Business rules

Version 1.43 (Released 20/01/2023)

User roles & permissions table [PDF]
Previous versions

© Crown copyright 2021, except where otherwise stated.

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Table of contents

1. General rules and validation
   1.1. Numbers
   1.2. Dates and times
   1.3. Coordinates
   1.4. USRN
   1.5. File uploads
   1.6. Text character limits
   
2. Workstreams
   
3. Works submissions and applications
   3.1. Works reference number (WRN)
   3.2. Works statuses
   3.3. Forward plans
   3.4. PAA and permit applications (PA)
         3.4.1. Permit reference number
         3.4.2. Works types
         3.4.3. Works categories
         3.4.4. Works activity types
         3.4.5. Adding PAA & PA
         3.4.6. Early start
         3.4.7. PAA & PA assessment decision options
         3.4.8. PAA & PA response periods
         3.4.9. Cancelling PAA & PA
         3.4.10. PAA & PA statuses
         3.4.11. Resubmitting PA following refusal
   3.5. Ancillary information
   3.6. Changes to traffic management
   
4. Change requests (CR)
   4.1. Change request reference number
   4.2. Change request types
   4.3. Adding change requests
   4.4. Change request assessment decision options
   4.5. Change request response period
   4.6. Cancelling change requests
   4.7. Change request statuses
   
5. Revoking a PA
   
6. Delivering and executing works
   6.1. Logging works start
   6.2. Reverting works start
   6.3. Logging works stop
   6.4. Reverting works stop
   6.5. Validity periods
   6.6. Changing the number of inspection units
   6.7. Updating excavation answer after works completed
   
7. Viewing and managing records
   7.1. Commenting on a works record
   7.2. Works history
   7.3. Map application
   7.4. Searching records
   7.5. Advanced filtering
   7.6. Exporting records
   7.7. Geographical areas and views
   
8. Sites and reinstatements
   8.1. Sites and site numbers
   8.2. Reinstatement types
   8.3. Adding reinstatements
   8.4. Making interim sites permanent
   8.5. Reinstatement end dates
   8.6. Indicating when final site has been registered
   
9. Activities
   9.1. Activity reference number
   9.2. Activity statuses
   9.3. Managing activities
   
10. Inspections and non-compliance
    10.1. Inspection reference number
    10.2. Inspection types and categories
    10.3. Inspection outcomes
    10.4. Scheduling inspections
    10.5. Adding inspections to work record
    
11. Fixed penalty notice (FPN)
    11.1. FPN reference number
    11.2. FPN statuses
    
12. Lane rental
    12.1. Lane rental assessment or charge types
    12.2. Adding a lane rental assessment to a PA
    
13. Fee reporting
    
14. Section 81 (S81)
    
15. Historical works
    
16. Non-notifiable works
    
17. HS2
    
18. Sample Inspections
    
19. Performance Reporting
    
20. Section 74 (S74)
    20.1. Section 74 Overrun Warning
    20.2. Section 74 Issuing Draft Invoice
    
21. Duration Challenge Non-Acceptance
    21.1. Duration Challenge
    21.2. Responding to a Duration Challenge
    21.3. Non-Acceptance of a Duration Challenge
    
22. Section 58
    22.1. Propose Section 58
    22.2. Update Section 58 to ‘in-force’
    22.3. Cancelling Section 58
    22.4. Closing Section 58
    22.5. Viewing Section 58
    22.6. Historic Section 58
    

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1. General rules and validation

1.1. Numbers

All numbers within Street Manager system are non-negative.

1.2. Dates and times

Note: Street Manager receives bank holiday data from gov.uk up to the end of the following year, any works that extend beyond that will not be factoring in bank holidays.

1.2.1. Date and time format

All dates and times must match the ISO 8601 standard date format.

See GOV.UK guidance for date-times https://www.gov.uk/government/publications/open-standards-for-government/date-times-and-time-stamps-standard

1.2.2. Calendar days

Street Manager calculates calendar days based on a 24 hour clock.

For example, the Street Manager system would consider the time period Monday 01:00 to Tuesday 23:00 as 2 calendar days.

1.2.3. Calendar month

Street Manager calculates a calendar month as 28 calendar days for the purpose of deeming and early start.

1.3. Coordinates

Coordinates must be a GeoJSON geometry (easting and northing pairs, using British National Grid / EPSG:27700 spatial reference).

Please observe the following, when obtaining and displaying coordinates using maps other than the one in Street Manager:

• Map applications outside Street Manager may use a different projection (mathematical formula to map earth’s curvature onto a flat plane).
  • For example OSBG36, WGS84 and ED50 are all widely used in Britain and yet these different systems of latitude and longitude can disagree on the coordinates of a point by up to 200m
• Maps show the general position of coordinates but cannot be used to accurately determine boundaries

1.4. Unique Street Reference Number (USRN)

• USRN must be a value between 100001 and 99999999.
• Currently supported USRNs:
  • Street state codes: 1 and 2 (See NSG spec v2.10 table 5.1.2)
  • Reinstatement type codes: 1-10 (See NSG spec v2.10 table 7.2)
  • Street Maintenance responsibility (STREET_STATUS): 1, 2 & 3 (See NSG spec v2.10 table 6.1)
• See the API documentation for details on backwards compatibility.
• If there are multiple reinstatement type codes, one must be selected when raising a forward plan or PAA/PA.

(Previously section 16.3 in Business rules v0.1 draft)

1.5. File uploads

• Maximum file size is 10MB.
• All files on a single work record must total less than 100mb.
• Street Manager has a file upload limit of 50 files for each individual:
  • Work Record
  • Permit
  • FPN
  • Section 81
  • Section 74
  • Inspection
  • Reinstatements
  • Historic Works
• Street Manager has a list of allowed file types when uploading a file to the system:
  • doc
  • docx
  • pdf
  • png
  • jpeg
  • jpg
  • tiff
  • bmp
• File name must be 100 characters or less.
• Some character, for example an apostrophe (‘), are not allowed as part of the file name.

(Previously section 19 in Business rules v0.1 draft)

1.6. Text character limits

1.6.1. Username field

The max length for username fields is 50 characters.

1.6.2. Single-line text fields

Max length is 100 characters.

These include:

• Promoter contact details
• Approved contractor
• Contractor details
• Secondary contact email
• Project reference number
• Early start pre-approval authoriser
• Promoter org
• Promoter contact details
• Approved contractor
• Contractor contact details
• Street name
• Area name
• Project reference number
• Inspection call log field
• Inspection call log reference
• Inspector name
• FPN authorised officer
• FPN officer contact details
• Activity name
• Activity type details
• Contact name
• Contact details
• Street special designation code
• Emergency contact
• Emergency contact number

1.6.3. Multi-line text areas

Text areas for large comment fields are limited to the max length of 1500 characters.

All other text areas are limited to 500 characters. These include:

• Description of work
• Works location description
• Collaboration details
• Description of collaborative works
• Early start pre approval details
• Early start pre approval reason
• Additional info (apply for works) / comments (revoke) / details (lane rental assessment / collaborative working)
• Revoke reason
• Permit discount reason
• Reinstatement location description
• Inspection outcome details
• Inspection call log summary
• FPN offence details
• FPN status reason
• Activity location description
• Cancellation reason

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2. Workstreams

The Street Manager system will, by default, create a workstream with the prefix of ‘000’ for every organisation. Before users start raising works in Street Manager (production), their organisation must set up their workstreams as PAA/PAs cannot be raised using the ‘000’ workstream.

When organisations set up their workstreams, they can choose to allocate numerical prefixes between 1 - 999. See works reference number (WRN) section for details on how the workstream prefix will be used when raising works.

(Previously section 15 & 15.1 in Business rules v0.1 draft)

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3. Works submissions and applications

3.1. Works reference number (WRN)

• The WRN is generated in the following format: {SWA prefix} {workstream prefix} {promoter works reference}
  • SWA prefix - Two characters of the related organisation from the SWA code list.
  • Workstream prefix - A minimum of three numbers with leading zeros where applicable e.g. ‘001’. See the workstream section for more details.
  • Promoter works reference - Between 1 to 19 characters. May be generated by the Street Manager system or provided by the user. If generated by Street Manager, the promoter works reference will consist of a randomly generated 8-digit number (following the unique WRN rule).
• The WRN including the prefix must be unique in the Street Manager system e.g. the same organisation may have two works records with the same ‘promoter works reference’ if the works were created under two different workstreams.
• WRNs are not case-sensitive and displayed as uppercase.
• WRNs can only include the following special characters: dashes (-) or underscores (_) to separate characters
• Works records and WRNs are created automatically alongside other records such as forward plans and permit applications.

