New Roads and Street Works Act 1991 - Code of Practice for the Co-ordination of Road Works and Works for Road Purposes and Related Matters

APPENDIX H

H1 Road Works Authority Consent to Works on Roads with Restrictions

H1.1 Consent to Execute Works within 12 Months of the Restriction

H1.1.1 The first 12 months of a restriction commencing on the day after the completion of the substantial works for road purposes is enforceable under section 117 (1) of the NRSWA .

H1.1.2 In considering applications from undertakers for consent to carry out road works, road works authorities must take account of the needs of the undertaker's customers. The key test is whether the undertaker could reasonably have foreseen the eventuality during the notice period and / or could reasonably be required to postpone the work until the end of the restriction.

H1.1.3 If the road works authority consents to the road works proceeding within the 12 month restriction they may apply conditions to the consent being granted. The road works authority must record the consent to execute the notified works within the SRWR in the comments field of the works notice. This record should include the details of any conditions attached to the consent. There is no definition in the NRSWA or its regulations of what these conditions could include.

H1.2 Conditions attached to the consent

H1.2.1 It is recommended that any conditions for both carriageway and footway are based on the points below.

For all surfaces

• The undertakers works executed after a section 117 restriction has commenced are completed in accordance with the SROR. Any subsequent resurfacing will be within the time scales contained in this code of practice, to the same standard as the original works for road purposes, carried out by the road works authority.
• The resurfacing works, if carried out by the road works authority, should be carried out at the undertakers' expense.
• The resurfacing works should be carried out by the road works authority if the surface (carriageway or footway) is identified as a Special Engineering Difficulty (SED) or matches the footway definition of High Amenity used in the National Street Gazetteer (NSG) reinstatement category code 6.
• The road works authority may agree to an undertaker carrying out the resurfacing subject to an agreement of works specification / materials, the qualification of the undertaker or his contractor to carry out the works and the undertaker notifying the works as per H2.2.4

For all flexible surfaces both carriageway and footway

• For the excavated area within the restriction, the resurfaced area should extend to a minimum of 1 metre beyond the excavated area, or to an existing joint if nearer. Where the excavated area does not cross a longitudinal joint in the existing surface. Any extension of the excavated area to be resurfaced should not cross a longitudinal joint.
• If, when the resurfaced area has been extended 1 metre beyond the excavated area, this brings the resurfaced area within 1 metre of a joint in the existing surfaced area, a kerb, or the end of the section 117 restriction, the resurfacing shall be further extended to that joint, kerb, or the end of the restriction. (see H1.1.2 for a more detailed explanation)
• The standard used shall be: the specification for the construction of road pavements and associated structures as detailed in the Manual of Contract Documents for Highway Works Volume 1 Specification for Highway Works (SHW)

For all block paved surfaces both carriageway and footway

• The minimum area to be resurfaced shall be that defined in SROR S2 effective width of reinstatement modules. The standard used shall be: the specification for the construction of road pavements and associated structures as detailed in the Manual of Contract Documents for Highway Works Volume 1 Specification for Highway Works (SHW)

For all other types of construction

• The area to be resurfaced shall use the same principles as those described for flexible surfaces. The standard used shall be: the specification for the construction of road pavements and associated structures as detailed in the Manual of Contract Documents for Highway Works Volume 1 (SHW) modified as required by the road works authority to meet the requirements of the particular road construction.
• The resurfacing works should be carried out by the road works authority at the undertakers' expense. This is particularly important if the surface (carriageway or footway) is identified as a Special Engineering Difficulty (SED) or matches the footway definition of High Amenity used in the National Street Gazetteer (NSG) reinstatement category code 6.

H1.2.2 The road works authority may agree to an undertaker carrying out the resurfacing subject to an agreement of works specification / materials, the qualification of the undertaker or his contractor to carry out the works and the undertaker notifying the works as per H2.10.

H1.3 Resurfaced Area of Flexible Carriageway and Footway

Where the restriction applies to a flexible surface, the resurfacing should be carried out in resurfacing panels. A panel is the machine width between interfaces (which must not be less than the existing machine laid width in the road in question) and a minimum 15 metres in length. See Annex A for details of practical applications of resurfacing in panels in a carriageway. Where the restriction applies to a footway surface which has been laid by hand, then the resurfacing may be carried out by hand.

