Stockton-on-Tees Borough Council Permit Scheme

7.1 Permit Authority Requirements

Any promoter of specified activities who wishes to carry out such an activity on a specified street must first obtain a permit from the Permit Authority. The permit will allow the promoter to:

• carry out the specified activity
• at the specified location
• between the dates shown
• subject to any conditions the authority may require to be included.

Permit applications must contain the required level of information in order for the Permit Authority to properly assess the application and if necessary request that appropriate conditions be attached.

Permit application timings will vary according to the proposed activity however where early applications are received the Permit Authority will be able to give better advice in relation to the use of conditions, requirements and deliver more effective coordination.

Where the activity is dependent on a Temporary Traffic Regulation Order (TTRO), temporary traffic signal approval or the suspension of parking regulations and Bus stops, the relevant timescales should be taken into account and applicants are advised to submit their requests for TTROs and/or temporary traffic signal approval when applying for a PAA or Forward Planning Notification. The application process will begin when the Permit Authority receives the applications, as defined in the current technical specifications, not when the permit application is sent.

7.2  Submitting an Application

Permit and PAA applications should be made electronically, as set down in the current technical specification, unless there is a failure in the electronic system or the activity promoter does not have access to electronic systems, in which case an alternative application methods such as e-mail, post, hand, fax will be acceptable but this must be pre-agreed in writing with the Permit Authority. In these instances the definitive format of both paper and electronic permit applications must comply with that given in the current technical specification.

Where an alternative is being used, the pre-agreement must include how the receipt of the permit/variation application and the associated responses are to be made to ensure no misunderstanding of receipt and response times.

7.3 System Failure

In the event of a system failure, activity promoters shall adopt the relevant technical specification procedure.

FPN's, Section 74 charges and any other penalties that result due to system failures may be wavered. However, activity promoters must inform the Permit Authority about system failures immediately and get an agreement in principle to avoid the creation of FPNs and Section 74 charges in advance.

7.4 Compliance with  Electronic Transfer Specification

All applications must comply with the definitive format and content given in the current technical specification.

7.5 Use of Plain English

The description of activities must be in plain English, avoiding industry specific jargon.  A standard description used consistently with added text for exceptions which will allow for quicker analysis of applications and ongoing coordination.

7.6 One application per street

Each application shall refer to activities in only one street and for one activity only; multiple activities MUST NOT be grouped under one permit. Where a project covers more than one street, all related applications must be cross-referenced and the project reference included on each application.

7.7 Activities covering several streets

Where the specified activity, as part of the same project involves a number of specified streets, a separate PAA and/or permit will be required for each street. Permit applications for specified activities covering more than one specified street shall be cross-referenced to all related applications. Fees which involve several permits may be subject to a discount (refer to Section 12.5 for information on discount and incentive options) if the applications are submitted together and cross referenced. For consistency with NRSWA, a street will correspond to a USRN.

7.8  Notification to Interested Parties

Where the ASD indicates other interested parties, Provisional advance applications and permit applications shall be copied to those parties.

7.9 Consultation Requirements

Activity promoters must carry out necessary consultations as set down in Sections 88, 89 and 93 (as amended) and Sections 90 and 91 of the NRSWA.

7.10 Restriction on Activities

Where an activity promoter wishes to apply for a permit to carry out specified activities on a specified street where a notice has been issued under Sections 58 or 58A of NRSWA, and the activities are not covered by the specific exemptions of that notice, the activity promoter must make an application for the Permit Authority's consent specifying the grounds on which the consent is sought. If the consent is given, then the

Permit Authority will provide an agreement reference number. This agreement reference number must be included in the specific field for agreement details with the permit application for the permit to be approved.

7.11 Contact Person

Each permit application must include the contact details of the person appointed by the activity promoter to deal with any problems that may occur during the activity, including any provision made for an out of hours contact where required. Where collaborative works are to be performed, the identity of the lead promoter must be provided.

7.12 USRN

Each application must relate to a single street only. Where a single street on the ground has more than one USRN, separate permit applications will be required for each USRN to which an activity relates.

7.13 Description of Activity and Collaborative Promoters

For all works a sufficiently detailed description of the activity, clearly setting out what the works are, and their purpose must be provided to allow the Permit Authority to assess the likely impact of the activity.  Where collaborative working is proposed the promoter must provide a detailed description of the collaborative scheme of the works.

