Street WorksInspection of Street works Sites

For those involved in highway reinstatements and inspection of reinstatements

Admin First

Mobile phones off / silent Registration sheet signed ‘Facilities’ Fire alarm

Contents

Background & basics Theoretical Inspection / Defect

Sequence Real Life Inspection / Defect

Scenarios S81 / S82 Quiz

Background & Basics

Based on the New Roads and Street Works Act 1991

Legal Duties & Powers

Utility Company S60 Duty to cooperate S65 compliance with ‘safety’ Code S67 Requirements for qualified staff S70 Duty to reinstate S71 Compliance with the SRoH S73(4) Utility responsible for reinstatement done by Authority S81 Maintenance of apparatus S82 Compensation for damage to the highway resulting from works

or a leak Highway Authority

S68 Powers to inspect sites S72 Powers to inspect & undertake work to make safe S75 Powers to charge inspection fees S81 Powers to inspect apparatus and undertake works to make

safe

Terminology

WIR, Works Inspection Report – the report that is completed following an inspection

Initial inspection – the first inspection. Can be a Sample, Investigatory, Routine or 3rd Party inspection

3rd Party Inspection – Done as a result of an enquiry from non staff member – Defective results can be Charged

Routine inspection – A problem site found whilst undertaking other highway duties – Not charged for (because you’re already out there)

Sample Inspection – Random inspection used for performance – All results may be Charged

Terminology

Defect Inspection – a D1, D2 or D3 Inspection D1, Joint Inspection – A site inspection where the Utility

AND Authority meet to agree the extent of the defect D2, Defect Follow-Up – An inspection done as the

remedial works are IN PROGRESS D3, Defect Follow-Up Completion – an inspection done

AFTER the remedial works have been completed All Defect inspections are charged for where an

inspection is actually carried out S81 – Unsatisfactory apparatus. ‘Satisfactory’ determined

by Authority – It is NOT a defect S82 – Compensation resulting from Damage caused by

Utility works or catastrophic apparatus failure

Basics

All WIR’s should be sent to the Utility via EToN within 1 working day of the inspection being done

3rd Party WIR’s should include the customer enquiry ref A D1 ‘should’ be done unless BOTH the Utility and the

Authority agree that it is not needed Good practice. If BOTH agree that a D1 is not needed any

agreement may be noted on an EToN comment or a £0 charge D1 WIR

Purpose of a D1 is as follows; Agree ownership Agree validity of defect Agree extent of remedials Agree timescales. Good Practice – if no D1 then default position is that the defect is

valid, must be fixed within the default timescales and the whole reinstatement needs replacing.

Basics

Interim sites > 6 months old could be treated as a defect (If the perm notice has been served) or breach of legislation(If the perm notice has not been served)

One inspection per 5 small patches or 200 linear metres of trench

Only inspections ACTUALLY DONE can charged for Defect inspections (D1-3) are NOT done for Signing &

Guarding defects Dangerous defects MUST be telephoned through

immediately It is good practice for Authority’s to identify a ‘dangerous’

defect / apparatus in the same manner as they would a non utility highway defect.

It is good practice for inspectors to sign site ‘visitors books’ when they undertake inspections of live sites

Theoretical Inspection / Defect Sequence

SLG Defect – Site Staff Present (Dangerous or Non Dangerous)1. Authority signs visitor book & completes initial WIR2. Authority informs operatives of non-compliances

a) The Authority may provide a hardcopy of the WIR to the operatives

3. Operatives rectify problem immediatelya) Authority may remain on site to check that remedial works are

done.

4. Authority sends the initial WIR via EToN.

Instead of staying on site the Authority may return to site after 2 or 4 hours.

a) If the remedial works are done then no further action is taken. b) If not then the Authority can start again at stage 1 (above). c) If the remedial works are not done and there’s no one on site

then the Authority should make safe and recharge

SLG Defect - No Site Staff Present (Dangerous or Non Dangerous)1. Authority inspects site & completes initial WIR

a) The Authority should make the site safe if it is dangerous

2. Authority phones utility with details of non-compliancesa) (utility and Authority log details of phone calls. The Authority

may also send a copy of the WIR by fax or EToN)

3. Utility attends site within 2 or 4 hrs depending on severitya) Authority should make safe if the utility cannot be contacted or

cannot get to site in 2 or 4 hours (This activity can be charged)

4. Authority sends the initial WIR via EToN. (if not sent by EToN earlier)

a) The Authority may return to site after 2 or 4 hours. a) If the remedial works are done then no further action is taken. b) If not then the Authority can start again at stage 1 (above). c) If the remedial works are not done and there’s no one on site

then the Authority should make safe and recharge

Reinstatement Defect - Non Dangerous

1. Authority inspects site & completes initial WIRa) Authority sends initial WIR via EToN.

2. Utility contacts the Authority within 1 day to discuss need for a joint inspection (D1)

a) If BOTH agree that a D1 is not needed then this stage is skipped.