H1.4 Guarantee

When the road works authority has carried out the resurfacing; the responsibility for the guarantee for the undertaker's resurfaced trench shall be determined as described in section 132 (6) of the NRSWA. i.e. the road works authority will be responsible for the extent of the trench that was excavated and /or resurfaced as part of the resurfacing. The undertaker will remain responsible for the depth of the trench that has not been disturbed by the resurfacing in accordance with the SROR (subject to s132 (8) of the NRSWA).

H1.5 Charges by Road Works Authority

To ensure transparency of cost when the road works authority carries out the resurfacing it is recommended that the charges are determined as per Annex B.

H2 Road Works Authority Consent to Works after 12 Months of the Restriction

H2.1 Consent to Execute Works between 12 and 36 Months of the Restriction

H2.1.1 The second and third years of restriction commencing on the day after the completion of the Substantial Works for Road Purposes is not enforceable in law under section 117 (1) of the NRSWA. However RAUC(S) has recommended that as best practice this period is extended for certain works as shown in paragraph 5.6.4. Therefore an undertaker should make a request for consent to execute such road works in the 2nd and 3rd year of the restriction period.

H2.1.2 The extended restriction to three years only applies to the carriageway, therefore works in the footway and any exempt works in the carriageway should have notices served and be dealt with by the road works authority standard process.

H2.1.3 When an undertaker makes a request to carry out works within the 2nd and 3rd year of the restriction, the road works authority and undertaker should in the first instance try to reach an agreement where the works are deferred to a period after the restriction. If the undertaker insists that the works proceed then the NRSWA notice process should be followed and the works are subject to the usual powers of direction. In addition, the road works authority should advise the undertaker that they intend to issue a resurfacing notice under this Code of Practice.

H2.2Resurfacing Notice

H2.2.1 A resurfacing notice can only be served when an undertaker has:

• notified proposed works under section 113 or 114; or
• the works are in the process of being executed in a road; and
• the works involve excavation in the carriageway; and
• the works would not have been exempt from a section 117 restriction; [see paragraph 5.4] and
• a section 117 restriction has been previously served for that part of the road; and
• the proposed start date for the undertakers works or the actual start date, is within three years of the commencement date of the section 117 restriction.

H2.2.2 The resurfacing notice must be issued within 10 days from the receipt of the undertaker's notice of proposed road works and must.

• provide details of the of the area(s) to be resurfaced in sufficient detail for it to be identified on the ground and a plan attached to the notice in SRWR showing the area to be resurfaced in a similar manner to the example in Annex A.
• provide the commencement date of the resurfacing, which must be more than 120 days after the completion of the undertakers road works (this is to allow any issues with the excavation to manifest themselves)
• provide the latest permitted completion date of the resurfacing, which must not be more than 12 months after the completion of the undertakers road works.
• specify times or days when the resurfacing cannot be executed
• specify any stages that the resurfacing works must be executed in
• specify details of any materials to be used to match the existing
• contain the undertakers notice reference for their works.
• provide for an undertaker obligation to complete an interim reinstatement to permanent within 6 months to be extended to 12 months.

H2.2.3 The timescales and detail described in the resurfacing notice can be amended by agreement of both parties. Because the roads authority has 10 days in which to issue the resurfacing notice, it is strongly recommended that works promoters wishing to carry out works during a period of restriction provide adequate notice period. If the promoter proceeds with the works during the 10 day period, by doing so they are accepting that they may be required to resurface

H2.2.4 The resurfacing notice will give the undertaker the option of carrying out the resurfacing. This assumes that the undertaker or his contractor is qualified to carry out the works and has the ability to meet the works and materials specification. It is the responsibility of the undertaker to ensure the resurfacing is carried out. Alternatively the undertaker may request that the resurfacing shall be carried out by the road works authority at the undertaker's expense.

