Street works - Business rules

Version 2.00 (Released 01/03/2023 - Updated 07/06/2024)

Index

© Crown copyright 2023, except where otherwise stated.





2.1. Works submissions and applications

(Previously section 3 in Business rules v1.x)

2.1.1. Works reference number (WRN)

The WRN is generated in the following format: {SWA prefix} {workstream prefix} {promoter works reference}


2.1.2. Works statuses

Street Manager - Works statuses A diagram of works statuses


2.1.3. Forward plans

Street Manager Forward plan statuses A diagram of forward plan statuses



2.1.4. PAA and permit applications (PA)

2.1.4.1. Permit reference number


2.1.4.2. Works types

Works types are as follows:


2.1.4.3. Works categories

Works categories are as follows:

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

Street Manager - Works category logic A diagram of Works category logic


2.1.4.4. Works activity types

Works activity types available are as follows:

2.1.4.5. 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:

2.1.4.6. 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


2.1.4.7. 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.

Street Manager - PAA/PA assessment decision options A diagram of PAA/PA assessment decision options

2.1.4.8. 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:


2.1.4.9. 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


2.1.4.10. PAA statuses

Street Manager - PAA statuses A diagram of PAA statuses


2.1.4.11. PA statuses

Street Manager - PA statuses A diagram of PA statuses


2.1.4.12. 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


2.1.5. Ancillary information

2.1.5.1. 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:

2.1.5.2. Removal

Ancillary information can be indicated as “removed” when they are no longer relevant or factually accurate.

2.1.5.3. Validation and limits

The following limits apply to an individually permit (a permit does not influence other permits within works record):


2.1.6. Changes to traffic management

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

2.2. Non-notifiable works

2.2.1. 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.

2.2.2. Adding records for non-notifiable works

The following records may be created for non-notifiable works:

2.2.3. Managing non-notifiable works

The following can be added to a non-notifiable works record:

2.3. HS2

2.3.1. 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

2.3.2. 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.

2.3.2.1. 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

2.3.2.2. 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

2.3.3. Acknowledge applications

Highways authority can only Acknowledge receipt of Highways or Street works within act limits.

2.3.4 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.

2.3.5 Notifications

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

2.3.6 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

2.4. Lane rental

2.4.1. 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

2.4.2. 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.

2.5. Change requests (CR)

2.5.1. Change request reference number

The change request reference number is generated in the following format: {permit reference number} -CR- {numerical suffix}

2.5.2. 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.

2.5.3. 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:

2.5.4. 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.

2.5.5. 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.

2.5.6. 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.

2.5.7. Change request statuses

Street Manager - Change request statuses A diagram of Change request statuses

2.6. Duration Challenge Non-Acceptance

Street Manager- Duration Challenge Non-Acceptance Permit A diagram of the Duration Challenge Non-Acceptance process on a permit
Street Manager- Duration Challenge Non-Acceptance Permit A diagram of the Duration Challenge Non-Acceptance process on a Change Request

2.6.1 Duration Challenge

2.6.2 Responding to a Duration Challenge

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

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

2.6.3 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:

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.

2.7. 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

2.8. Delivering and executing works

2.8.1. Logging works start

To log a works start

2.8.2. Reverting works start

Works start may be reverted if

2.8.3. Logging works stop

To log a works stop

2.8.4. Reverting works stop

Works stop may be reverted if

2.8.5. 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.

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

2.8.6. 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.

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:

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.

2.8.6.1 Exceptions

Upcoming changes: effective April 1st, 2023.

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

2.8.7. 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

2.9. Viewing and managing records

2.9.1. 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:

2.9.1.1. 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

2.9.1.2. 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

2.9.2. Works history

Works history is available for each works record showing all events related to the works record. The works history includes:

2.9.3. 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

2.9.4. Searching records

Search functionality is available on the following list pages:

2.9.5. Advanced filtering

Advanced filtering is available on the following list pages:

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)

2.9.6. Exporting records

Exports requested will be placed into a queue and available for download from the user’s CSV Exports page.

Status Status description
Queued Awaiting processing
In progress CSV in process of being generated
Ready File may be downloaded
Failed An error has occurred
Street Manager - Export file process A diagram of export file process

Export functionality is available on the following list pages:

2.9.7. Geographical areas and views

(work in progress)

2.9.7.1. Managing geographical areas

Only admin users can manage geographical areas Each geographical area is defined by a list of USRNs.

2.9.7.2. 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).

2.10. Sites and reinstatements

2.10.1. 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.

2.10.2. Reinstatement types

The reinstatement types are as follows:

2.10.3. 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.

2.10.4. 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.

2.10.5. 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

2.10.6. 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.

2.11 Private Streets

2.11.1 Submitting a notice

Permit Application can be submitted by Promoters, only on USRNs that are fully or partially private.

When USRN is indicated as having sections that are both private and public, one can choose to submit a permit or a notice.

Notice does not need to be assessed, or acknowledged, by Highway Authority. It is submitted for information purposes only. Notices will be presented separately, both via a dedicated UI in the web service and via a dedicated endpoint in the API.

Private Street notice works records, due to the nature of those works, lack certain features (Inspections, Reinstatement) present in Works records containing Permit Applications (raised on public roads). There is no requirement to log work start, stop or register reinstatement, and no inspections would be logged there by Highway Authority.

Note: There were Permit Applications raised before the dedicated Private Street Notice was introduced. Those will remain as permits - there are no plans to migrate or otherwise process those, at this time.

2.11.2 Private Streets reference number

Each Private Street Notice will be assigned it’s own reference number, numbered independently of the permit applications.

2.11.3 Works statuses

Private Street notices can have a status of:

2.11.4 Cancelling works

When the works have been cancelled, or the notice itself was found to be inaccurate, it can be cancelled by the Promoter, at any time.