3. Unless agreed otherwise the D1 occurs within 10 days (Or longer if agreed)

a) The Authority sends the D1 WIR via EToN (including details of agreements).

4. Utility undertakes remedial works within 10 days (Or longer if agreed)

5. Authority may carry out a Defect Follow-Up (D2) during remedial works. (don’t forget to sign the site diary)

a) The Authority sends the D2 WIR via EToN . If the remedial works are not satisfactory then the Authority should discuss this with operative on site. If the problem is not resolved the D2 is failed and the process starts again at step 2

6. Authority may carry out a Defect Follow-Up Completion (D3) after completion of the remedial works.

a) The Authority records & sends the D3 WIR via EToN. If the remedial works are not satisfactory then the D3 is failed and the process starts again at step 2.

Reinstatement Defects – Dangerous1. Authority inspects site & completes initial WIR

a) The Authority should make the site safe if it is too dangerous

2. Authority phones utility with details of non-compliancesa) (utility and Authority log details of phone calls. The Authority may also send a

copy of the WIR by fax or EToN)

3. Utility attends site within 2 hrs to make safea) Making the site safe means doing the minimum possible – usually signing &

guarding the defect.b) Authority makes the site safe if the utility cannot be contacted or cannot get to

site in 2 hrs (This activity can be charged)

4. The Authority sends the initial WIR via EToN.a) Including any details of works the Authority has had to do

5. The process for non dangerous reinstatement defects is now followed starting at;a) step 2 (if the utility or Authority only did the bare minimum to make the site safe,

eg signing only) or b) step 5 (if the utility undertakes works on site to fully remediate the defect)

Real Life Inspection / Defect Scenarios

Some Scenarios for Reinstatement Defects Utility fixes the defect without contacting the Authority Utility & Authority do NOT have a D1 inspection and the

utility never fixes the defect Utility & Authority DO have a D1 inspection but the utility

never fixes the defect Utility & Authority Do have a D1 inspection, but the

Authority misses the remedial works in progress Defect is agreed on the phone or via a comment, but no

further contact from Utility Authority has to undertake remedial works themselves

Utility Fixes the Reinstatement Defect Without Contacting the Authority

The utility has denied the Authority the D1. If the remedial works were notified then the Authority

‘could’ have done a D2. If the remedial works were not notified then FPN’s may be

appropriate However, look at it this way; The defect has been fixed.

Which is good. The Authority can now undertake take the final inspection (D3).

1. Authority undertakes a Defect Follow-Up Completion (D3) inspection after completion of the remedial works.

a) The Authority records & sends the D3 WIR via EToN. If the remedial works are not satisfactory then the WIR is failed and the process starts again at step 2 for a non dangerous reinstatement.

Utility & Authority do NOT have a D1 and the Utility Never Fixes the Defect Authority needs to be certain that the defect is valid and

that the right utility has been informed

Authority MUST NOT continue to send ‘failed’ WIR’s (utility co’s will rightly refuse to pay)

And that’s it. No further inspections process starts until the D1 is completed.

Once this situation arises and the defect remains then an Authority may have to undertake the works and recharge Good practice – Before Authority undertakes work - invoke the

escalation process as per the HAUC(UK) advice note

Utility & Authority DO have a D1 but the utility never fixes the defect Authority needs to be certain that the defect is valid and

that the right utility has been informed

1. 17 days AFTER the D1 (or 7 days after the agreed remedial works start date – whichever is greater) the Authority can undertake another inspection. (Do a D3)a) The Authority records & sends the D3 WIR via EToN. b) Assuming the remedial works have not been done (or they’ve

been done but does not comply) then the process starts again at step 2 (Cat B or C non dangerous).

2. If the remedial works continue to remain outstanding then an authority may have to do the works themselves and recharge1. Good practice – Before Authority undertakes work - invoke the

escalation process as per the HAUC(UK) advice note

Utility & Authority Do have a D1 But the Authority Misses the Remedial Works Same process as for a normal defective reinstatement,

however, the D2 is missed and the WIR sequence looks as follows;

a) Initial Inspection (sample, investigatory, 3rd Party)b) D1 joint inspectionc) D3 Defect Follow-Up Completion inspection

The D2 cannot be done retrospectively and cannot be charged for.

If the Authority turns up to do the D2 and finds the work has been completed then a D3 inspection should be done instead

Defect Agreed (Phone, Comment or D1) but no Further Contact from Utility Note: This process is considered ‘good practice’1. 1 month after agreement the Authority may undertake

another inspection. (Do a D3)2. The Authority records & sends the D3 WIR via EToN.

