70% 60% 50% 40% 30% 20% 10% 0% Highway Authority Statutory Undertakers Granted Refused Deemed 13 P a g e

15 5.3 KPI2 - The number of conditions applied by condition type All permit schemes imposing conditions must use National Condition Text (NCT) as set out in Statutory Guidance (HAUC (England), 2017). The Conditions were initially developed and consulted on by the sector ((the Highway Authorities and Utilities Committee (England)). NCTs are as follows: NCT02. Date & time constraints and out of hours work NCT04. Materials and Plant Storage NCT05. Road Occupation Dimensions NCT06. Traffic Space Dimensions NCT07. Road Closure NCT08. Light Signals and Shuttle Working NCT09. Traffic Management Changes NCT10. Work Methodology NCT11.Consultation and Publicity NCT12.Environmental Table 6: Number of Conditions by Condition Type Statutory Undertaker Highway Authority Grand Total NCT02 NCT04 NCT05 NCT06 NCT07 NCT08 NCT09 NCT10 NCT11 NCT12 NCT13 Grand Total Conditions Types NCT02 100% NCT04 90% 80% 70% 60% 50% 40% 30% 20% 10% 0% Statutory Undertaker Highway Authority NCT05 NCT06 NCT07 NCT08 NCT09 NCT10 NCT11 NCT12 NCT13 14 P a g e

16 ANGLIAN WATER [9100] BT [30] Cadent Gas Limited [10] Cambridge Water Company [9113] CityFibre [7330] Energetics Gas Limited [7311] ES Pipelines Ltd [7260] ESP Electricity Ltd [7309] Fulcrum Pipelines Limited [7294] GAS TRANSPORTATION CO LTD [7231] Harlaxton Energy Networks [7342] Independent Next Generation Networks Interoute [7245] National Grid Electric PLC [7015] NETWORK RAIL -PROMOTERS Orange PCS Group [7233] Telefonica (O2 (UK) Limited) [7182] T-Mobile (UK) Limited [7250] UK POWER NETWORKS EASTERN& VIRGIN MEDIA [7160] Vodafone [7076] Data for individual Statutory Undertakers can be found in Appendix A and is summarised in the graph below. Conditions Type by Statutory Undertaker 100% 90% 80% 70% 60% 50% 40% NCT13 NCT12 30% NCT11 20% 10% 0% NCT10 NCT09 NCT08 NCT07 NCT06 NCT05 NCT04 NCT02 Statutory Undertaker Table 7: Percentage of permits granted with condition type Highway Authority % Permits Granted Statutory Undertakers % Permits Granted NCT % % NCT % % NCT % % NCT % % NCT % % NCT % % NCT % % NCT % % NCT % % NCT % % NCT % % Conditions are applied in line with the Guidance (HAUC (England), 2017) using National Condition Text. NCT 06 has the greatest use by Statutory Undertakers, ensuring a minimum 15 P a g e

17 road or footway space remains available to vehicular traffic and pedestrians, reducing the disruption on the network. NCT 02 is used with parity, restricting the times of day that works can be carried out. This is mostly used on traffic sensitive streets to reduce the disruption during the morning and afternoon peak traffic flows. 5.4 KPI3 - Number of approved revised durations Table 8: Extension requests and refusals Works Promoter Duration Variation Applications Duration Variation Applications Refused % Duration Variations Refused Statutory Undertaker % Highway Authority % Grand Total % Duration Variations 100% 90% 80% 70% 60% 50% 40% 30% 20% 10% 0% Statutory Undertaker Highway Authority Grand Total Duration Variation Applications Duration Variation Applications Refused Duration Variations / Extensions are considered on a case by case basis and maybe refused for one or more of the following reasons: Level of disruption being caused by the works Extension request not being submitted within 2 days or 20% duration before the end date Invalid / insufficient information justifying the request 16 P a g e

