rauc(s) fpn seminar 26th march 2009

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Fixed Penalty Notices Fixed Penalty Notices Seminar Seminar Welcome

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Page 1: RAUC(S) FPN Seminar 26th March 2009

Fixed Penalty Notices SeminarFixed Penalty Notices Seminar

Welcome

Page 2: RAUC(S) FPN Seminar 26th March 2009

www.roadworksscotland.gov.uk

Fixed Penalty Notices Fixed Penalty Notices SeminarSeminar

► Agenda:Agenda:

► 13:0013:00 Registration and coffeeRegistration and coffee► 13:3013:30 Welcome Introductions and Safety mattersWelcome Introductions and Safety matters► 13:4513:45 OverviewOverview

► Why NowWhy Now – Andrew Leyden – Andrew Leyden► What is an FPN? What is an FPN? – Alex Rae– Alex Rae

► 14:0014:00 Implementing FPN PolicyImplementing FPN Policy► Is My Organisation Prepared Is My Organisation Prepared – John Gooday– John Gooday► Payment Mechanisms Payment Mechanisms – Andrew Leyden– Andrew Leyden► Use of the SRWR to Issue and Review FPNs Use of the SRWR to Issue and Review FPNs – Ken Hickson– Ken Hickson► Hearing process Hearing process – Ray Elliot– Ray Elliot

► 16:0016:00 FPN Indicators FPN Indicators – Nisha Kharbanda– Nisha Kharbanda

► 16:0016:00 CloseClose

Page 3: RAUC(S) FPN Seminar 26th March 2009

Fixed Penalty NoticesFixed Penalty Notices

Why Now?Why Now?

Page 4: RAUC(S) FPN Seminar 26th March 2009

www.roadworksscotland.gov.uk

Why Now?Why Now?

►Transport (Scotland) Act 2005Transport (Scotland) Act 2005►2007 - Scottish Road Works 2007 - Scottish Road Works

CommissionerCommissioner►April 2008 - Bulk of subordinate April 2008 - Bulk of subordinate

LegislationLegislation New NoticesNew Notices New Notice PeriodsNew Notice Periods etcetc

►Oct 2008 – Fixed Penalty noticesOct 2008 – Fixed Penalty notices

Page 5: RAUC(S) FPN Seminar 26th March 2009

www.roadworksscotland.gov.uk

Why Now?Why Now?

► Operation of Fixed Penalty Notice processOperation of Fixed Penalty Notice process► CoPs – CoPs –

Code of Practice for Penalties Code of Practice for Penalties Code of Practice for Dispute Resolution and Appeals Code of Practice for Dispute Resolution and Appeals Code of Practice for the Co-ordination of Road Works and Code of Practice for the Co-ordination of Road Works and

Works for Road Purposes and Related MattersWorks for Road Purposes and Related Matters ► Advice Notes – Advice Notes –

Advice Note 16 - Fixed Penalty Notice Payment ProcessAdvice Note 16 - Fixed Penalty Notice Payment Process Advice Note 18 - Fixed Penalty Notice Hearing Process Advice Note 18 - Fixed Penalty Notice Hearing Process

► Role of the SRWRRole of the SRWR

► Need for understanding and consistencyNeed for understanding and consistency

Page 6: RAUC(S) FPN Seminar 26th March 2009

www.roadworksscotland.gov.uk

NEXTNEXT

What is an FPN?What is an FPN?Alex Rae – Scottish Water Alex Rae – Scottish Water

Utilities Co-Chair of Utilities Co-Chair of RAUC(S)RAUC(S)

Page 7: RAUC(S) FPN Seminar 26th March 2009

www.roadworksscotland.gov.uk

What is a FPN?What is a FPN?