¨ If the remedial works have been done then the D3 is passed and no further action is taken

¨ If the remedial works have been done then the D3 is failed and the process starts again at step 2 (reinstatement defect, non dangerous).

¨ If the remedial works have not been done then the defect escalation process as per the HAUC(UK) advice note is enacted. Usually there are two choices;

n Pay for the D3 and complete the remedial worksn Refuse to pay for the D3 and the Authority will undertake

remedial works and recharge

Authority Undertaking Remedial Works If the Utility company continues to fail to undertake

remedial works following a VALID defect then the only option for an Authority is for it to do the works and recharge. The following process is recommended;

a) Authority notifies the utility that remedial works must be undertaken and gives them not less than 7 working days to undertake the work.

b) If the reinstatement is causing danger then no advance notice is needed, but the Authority should still contact the utility

c) Reinstatements should be done to SRoHd) Utility remain responsible for any Authority workse) Authority may recover their reasonable costs from the utility

(management fees, notification fees, actual works costs).

What About Other Scenarios ?

S81 / S82

Section 81 – Unsatisfactory Apparatus

Apparatus should be judged ‘unsatisfactory’ based on the Authority’s existing highway safety criteria

S81’s are NOT defects Unsatisfactory apparatus should be reported to the Utility

a) Reporting to the wrong Utility may result in the Authority receiving an inspection charge / remedial action charge by the Utility who attended site

b) S81’s should be reported via EToN6c) Priority = dangerous or non dangerous. Non dangerous repair

times should be agreed. Authority can undertake emergency works to correct

‘unsatisfactory’ apparatusa) Authority should give Utility as much notice as possible of any

such worksb) Authority can recharge for any emergency works

Section 82 – Compensation

Utility co’s have to compensate an Authority for any loss or damage arising as a result of;a) A Utility undertaking street works (damage to

adjacent surfaces)b) Catastrophic failure of apparatus (gas leak, water

leak) Apparatus should be judged ‘unsatisfactory’ based on the Authority’s existing highway safety criteria

Good Practice – S82’s may be reported using EToN via the defect process or the comment facility. As S82’s are NOT defects the inspection should not be charged nor should is count for performance purposes.

Quiz

Overrun or SLG Defect ?

Neither

Signs are stored on private property

SLG Defect ?

Maybe !!!

Barriers not used correctly Note that advance signs are not required

as there is no c’way incursion. But it might be good practice to set them out anyway. But if they are not there, it’s NOT a defect.

Defect or S81 ?

S81

Hole in the side of the box. Non Dangerous Nothing wrong with the reinstatement

Defect or S81

Either, Possibly Both

The reinstatement has sunk & there looks to be a material failure

The apparatus is blocked with B’top

Defect or S81 ?

Defect… Probably

The reinstatement hasn’t been compacted correctly leading to a void.

Or it could be S82 – damage as a result of washout from a water leak

Or it could be a problem with the highway ! Needs investigation if the Utility disputes it

S81 for a Sunk Cover ?

No

The Authority has, resurfaced the road without raising the covers

Metric Slab in an Imperial Slab Footway. Defect ?

No

As longs as it’s a fairly reasonable match

Reinstatement Defect ?

Not Necessarily

It could be a temp. In which case it’s OKIf it’s a temp > 6 months old and the perm notice has been sent then it’s a defectIf it’s a temp > 6 months old and the perm notice has not been sent then it’s a breach of S70(4)If an Authority has a policy of permanently replacing slabs with B’top then utility Co’s may also adopt this policy

Defect, S81 or ‘Other’ ?

S82 or Defect

Defect – Reinstatement not done – at all ! S82 - Possible damage to highway surface

drain (hole drilled through it)

Water From Utility Boxes – Defect or S81 ?

Neither

S.11.4.3 (and the NfG) in the SRoH states that the Authority and SU should ‘agree’ works to stop egress and both should bear costs

“Utility apparatus is the Authority’s secondary highway drainage system” – Bob Beaney, Openreach.

Defect or Overrun ?

Defect… usually… An attempt has to be made to replace the

markings immediately before the site is cleared.

Permanent markings have to be laid within 15 days.

See the SRoH (S11.1.1) Legislation has determined that S74 may

apply if no attempt has been made to replace the markings (works not complete)Regional good practice - SEHAUC has

generally agreed to deal with these issues as a defect

Defect or Overrun ?

Defect (if there’s no signs out, or not replaced after 15 days)

Defect. Anti skid materials must be replaced within 15 days.

‘Slippery Road’ signs must be displayed at all times whilst the anti skid is not present.

See the SRoH (S6.4.5.2)

Questions

Useful Web Links

Further info available: -

DfT Website www.dft.gov.uk

SEHAUC Website www.sehauc.org.uk

HAUC(UK) Website www.hauc.org.uk

Elgin http://roadworks.org