18 Insufficient activity on site throughout the duration without a valid reason Conflicts with activities that have a granted permit A relatively low number of extensions were requested, of the 18024no work phases started, there were extensions requested on 5.45% of the works, of which 92.78% were granted. This indicates that works are contained mostly within the reasonable period and the reasons for extensions are mostly justifiable. This is corroborated by the low number of Duration Challenges that have been issued. If the duration on the Permit Application is assessed as unreasonably long then a Permit Modification Request would be sent requesting the reasonable period to be reduced, together with the Permit Authority s justification. If an extension is requested on Works In Progress and the Permit Authority feels the request is not justified, then the extension request is granted to ensure the activity can continue without the Statutory Undertaker committing a criminal offence but a Duration Challenge is then submitted determining the Reasonable Period. Statutory Undertakers then have the opportunity to counter challenge within 2 working days. Table 9: Duration Challenges issued Works Promoter Total Statutory Undertaker 176 Highway Authority 4 Grand Total KPI4 - Number of occurrences of reducing the application period Table 10: Percentage Early Starts Early Start Agreements Permit Applications % Early Start Agreements Works Promoter Statutory Undertaker % Highway Authority % Grand Total % Early Start Agreements 100% 90% 80% 70% 60% 50% 40% 30% 20% 10% 0% Statutory Undertaker Highway Authority Grand Total Early Start Agreements Permit Applications 17 P a g e

19 Cambridgeshire County Council changed their process when the HAUC (England) Guidance for the Operation of Permit Schemes (HAUC (England), 2017) was released in February Early Start Agreements are no longer issued, the Statutory Undertaker is requested to submit their Permit Application with their desired dates and the PA is assessed on that basis. If there are no conflicts or other reasons to refuse a reduced application period, then the permit is granted, subject to public consultation appropriate to the disruption that will be caused by the activity. CCC believes this reduces the administrative burden for both parties and provides accurate data to the general public via roadworks.org. For the purposes of this KPI, Early Starts With and Without agreement have been counted as Early Starts With Agreement. The Highway Authority appears to have been granted a higher percentage of Early Starts, however, since both parties are treated with parity and the applications are assessed as outlined above, it may be assumed that the Statutory Undertakers request less Early Starts. Highway Authorities Capital funding sources are usually time limited and cannot be carried forward, therefore, there is often an element of pressure to start earlier than the desired application period in line with the Traffic Management Act to ensure the funding is not lost. 18 P a g e

20 6 TMA Performance Indicators The Department for Transport requires the Permit Authority to report on seven TMA Performance Indicators (TPIs). These are summarised in Table 11 and detailed in Appendix B Table 11: Statutory Undertaker TPI Data Statutory Undertakers 2015 / 16 - Notices 2016 / 17 Permits TPI 01 - Works Phases Started TPI Works Phases Completed TPI 03 - Days of Occupancy TPI 04 - Average Duration of Completed Works Phases TPI 05 - Overrun Days TPI 06 - Number of deemed permits TPI 07 - Number of Phase 1 Permanent Registrations TPIs - Statutory Undertakers TPI 01 - Works Phases Started TPI Works Phases Completed TPI 03 - Days of Occupancy TPI 04 - Average Duration of Completed Works Phases TPI 05 - Overrun Days TPI 06 - Number of deemed permits TPI 07 - Number of Phase 1 Permanent Registrations 2015 / 16 - Notices 2016 / 17 Permits Table 12: Highway Authority TPI Data 19 P a g e

21 Highway Authority 2015 / 16 - Notices 2016 / 17 - Permits TPI 01 - Works Phases Started TPI Works Phases Completed TPI 03 - Days of Occupancy TPI 04 - Average Duration of Completed Works Phases TPI 05 - Overrun Days TPI 06 - Number of deemed permits TPI 07 - Number of Phase 1 Permanent Registrations TPIs - Highway Authority TPI 01 - Works Phases Started TPI Works Phases Completed TPI 03 - Days of Occupancy TPI 04 - Average Duration of Completed Works Phases TPI 05 - Overrun Days TPI 06 - Number of deemed permits TPI 07 - Number of Phase 1 Permanent Registrations 2015 / 16 - Notices 2016 / 17 - Permits 20 P a g e