Penalties Code of PracticePenalties Code of Practice

Page 8: RAUC(S) FPN Seminar 26th March 2009

www.roadworksscotland.gov.uk

Types of PenaltyTypes of Penalty

►Penalties introduced in Transport Penalties introduced in Transport (Scotland) Act 2005(Scotland) Act 2005 Penalties issued by Commissioner under Penalties issued by Commissioner under

the New Roads and Street Works Act 1991the New Roads and Street Works Act 1991 Fixed Penalties issued by Road Works Fixed Penalties issued by Road Works

Authorities for offences under the New Authorities for offences under the New Roads and Street Works Act 1991 Roads and Street Works Act 1991

Fixed Penalties issued by Roads Works Fixed Penalties issued by Roads Works Authorities for offences under the Roads Authorities for offences under the Roads (Scotland) Act 1984(Scotland) Act 1984

Page 9: RAUC(S) FPN Seminar 26th March 2009

www.roadworksscotland.gov.uk

Commissioner PenaltiesCommissioner Penalties

► Used for Systematic Failures – not one off slip-Used for Systematic Failures – not one off slip-upsups S118 Duty of RWAs to co-ordinateS118 Duty of RWAs to co-ordinate S119 Duty of undertakers to co-operateS119 Duty of undertakers to co-operate

► Objective of penalties is to drive Objective of penalties is to drive improvement, not generate income! improvement, not generate income!

► Opportunity to meet improvement targets Opportunity to meet improvement targets firstfirst

► Penalty up to £50,000 if no improvement Penalty up to £50,000 if no improvement ► Appeal to Sheriff within 21 days if disputedAppeal to Sheriff within 21 days if disputed

Page 10: RAUC(S) FPN Seminar 26th March 2009

www.roadworksscotland.gov.uk

NRSWA Fixed Penalties (1)NRSWA Fixed Penalties (1)► FPNs may only be issued for noticing errors FPNs may only be issued for noticing errors

& late permanent reinstatement& late permanent reinstatement S113 Advance NoticeS113 Advance Notice S114 Notice of Starting DateS114 Notice of Starting Date S116 Notice of Emergency WorksS116 Notice of Emergency Works S129(3) Notification of Reinstatement next S129(3) Notification of Reinstatement next

working day (deemed to include the removal of working day (deemed to include the removal of all signs, cones, spoil & barriers)all signs, cones, spoil & barriers)

S129(4) Permanent Reinstatement within 6 S129(4) Permanent Reinstatement within 6 MonthsMonths

Page 11: RAUC(S) FPN Seminar 26th March 2009

www.roadworksscotland.gov.uk

NRSWA Fixed Penalties (1)NRSWA Fixed Penalties (1)

►Defective notices do not trigger FPN Defective notices do not trigger FPN until work startsuntil work starts

►Retrospective Registration Retrospective Registration recommendations:recommendations: Single FPN if Utility registers worksSingle FPN if Utility registers works FPN for each offence if RA discovers worksFPN for each offence if RA discovers works

Page 12: RAUC(S) FPN Seminar 26th March 2009

www.roadworksscotland.gov.uk

NRSWA Fixed Penalties (2)NRSWA Fixed Penalties (2)

►Offences for which FPN cannot be issuedOffences for which FPN cannot be issued Actual start noticeActual start notice Registration of full reinstatement detailsRegistration of full reinstatement details Signing and Guarding defectsSigning and Guarding defects Defective reinstatementsDefective reinstatements

►Batching process for undisputed FPNs Batching process for undisputed FPNs where agreed between RA and Utility (AL)where agreed between RA and Utility (AL)

►Any other NRSWA FPN offences would Any other NRSWA FPN offences would require new secondary legislationrequire new secondary legislation

Page 13: RAUC(S) FPN Seminar 26th March 2009

www.roadworksscotland.gov.uk

RSA Fixed PenaltiesRSA Fixed Penalties

► Unauthorised Road OccupationsUnauthorised Road Occupations S85 Deposit of Builders Skip in RoadS85 Deposit of Builders Skip in Road

