New Roads & Street Works Act 1991

Growth in the economy, the introduction of competition into undertakers’ services and increasing customer demand for essential services has brought with it increasing numbers of excavations in the streets in order to supply these services.

The increase in the number of undertakers licensed to lay mains and cables, within our streets, brings with it the increased potential for conflict between the undertakers who have the statutory rights to use the streets for provision of essential services, the highway authorities and others who maintain them, and those who use the streets for transport purposes who are also the recipients of those services.

In the interests of the community and the economy, it is important that the safe and efficient movement of traffic, pedestrians and cyclists is maintained on the streets and, also, in the vicinity of trams, light rail and level crossings. To facilitate this, this guidance, based on operational experience, provides principles and examples of best practice for the implementation of street works and highway works. Its aim is to help undertakers, highway authorities and other organisations carrying out works in the street to build on these principles in the future to avoid unnecessary disruption and inconvenience to highway users.

In particular, this guidance provides examples of best practice in street works, which build on the principles of the Highway Authorities and Utilities Committee (HAUC) Codes of Practice, and best practice in highway works under the Highways Act 1980. The highway authorities, undertakers and the Department of the Environment, Transport and the Regions (DETR) all agreed that such examples of best practice are desirable.

All involved in the planning, supervision, execution and monitoring of street works and highway works are encouraged to implement the works whilst carrying out their respective duties under the New Roads and Street Works Act 1991(NRSWA), the Highways Act 1980 and health and safety legislation.

The document is intended to cover all works but specifically planned major works and planned maintenance and works on busy and strategic routes. It does not remove or affect the undertakers’ or authorities’ statutory rights to carry out emergency, urgent, provision and restoration of customer service or routine maintenance works. The guidance will periodically be updated to reflect current practice that will then encourage continuous improvement in line with Best Value legislation.

Highway authorities should make a commitment to operate their own works within the principles of the NRSWA.

The main provisions of the NRSWA created duties for the street authorities to co-ordinate the execution of works of all kinds (including works for road purposes) and for undertakers to co-operate with street authorities and each other. The relevant sections from the Act are:

The co-ordination function contained in the statutory Highways Authorities and Utilities Committee (HAUC) Code of Practice for the "Co-ordination of street works and works for road purposes and related matters", hereinafter referred to as the HAUC Code of Practice, applies nationally to all highway authorities and undertakers.

A street authority must co-ordinate the execution of works in their highways to comply with the requirements contained in the HAUC Code of Practice. The objectives of this co-ordination are equally:

• to ensure safety;
• to minimise inconvenience to people using the streets, including those who have a disability; and
• to protect the structure of the street and the apparatus in it.

Co-ordination particularly applies to:

• planned utility and highway works/ major projects;
• all works on heavily-trafficked routes;
• strategic routes on a network basis;
• all works in pedestrianised areas;
• street works licensees; and
• licenses issued by the highway authority, e.g. developers, scaffolding, skips and cranes etc.

In carrying out street works and highway works, the key elements of co-ordination are good information, good communications, good planning and flexibility. There is no substitute for developing good working relationships.

The key principles of effective co-ordination are:

• early consultation between all interested parties, adequate pre-planning and, where circumstances allow flexibility. These are essential if effective co-ordination is to be realised for all parties and their respective customers;
  
  
• regular input and attendance of relevant personnel (those also authorised to vary programmes) at co-ordination meetings. Attendance is vital to ensure that all parties understand the need to meet key dates for planned works or risk having projects aborted or delayed. The success of effective co-ordination depends on co-operation between all parties, the highway authorities, the undertakers and their contractors, and developers;
  
  
• whenever possible, that undertakers should share business development plans and the locations and replacement programmes for ageing apparatus with the authorities. All information should be treated with the strictest confidence;
  
  
• to improve cross-boundary co-ordination between neighbouring authorities, undertakers and others for all planned works and planned maintenance on strategic routes;
  
  
• when major works are planned in the area of a principal route, it may be advantageous to select an alternative route in the area that, for a known period of time, will be kept clear of planned works to avoid unnecessary inconvenience and to which road users can be diverted.
  
  In applying these principles, all parties should recognise the need for flexibility within their operations.

Extract from ‘Making Street Works Work’ – Central London Partnership, which describes ‘pairing of routes’ for planned routes to avoid unnecessary inconvenience and disruption

The following are examples of existing best practice guidelines for effective co-ordination:

• Welsh HAUC Notes For Guidance – Principles for Effective Co-ordination
  
  
• The Voluntary Code of Practice for the Co-ordination of Street Works in the City of London.
  