22 6.1 TPI 1 Works Phases Started o Statutory Undertakers 17.8% o Highway Authority 21.6% There has been an increase in Works Phases Started in Year 1 of the Permit Scheme by Statutory Undertakers compared to notices in the previous year. Anglian Water, BT, Cambridge Water and Virgin Media have all increased their activities compared to 2015 / 16. Virgin Media s Lightning Project can account for the increase in their activities. Work Phases Started for the Highway Authority has decreased. 6.2 TPI 2 Works Phases Completed o Statutory Undertakers 17.7% o Highway Authority 25.6% In line with the increased Works Phases started in Year 1 the number of Works Phases Completed has increased by similar percentages for both Statutory Undertakers and Highway Authority. 6.3 TPI 3 Days of Occupancy Phases Completed o Statutory Undertakers 28.4% o Highway Authority 49.4% Days of Occupancy has also increased for the Statutory Undertakers as a result of the increased activities, particularly for Virgin Media as a result of their Lightning Project. 6.4 TPI 4 Average Duration of Works o Statutory Undertakers 341.3% o Highway Authority 9.38% Average Duration has also significantly increased for the Statutory Undertakers, largely due to Virgin Media as their activities have increased from an average duration of 2 days to 21 days. Anglian Water has also significantly increased their average duration from 3 days to 14 days. 6.5 TPI 5 Phases Completed Involving Overrun o Statutory Undertakers 70.7% o Highway Authority 78.2% Phases Completed involving an Overrun appear to have significantly decreased, however, CCC has changed their processes to utilise S74 facilities within the Streetworks Register. Prior to this S74 were not recorded on the Register or in any other format, therefore, this trend 21 P a g e

23 may not be an accurate reflection. This should show an accurate trend when Year 2 can be compared with Year 1 of the Permit Scheme. 6.6 TPI 6 Number of Deemed Permit Applications o Statutory Undertakers o Highway Authority N/A N/A This trend cannot be established in Year 1, however, only 24 permits deemed in the first year of operation, 0.1% of Permit Applications that were received. 6.7 TPI 7 Number of Phase One Permanent Reinstatements o Statutory Undertakers 11.5% o Highway Authority 1.65% The Number of Phase One Permanent Reinstatements completed by Statutory Undertakers has increased, however, this may be as a result of the increase in Works Phases Completed, rather than a change in behaviour. 22 P a g e

24 7 Authority Measures 7.1 AM1 Average Duration of Works by Permit Type Average duration of works has been summarised in Table 13 below. The data provides a comparison with the previous year s notice durations. Table 13: Average Duration (Days) by Permit Type PERMIT TYPE 2015/ /17 Minor Standard Major Urgent Immediate Average Duration by Permit Type Minor Standard Major Urgent Immediate 2015/ /17 Whilst Minor, Standard and Immediate Permit average durations have seen a slight increase, Minor and Standard Permits remain below their maximum duration of 3 and 10 days respectively, indicating that Statutory Undertakers only occupy the highway for the time necessary to complete their works. There has been a decrease in average duration of Urgent works. More detailed analysis would be required to establish the reason why, however, CCC proactively challenge the durations of Urgent works that will cause significant disruption on the traffic sensitive network. The most significant decrease in average duration is for Major works which will reduce disruption and inconvenience to residents, businesses and the travelling public. 23 P a g e

25 7.2 AM2 - Inspections In line with the Code of Practice for Inspections, Statutory Undertakers works can be visually inspected at 3 stages of the life cycle of the works: Highway Authorities are able to charge the works promoter for up to 10% inspections at each stage. Sample A inspections are carried out whilst the works are in progress Sample B inspections are carried out up to 6 months after the permanent reinstatement is completed Sample C inspections are carried out not sooner than 3 months before the end of the guarantee period (usually 2 years). Defects are issued if there is a failure to comply with either the Safety at Road Works and Street Works Code of Practice (DfT, 2013) when the works are in progress or the reinstatement fails to comply with the Specification for Reinstatement of Openings in the Highway (SROH) (DfT, 2010). The Highway Authority can further charge for re-visiting the site to check that the remedial works have been completed and comply with the SROH Sample A Inspections Sample A Inspections ensure compliance with the Safety at Road Works and Street Works Code of Practice (DfT, 2013) which aligns with the Scheme s Objective: To ensure the safety of those using the street and those working on activities that fall under the scheme, with particular emphasis on people with disabilities This data has been collated by Cambridgeshire County Council and a summary of the output is shown in Table 14.. Table 14: Sample A Inspection Outcome YEAR FAIL-HIGH RISK FAIL-LOW RISK PASSED TOTAL % FAILURE 2015/ % 2016/ % The chart below shows a breakdown of Sample A Inspections completed by Cambridgeshire County Council and provides a comparison with the previous year s failure rates for the same periods. 24 P a g e