7.14 Location

The activity promoter must provide accurate location details using a spatial feature (point, line or polygon) covering the extent of the works based on National Grid References (NGR). In the case of small excavations, an NGR should be given for the centre of the excavation; for larger works, a polygon representing the works footprint is required. In addition, dimensions should be given of the space that will be taken up by the activity in the street, including space for the storage of plant/materials, activity space, safety zone, provision for pedestrians and traffic management.

If any NGR contained within a permit application is considered to be inaccurate or misleading the application may be refused.

Major works - Start and end NGR's must be supplied, however a poly line is desirable particularly if proposed works areas or trenches are not in a straight line and follow a road or require a road crossing.

Standard, Minor, Immediate - A centre point must be provided as a minimum, however a poly line is desirable if:

• the activity area or trench is expected to be more than 10m in length
• there are multiple separate locations on the same street 
• proposed works areas or trenches are not in a straight line and follow a road or require a road crossing.

NGR's must be supported by the notice location text facility as defined in the technical specification and must contain relevant and detailed information specific to the application including but not necessarily limited to the following:

• house names and numbers
• proximity to fixed points where house names and numbers cannot be obtained (e.g. distances from junctions or lamp columns)

If the activity location description of the proposed permit is considered to be inadequate for any reason the application may be refused.

7.15 Timing and Duration

The permit will allow an activity to be carried out for a specific duration between the start and end date on the permit (allowing for the starting window on the start date where that applies). 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 and a variation is required the promoter must inform the Permit Authority no later than the preceding day by telephone and an agreement made.  There is no automatic extension of the permit end date in these circumstances and if the promoter believes that the work could still be completed before the permit end date then they can begin work on a subsequent day in line with the rules of the starting window.  Otherwise, the promoter must apply for a variation to the permit.

The permit will not be valid before the start date on the permit and will cease to be valid once the end date (adjusted in line with the starting window if appropriate) has passed, unless a variation has been granted.

7.16 Illustration

PAA's, PA's and any other activities that pose disruption as directed by the Permit Authority should be accompanied by an illustration(s) of the activity and should include details of the activity, and the extent of highway occupancy. The illustration may comprise plans, sections, digital photographs and similar material. Illustrations may also be submitted with the application for standard activities located on a designated traffic sensitive street and streets of engineering difficulty.

Illustrations should be sent via electronic means as an attachment wherever possible.

7.17 Techniques to be used for Underground Activities - Methods

Details of the planned techniques, including open cut, trench share, minimum dig technique or no dig must be provided. This information may be included in the Excavation Type Code that is provided for this purpose and supplemented in the description field if necessary.

7.18 Traffic Management, Parking and Traffic Regulation Orders

The activity promoter must supply full details of the traffic management proposals, including any requirement for action by the local Permit Authority such as the need for Temporary Traffic Regulation Orders (TTROs) under s14(1) of the Road Traffic Regulation Act 1984 (RTRA) or (where the Council is prepared to do so) a Temporary Traffic Notice under s14(2) of RTRA, or approval for portable light signals. In the case of the suspension of a parking bay being required, the activity promoter should make an application to the Parking Manager.

Applicants should be aware that such applications may involve additional costs and activity promoters should familiarise themselves with the timescales and procedures relating to such applications.

Any requirement for action on the part of the Permit Authority, including but not limited to those listed below must be included within the application:

• the need to make TTROs  or notice to suspend parking restrictions
• to give approval for all portable traffic signals

A PAA must specify that an application has been made to the relevant Authority for a TTRO where one is required.

The follow up Major Works PA must confirm that a TTRO has been made by that relevant Authority.

An associated traffic management plan for traffic sensitive streets must be provided with the application, together with the justification for use of portable traffic signals.  The costs associated with these are not within the scope of the permit fees and will be applied separately.

7.19 Public Transport

If the proposed activities are likely to have an effect on public transport operators the promoters should have liaised with the operators to consider what measures could be taken to mitigate any adverse impact on public transport. The promoter should include information of such discussions and actions with their application.

Where bus stops need to be closed or relocated then the existing application process should be followed and evidence attached to the permit application.

7.20 Reinstatement Type

Permit applications must indicate whether the proposed activity is intended to be completed with interim or permanent reinstatement or a mixture of both.