(Previously section 1.1 in Business rules v0.1 draft)

3.2. Works statuses

A diagram of works statuses

3.3. Forward plans

• Forward plans are for giving advance notice of major works only.
• It is only possible to add forward plans for a start date in the present or future, and with an end date in the future.
• Forward plans can be progressed to PAA or PAs (specifically for highway works, see section 17.6), edited or cancelled while in the ‘Raised’ status.
• All forward plan details can be edited with the exception of namely the workstream, the highway authority and the USRN.
• When progressed, the forward plan’s status automatically gets set to ‘Progressed’.

A diagram of forward plan statuses

(Previously section 22 in Business rules v0.1 draft)

3.4. PAA and permit applications (PA)

3.4.1. Permit reference number

• The permit reference number is generated in the following format: {WRN} - {numerical suffix}
  • WRN - See the works reference number section for more details.
  • Numerical suffix - A minimum of two numbers starting from 01 for the first PAA or PA created on the works record and counts up consecutively for each additional PA (i.e. -01, -02, -03 etc).
• A permit reference number is automatically generated when a PAA or permit application has been submitted.
• The permit reference number is the reference number that promoters needs to display on on-site permit boards.

(Previously section 1.2 in Business rules v0.1 draft)

3.4.2. Works types

• Works types are as follows:
  • Planned - Minor, Standard, and Major works and are not Immediate
  • Immediate - See the NRSWA (link available from SM Glossary) for more details on immediate works. The immediate works type (i.e. immediate urgent and immediate emergency) will be determined based on the answer to “Is there a risk of damage to people or property?”

(Previously section 1.3 in Business rules v0.1 draft)

3.4.3. Works categories

• Works categories are as follows:
  • Minor
  • Standard
  • Major PAA/PA
  • Immediate (Urgent)
  • Immediate (Emergency)

See the NRSWA (link available from SM Glossary) for definitions and duration for each works category.

A diagram of Works category logic

(Previously section 1.4 in Business rules v0.1 draft)

3.4.4. Works activity types

• Works activity types available are as follows:
  • Core sampling: Coring is the method of testing by removing a sample of the reinstatement (a core) finished/completed reinstatement and is part of the inspection process. 
  • Disconnection or alteration of supply: Work type that involves the disconnection or re-routing of supplies.
  • Diversionary works: Works undertaken by a Works Promoter to move or divert its existing apparatus to enable 3rd party works to be happen. 
  • Highway improvement works
  • Highway repair and maintenance works 
  • New service connection: Works type undertaken to connect new supplies usually for individual customers.
  • Optional permit (no fee): e.g. for traffic management. HA may add discount to permit fee if applicable. Street Manager does not generate PAAs for this type of activity.
  • Permanent reinstatement: Works undertaken by a works promoter to replace interim reinstatement with a permanent reinstatement.
  • Remedial works: Works undertaken by a works promoter where the initial reinstatement was not compliant with the specification.
  • Section 50
  • Statutory infrastructure works
  • Utility asset works: Works undertaken by a Utility Works Promoter as part of a rehabilitation or replacement scheme. These are usually planned works.
  • Utility repair and maintenance works: Works undertaken by a Utility Works Promoter in repairing or maintaining its asset. These works are usually short duration works or works that are not planned.
  • Works for rail purposes
  • Works for road purposes: As defined in section 86(2) of NRSWA, “works for road purposes means works of any of the following descriptions executed in relation to a highway: (a) works for the maintenance of the highway; (b) any works under powers conferred by Part V of the Highways Act 1980 (improvement); (c) the erection, maintenance, alteration or removal of traffic signs on or near the highway; or (d) the construction of a crossing for vehicles across a footway or grass verge or the strengthening or adaptation of a footway for use as a crossing for vehicles”

(Previously section 1.14 in Business rules v0.1 draft)

3.4.5. Adding PAA & PA

• PAs may be added resulting in a new works record or added to an existing works record.
• PAs can only be added to an existing works record if the works record does not contain a Minor/Standard/Major PA that is ‘in progress’ or ‘submitted’.
• If a Major works is being added and it’s either the first application on the works record or the previous permits have been cancelled, revoked or refused, it should be a PAA
• Some example scenarios:
  • Minor permit added and seen right through to completion. Major works can then be added to the works without adding a PAA
  • Minor permit added but then is cancelled. PAA then must be added for a major works as it’s now technically the first permit on the works
  • Standard permit added and then refused by the HA. PAA then must be added for a major works as it’s now technically the first permit on the works
  • Major permit added as first permit on the works record - PAA required in this instance
• A major PAA may be progressed to PA if it is in ‘submitted’ or ‘granted’ status.
• Once a PAA is progressed to a PA, you can not have any more PAAs on that works record.
• PAA can be added again after all PAs have been cancelled, revoked or refused where no PAAs have been previously progressed to a PA.
• As of April 2022, PAA will not be created if activity type is “Optional permit”.
• When “Required traffic management type” is either “Multi-way signals” or “Two-way signals”, 24/7 contact information (in case of failure) needs to be provided in the form of:
  • Emergency contact - Person or company name responsible for managing the signals
  • Emergency contact number - Out of hours direct line (not a switchboard)

(Previously section 1.12 in Business rules v0.1 draft)

3.4.6. Early start

• If a PAA/PA does not provide sufficient advance notice (based on the proposed start date provided), including when the proposed start date is altered during a change request, the promoter will be required to specify if they have pre-approval for an early start and additional information.
• The early start calculation will be carried out immediately after the proposed start and end dates have been entered during the apply for PAA/PA process.
• The early start calculation will include the day of the application is made.
• The minimum notice period by works category are as follows:

Works category	Minimum notice period
Major PAA	3 calendar months (84 calendar days in Street Manager)
Major PA	10 working days
Standard	10 working days
Minor	3 working days
Immediate	Not applicable

(Previously section 1.9 in Business rules v0.1 draft)

3.4.7. PAA & PA assessment decision options

• The assessment decision options for PAA/PA are as follows:

Assessment decision	Applicable for
Grant	All PAA/PA
Refuse	All PAA/PA
Modification request	PA only (not in ‘Closed’ status)
Grant with duration challenge	Immediate PA only

• The assessment decision may be changed to grant or refuse on PAs that have a status of ‘modification requested’ and no change requests awaiting assessment.
  • Modification requested PAs will not deem as the action is with the promoter.
• A modification request assessment decision can only be given once on a PA. Once an updated permit is submitted, only a grant or refuse assessment decision will be available
• Street Manager will automatically set a record’s assessment decision under the following circumstances:
  • Immediate works that are started and completed before an assessment decision has been manually submitted will have the assessment decision of “Granted (auto)”.
  • When a major PA is assessed, the associated PAA will take on the matching assessment decision if the an assessment decision has not been manually submitted for the PAA. e.g. if a major PA is refused, the PAA will have the assessment decision of “Refused (auto)”.

(Previously section 25.3 in Business rules v0.1 draft)

A diagram of PAA/PA assessment decision options

3.4.8. PAA & PA response periods

• The response period is the time period that a Highway Authority (HA) has to assess and evaluate a PAA/PA (or any other promoter request) prior to the PAA/PA deeming.
• The response period will begin from the day of the application submission if received before 16:30 on a working day. Any applications received after 16:30 on any working day (or at any time on a non-working day) is deemed to have been given on the next working day, and that is when the response period will begin from
• Note that for response periods calculated in calendar days i.e. Major PAAs, the end date of the response period could be a weekend/public holiday since the calculation is in calendar days and not working days
• The response period for each works category are as follows:

Works category	Response period
Major PAA	28 calendar days
Major PA	5 working days
Standard	5 working days
Minor	2 working days
Immediate	2 working days
Modified PA (response to HA’s modification request)	2 working days

When raising a PA the response period can be affected by the status of the PAA if there is one on the work record. Street Manager will calculate the response period based on the following:

• If you have raised a PA and your PAA on the works record has not been granted and assessed, there is a comparison between the remaining response period on the PAA (28 Calendar Days) and 5 Working Days.
• The scenario with the longest response period will be assigned to the PA you have submitted.
• If your PAA was granted and assessed before raising of a PA then the response period for the PA would be 5 days.

(Previously section 1.8 & 1.10 in Business rules v0.1 draft)

3.4.9. Cancelling PAA & PA

• PAA applications and planned PA may be cancelled if in ‘submitted’ (pre-assessment), ‘granted’, ‘refused’ or ‘modification requested’ statuses and works start has not been logged.
• Only the active permit can be cancelled i.e. the latest one that has been submitted
• Immediate PA may be cancelled whilst works is ‘in progress’ (immediate works are automatically placed into in progress upon creation). The Immediate PA can also be cancelled if it has been revoked.
• Immediate PA may not be cancelled if
  • works stop has been logged
  • reinstatement(s) have been added
• The PAA/PA status and works status will be set to ‘Cancelled’.