26 Oct Nov Dec Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec Jan Feb Mar Apr May Jun Jul Aug Sep 100% 90% 80% 70% 60% 50% 40% S/A - PASSED S/A - FAIL-LOW RISK S/A - FAIL-HIGH RISK 30% 20% 10% 0% 2015/ /17 This has been further broken down into months in the following chart to establish any trends. Analysis of the years shows a significant increase in failure rate during the first year of the operation of the Permit Scheme. This can be wholly attributed to an increase in resources carrying out inspections. 100% 90% 80% 70% 60% 50% 40% 30% 20% S/A - PASSED S/A - FAIL-LOW RISK S/A - FAIL-HIGH RISK 10% 0% The Permit Scheme was implemented on 3 October A significant increase in Sample A inspection failures can be seen between October 2016 and February 2017 which can be attributed to increased resources and increased inspections. There is then a steady overall decline in percentage failures, however, failure rate still remains in excess of 10%. Informal 25 P a g e

27 Improvement plans have been issued to those Statutory Undertakers that exceed the 10% intervention criteria over any one quarter. The detailed outcomes by Works Promoter are shown in Appendix C and displayed in the graph below. 100% 90% 80% 70% 60% 50% 40% 30% 20% 10% 0% ANGLIAN WATER BT Cadent Gas Limited Cambridge Water Company CAMBRIDGESHIRE ES Pipelines Ltd ESP Electricity Ltd Fulcrum Pipelines Limited GAS TRANSPORTATION CO LTD REDCENTRIC Romec UK POWER NETWORKS EASTERN& VIRGIN MEDIA Vodafone ANGLIAN WATER BT Cad ent Gas Limited Cambridge Water Company CAMBRIDGESHIRE ES Pipelines Ltd ESP Electricity Ltd Fulcrum Pipelines Limited GAS TRANSPORTATION CO LTD Romec Telefonica (O2 (UK) Limited) T-Mobile (UK) Limited UK POWER NETWORKS EASTERN& VIRGIN MEDIA Vodafone 2015/ /17 S/A - PASSED S/A - FAIL-LOW RISK S/A - FAIL-HIGH RISK 26 P a g e

28 7.2.2 Sample B and C Inspections Inspections of the reinstatement of excavations meets the Permit Scheme Objective: To protect the structure of the street and the integrity of the apparatus in it The outcome of these inspections are summarised in Table 15 and Table 16 and trends are shown in the graphs below. Table 15: Sample B Inspection Outcome SAMPLE B INSPECTIONS FAIL-LOW RISK PASSED TOTAL 2015 Oct-Dec Jan - Mar Apr - June July - Sept Oct - Dec Jan - Mar Apr - June July - Sept Grand Total % 90% 80% 70% 60% 50% 40% 30% 20% 10% 0% Jan Mar May Jul Sep Nov Jan Mar May Jul Sep Nov Jan Mar May Jul Sep Statutory Sample Category B - PASSED Statutory Sample Category B - FAIL-LOW RISK 27 P a g e

29 ANGLIAN WATER BT Cadent Gas Limited Cambridge Water Company CAMBRIDGESHIRE UK POWER NETWORKS EASTERN& VIRGIN MEDIA ANGLIAN WATER BT Cadent Gas Limited Cambridge Water Company CAMBRIDGESHIRE UK POWER NETWORKS EASTERN& VIRGIN MEDIA ANGLIAN WATER BT Cadent Gas Limited Cambridge Water Company CAMBRIDGESHIRE UK POWER NETWORKS EASTERN& VIRGIN MEDIA 100% 90% 80% 70% 60% 50% 40% 30% 20% 10% 0% Statutory Sample Category B - PASSED Statutory Sample Category B - FAIL- LOW RISK Table 16: Sample C Inspection Outcome SAMPLE C INPECTIONS FAIL-LOW RISK PASSED TOTAL 2015 Oct-Dec Jan - Mar Apr - June July - Sept Oct - Dec Jan - Mar Apr - June July - Sept Grand Total P a g e