  
• The Central London Partnership - Making Street Works Work – Voluntary guidelines for the enhanced co-ordination of street works in Central London.
  
  
• Birmingham City Council Considerate Contractor Street Works Scheme – Code of Practice

Notices are produced by an undertaker to give the street authority advance notice of certain works (NRSWA, section 54) and notice of the starting date of the works (NRSWA, section 55). Notices also facilitate the provision of a record of the life cycle of all works and the inspection of those works. Equally, highway authorities should inform undertakers about:

• their own works;
  
  
• restrictions on undertakers’ works following substantial road works (NRSWA section 58); and

The key points to remember, for those producing notices, are:

• to deliver notices as soon as possible within the time frame allowed for each type of works, e.g. major projects for discussion at co-ordination meetings have a minimum of one month’s notice;
  
  
• to provide clear information, free of jargon so that there is no confusion over what is intended;
  
  
• to provide accurate and updated site location details;
  
  
• to use Ordnance Survey Grid References (OSGRs) where available; and
  
  
• to cancel notices if works are abandoned or deferred.

• liaison between highway authorities, undertakers, transport authorities, police and contractors to review traffic management requirements, e.g. road closures and temporary traffic orders;



• reference to plant records and, where available, to digital map records using the exchange of plant details electronically via the Internet. This will facilitate the provision of up-to-date information and improve safety and damage prevention;



• where appropriate, the use of ground penetrating radar (GPR) or 3-dimensional mapping systems to locate apparatus and available ground capacity;



• where appropriate, the use of trial holes to identify potential problems prior to start of works. The results should be made available to all interested parties;



• calculating the likely duration of works from historic progress rates to develop a preliminary programme of works;



• a review of the variety of techniques available for the installation of apparatus and the maintenance of the highway;
  
  
• the use of trench sharing as an effective method of reducing disruption and inconvenience from street works;
  
  
• if possible, the use of verges as a location for apparatus. If the verge is outside the highway boundary, permission from the landowner may be needed;



• special provision at the development stage to landscaped areas, Sites of Special Scientific Interest (SSSI), ancient monuments, Countryside Protection programmes, adopted service strips and roundabouts; and



• where appropriate, reviewing work to determine whether it could be carried out outside normal working hours, to avoid delays and disruption. Remember, however, that environmental factors such as noise levels need to be taken into account.

Consultation should be used where practicable to assess the impact of the proposed works, to assist the design process and to encourage improved co-ordination between the undertakers, highway authorities and other interested parties. Examples are:

• consultation with landowners, developers and businesses about the potential impact of the proposed works;
  
  
• liaison with other services - town councils, parish councils, Chambers of Commerce, emergency services, local bus, tram, and rail operators, the local community, local business representatives and environmental health bodies as appropriate;
  
  
• notification to local residents in advance about the works and, where appropriate, during the progress of the works. Provision of a dedicated 24-hour contact telephone number;
  
  
• publication of the timing of the works in the media, when appropriate; and
  
  
• public consultations (where appropriate) at open meetings of local residents / businesses by the undertakers’ community affairs public relations representative.

The HAUC Code of Practice gives practical guidance to:

1. the street authority on the exercise of their powers to give directions as to the timing of street works (NRSWA, section 56);



2. the street authorities and undertakers as to the discharge of their duties with respect to co-ordination and co-operation (NRSWA, sections 59 and 60); and

• regular co-ordination meetings, with recorded actions, should be held between highway and planning authorities' representatives, undertakers, street works personnel, urban centre managers, business representatives and other interested parties to discuss proposed major works on the highway and the speedy resolution of any potential conflict or outstanding matters;
  
  
• street authorities should provide undertakers and relevant highway personnel with a meeting schedule for co-ordination meetings at least 12 months in advance;
  
  
• street authorities and undertakers should jointly produce lists of planned major works (preferably) in advance for each quarter and seek agreement with all parties as to the actions required. and
  
  
• a list of planned major works should be updated regularly between quarterly meetings in order to speed up decisions between all parties at co-ordination meetings.

Other examples of effective ways to improve co-ordination and to minimise inconvenience and disruption are given in Annex A.

Following the preliminary review, consultation and co-ordination, a statement may be produced jointly by the undertakers and highway authorities explaining any potential effect on the community at the proposed works location (see also Working on Site).

In producing a statement, the potential of the works for causing danger, disruption and conflict should be assessed.

The undertakers and highway authorities should provide the public with the following advance information and details of any proposed major work:

• What is being done and why?
• Who is doing it?
• How to contact them?
• When is it being done and how long will it take?
• What inconvenience and disruption will be caused?
• How to obtain more information?