(Previously section 7 in Business rules v0.1 draft)

3.4.10. PAA & PA statuses

(Previously section 1.5 & 10 in Business rules v0.1 draft)

3.4.10.1. PAA statuses

A diagram of PAA statuses

3.4.10.2. PA statuses

A diagram of PA statuses

3.4.11. Resubmitting PA following refusal

• If permit has been refused and the user wishes to resubmit, they can submit a revised permit on the work record - ‘Apply for works’ next to the Applications table.
• All the information from the previous permit - except timings, is collaboration involved and conditions - are defaulted in the new permit
• Location can’t be changed when raising a new permit on the same works following a refusal
• A new permit can only be raised if the existing one has been refused, closed, or cancelled. If a permit has been revoked, user needs to first cancel that permit in order to raise a new one

3.5. Ancillary information

3.5.1. General information

• Ancillary information can be added after a permit is submitted and while works are being carried out.
• In case the ancillary information may impact the permit approval by a Highway Authority (HA), it is recommended:
• to make a mention, as part of additional information, about the intention to add ancillary information before submitting the permit
• to add ancillary information immediately after submission
• to add a comment to the permit, that all relevant ancillary information have been added
• Ancillary information apply only to a permit to which they were added and will not impact or carry over to any other past or future permit within the works record.
• Ancillary information will appear on a map along with the permit they were added to.
• To notify Highway Authority about upcoming changes to ancillary information, that are yet to happen, NCT03 condition should be used instead.

3.5.2. Removal

• Ancillary information can be indicated as “removed” when they are no longer relevant or factually accurate.
• They remain visible as part of the permit details.
• They no longer appear on the map.

3.5.3. Validation and limits

• The following limits apply to an individually permit (a permit does not influence other permits within works record):
• Ability to add up to 20 ancillary information items - including removed items.
• Ability to add up to 10 points per individual ancillary information entry.
• Ability to choose from up to 100 USRNs, when adding ancillary information.
• Ability to save up to 25 USRNs, when adding ancillary information.

3.6. Changes to traffic management

Type of traffic management currently present on the work site can be entered as part of the permit application.

• This is for information purposes only, and needs to be agreed with the highway authority prior to entry into Street Manager, therefore does not require a permit variation (change request).
• To notify Highway Authority about upcoming changes to traffic management, that are yet to happen, NCT09d condition should be used instead. Current traffic management allows all the types available when submitting new permit application or change request, along with additional information some of the TM option require.

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4. Change requests (CR)

4.1. Change request reference number

• The change request reference number is generated in the following format: {permit reference number} -CR- {numerical suffix}
  • See the permit reference number section for more details.
  • Numerical suffix - A minimum of two numbers starting from 01 for the first change request created on the PA and counts up consecutively for each additional change request (i.e. -01, -02, -03 etc).

4.2. Change request types

• The change request types are as follows:

Change request type	Available for	Criteria	CR assessment required?
Promoter imposed change	Promoter	Change initiated when PA is in status ‘Submitted’ (awaiting assessment)	No (Assess PAA/PA directly)
Promoter change request	Promoter	Change initiated when PA has assessment decision as ‘Granted’	Yes
Modified permit	Promoter	Change initiated when PA is in status ‘Modification requested’	No (Assess PA directly)
Works extension	Promoter	Same criteria as ‘Promoter change request’ and includes a change to the proposed end date. Only applies to works that are in progress	Yes
HA imposed change	HA	Change initiated when PA has assessment decision as ‘Granted’	No

• For modified permit, promoter imposed and HA imposed change types, the changes made will be applied automatically to the PA with the change request record - with status set to ‘Submitted’ - available to see what has changed historically, and these change request types are not chargeable.
  • In the case of a modified permit change request (response to modification requested by HA), this means that only the outstanding PA will need to be assessed once the changes have been applied.
• A PA’s response period is not affected by promoter imposed changes (i.e. changes while the PA is awaiting assessment).
• A works extension change request may include other changes in addition to a change to the proposed end date.
• HA imposed change is currently limited to adding or removing conditions.

(Previously section 5.1, 5.3, 5.4, 5.8 & 26 in Business rules v0.1 draft)

4.3. Adding change requests

• Each PA may have only one change request awaiting assessment.
• A change request may be added to PAs that are not ‘Refused’, ‘Closed’ or ‘Revoked’ (as long as the work hasn’t been started. If work was started and then revoked, a change request can be added).
• The works category may be updated if the works duration is changed.
• A change request on a planned permit cannot change the category from Minor or Standard to Major or PAA.
• Change requests may not be added to a PAA.
• All fields apart from the following can be changed on a PA:
  • Permit reference number or works reference number
  • USRN
  • USRN address e.g. road/street
  • Road category
  • Primary notice authority the PA is submitted to
• Proposed start date may not be changed if works start has been logged.
• All change requests show the original details and changed values.
• One may need to enter new information, when submitting a change request. This may happen when:
  • The information was “optional” at the time when the PA/PAA was submitted, but it is a required information now.
  • When a new, mandatory field was introduced after the PA/PAA was submitted, and it was not possible to pre-populate it automatically.

(Previously section 5.2, 5.3, 5.4 & 5.6 in Business rules v0.1 draft)

4.4. Change request assessment decision options

• The assessment decision options for change requests are as follows:

Assessment decision	Applicable for CR type	Assessment decision impact
Grant	Promoter change request & works extension	Changes will be applied to the PA.
Refuse	Promoter change request & works extension	Changes will not be applied to the PA. Original PA will remain unchanged in status and contents i.e. the PA is not refused as a result of a change request assessment.
Grant with duration challenge	Works extension for works that are in progress	A reasonable period end date and reason for the duration challenge must be provided. The reasonable period end date and reason will be applied and visible on the PA.

(Previously section 5.1, 5.4, 5.5 & 25.3 in Business rules v0.1 draft)

4.5. Change request response period

• The response period for change requests is 2 working days. The change request will deem after this period and the changes will be applied to the PA.

(Previously section 5.7 in Business rules v0.1 draft)

4.6. Cancelling change requests

• It is currently not possible to cancel change requests directly
• Change requests pending assessment will be automatically cancelled if the parent permit is cancelled.

4.7. Change request statuses

A diagram of Change request statuses

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5. Revoking a PA & PAA

• Both a PA & PAA may be revoked if they have been granted and for a PA, before works stop has been logged.
• If a PA is revoked
  • before works start has been logged, it will remain in the final status of ‘Revoked’ where no further actions can be performed on it by the promoter.
  • after works start has been logged, the promoter may request a change, log works stop and add reinstatements.
  • with a change request awaiting assessment, the change request will be revoked automatically.

(Previously section 6.1 in Business rules v0.1 draft)

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6. Delivering and executing works

6.1. Logging works start

• To log a works start
  • PA must be in ‘submitted’, ‘granted’ or ‘modification requested’ status,
  • date and time must be provided, and
  • works cannot be started in the future.

(Previously section 11.1 in Business rules v0.1 draft)

6.2. Reverting works start

• Works start may be reverted if
  • works stop is not logged for the current PA
  • a reinstatement has not been logged for the current PA
  • for planned works (i.e. not immediate works)
  • the PA has not been revoked.

(Previously section 21.1 in Business rules v0.1 draft)

6.3. Logging works stop

• To log a works stop
  • works must be in ‘in progress’ status,
  • date and time must be provided, and
  • date must occur on or after the actual start date
  • date must occur today or a date in the past

(Previously section 11.2 in Business rules v0.1 draft)

6.4. Reverting works stop

• Works stop may be reverted if
  • a PA has not been added on the same works record after the works stop was logged.

(Previously section 21.2 in Business rules v0.1 draft)

6.5. Validity periods

• Non-traffic sensitivity is determined either by there being no traffic-sensitive designations for the works’ USRN or if there are, none were selected by the promoter as applicable to the works.
• If a works’ actual start date is later than the proposed start date and within validity period, Street Manager may shift the proposed end date accordingly maintaining the same works duration as originally proposed starting from the actual start date.
  • End date will not shift for road category: 1,2,5,10
  • End date will not shift for road category: 3,4 - if designated as traffic sensitive
  • End date can shift for road category: 3,4 - if designated as non-traffic sensitive
  • End date can shift for road category: 6,7,8,9 regardless of traffic sensitivity
• Below are the validity periods for each works category. Please be aware that the validity period is inclusive of the original start date unless the start date is on a non-working day, in which case it’s the next working day. E.g. for a minor works if the start date was a Wednesday the validity period would be Wednesday and Thursday.

Works category	Validity period
Major PAA	Currently out of scope
Major PA	5 working days
Standard	5 working days
Minor	2 working days
Immediate	Not applicable
Any HS2 works	Not applicable

(Previously section 13 in Business rules v0.1 draft)

6.6. Changing the number of inspection units

• The number of inspection units will be added when the first reinstatement is submitted and may be changed at any point thereafter on the works record level.
  • The number of inspection units is defaulted to 1 (one)
  • The number of units may be changed to 0 (zero) if all sites have been subsumed/combined.