30 ANGLIAN WATER BT Cadent Gas Limited Cambridge Water Company CAMBRIDGESHIRE UK POWER NETWORKS EASTERN& VIRGIN MEDIA ANGLIAN WATER BT Cadent Gas Limited Cambridge Water Company CAMBRIDGESHIRE UK POWER NETWORKS EASTERN& VIRGIN MEDIA ANGLIAN WATER BT Cadent Gas Limited Cambridge Water Company CAMBRIDGESHIRE UK POWER NETWORKS EASTERN& VIRGIN MEDIA Oct Nov Dec Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec Jan Feb Mar Apr May Jun Jul Aug Sep 100% 90% 80% 70% 60% 50% 40% 30% 20% 10% 0% Statutory Sample Category C - PASSED Statutory Sample Category C - FAIL-LOW RISK 100% 80% 60% 40% 20% 0% Statutory Sample Category C - PASSED Statutory Sample Category C - FAIL- LOW RISK It is clearly demonstrated that since the implementation of the Permit Scheme the identification of the number of defects has significantly increased. It is not suggested that the quality of reinstatement has declined, more over the understanding and consistent application of the Specification for Reinstatement of Openings in the Highway by Cambridgeshire County Council s Inspectors has improved. 29 P a g e

31 Oct Nov Dec Jan Feb Mar Apr May Jun Jul Aug Sep Permit Condition Compliance Table 17: Permit Condition Checks YEAR NON- COMPLIANT WITH CONDITIONS PASSED PRM Total % FAILURE 2016/ % Number of Inspections Non Compliant with Conditions Number of Inspections Passed 100 Number of Inspections Total 50 0 Oct Nov Dec Jan Feb Mar Apr May Jun Jul Aug Sep 100% 90% 80% 70% 60% 50% 40% 30% 20% 10% 0% Total Number of Permit Conditions Inspections Non Compliant with Conditions Non-compliance with permit conditions is steadily declining and has reduced from approximately 25% in the first month of the Scheme to approximately 17% by first anniversary. 30 P a g e

32 7.3 AM3 - Number of Occurrences of Collaborative Working Table 18: Collaborative Working Works Promoter Total Statutory Undertaker 288 Highway Authority 23 Grand Total collaborative working opportunities were undertaken resulting in saving 179 days or 6 months of disruption. This is a positive outcome for the Permit Scheme and aligns with objective of the Scheme to improve planning, scheduling and management of activities. Collaborative working is encouraged by Cambridgeshire County Council and is incentivised by issuing the permits free of charge. 7.4 AM4 - Response Code Permit Response Codes are detailed in Appendix D. If the works promoter omits Conditions that the Permit Authority deems essential to minimise the disruption and impact of the works then the Authority may issue a friendly refusal by means of a Permit Modification Request (PMR) and provided the works promoter responds within 2 days, the original start and end dates will be honoured. If the works promoter does not submit a Modified Application with the requested Conditions then the Permit Authority will refuse the application The graphs below demonstrate the use of PMRs and Refusals by works type and refusal codes. Immediate and Urgent Permit Applications should not be refused or PMR s. The permit should be granted then Authority Imposed Variations should be used. The graphs below indicate administrative errors by Permit Officers in the early days of the Scheme implementation. This process was not clarified until the National Guidance for the Operation of Permit Schemes (HAUC (England), 2017) was published in February 2017 and it is anticipated that future Annual Evaluation will demonstrate that refusals and PMRs of Immediate and Urgent Permit Applications are no longer used in Cambridgeshire. Comparing the use of Refusal and PMR codes across the range of Permit Applications in graph below the most common use on a PMR is RC11 whereby essential conditions have been omitted. The Permit Officer, on the use of this refusal code will indicate to the Works Promoter the specific conditions that need to be applied in order for the Permit to be granted. The most frequent reason for refusal of a Permit Application is works will conflict with other activities for the proposed dates and collaboration is not possible. The works promoter is advised when the road space will become available and is requested to submit a new application. 31 P a g e

33 7.4.1 Minor Works Refusal - RC50 100% Refusal - RC44 90% Refusal - RC43 80% Refusal - RC42 70% 60% 50% 40% 30% 20% Refusal - RC41 Refusal - RC40 Refusal - RC33 Refusal - RC32 Refusal - RC31 Refusal - RC30 Refusal - RC23 10% Refusal - RC22 0% Statutory Undertakers Highway Authority Refusal - RC21 Refusal - RC Standard Works Refusal - RC50 100% Refusal - RC44 90% Refusal - RC43 80% Refusal - RC42 70% 60% 50% 40% 30% 20% Refusal - RC41 Refusal - RC40 Refusal - RC33 Refusal - RC32 Refusal - RC31 Refusal - RC30 Refusal - RC23 10% Refusal - RC22 0% Statutory Undertakers Highway Authority Refusal - RC21 Refusal - RC20 32 P a g e

