Stockton-on-Tees Borough Council Permit Scheme

5.1 Permit Validity

Permits are valid from the start date to the end date of the permit. The start and end dates are calendar days and will include weekends and bank holidays even if these are not working days subject to the conditions on the permit. The permit will include information on the duration of the works.

Permits will only be valid from the start date to the end date of the permit on category 0 to 2 or traffic sensitive streets, and between adjusted dates based on the allowed starting window in the start date for category 3 and 4 streets that are not designated as traffic sensitive. The start and end dates will be calendar days, notwithstanding reference elsewhere to working days, and will include weekends and bank holidays.

The permit will allow an activity to be carried out during the specified duration and a promoter working outside those dates will not have a valid permit and will be committing an offence.  If the activity cannot commence on the proposed start date, or within the allowed starting window, a variation is required.

5.2 Permit Variation

Changing circumstances for any promoter may necessitate applications for permit details and/or conditions to be modified.  Variations to permits if acceptable to the Permit Authority will be confirmed by the granting of an amended permit showing the revised details.

If the Permit Authority initiates the variation then there will be no fee charged for the granting of this revised permit, however if the variation is initiated by the activity promoter then a variation fee will be applied.

Further information on variations refer to Section 9.

5.3 Error Correction

Where the Permit Authority identifies an error in data recorded in, or submitted for recording, in the Permit Authority register, they will contact the activity promoter to discuss and agree the corrections to be made. Where the activity promoter identifies an error, they will contact the Permit Authority to discuss and agree the corrections to be made. If an error has been identified on an application, the activity promoter shall submit a permit variation request by the end of the next working day following the agreement of the correction. This permit variation request should include the corrected data and the reference number provided while agreeing the correction; it must also state the data elements that have been corrected.  

The works data variation process is described in the current technical specification, which also defines those data elements for which an agreement reference is required prior to changes.

A variation fee will not be applicable if a modified application is submitted prior to the permit being granted by the Permit Authority.  If the permit has been granted, a fee is applicable for granting the variation application unless otherwise and specifically agreed.

5.4 Working without a Permit

It is an offence for an activity promoter or a person contracted to act on its behalf to undertake specified activities in a specified street without a permit, except where the Permit Scheme provides that this requirement does not apply. Where it is believed that such an offence is being committed, the Permit Authority may impose a Fixed Penalty Notice (FPN) or pursue legal action via a prosecution and require the party concerned to remove the activity and reinstate the street back to its full and intended use

5.5 Phasing of Activities

A phase of an activity is a period of continuous occupation of the street (whether or not the activity is taking place for the whole time) between the start and completion of the works. As one permit can only contain one phase, the dates given in a permit application will denote the dates for that phase. A phase can end only when all the plant, equipment and materials, including any signing, lighting and guarding have been removed from the site.

5.6 Linked Activities

An activity promoter should clarify that an activity is to be carried out in phases on the application. Each phase will require a permit and possibly also a Provisional Advance Authorisation, which again should ideally use the original works / activity reference but failing that must be cross referenced to the original notice or permit. Phased activities must relate to the same activity and be within the scope of the description provided in the initial application. These could be a single or multiple linked excavation, or a trench dug progressively along the street as part of a continuous operation.

Transfer by electronic means allows for project references, activity references and phase types:

• a phase of an activity is a period of continuous occupation of the street (whether or not work is taking place for the whole time) between the start and completion of the works
• a promoter must clarify that an activity is to be carried out in phases on the initial PAA or permit application
• for a major activity, the activity reference number must be used within the PAA
• linked activities carried out at separate locations in a street must be treated as belonging to the same set of works. All works in these circumstances must be related and operationally dependent on each other
• unconnected activities carried out by the same promoter in one street must not be treated as parts, or phases, of a single activity
• a new main or cable run, which includes new customer connections, can be classed as one phase if all the activity is completed in a single occupation of the street. Otherwise, a new permit will be required for the customer connections stage
• even if an activity involving more than one street forms part of one project in management and contractual terms, separate permits and PAA's must be obtained for each street or USRN.

5.7  Reinstatement

If a permanent reinstatement cannot be completed on the first phase, the activity shall be regarded as having two separate phases. Under the provisions of NRSWA, this will mean two separate works/activities for Section 74 purposes. Each phase is from the start date in the relevant permit to the completion of either interim or permanent reinstatement and the removal of all surplus materials and equipment from site. The same activity reference must be used for all phases.

5.8 Remedial Works

Remedial works to correct defects identified in accordance with the Code of Practice for Inspections and its successors and other associated regulations and codes of practice and their successors. They will need to ideally use the original works / activity reference but if this is not available a promoter will need to cross-reference the original activity promoter reference number. Those remedial works to remedy dangerous defects will be categorised as immediate emergency activities however the burden of proof of proving the validity of this categorisation will remain with the promoter. Remedial works will require a new permit in all cases.

5.9 Interrupted Activities

In the event of an activity being interrupted and delayed, for instance due to damage to a third party's plant or while missing apparatus is acquired, the activity promoter shall contact the Permit Authority to agree what action should be taken. Where the Permit Authority is satisfied that the excavation can remain open while the repairs are implemented, or the equipment obtained, then a permit variation will be required. However, where it is considered that the opening should be reinstated, and the road returned to full traffic use, then the activity promoter will need to apply for a further permit to complete the activity at a later date.