Upcoming changes: effective April 1st, 2023.

Following the implementation of Performance Based Inspections, Street Manager will automatically calculate inspection units, when the works are stopped, based on permit duration.

A single inspection unit will be added to the works record when the cumulative number of working days - logged across the current and past permits - is:

• greater than zero - this will generate the first inspection unit
• greater than 15 - this will add the second inspection unit
• greater than 30 - this will add the third inspection unit

Works record can attract up to three inspection units.

A single permit can add more than one inspection unit, if it’s duration exceeds 15 or 30 working days.

6.6.1 Exceptions

Upcoming changes: effective April 1st, 2023.

Permit will not generate any inspection units, if one or more of the following applies:

• remedial works
• works for road purposes
• works on private roads
• no excavation was carried out
• no reinstatements recorded, or recorded only reinstatements of type:
• Bar holes
• Core holes
• Pole testing

6.7. Updating excavation answer after works completed

• ‘Was an excavation carried out’ field displayed at the work record level under the ‘Onsite details’ section
• The answer will default from the permit application and user will only able to change the answer from “Yes” to “No”
• If an excavation reinstatement has been added the field will automatically change to “Yes
• Answer can be updated from when the work has been started up to the point a new permit has been added to the work record . Exception is when an excavation reinstatement has been added. In this case, user will be unable to change the answer from “Yes” to “No” as there are excavations against that work

(Previously section 11.4 in Business rules v0.1 draft)

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7. Viewing and managing records

7.1. Commenting on a works record

• Users associated with a works can add a comment on the works record. Users associated with a works include being from the HA the works has been submitted to, being from (or working on behalf of) the promoter organisation that submitted the works and with access to the associated workstream.
• A topic must be selected when adding a comment. The comment topics are as follows:
  • General
  • FPN
  • Inspection
  • Section 74
  • Overrun warning (only available to HA)
  • Forward plan
  • Change requests
  • Imposed variation
  • Duration challenge
  • Section 81
  • Unattributed works

(Previously section 8 in Business rules v0.1 draft)

7.1.1. Marking comment as read

• Only users from the organisation that received the comment will be able to mark it as read
• Marking as read will flag that comment as being read in the list along with who marked it as read and when
• Able to filter the comments list to view those that have been read, those that haven’t and both

7.1.2. Marking comment as internal

• Option when adding a comment to mark it as internal only. Internal comments will only visible to users within your organisation. Note - for promoters, any user that is part of the same workstream as the user that added the internal comment will be able to view it. This includes contractors
• Filter option on the comments list page to view only internal comments
• Feature should be used in accordance with your organisations communication policy

7.2. Works history

• Works history is available for each works record showing all events related to the works record. The works history includes:
  • Date and time
  • Topic
  • Details (description of the event)
  • Username
• Works history topics include:
  • Forward Plan
  • PAA
  • Permit
  • Inspection
  • Scheduled Inspection
  • FPN
  • Reinstatement
  • Comment
  • Section 81
  • Work

7.3. Map application

• The date filter is automatically defaulted with the current date in the ‘From’ field and 14 days after the current date in the ‘To’ field.
• For performance reasons, the map application is limited to
  • displaying a maximum of 500 results, and
  • displaying results within three zoom levels higher than the default

(Previously section 16 in Business rules v0.1 draft)

7.4. Searching records

• Search functionality is available on the following list pages:
  • Permit applications
  • Change requests
  • Works records
  • PAAs to progress
  • Forward plans
  • Registered reinstatements
  • Section 81s
  • Inspections
• Searches are partial search compatible - Street Manager will return results that contain the search term.
• Search and filtering functionality may be used in combination.

(Previously section 17.1 in Business rules v0.1 draft)

7.5. Advanced filtering

• Advanced filtering is available on the following list pages:
  • Permit applications (PAA/PA)
  • Change requests (CR)
  • Works records (WR)
  • Forward plans (FP)
  • Comments
• Each list page have different filter options available.
• Filters are saved in the session so that when the user navigates away from the page and comes back the filters will be remembered. Currently this only applies to the permit applications, change requests and comments list pages. It will be added to the other list pages in the future. Note - if you set filters and then click the browser back button, the setting of the filters will be forgotten. Ensure to use navigation buttons within the tool to ensure filters are remembered
• Note: the URL/web address may be shared or bookmarked/saved with filters currently applied.
• Advanced filters and descriptions below:
  • Note: Unless otherwise specified, change requests list will return all change requests where the related change request fulfils the condition, and works records list will return results where the latest PAA/PA fulfil the condition.

Filter name	Condition
Works start / end date and Application submission date	If ‘from’ date is blank, will include all results earlier than the ‘to’ date and vice versa. If both ‘from’ and ‘to’ are blank, will include all results.
Awaiting assessment	PAA/PA with ‘submitted’ status
Working within traffic-sensitive times	A traffic-sensitive designation has been selected by the promoter on the PAA/PA
High impact traffic management	Applications with any of the following traffic management types: Road closure; Contraflow; Lane closure; Convoy working; Multi-way signals; Two-way signals
Not submitted final registration	Final site registered = “No” against the PA (against the PA for change request list filtering)
Works with excavation	Excavation is marked as required on the PAA/PA
Deemed	PAs that have deemed. Change request list will only show change requests that have deemed (against the PA for change request list filtering)
Early start	Proposed timings have indicated that the PAA/PA is due for an early start (where early start details were completed)
Lane rental charges (potentially) apply	Works takes place on a lane rental applicable road (indicated in the designations), and/or a lane rental assessment has been added with an outcome of “Chargeable” or “Potentially chargeable” (against the PA for change request list filtering)
Lane rental charges not agreed	A lane rental assessment has been added with an outcome of “Chargeable” and charges have not been agreed (against the PA for change request list filtering)
Duration extension	On change request list only: change requests with works extension request
Ever modification requested	PAs that have previously received a modification request assessment decision (against the PA for change request list filtering)

(Previously section 17.2 in Business rules v0.1 draft)

7.6. Exporting records

• Exports requested will be placed into a queue and available for download from the user’s CSV Exports page.
  • The export page is limited to show exports requested the user or, in the case of contractor users, requested by the user for the assumed organisation.
  • Each user may have one (1) export in the ‘queued’ status. Subsequent export requests will be rejected.
  • The export file statuses are as follows:

Status	Status description
Queued	Awaiting processing
In progress	CSV in process of being generated
Ready	File may be downloaded
Failed	An error has occurred

A diagram of export file process

• Export functionality is available on the following list pages:
  • Permit applications
  • Change requests
  • Works records
  • PAAs to progress
  • Forward plans
  • Fixed penalty notices (FPN)
  • Inspections
  • Registered reinstatements
  • Comments
  • Section 81s
  • Download all my data (promoter and HA admin users will be able to export raw data for their organisation)

7.7. Geographical areas and views

(work in progress)

7.7.1. Managing geographical areas

• Only admin users can manage geographical areas
• Each geographical area is defined by a list of USRNs.
  • The list of USRNs must be provided as a csv file with one column of USRNs.
  • The maximum number of USRNs per geographical area is 10,000.
• The maximum number of geographical areas is 100.
• The geographical area name is derived from the csv file name (without the extension).
• Each geographical area can be changed. Clicking the change link next to the relevant geographical area will open up the file picker and allow you to upload a new csv file

7.7.2. Viewing geographical areas

• HA users may select up to a total of 60,000 USRNs to be filtered on. This is the combined total number of USRNs of all geographical areas selected.
• All list pages will be filtered to only show records associated to the geographical areas selected (fee report will not be affected).

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8. Sites and reinstatements

8.1. Sites and site numbers

• A new site will be added automatically when ‘Add a reinstatement’ is selected on the ‘works record’ level.
• For each works record, the site numbers begin at 1 and counts up consecutively for each additional site (i.e. Site 1, Site 2, Site 3 etc).
• All historical reinstatement details are available for each site on the individual ‘site record’ pages.

8.2. Reinstatement types

• The reinstatement types are as follows:
  • Excavation
  • Bar holes
  • Core holes
  • Pole testing
• Reinstatement measurements and whether the reinstatement is a final reinstatement must be provided for excavation reinstatement type.
  • Optionally, a second set of coordinates may be provided.
  • However, this is mandatory for each individual site which is over 10 metres in length/width as per Section 70 NRSWA.
• Number of holes must be provided for bar holes, core holes and pole testing reinstatement types.