H2.2.5 Where the surface of the carriageway is identified as a Special Engineering Difficulty (SED) or matches the footway definition of High Amenity used in the National Street Gazetteer (NSG) reinstatement category code 6. The road works authority is normally best placed to carry out the resurfacing.

H2.2.6 If the undertaker does not complete the works within the latest permitted completion date in the resurfacing notice, then a new timescale may be agreed. Where a new timescale cannot be agreed or a second completion date has not been complied with, the resurfacing shall be carried out by the road works authority as soon as practicable and they may recover their demonstrable costs from the undertaker.

H2.3 Response to a Resurfacing Notice

H2.3.1 The undertaker responds via the SRWR to the road works authority who issued the notice endorsed with a statement that the undertaker intends:

• to carry out the road works and that he will be arranging for the completion of the resurfacing works to the required standard; or
• not to proceed with the road works.

H2.3.2 This response must be within 20 days of receipt of the notice. If the undertaker fails to respond within the 20 days, it will be presumed that the undertaker is not proceeding with the works and he must cancel the original road works notice in the SRWR.

H2.4 Request for Road Works Authority costs

In order to meet the latest permitted completion date, the undertaker may wish to seek a price from the road works authority instead of carrying out the resurfacing works themselves. If so they must notify the road works authority of their intention and request a price at least 1 month before and not more than 2 months before the intended commencement of the resurfacing works.

H2.5 Response to a Request for a Price

The road works authority shall respond within 20 days of the request being received. By giving a copy of the resurfacing notice endorsed with the total price for the works or indicating that they do not wish to supply a price for the works. Items typically to be covered within the price are contained in Annex B.

H2.6 Confirmation of resurfacing works

H2.6.1 If the undertaker decides to accept the road works authority price, they must notify the road works authority by giving a copy of the resurfacing notice endorsed with a statement of acceptance. The road works authority should then carry out the works within the timescale detailed in the resurfacing notice.

H2.6.2 If the undertaker decides not to accept the road works authority price and is using another contractor to carry out the resurfacing, they must inform the roads authority by giving a copy of the resurfacing notice suitably endorsed.

H2.7 Works notified by more than one undertaker

H2.7.1 If additional undertaker's works are notified for the carriageway of the road where a resurfacing notice has been served, and prior to the resurfacing work being executed, and provided they are not exempt works under section 117, they should be dealt with as follows.

H2.7.2 The undertaker's works are to be commenced within the 120 day period prior to the commencement date in the resurfacing notice:

• If the additional works are from the same undertakers as the resurfacing notice was served on. The road works authority should vary the resurfacing notice to include the additional works as per resurfacing notice; or
• If the additional works are from an additional undertaker. The road works authority should issue a resurfacing notice to the additional Undertaker, and issue a variance of the resurfacing notice previously issued for the road. The additional notice and the variance should require the execution of the works in both notices at the same time and identify both undertakers and their respective NRSWA notice numbers for the works. This will enable the undertakers concerned to co-ordinate the resurfacing works and share the costs in an equitable manner. See Annex C for examples

H2.7.1 The undertaker's works are to be commenced within 1 month of the completion of the works in the resurfacing notice.

• If the additional works are from the same undertakers as the resurfacing notice was served on. The road works authority should use its powers of direction to require that the proposed works and the resurfacing works are executed within the same time period to reduce disruption. This will require a direction under section 115 and /or a variance to the dates in the resurfacing notice.
• If the additional works are from an additional undertaker. The road works authority should use its powers of direction to require that the proposed works and the resurfacing works are executed within the same time period to reduce disruption. The road works authority should then issue a resurfacing notice to the additional undertaker, and issue a variance of the resurfacing notice previously issued for the road. This variance may require changes to previously notified timings or other conditions. The additional notice and the variance should require the execution of the works in both notices at the same time and identify both undertakers and their respective NRSWA notice numbers for the works. This will enable the undertakers concerned to co-ordinate the resurfacing works and share the costs in an equitable manner. See Annex C for examples.

H2.8 Area to be resurfaced

Flexible carriageway

H2.8.1 Where the restriction has applied to a flexible carriageway the resurfacing should be carried out in resurfacing panels. A panel is the machine width between interfaces (which must not be less than the existing machine laid width in the road in question) and a minimum 15 metres in length. See Annex A for details of practical applications of resurfacing in panels.