34 7.4.3 Major Works 100% Refusal - RC50 Refusal - RC44 90% Refusal - RC43 80% Refusal - RC42 70% Refusal - RC41 60% 50% 40% 30% Refusal - RC40 Refusal - RC33 Refusal - RC32 Refusal - RC31 Refusal - RC30 20% Refusal - RC23 10% Refusal - RC22 0% Statutory Undertakers Highway Authority Refusal - RC21 Refusal - RC Emergency Works 100% Refusal - RC50 Refusal - RC44 90% Refusal - RC43 80% Refusal - RC42 70% 60% 50% 40% 30% Refusal - RC41 Refusal - RC40 Refusal - RC33 Refusal - RC32 Refusal - RC31 Refusal - RC30 20% Refusal - RC23 10% Refusal - RC22 0% Statutory Undertakers Highway Authority Refusal - RC21 Refusal - RC20 33 P a g e

35 7.4.5 Urgent Works 100% Refusal - RC50 Refusal - RC44 90% Refusal - RC43 80% Refusal - RC42 70% 60% 50% 40% 30% 20% Refusal - RC41 Refusal - RC40 Refusal - RC33 Refusal - RC32 Refusal - RC31 Refusal - RC30 Refusal - RC23 10% Refusal - RC22 0% Statutory Undertakers Highway Authority Refusal - RC21 Refusal - RC All Works 100% Refusal - RC50 Refusal - RC44 90% Refusal - RC43 80% Refusal - RC42 70% Refusal - RC41 60% 50% 40% 30% Refusal - RC40 Refusal - RC33 Refusal - RC32 Refusal - RC31 Refusal - RC30 20% Refusal - RC23 10% Refusal - RC22 0% Statutory Undertakers Highway Authority Refusal - RC21 Refusal - RC20 34 P a g e

36 ANGLIAN WATER BT Cadent Gas Limited Cambridge Water CAMBRIDGESHIRE ES Pipelines Ltd ESP Electricity Ltd Fulcrum Pipelines GAS NETWORK RAIL - Romec Telefonica (O2 (UK) UK POWER VIRGIN MEDIA Vodafone ANGLIAN WATER BT Cadent Gas Limited Cambridge Water ES Pipelines Ltd ESP Electricity Ltd Fulcrum Pipelines GAS Interoute NETWORK RAIL - Romec Telefonica (O2 (UK) T-Mobile (UK) UK POWER VIRGIN MEDIA 7.5 AM 5 - Fixed Penalty Notices Fixed Penalty Notices (FPNs) can be issued to Works Promoters when there are noticing errors or Breaches of Permit Conditions. It is a criminal offence to work without a Permit or breach a Permit Condition and the application and payment of FPNs offers the Works Promoter the opportunity to discharge their liability for prosecution. FPNs were introduced by Part 4 of the Traffic Management Act 2004 and are designed to encourage accurate and timely information on notices and permits and ensure compliance of permit conditions whilst on works are carried out. The Highway Authority is not liable for prosecution, but are measured to demonstrate parity. Appendix E details the type and number of FPNs issued both prior and post the Permit Scheme being implemented and are summarised in the graphs below. Whilst there is a growing trend shown, prior to the Scheme being implemented, FPNs could not be issued for Breach of Conditions which accounted for 1/3 of all FPNs issued in 2017 However, it is encouraging that there is a downward trend of non-compliance in year 1 of operation of the Scheme as shown in Section % 90% 80% 70% 60% 50% 40% 30% 20% 10% 0% SECTION 54(5) SECTION 55(5) SECTION 55(9) SECTION 57(4) SECTION 70(6) 3 or 4A SECTION 74(7B) % 90% 80% 70% 60% 50% 40% 30% 20% 10% 0% BREACH OF PERMIT CONDITIONS SECTION 54(5) SECTION 55(5) SECTION 55(9) SECTION 57(4) SECTION 70(6) 3 or 4A SECTION 74(7B) WORKING WITHOUT PERMIT P a g e