(Previously section 4.7 in Business rules v0.1 draft)

8.3. Adding reinstatements

• To add a reinstatement, the latest PA must be in ‘In progress or ‘Closed’ status.
• There is no requirement to declare the intention to excavate or report that took place excavation, to add a reinstatement.
  • One needs to declare or report an excavation to be able to select the “Excavation” as a type of reinstatement.
• Reinstatement date must be:
  • the current date or in the past
  • on or after the earliest actual start date for all permits on the work
  • on or before the actual end date if works stop has been logged
• To update a site with a new reinstatement, select ‘Update reinstatement’ on the ‘site record’ level.
• This functionality may be used to correct a mistake on the previous reinstatement.
• A reinstatement can be interim or permanent.
  • Note: If a mistake is made where the Reinstatement state ‘Interim’ is selected instead of ‘Permanent’, the existing interim site should be updated to zero measurements and a new site created with the correct details.
• Reinstatement site measurements or number of holes may be set to zero if the site has been subsumed/combined.

(Previously section 4.2, 4.3, 4.5 & 4.6 in Business rules v0.1 draft)

8.4. Making interim sites permanent

• If an existing site is in ‘interim’ state, a new PA must be raised to add a ‘permanent’ reinstatement to the existing site.

(Previously section 4.4 in Business rules v0.1 draft)

8.5. Reinstatement end dates

• If the reinstatement state is ‘interim’, the interim period end date is 6 months from the reinstatement date e.g. if an interim reinstatement date is 26/10/18 then the end date should be 25/04/19
• If the reinstatement state is ‘permanent’ and
  • depth is less than or equal to 1.5m, the end date (guarantee expiry date) is 2 years from the reinstatement date e.g. if reinstatement added 13/06/18, end date is 12/06/20.
  • depth is greater than 1.5m, the end date (guarantee expiry date) is 3 years from the reinstatement date e.g. if reinstatement added 13/06/18, end date is 12/06/21.

(Previously section 4.1 in Business rules v0.1 draft)

8.6. Indicating when final site has been registered

• Final site registered may be set to ‘Yes’ as part of a reinstatement submission or directly on the works record level.
• Final site registered should be indicated for each PA where excavation was required.

(Previously section 4.3 in Business rules v0.1 draft)

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9. Activities

9.1. Activity reference number

• The activity reference number is generated in the following format: ARN- {SWA number} - {numerical suffix}
  • SWA number - The four-digit portion of the organisation’s SWA code i.e. the SWA code without the two-character prefix.
  • Numerical suffix - A minimum of three numbers starting from 001 for the first activity by the organisation and counts up consecutively for each additional activity (i.e. -001, -002, -003 etc).

9.2. Activity statuses

A diagram of activity statuses

(Previously section 23.2 in Business rules v0.1 draft)

9.3. Managing activities

• HAs may add activities for their organisation at any point.
• The activity types are as follows:
  • Skips
  • Scaffolding
  • Hoarding
  • Crane/mobile platform
  • Event
  • Section 50
  • Section 58
  • Compound
  • Other (enter a brief description)
• HAs may change or cancel an activity added by their own organisation.
  • The Activity Location or activity area cannot be changed.

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10. Inspections and non-compliance

10.1. Inspection reference number

• The inspection reference number is generated in the following format: {WRN}-INSP-{numerical suffix}
  • WRN - See the works reference number section for more details.
  • Numerical suffix - A minimum of two numbers starting from 01 for the first inspection created on the works record and counts up consecutively for each additional inspection (i.e. -01, -02, -03 etc).

(Previously section 3.1 in Business rules v0.1 draft)

10.2. Inspection types and categories

• Inspections may be added at any stage of a works record.

Inspection type	Inspection categories
Live Site	Category A Site occupancy Conditions Third party Routine
Reinstatement	Category B Category C Third party Routine
Non-compliance follow up	Joint site visit Follow up Follow up completion
Section 81	Not applicable

(Previously section 3.2 & 3.5 in Business rules v0.1 draft)

10.3. Inspection outcomes

• If a failed inspection outcome is selected for Live site, reinstatement or non-compliance follow up inspection types, details of non-compliant areas must be provided by selecting from a defined list.
  • The non-compliant area list is dependent on the inspection type and category.
  • One or more non-compliant areas may be selected.
  • Each non-compliant area selected must be accompanied with the non-compliant site and non-compliant details (text).
• If a failed inspection outcome is selected for Section 81, the inspection may advise if the site was ‘made safe by HA’.
• Additional information and evidence/photos may be provided for all outcomes.
• The inspection outcomes available for inspection types and categories are as below:

Inspection type	Inspection outcomes
Live Site (excl. Site occupancy & Conditions), Reinstatement and Non-compliance follow up (excl. Joint site visit)	Passed Failed — high Failed — low Unable to complete inspection
Live Site type with Site occupancy category	Works stopped - Apparatus remaining Works in progress - No carriageway incursion Works in progress Works stopped Unable to complete inspection
Live Site type with Conditions category	Passed Non compliant (with conditions) Unable to complete inspection
Non-compliance follow up with Joint site visit category	Further inspections required Agreed site compliance Unable to complete inspection

(Previously section 3.3, 3.4 & 3.5 in Business rules v0.1 draft)

10.4. Scheduling inspections

• One inspection may be scheduled against a works record.
• A scheduled inspection consists of a date, time (optional) and inspection type & category.
• The date provided must be today or in the future. If time is provided, it must occur in the future.
• A scheduled inspection may be cancelled from the works record.
• A scheduled inspection that has not been cancelled will be automatically removed when any inspection is submitted.
• A scheduled inspection will remain on the works record until it is cancelled or an inspection is added regardless of the date and time the inspection was scheduled for.
• A new scheduled inspection may be created as part of any add an inspection process. Alternatively, A new scheduled inspection may be created directly on the works record level.

(Previously section 3.6 in Business rules v0.1 draft)

10.5. Adding inspections to work record

The Highway Authority have the option to add as many inspections as required to a works record. When the Highway Authority or Promoter organisation wishes to view inspections there is a limit of 50 displayed on the work record.

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11. Fixed penalty notice (FPN)

11.1. FPN reference number

• The FPN reference number is generated in the following format: {WRN}-FPN-{numerical suffix}
  • WRN - See the works reference number section for more details.
  • Numerical suffix - A minimum of two numbers starting from 01 for the first FPN created on the works record and counts up consecutively for each additional FPN (i.e. -01, -02, -03 etc).

(Previously section 2.2 in Business rules v0.1 draft)

11.2. FPN statuses

• The FPN statuses are as follows:
  • Issued - The initial status of an FPN issued by a HA. (Applicable for all FPNs)
  • Accepted - Promoter may change to this FPN status when to acknowledge receipt of FPN. (Optional status change)
  • Disputed - Promoter may change to this FPN status when in discussion with the HA about the validity of an FPN. (Optional status change)
  • Withdrawn - HA may change to this FPN status if HA agree to withdraw FPN. (if applicable)
  • Paid - HA acknowledge that the promoter payment (no discount) has been received. (if applicable)
  • Paid (Discounted) - HA acknowledge that the promoter payment (with discount) has been received. (if applicable)

A diagram of FPN statuses

(Previously section 2.1 in Business rules v0.1 draft)

11.3. Deleting an FPN

HA can delete a Fixed Penalty Notice (FPN) from the Works record. This will remove it from the FPN list, and make it’s details inaccessible. History in the Works record will, however, retain an entry indicating that an FPN has been added and later deleted.

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12. Lane rental

12.1. Lane rental assessment or charge types

• The lane rental charge types and descriptions are as follows:

Lane rental type	Description
Chargeable	Works will incur a lane rental charge
Potentially chargeable	Flagged or HA to follow up for inspection
Charges waived	Charges do not need to be paid e.g. due to collaborative works
Exempt	Works fall outside the lane rental scheme
Charges not applicable to works	Not applicable

(Previously section 18.1 in Business rules v0.1 draft)

12.2. Adding a lane rental assessment to a PA

• A lane rental assessment or charge may be added on any PA at any time.
• If chargeable, the charge band/tier and number of chargeable days may be optionally provided. Chargeable days must be greater than or equal to 1 and in whole numbers.