It is the undertakers’ or highway authorities’ responsibility to communicate appropriately with residents, businesses and the travelling public who may be affected. In particular, they should:

• make particular provision for people with visual impairments and other disabled people;
• consider access to buildings, shops, businesses and goods delivery; and
• give minimum advance notice periods by informing relevant people by personal visits and/or written notification.

In the planning and day-to-day execution of the work on site, undertakers and highway authorities and their contractors should pay particular attention to the following:

• the display of appropriate and up-to-date information boards at the site of the work to provide information for the public regarding the works;

• the placement of the required number of boards and traffic signs on site in advance of works and for the full duration of the works; and

• the use of vehicle-mounted information boards for Type C Works, e.g. continuous mobile operations, gully emptying or line painting (see Chapter 8 of the Traffic Signs Manual).

Safety and Protection of the Works




The Safety at Street Works and Road Works – A Code of Practice will help the undertakers and highway authorities and their contractors to safely carry out signing, lighting and guarding of all works on the highway.

During day-to-day execution of the work on site, particular attention should be paid to the following:

• provision of all necessary signing, lighting and guarding in good working order before the work commences, during the progress of work and outside normal working hours;

provision of footway plates and ramps where appropriate;

• good housekeeping on site, e.g. tidy stockpiles of material adequately lit and guarded;
  
  
• maintenance and regular inspections of works outside normal hours; and
• the removal of equipment, materials and signs from sites immediately after completion of the works.

During day-to-day execution of the work on site, undertakers and highway authorities and their contractors should:

• ensure that all information boards are in accordance with the Traffic Signs Regulations and General Directions 1994, Schedule 12;
• ensure that any information boards are of the appropriate design and that a contact telephone number and the start and end dates of the works (where possible) are displayed. The information they contain should be updated as necessary;
• ensure that any information boards do not obstruct the footway, other pedestrian routes or the carriageway; and
• appoint a designated contact point to respond to public enquiries.

All undertakers and highway authorities have a duty to protect the environment. Examples of best practice include:

• first time permanent reinstatement or highway repair where disruption will be minimised;
• environmental awareness in the selection and use of resources, waste management and the avoidance of pollution; and
• avoidance of damage to trees and shrubs, particularly to the roots, and verge damage by material storage.

Specific information about the excavation and reinstatement of openings in the vicinity of trees is given in NJUG Publication 10. Methods of carrying out highway works near trees are explained in ‘Roots and Routes: Guidelines on Highways Works and Trees’.

The quality of reinstatements and highway works can directly influence the life of the highway infrastructure. The materials used, the workmanship and the methods used to carry out excavations and reinstatements should be to the required standards given in the NRSWA "Specification for the reinstatement of openings in the highways – A Code of Practice" to preserve the structure and integrity of the highway. In the case of highway works, the Specification for Highway Works (SHW) and the Highway Authority’s own Policy applies.

Reinstatements and highway works should be encouraged as first-time quality permanent reinstatements and repairs in order to maintain the fabric of the highway in as good a condition as possible and to minimise disruption and inconvenience to the travelling public. These should comply with the prescribed performance standards given in national specifications or to any agreed local variations. Further important details about how to achieve quality reinstatements are given in Annex B.

It is expected that all parties working in the highway for the purposes of excavation, reinstatement and repairs should operate a Quality Assurance System. These QA systems provide customers and the public with confidence that the works will be carried out in a defined manner that produces a quality product.

To supplement QA systems, checks on contractors’ performance should also be undertaken at regular intervals on a random basis. One such example of a scheme is presented in the ‘Birmingham City Council Considerate Contractor Street Works Scheme – Code of Practice’ (see Annex C). Within the scheme, consistent high performance is identified and where practices do not meet the prescribed standards appropriate action is taken to improve them.

In conjunction with the quarterly results of the inspection procedures (see HAUC Inspections Code of Practice), a quality audit would determine trends and provide an incentive to all undertakers and highway authorities towards continuous improvement in their practices. This is in line with Best Value legislation, which encourages highway authorities to adopt the same performance indicators thus enabling the benchmarking of their activities. It is recommended that the results of each audit be shared with all parties.

This Best Practice guidance document is commended to you as an example of how all parties involved in street works and highway works can work together to reduce disruption and inconvenience and maintain our highways in good order.

Finally, you are invited to become part of this ‘living’ document by submitting further examples of best practice to the Welsh Highway Authorities and Utilities Committee (HAUC). These examples will be reviewed for inclusion in future versions of the Best Practice Guidance Notes.