If an activity is interrupted at the request of the Permit Authority, they should discuss this and agree to a permit variation, or if necessary a further permits to allow the activity to be completed later.

Whenever an activity is interrupted, the activity promoter should contact the Permit Authority before starting any of the processes above.

5.10  Charges for Overrunning Street Works/Activities

Charges for overrunning street works/activities, are made under Section 74 of NRSWA, will be made alongside the permit scheme and will follow Statutory Instrument 2012 No. 2272, The Street Works (Charges for Unreasonably Prolonged Occupation of the Highway) (England) (Amendment) Regulations 2012 and its successors.

The Regulations incorporate the process of setting and modifying the duration of the activity through the permit application, approval and variation processes, with the option to treat all or parts of a duration extension as chargeable overrun. See Section 17.8 for further information on Section 74 overruns.

5.11 Early Start

Where a promoter cannot adhere to the minimum application period, the Permit Authority and any other interested party will consider applications where mitigating circumstances justify this.  Permission to allow a promoter to submit such an application is solely at the discretion of the Permit Authority and any other interested party where applicable but will not be unreasonably withheld.

Where an application is granted, thereby providing such permission, it will be recorded by the Permit Authority, where permission is not granted, the application will be refused.

An early start must be requested when applying for the PAA or the permit as this will allow the Permit Authority and any other interested party to make a full and informed decision as to the facts of the early start request with all details of the permit available. There will be no additional charges to the permit fee, however, where a variation application is made to request an early start after the permit has been granted or deemed, a variation charge will apply, therefore early engagement with the Permit Authority is encouraged.

5.12 Actual Start

Notification of the actual start for the activity must be given to begin the reasonable period. An activity must not begin before the date given in the permit, unless an early start has been agreed; to do so would be committing an offence. Once the activity has begun, a Notice of Actual Start of an activity must be given by 10:00am the next working day on category 0, 1, 2 and traffic sensitive streets and by the end of the next working day in the case of category 3 and 4 non-traffic-sensitive streets. In the case of an immediate activity the permit application will be taken as the actual start date notice as it is made after the activity has commenced, and the status should always be "In Progress". Notice of Actual Start must be given in accordance with the requirements described in the technical specification. The identity of the main contractor or, if appropriate the Direct Labour Organisation ("DLO") must be provided on the actual start date notice. This should always be the organisation with whom the undertaker has the contract, and not any subcontractor who may be actually carrying out the activity.

5.13 Starting windows

The Permit Scheme has been designed so that permits have the flexibility of a starting window where appropriate.

5.14 Category 0-2 and Traffic Sensitive Streets

In Category 0-2 and traffic sensitive streets, the duration of the activity will exactly match the time from the start date to the end date, for example: start date Wednesday 1 June, end date Friday 10 June, duration ten days including the weekend. The permit start date will be the proposed start date of the activity. If the activity cannot begin on the permit start date, the promoter should inform the Permit Authority [on the previous working day by telephone]. There is no automatic extension of the permit in these circumstances.

If the activity promoter could not complete the activity before the permit end date, it would need to apply for a permit variation (extension). This would be required even if the extra days are on a weekend. A Permit Authority may or may not agree to a permit variation (extension), depending on the circumstances, and the activity promoter may be subject to overrun charges.

5.15  Category 3-4 Non-Traffic Sensitive Streets

In Category 3 and 4 streets that are not traffic sensitive, the permit will be issued with a start and end date. However, because both competition for space and the expected level of disruption is likely to be lower on less busy streets, there will be flexibility on the start of the activity - a "starting window" - equivalent to the validity period on a NRSWA notice.

The starting windows are:

• 5 days for major and standard activities
• 2 days for minor activities.

When the activity commences, the activity promoter shall submit the Actual Start of activity notice, setting out the Actual Start of the activity, and the duration must be the same as that given in the permit. The permit end date is automatically adjusted to allow the agreed duration if the activity starts on any day up to the last day of the starting window. The duration applies to continuous calendar days and, once the activity starts, the activity promoter has only the successive calendar days in duration in which to complete the activity subject to the conditions applicable granted within the permit.

5.16  Works Clear

A Works Clear notice is used following an interim reinstatement. Works Clear must be given no later than the end of the working day following the one on which the activity was cleared. Where the activity is completed in different phases such as interim and permanent reinstatement, there will be a need for separate permits for each phase. In no circumstances should permits be sought for more than one phase.

All spoil, excess materials, stores and all signing, lighting and guarding must be removed from site before the activity can be regarded as completed for a works clear notice. A new permit will be required for any subsequent phases such as to complete the permanent reinstatement.

5.17  Works Closed

A Works Closed notice is used following permanent reinstatement. The Notice of Works Closed must be given by the end of the next working day following the day on which the activity was closed. All spoil, excess materials, stores and all signing, lighting and guarding must be removed from site before the activity can be regarded as completed for a Works Closed Notice. If temporary road markings have been used, then the activity is not complete until the permanent markings are applied and the activity duration should also cover this period.

5.18 Application Requirements

Each application for a permit must include the information indicated in Section 7.