(Previously section 18.1 in Business rules v0.1 draft)

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13. Fee reporting

• A fee report is available showing individual entries for every chargeable transaction within a specified date range. Dates queried are the date of the chargeable transaction.
• The chargeable transactions included are as follows:
  • Granting of a PA
  • PAA progressed to PA - note, this occurs upon receipt of the PA, not when it is granted
  • Granting of a change request
  • A change in works category
• The maximum date range for the fee report is 31 calendar days.
• The fee report results are sorted by date of the chargeable transaction in ascending order.
• The following will be provided to support organisations calculating the fees due:
  • Road category
  • Is street is traffic-sensitive - are there any traffic-sensitive designations for the works’ USRN?
  • Is works is traffic-sensitive - were any traffic-sensitive designations selected by the promoter on the PA?
• Note: The works category field will be populated with the PAA/PA’s current works category at the time the report is run as opposed to showing the works category of the PAA/PA at the time the chargeable transaction took place.
• For example, if a PA is granted then soon after a works extension was also granted changing it from a standard to a major PA, there would be three transactions for this PA in the fee report:
  • granting of a PA
  • granting of a change request
  • change in works category
  • The works category field for all three of these transactions will be ‘major’
• Not included: inspection chargeable transactions; fee amounts

(Previously section 14.1 in Business rules v0.1 draft)

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14. Section 81 (S81)

14.1. S81 WRN

• The S81 WRN is generated in the following format: {HA SWA prefix}S81{numerical suffix}
  • HA SWA prefix - Two characters of the related HA organisation from the SWA code list.
  • Numerical suffix - randomly generated 8-digit number (following the unique WRN rule).

14.2. S81 reference number

• The S81 reference number is generated in the following format: {WRN}-S81

14.3. Adding S81s

• A promoter organisation must be assigned to the S81 by the HA. All promoter organisations within Street Manager will be available for selection.
• A new Section 81 works record will be automatically created and assigned to workstream ‘000’, upon submission of the Section 81 to the promoter.
• See works statuses for more details on how works records are differentiated.

14.4. Managing S81

• The following can be added to a S81 record:
  • Scheduled inspections
  • Inspections
  • FPNs
  • Files
  • Comments
• The following cannot be added to a S81 record:
  • Forward plans
  • PAA/PAs
  • Reinstatements
• S81 may be cancelled or resolved at any S81 status other than at ‘cancelled’ or ‘resolved’.
• See works statuses for more details on how works records are differentiated.
• Permit Application (PA) can be linked to a section 81.
  • One PA can be linked to one section 81.
  • Linked section 81 will be displayed on the permit details page, as a hyperlink
  • Linked PA will be displayed on the section 81 details page, as a hyperlink
• A Highway Authority (HA) can reassign a S81 to a different promoter.
  • Allowed only if Section 81 has a status of “Rejected” or “Cancelled”.
  • This will set the status of re-assigned section 81 to: “Submitted”.
  • Promoter previously assigned to that section 81 will no longer have access and visibility into it.

14.5. S81 statuses

A diagram of S81 statuses

15. Historical works

15.1. Adding records for historical works

• The following records may be created for historical works:
  • Inspection
  • FPN
• A promoter organisation must be assigned to the S81 by the HA. All promoter organisations within Street Manager will be available for selection.
• In addition to the inspection or FPN record, a new historical works record will be automatically created and assigned to workstream ‘000’.
  • The works reference number in Street Manager will be set to the ‘historical permit reference number’ entered in the process of adding an inspection or FPN for historical works.
• A historical permit reference number can be entered. These must only contain alphanumeric characters, dashes and underscores
• See works statuses for more details on how works records are differentiated.

15.2. Managing historical works

• The following can be added to a historical works record:
  • PAA/PAs
  • Scheduled inspections
  • Inspections
  • FPNs
  • Files
  • Comments
• Workstream must be specified when creating the first PA and may be different to what was previously set in EToN.
  • The historical works reference number will not change as a result of adding a new PA.

16. Non-notifiable works

16.1. Non-notifiable works reference number

• The WRN will be generated in the same way as the WRN for a PAA/PA. See ‘Works reference number (WRN)’ section for more information.
  • Workstream and promoter works reference must be specified.

16.2. Adding records for non-notifiable works

• The following records may be created for non-notifiable works:
  • Reinstatement (types: bar holes, core holes & pole testing)
• In addition to the reinstatement record, a new non-notifiable works record will be automatically created.
• See works statuses for more details on how works records are differentiated.

16.3. Managing non-notifiable works

• The following can be added to a non-notifiable works record:
  • PAA/PAs
  • Number of inspection units
  • Reinstatements
  • Scheduled inspections
  • Inspections
  • FPNs
  • Files
  • Comments

17. HS2

17.1. Act limits

• Geographical limits of the High Speed Rail Act are visible in the Map application for HS2 promoters and HS2 impacted highways authorities.
• Identifying a works as in-act limits or outside act limits will determine whether the application requires consultation or consent from the highways authority

17.2. HS2 applications

• HS2 promoters have the ability to submit both highways and street work applications.
• Additional fields are available for HS2 promoters when submitting applications to capture additional information relevant to HS2 works.
• HS2 promoter and HS2-impacted highways authorities have additional filters to manage HS2 specific works available in the Applications and Works lists .

17.2.1. Highway applications

• Highways applications submitted have a Works Category of HS2 (Highway)
• Applications In-Act limits are automatically granted. Highways authority can Acknowledge receipt but cannot grant or refuse the application.
• If protective provisions are selected (other than ‘none applicable’), then the Highways Authority will need to consent to the application, and grant or refuse as applicable.
• Application Out of Act limits must be granted or refused by highways authority. Out of act limits applications will deem after 28 days (or after 42 days for TfL) .
• Designations and Conditions are not applicable for Highways applications and are not available in the application journey
• A ‘requested response date’ can be provided by the promoter to indicate when the highways authority should provide consent/consultation by
• The highways authority cannot impose any changes on the HS2 promoter for highways works, or apply any lane rental charges or permit discounts
• Additional works location area options are available for HS2 applications
  • Additional USRNs - maximum of 10 USRNs can be specified. System will validate that they’re the correct format but not that they’re the correct USRNs for that area. As with primary USRN and other location info, can’t be changed as part of a change request
  • Parking place
  • Bus stop or stand
  • Cycle hire docking station
  • Taxi rank

17.2.2. Street works applications

• Applications In-Act limits are automatically granted. Highways authority can Acknowledge receipt but cannot grant or refuse the application.
• Designations and Conditions are not applicable for In-Act limit street works applications
• The highways authority cannot impose any changes on the HS2 promoter for street works within act limits, or apply any lane rental charges or permit discounts
• Additional works location area options are available for HS2 Applications
  • Parking place
  • Bus stop or stand
  • Cycle hire docking station
  • Taxi rank

17.3. Acknowledge applications

• Highways authority can only Acknowledge receipt of Highways or Street works within act limits.
  • For Highways works within act limit, acknowledge option will only be available if “Protected provisions (exemptions)” is “Not applicable”.
  • Grant, refuse or modification requests are available for all other application types.

17.4 Auto-grant of change requests

• Change requests for all highways applications (within and outside of act limits) and street works (within act limits) will be automatically applied.

17.5 Notifications

• Two email addresses can be captured in the application journey which will result in the sending of an email to the provided recipients

17.6 Forward plans

• Forward plans can be raised for HS2 works - both highway and streetworks.
• For highway works the forward plan will be progressed straight into a permit.
• For streetworks they will progress to a PAA if it is a major works and/or TTRO is required. For anything else it will progress to a permit

18. Sample Inspections

Upcoming changes: Note, that Sample Inspections will be replaced with Performance Based Inspections, effective April 1st, 2023.

18.1. Setting targets

• Only the HA admin can view, set and update sample inspection targets
• Targets need to be set against a promoter before they can be included in sample inspections
• The number of sample inspections to generate field has a max of 100. If nothing is entered will default to 0
• Only able to set up a maximum of 30 promoters
• Only the targets themselves can be updated. The promoter associated with the target cannot be changed

18.2. Eligible inspections

• The following are the criteria for an inspection to be included in the sample list, per category:
  • Category A - undertaken during the progress of the works. Therefore, works that are live/in-progress. They would expire from sampling on the proposed end date of the work record, or actual stop, if it was available at the time of generating the sample
  • Category B - Undertaken within the six months following interim or permanent reinstatement date i.e. the reinstatement date specified when added. Work records eligible for this category would be those with a reinstatement carried out less than than six months ago and would expire from sampling when the latest reinstatement was six months old or greater. Only applies to excavation reinstatements
  • Category C - Undertaken within the three months preceding the end of the guarantee period for permanent reinstatement only. Work records eligible for this category would be those with a guarantee end date coming up within the next 3 months and would expire when the end date is reached. Only applies to excavation reinstatements

18.3. Generating sample inspections

• The number of sample inspections to generate for each category is calculated as target minus current number of issued sample inspections
• The number generated is dependent on having eligible inspections available (see section 18.2 above). Thus the target number may not always be returned
• Completed and expired sample inspections are ignored when working out how many to generate
• Every time user selects generate, more samples will be added up to the cap specified

18.4. Sample inspection list page

• List only shows “active” sample inspections i.e. those that are eligible and have not expired or been completed
• The list will update as and when new sample inspections are generated and others are completed or expire

18.5 Updating sample inspection targets

• When any eligible inspection is raised and there is an active target for that promoter, progress against that target will be updated. If a sample inspection matching the inspection category was present for that work record this will be marked as completed.
• When any inspection which was eligible for sampling is withdrawn and there is an active target for that promoter, progress against the target will be updated. If this inspection was linked to a sample, the sample will be marked as issued.