H2.8.2 The resurfacing should be designed and executed to the standards in the specification for the construction of road pavements and associated structures as detailed in the Manual of Contract Documents for Highway Works Volume 1 Specification for Highway Works (SHW)

Block Paved Carriageways

H2.8.3 Where the restriction has applied to a block paved carriageway. The minimum area to be resurfaced and the standard to be used shall be the SROR S2 effective width of reinstatement modules.

For all other types of construction

H2.8.4 The area to be resurfaced should use the same principles as those described for flexible surfaces. The standard used shall be: the specification for the construction of road pavements and associated structures as detailed in the Manual of Contract Documents for Highway Works Volume 1 (SHW) modified as required by the road authority to meet the requirements of the particular road construction.

H2.9 Guarantee

H2.9.1 When the undertaker carries out the resurfacing works, the undertakers' road works which prompted the serving of the resurfacing notice shall be guaranteed, in accordance with section 130 (2) of the NRSWA

H2.9.2 The resurfaced area outside the original road works excavation shall be guaranteed against the agreed specification for the works for 1 year from the date of completion of the resurfacing. Undertaker's trenches that sink subsequent to a resurfacing will not only require remedial works on the trench but a replacement of the resurfaced area affected by the remedial works on the same basis as H2.8 i.e. one metre of remedial works on a depressed trench will require a minimum of a panel width replacement of the resurfaced area for a length of 15 metres.

H2.9.3 When the road works authority carries out the resurfacing works, the undertakers' road works which prompted the serving of the resurfacing notice shall be guaranteed, in accordance with section 132 (6) of the NRSWA. i.e. the road works authority will be responsible for the extent of the trench that was excavated and /or resurfaced as part of the resurfacing. The undertaker will remain responsible for the depth of the trench that has not been disturbed by the resurfacing in accordance with the SROR (subject to section 132 (8) of the NRSWA).

H2.10 Notice of resurfacing works

H2.10.1 When an undertaker has been served with a resurfacing notice and decides to carry out the resurfacing works described in that notice. He shall serve the appropriate notices under section 113 & 114 as if the resurfacing works where defined as 'road works' as per section 107.

H2.10.2 When the undertaker carries out the resurfacing work, the undertaker will complete a section 129 notice for the resurfacing work as if the resurfacing works where defined as 'road works' as per section 107. When the undertaker has completed the original excavation works for the installation or maintenance of the apparatus. He will have submitted a section 129 notice for either a permanent or interim reinstatement. Either way he must submit the notice as a permanent reinstatement on completion of the resurfacing giving the full dimensions of the resurfaced area and showing this as a polygon on the map.

H2.10.3 When the road works authority carries out the resurfacing work, the undertaker will complete a section 129 notice for the original road work and the road works authority will serve the appropriate notices on a new works reference for the proposed resurfacing works and record the completion in the SRWR as section 112B (6) of the NRSWA.

H2.10.4 On the completion by the road works authority of the resurfacing works or immediately before the expiry of the 12 month period for an interim reinstatement, whichever is the sooner the undertaker will change the interim section 129 notice for the original road works to permanent in the SRWR.

H2.11 Disputes and Appeals against a Resurface Notice

H2.11.1 Where an undertaker has been given a resurfacing notice by a road works authority, the undertaker may appeal against that notice. Any appeal should be referred to the dispute resolution and arbitration process described in the Dispute Resolution and Appeals Code of Practice.

H2.11.2 Where an undertaker has been given a resurfacing notice by a road works authority, the undertaker may dispute the circumstances in which the road works authority served the resurfacing notice. The area that requires resurfacing and the timing of the resurfacing works, and the materials and workmanship standard required. Any dispute should be referred to the dispute resolution and arbitration process described in the Dispute Resolution and Appeals Code of Practice.

Annex A to Appendix H - Machine width examples

Continuous Trench:

Where the undertakers trench is continuous along the carriageway of the road with a restriction in place: The width of the road to be resurfaced shall be the width of a panel and the length shall be the length of the trench plus one metre at each end. If the trench continues beyond the restriction, the length of carriageway to be resurfaced shall stop at the end of the restriction.