Where the activity will be completed with a mixture of both interim and permanent reinstatement, the applicant must give details of where these methods will be used within the permit. These details can be provided in the form of text, either in the activity description or in the form of a comment.

Where the activity is completed with an interim reinstatement, a separate permit application will be required for the permanent reinstatement where this is to be undertaken outside the duration of the permit.

A permit application requires a promoter to provide their best estimate of the excavation depth as part of the application. This estimate may be expressed and as range, but should none the less provide a meaningful indication of the nature and extent of the activity involved.

7.21 Inspection Units

The activity promoter is required to indicate the provisional number of estimated inspection units appropriate to the activity in accordance with the rules laid down in the relevant Code of Practice for Inspections and in the Street Works Inspection Fees (England) (2002) and any subsequent amendments to those regulations

7.22  Application and Response Times

The Permit Scheme sets down the application and response times for dealing with permit applications and permit variation applications electronically. In all cases the time period is measured from the time of receipt of the application by the Permit Authority. A "response" means a Permit Grant, Permit Refusal or a Permit Modification Request. In the case of either of the latter two options where there are reasons why the permit cannot be granted in the terms applied for, the response terms will explain the reasons to the applicant and if relevant what needs to be altered to make the application acceptable.

Street works permit scheme application and response times (PDF, 108 KB)

Without a prior telephone call, the minimum period to apply electronically for a permit variation (extension) before the permit expires is 2 days or 20% of the original duration.

7.23   Decision making

The Permit Authority when making a decision on an application will act reasonably and in accordance with the statutory duty to co-ordinate and manage the network and also in line with the objectives of the scheme.

When reaching a decision, the Permit Authority will consider all aspects of the proposed activity and other influences that may affect the traffic flow.  These will include but will not be limited to:

• the network capacity
• safety
• the scope for collaborative working
• the overall effect on the local and regional highway network
• the local residents
• appropriate technique and arrangements
• working arrangements
• environmental impacts
• public transport.

7.24  Approval of a Permit Application

If the Permit Authority is content with the proposal it will grant the permit within the timescales detailed in the table in 7.22. The permit will be granted based solely on the details provided in the application that is being granted including associated documentation, cross referenced sites and any conditions. The permit will be granted in accordance with the technical specification.

7.25  Modification of a Permit Application

If it is necessary to seek further clarification of the information contained in the application then the Permit Authority will endeavour to resolve this within the mandatory response times so that the estimated start date and duration of the original application remains.

The Permit Authority will submit a modification request to allow the activity promoter the opportunity to make amendments to their application and resubmit this within the required timeframe.

As long as the timeframes are met, the original start and end dates of the first application can be kept and no early start agreements are required.

If the matter cannot be resolved satisfactorily within the timeframes or the response period then the Permit Authority will refuse the application.

If the Modification Application is not subsequently submitted within the required timeframes then in accordance with Regulation 16(3) of the Regulations the Permit Authority will consider the application refused.

The technical specification sets out the requirements and timelines in more detail.

7.26 Refusal of a Permit Application

The Permit Authority cannot refuse legitimate activities, but reserves the right to refuse an application for a PAA or PA where it considers that any element of the permit application is not acceptable.

In these cases the Permit Authority will clearly state the reasons for refusal within the required response times and if necessary the aspects which require modification.

A promoter may cancel the application at any point before the works has started by way of an electronic works notice or if electronic means are being used the pre-agreed methodology. At any point up to the point until the permit has been granted no fee will be charged for the cancellation or withdrawal, however if the permit has been granted prior to the cancellation or withdrawal, the fee will be charged regardless.

There is no legislation that states that a promoter has to respond to a works comment however it is strongly recommended that communications between both promoter and Permit Authority are maintained in these situations as the timescales for permit responses remain valid and if agreement cannot be reached the Permit Authority may have no option but to refuse a permit to avoid the potential for a deemed permit.

Permit applications can be refused, but are not limited to the following reasons:

• Overlapping activities - Where other activities are due to take place in the same street or other streets affected by the proposed activity. In which case the Permit Authority may request the promoter to consider collaborative working as an alternative.
• Timing and duration - A promoter must ensure that when making an application that the proposed duration of the activity takes into account both the legitimate need to complete the activity in an efficient and economic manner and the legitimate interest of other users of the highway.
• Location - This would only apply in relation to new apparatus and where disruption would be reduced by installing the apparatus in an alternative street and where it is reasonable to use the alternative street.