18. Performance Based Inspections (upcoming)

Upcoming changes: Note, that Performance Based Inspections will replace Sample Inspections, effective April 1st, 2023.

18.1. Setting targets

• Only the HA admin can add, edit and remove Promoters from the Performance Based Inspections list, as well as view, set and update their quarterly targets.
  • Separate targets for A, B and C categories need to be set for a promoter, before samples can be generated and outcomes recorded for that promoter.
• Any number of promoters can be added to the system, but the number of works selected for sample inspections, at any single time, is limited to 4000.

18.2. Eligible inspections

• The following are the criteria for an inspection to be included in the sample list, per category:
  • Category A - undertaken during the progress of the works.
    • Due to short-term nature of category A sites, Street Manager will determine the target and track the progress towards it, but will not generate samples.
    • Inspectors are expected to select category A sites at random, with the use of API and/or in-house tools and procedures.
    • Category A Sample inspection can be recorded once the inspection quarter has been started and the target number set.
    • Caution: Category A Sample inspections can not be recorded once the target have been reached or the quarter have been stopped.
  • Category B - Undertaken within the six months following interim or permanent reinstatement date i.e. the reinstatement date specified when added. Work records eligible for this category would be those with a reinstatement carried out less than than six months ago and would expire from sampling when the latest reinstatement was six months old or greater.
  • Category C - Undertaken within the three months preceding the end of the guarantee period for permanent reinstatement only. Work records eligible for this category would be those with a guarantee end date coming up within the next 3 months and would expire when the end date is reached.

Street Manager will generate sample inspection against works, only if all of the following criteria are met:

• Excavation was carried out
• Reinstatement, other than “Bar holes”, “Core holes”, “Pole testing”, was made
• Permit is not for works on private street

Street Manager may target works where a sample inspection was previously recorded.

• If a Cat B sample (outcome) has been recorded, a Cat B or Cat C sample can be generated.
• If a Cat C sample (outcome) has been recorded, a Cat B or Cat C sample can be generated.

Street Manager will not generate additional samples, of the same type, in works where a sample is already present.

• If a Cat B sample is present, no additional Cat B sample will be generated in that works record.
• If a Cat C sample is present, no additional Cat C sample will be generated in that works record.

18.3. Generating sample inspections

• Sample generation is a process requested by HA admin user.
  • The process will start immediately, but may take some time to fully complete
  • Results may not be immediately visible (eg. while the system is identifying eligable inspection targets)
• To start generating samples, HA user must start a quarter and add Promoters that are to be part of the PBI, first
• The number of sample inspections generated depends on the number of recorded inspections and remaining quota.
• HA admin user can choose to generate some (up to 33% or up to 66%) or all (up to 100%) inspections.
  • system will generate a percentage of the target, as indicated by the HA user, minus the number of already recorded sample inspections
  • number of sample inspections to generate will be determined for each promoter and category separately
  • if the number of inspections recorded meets or exceeds the number requested, no additional samples will be generated
• The number generated is dependent on having eligible inspections available (see section 18.2 above). Thus the target number may not always be reached, if there is not enough eligable permits to choose from, at the time of generation
• Completed and expired sample inspections are ignored when working out how many to generate
• Every time user selects generate, more samples will be added up to the cap specified

18.3.1. Example: at the start of the quarter

• A Promoter was set, with a target of 10 Cat B inspections.
• Depending on the choice made by the HA admin, assuming enough eligable works records available:
  • Requesting up to 33% would results in 3 sample inspections being generated
  • Requesting up to 66% would results in 6 sample inspections being generated
  • Requesting up to 100% would results in 10 sample inspections being generated

18.3.2. Example: during the course of a quarter

• A Promoter was set, with a target of 10 Cat B inspections.
  • 5 Cat B inspections have already been conducted, during the quarter, and their outcomes recorded as: “Pass”, “Fail - Low” or “Fail - High”
• Depending on the choice made by the HA admin, assuming enough eligable works records available:
  • Requesting up to 33% would results in no additional samples
  • Requesting up to 66% would results in 1 sample inspection being generated
  • Requesting up to 100% would results in 5 sample inspections being generated

18.3.3. Example: at the end of the quarter

• A Promoter was set, with a target of 10 Cat B inspections.
  • 10 Cat B inspections have already been conducted, during the quarter, and their outcomes recorded as: “Pass”, “Fail - Low” or “Fail - High”
• System will not generate any further Cat B sample inspections for that Promoter, as the target was met in full.

18.4. Performance Based Inspection list page

• List only shows “active” sample inspections i.e. those that are eligible and have not expired or been completed
• The list will update as and when new sample inspections are generated and others are completed or expire

18.5 Updating sample inspection targets

• When any eligible inspection is recorded and there is an active target for that promoter, progress against that target will be updated. If a sample inspection matching the inspection category was present for that work record this will be marked as completed.
• When any inspection, which was eligible for sampling, is withdrawn and there is an active target for that promoter: the sample will be consumed, progress against the target will remain without change. Another sample may be generated, in this or other eligable record, next time sample generation is requested by the HA admin.
• When any inspection, which was eligible for sampling, can not be conducted and there is an active target for that promoter: the sample will be consumed, progress against the target will remain without change. Another sample may be generated, in this or other eligable record, next time sample generation is requested by the HA admin.

19. Performance Reporting

• This funtionality is available to Admin users only.
• Performance Reporting allows users to create and download data reports for specific activities.
• Each row in the report corresponds to:
  • A Promoter, if the report was requested by a Highway Authority.
  • A Highway Authority, if the report was requested by a Promoter.
• A report for up to 92 days can be requested.
• After a report is requested, the actual file can be downloaded from “CSV Exports” screen. A user is restricted to one download in progress at a time.

19.1. Available reports

• Number of PAAs and PAs sent or received
  • Total number of PAAs and PAs sent or received within a requested timeframe and based on date created
• PAA and PA outcomes
  • Outcome of PAA and PA assessments based on the date the outcome decision was made
• Number of change requests sent or received
  • Total number of change requests sent or received within a requested timeframe and based on date created
• Change request outcomes
  • Outcome of change request assessments based on the date the outcome decision was made
• All inspection outcomes
  • Total number of inspections broken down by their type, category and outcome, and based on date the inspection was created
• Number of fixed penalty notices
  • Total number of fixed penalty notices broken down by their status and based on date issued

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20. Section 74 (S74)

A diagram of section 74 statuses

20.1 Section 74 Overrun Warning

Status	Available for	Criteria
Warning issued	HA	Status initiated when Highway Authority begins the process of initiating a Section 74 Overrun Warning on a Permit.
Overrun charges ended	HA	Status change when Highway Authority has verified that the site detailed in the permit is now clear. No longer breaching Section 74.
Dispute overrun warning	Promoter	Status change when Promoter is not in agreement with the details or issuing of Section 74 Warning.
Overrun Warning Disputed	HA	Status change when Highway Authority acknowledges the disputed warning.
Withdraw overrun warning	HA	Status change when Highway Authority withdraws the warning that was issued.
Draft Invoice Issued	HA	Status change when Highway Authority has ended the overrun charge.
Mark as Resolved	HA	Status change when Highway Authority and Promoter have agreed the final invoice amount after negotiation offline.
Received overrun warning	Promoter	Status change indicating the warning has been acknowledged by Promoter.
Site visited works closed	Promoter	Status change by Promoter confirming the site highlighted in the warning is now clear.
Received draft invoice	Promoter	Status change indicating the draft invoice has been acknowledged by Promoter.
Reviewing draft invoice	Promoter	Status change indicating the details of the draft invoice is being reviewed by Promoter.
Charge reviewed	Promoter	Status change indicating the draft invoice has been reviewed with the final amount and details agreed by the Promoter and HA.

20.1.1 Issuing a Section 74 Overrun Warning

• Section 74 can be issued on any permit that does not have an overrun warning active against it.
• The following information can be added to an overrun warning:
  • Location area
  • Location description
  • Inspection date & time
  • Overrun warning reason
  • Overrun warning details
  • Officer name
  • Officer contact details
• The user is also able to record if a follow-up inspection required and upload files showing evidence of the site.
• The S74 reference number is generated in the following format: {Works Reference Number}-S74-{numerical suffix}.

20.1.2 Response to a Section 74 Overrun Warning

• Once a Section 74 Warning is added to a work record the promoter organisation has the option to respond.
• Promoter organisations have the option to respond with one of the following actions:
  • ‘Received overrun warning’: Promoter confirms they have seen the warning but no decision has been made to accept or dispute the warning.
  • ‘Site visited works closed: The Promoter notifies the Highway Authority that the problem onsite has been resolved and highway is now clear.
  • ‘Dispute overrun warning’: The Promoter notifies the Highway Authority that they are not in agreement with the details in the warning.