If the trench crosses the longitudinal joint in the existing surface then the resurfacing shall continue on the opposite side of the joint, there shall be a one metre overlap of resurfacing on each panel from the point where the trench crosses the longitudinal joint in the existing surface. If when the resurfaced area has been extended 1 metre beyond the excavated area, this brings the resurfaced area within 1 metre of a joint in the road surface or the end of the section 117 restriction the resurfacing shall be extended to the joint or the end of the restriction. See example A below.

Individual Excavations:

Where the works consist of a single excavation in the carriageway of the road with a restriction in place: The width of the road to be resurfaced shall be the width of a panel and the length shall be the length of the excavation plus one metre at each end. Where this produces a total length less than 15 metres the length shall be extended to 15 metres of resurfacing.

Where the works consist of a number of individual excavations in the carriageway of the road with a restriction in place: The width of the road to be resurfaced shall be the width of a panel and the length shall be the length of each excavation plus one metre at each end. Where this produces a length for any individual excavation of less than 15 metres the length shall be extended to 15 metres of resurfacing.

When each excavation has had its 15 metres or other length defined and this will leave 15 metres or less between each resurfaced panel then the panels shall be joined in one continuous resurfacing.

If when the resurfaced area has been extended 1 metre beyond the excavated area, this brings the resurfaced area within 1 metre of a joint in the road surface or the end of the section 117 restriction the resurfacing shall be extended to the joint or the end of the restriction. See example C below.

Works crossing longitudinal joint in the existing surface

When any longitudinal joint in the existing surface is crossed by a road works excavation. A panel each side of the joint shall be resurfaced which extends for 1 metre beyond the point at which the excavation crosses the joint. If the excavation follows the longitudinal joint in the existing surface continually crossing and re-crossing then a panel both sides of the joint for the continuous length of the excavation plus 1 metre at each end shall be resurfaced. If when the resurfaced area has been extended 1 metre beyond the excavated area, this brings the resurfaced area within 1 metre of a joint in the road surface or the end of the section 117 restriction the resurfacing shall be extended to the joint or the end of the restriction

Annex B to Appendix H - Resurfacing cost calculations

Typically the costs of items listed below may be included in any price for payment to a road works authority for carrying out the resurfacing works in a resurface notice.

• Labour costs of resurfacing
• Materials costs for resurfacing
• Patching costs [these should be minimal as the road has recently been resurfaced]
• All design costs for the resurfacing works [If a road works authority approved design exists these cost should be minimal]
• All design cost for the for the Traffic Management for the works
• Traffic Management costs, includes diversion costs
• Accommodation works if required
• Restricted working hours if required
• Road markings
• Replacement of traffic loops, traffic calming, and special surface e.g. anti skid
• Communication with local residents
• Welfare provision
• Preliminaries and overheads
• Environmental costs e.g. water course screens permits, land fill costs etc.
• The cost of any approvals that may be required

If a TTRO is required the cost should be included, the basis of the calculations should be based on NRSWA S135. All costs shall be exclusive of VAT.

The contractor used by either the undertaker or the road works authority should supply a copy of the results of all analysis, assessment, or evidence that demonstrates compliance with the material and workmanship requirements to the road works authority if requested.

If the undertaker carries out the resurfacing works they are required to give the road works authority facilities to monitor the works. However if the road works authority wishes to carry out testing, it must do so at its own expense.

Annex C to Appendix H - Additional Undertakers Cost Sharing

Example 1 - Trench B occupies 25% of the resurface length for trench A and should bear 25% of the costs plus the resurface costs for the area outside trench A resurface area
Example 2 - Excavation A and B are small enough and close enough to fall within one minimum 15m resurface panel and the costs should be shared equally

Example 1 - Trench B occupies 1m of the length the resurface area for trench A and should bear that % of the resurface area length plus the resurface costs for the area outside trench A resurface area
Example 2 - Excavation A and B are not close enough together to fall within one minimum 15m resurface panel, so A & B pay for a 15m panel each.

Notice process flow chart