20.2 Section 74 Issuing Draft Invoice

20.2.1 Issuing a Section 74 Draft Invoice

• Highway Authority can progress the warning to ‘Overrun Charges Ended’, acknowledge that it has been disputed or withdraw the warning.
• Highway Authority does not need to wait for Promoter’s response and can withdraw the warning at anytime.
• Once a site is marked as ‘Site visited works closed’ the Highway Authority can visit the site and then update the action on the warning to ‘Overrun Charges Ended’ with the data below provided:
  • Date and Time HA observed site clear.
  • Additional Details (Optional).
• When issuing a draft invoice, the following information is provided:
  • Number of days overrun.
  • Draft invoice amount.
  • Draft invoice reference (Optional).
  • Additional details (Optional).

20.2.2 Responding to the Draft invoice

• When a Draft invoice is issued, promoter can acknowledge it’s presence by adding the response ‘Received Draft Invoice’ and has the ability to provide additional details (optional).
• The promoter can also add the response ‘Reviewing draft invoice’ when analysing the details of the draft invoice received, until Highway Authority resolves Section 74.

20.2.3 Resolving a Section 74

• Once the final invoice amount is agreed, the Highway Authority can withdraw it or mark it as resolved, with the information below to be provided:
  • Number of days overran.
  • Final Agreed Amount.
  • Invoice Reference (Optional).
  • Additional Detail (Optional).

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21. Duration Challenge Non-Acceptance

A diagram of the Duration Challenge Non-Acceptance process on a permit

A diagram of the Duration Challenge Non-Acceptance process on a Change Request

21.1 Duration Challenge

• Highway Authorities can add a duration challenge to Change Requests submitted by the Promoter and also on permits for Immediate Works.
• A reasonable period end date and reason for the duration challenge must be provided when adding a duration challenge.
• Reasonable period end date can not be set past the end date - in other words, Highway Authority can not extend the reasonable period, only shorten it.

21.2 Responding to a Duration Challenge

When a Promoter receives a duration challenge they have the following response options:

• Accept the duration challenge meaning they accept the new reasonable period date provided by the Highway Authority.
• Duration Challenge not accepted meaning the Promoter does not agree with the details of the of the duration challenge.

By responding to duration challenge and accepting the ‘reasonable period end date’ this will not update the ‘granted permit end date’.

21.3 Non-Acceptance of a Duration Challenge

When a Promoter does not accept a duration challenge the Highway Authority have the option to update the reasonable period end date. The Highway Authority can choose an alternative date.

If the Highway Authority chooses not to propose a new ‘reasonable period end date’ they can provide details on this decision.

The Promoter can respond with one of the following options:

• Accepted: Promoter accepts the current reasonable end date provided by the Highway Authority.
• Not accepted: Works will continue to granted permit end date.

Following a Duration Challenge Non-acceptance process, there is no requirement for a Change Request to be sent to change the Permit end date, to match the Reasonable Period end date.

Promoters should ensure that all involved with the work are aware of the reasonable period end date.

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22. Section 58

A diagram of section 58 statuses

22.1 Propose Section 58

When creating a Section 58 (S58) the following information is required:

• USRN of the street

• Polygon or Line of the affected area

• Contact organisation/ details (optional)

• Proposed Start Date

• Restriction Duration

• The restriction duration options are as follows:
  • 6 months
  • 1 year
• 2 years

• 3 years

• Extent of restriction
• Extent of restriction options are as follows:
• Whole Road

• Part of Road

• Section 58 location
• Section 58 options are as follows:
• Footway
• Carriageway
• Verge
• Cycleway
• Footpath

22.2 Update Section 58 to ‘in-force’

• Once you have completed the works that will be subject to a Section 58 restriction you must update the status to ‘in force’.

• When progressing the S58 to ‘in force’ the following information will be required:

  • Restriction start date

• Adding the restriction start date will update the restriction end date based on the restriction duration that was entered during the ‘proposal’ stage of the S58.

22.3 Cancelling Section 58

• Highway Authorities can cancel a S58 during any of the following stages if it is no longer applicable:
  • Proposed
  • In force
• If detail relating to a S58 is required to be changed e.g. the restriction duration, the S58 will need to cancelled and a new S58 raised in its place.

22.4 Closing Section 58

• Once a S58 has reached it’s restriction end date, this will be automatically closed. This will only apply to S58s created via the ‘Section 58 Restricted Works’ tile.

22.5 Viewing Section 58

• Viewing the map where the street, authority, restriction information and status are displayed for all S58s that are in-force or proposed.

• Viewing the list via the S58 tile will show all S58s that are proposed, in-force, closed or cancelled.

22.6 Historic Section 58

• All S58s entered into the system as an activity before the dedicated S58 tile will still appear on the map but will not show on the list page. These S58s will show on the map if they are: proposed, in force, closed or cancelled.

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Changes

Section	Change comment
3.5. Ancillary information	New section added
6.6. Changing the number of inspection units	Described upcoming changes
21. Duration Challenge Non-Acceptance	Updated in regards to Non-acceptance process

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Glossary

External Glossaries

Useful resources containing Street-works-related glossary sections below:

• New Roads and Street Works Act (NRSWA):
  https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/43578/street-works-code-of-practice.pdf
  
  
• GeoPlace glossary:
  https://www.geoplace.co.uk/helpdesk/faqs/glossary

Street Manager Glossary

Term	Definition
Activity	A record of a public event or highway license.  Note: this is different to “Works activity” that is defined separately in this glossary.
Change Request (CR)	An application to amend (or a historical record of an amendment of) an existing PAA or Permit Application (PA).  Related to what was previously known as “Works Data Alteration”
CSV	A file format that stands for “Comma Separated Values”. It is a plain text file that contains a list of data. Each line of the file is a data record. Each record consists of one or more fields, separated by commas.
Designations	Should be interpreted to mean Special Designations (except where otherwise qualified). See the GeoPlace glossary for the definition of Special Designation.
Designations impacted	The designations applicable to the works. This should be provided wherever a works is notified against a street where a designation exists and that designation applies to the application. This is especially important for some special designation codes including but not limited to Traffic Sensitive and Special Engineering Difficulty (SED).
Failed — high	A failed outcome of any inspection with higher risk inadequacies or defects causing danger. See the Code of Practice for Inspections for more information.
Failed — low	A failed outcome of any inspection with higher risk inadequacies or defects are not causing danger. See the Code of Practice for Inspections for more information.
Final site registered	An indicator to advise when no more sites will be registered for the latest PA.  Related to what was previously known as ‘full registration’.
Forward plan	A record containing information on a promoter’s potential major road or street works that has been planned as part of their long-term programme.  Previously known as ‘forward planning information’.
Geographic area	An area within a HA organisation used to divide works and records geographically for HA users (such as permit officers or inspectors).
Highway Authority (HA)	As defined in sections 1 and 329 of the Highways Act.
Historic / Historical works	Works recorded and completed outside of Street Manager e.g. works recorded in EToN.
Modification requested	HA has requested for changes to be made on a PA.
Minimum notice period	The minimum period of notice to be given to the Highway Authority for street works. See the NRSWA for more information.
Notifying Environmental health	To advise if the works will generate noise on site outside of specified/restricted hours.  The applicable types of works, noise and specified/restricted hours are as detailed in the Control of Pollution Act 1974 and/or as defined by the local authority (e.g. City of London).
PAA	Provisional Advance Authorisation. The early provisional approval of activities in the highway.
Primary notice authority	The Highway Authority responsible for the coordination of Street Works on the specified street or part street. In the case of Private Streets this is the Local Highway Authority whose area covers the Private Street.
Promoter / Works promoter / Promoter organisation	Any organisation undertaking works on the Highway under a Statutory Undertakers Licence or a Highway Authorities Licence and working within the NRSWA / Traffic Management Act (TMA) legislative framework.
Response period	The maximum period that a Highway Authority has to respond to an application prior to the application deeming.
Road type	Synonym for ‘Reinstatement type code’ (See NSG Type 62 record). Examples include Carriageway types (1, 2, 3, 4 & 0), High Duty Footway and Private Street.
Working day	As defined in the Glossary of the NRSWA.
Works activity	The reason for undertaking the works.  Note: this is different to “Activity” that is defined separately in this glossary.
Works record	A repository of notifications (such as PAA/PAs, reinstatements, inspections and FPNs) and file attachments associated with a particular works.
Works stop	Notification used to indicate that the promoter is no longer occupying the highway. Serves the purposes of both the works clear and works closed notice described in the legislation.
Workstream	An area within a promoter or HA organisation used to divide works and records for planner users.  Related to what were previously known as ‘operational districts’.