► Without written permissionWithout written permission► Not complying with conditions of permissionNot complying with conditions of permission► Not marked with owner’s name & contact detailsNot marked with owner’s name & contact details► Skip owner liable unless they can prove someone else Skip owner liable unless they can prove someone else

liableliable S58 Building OperationsS58 Building Operations

► Occupation for deposit of materials etc. without written Occupation for deposit of materials etc. without written permissionpermission

► Erection of scaffolding over road without written permission Erection of scaffolding over road without written permission

► Any other RSA FPN offences would require new Any other RSA FPN offences would require new primary legislationprimary legislation

Page 14: RAUC(S) FPN Seminar 26th March 2009

www.roadworksscotland.gov.uk

NEXTNEXT

IS MY ORGANISATION IS MY ORGANISATION PREPARED?PREPARED?John Gooday John Gooday

Scottish Road Works CommissionerScottish Road Works Commissioner

Page 15: RAUC(S) FPN Seminar 26th March 2009

FIXED PENALTY NOTICESIS MY ORGANISATION PREPARED?

JOHN GOOD ZY

Page 16: RAUC(S) FPN Seminar 26th March 2009

Fixed Penalty Notices

Do you have a clear policy on dealing with FPNs? Do you have the appropriate processes and

procedures in place? Are staff in place and suitably trained to receive

and manage? Do you have payment processes in place? Advice

Note 16 – FPN Payment Process. Do you understand Hearings? Are you prepared

for them?

Is My Organisation Prepared?

UNDERTAKERS

Page 17: RAUC(S) FPN Seminar 26th March 2009

Fixed Penalty Notices

Do you have a clear policy on dealing with FPNs? Does your organisation propose to issue FPNs or not?

If the Answer is NO Potential for the Roads Authority to be criticised for not

using powers created for them. If the answer is YES

The Roads Authority performance on Registration will be monitored and reported on by the Commissioner. RAs issuing FPNs for Noticing errors where their own performance is no better than the Undertaker could be subject to criticism.

On the 3rd Quarter figures many Roads Authorities would appear to be significantly underperforming. More from Nisha later.

Is My Organisation Prepared?

ROADS AUTHORITIES

Page 18: RAUC(S) FPN Seminar 26th March 2009

Fixed Penalty Notices

Do you have appropriate processes in place? What level of staff will be authorised to issue and remove

FPNs? Are there suitable financial processes in place to recover

penalties? Have you agreed batching of FPNs with Undertakers?

Advice Note 16. Are staff in place and suitably trained? Do you understand Hearings?

Do you have a Hearings procedure in place? More from Ray later.

Do you have a business model? Can you cover your costs?

Is My Organisation Prepared?

ROADS AUTHORITIES (CONT’D)

Page 19: RAUC(S) FPN Seminar 26th March 2009

www.roadworksscotland.gov.uk

NEXTNEXT

Payment MechanismsPayment MechanismsAndrew Leyden – SGNAndrew Leyden – SGN

Chair SRWR Management GroupChair SRWR Management Group

Page 20: RAUC(S) FPN Seminar 26th March 2009

www.roadworksscotland.gov.uk

Fixed Penalty NoticesFixed Penalty Notices

Payment MechanismsPayment Mechanisms

Page 21: RAUC(S) FPN Seminar 26th March 2009

www.roadworksscotland.gov.uk

Payment MechanismsPayment Mechanisms

►2 Documents to look at:-2 Documents to look at:-

Code of Practice for PenaltiesCode of Practice for Penalties Advice Note 16 - Fixed Penalty Notice Advice Note 16 - Fixed Penalty Notice

Payment Process Payment Process

Page 22: RAUC(S) FPN Seminar 26th March 2009

www.roadworksscotland.gov.uk

Code of Practice for Code of Practice for PenaltiesPenalties

► 60 days from offence to issue FPN60 days from offence to issue FPN► Standard form of Fixed Penalty NoticeStandard form of Fixed Penalty Notice

£120 within 36 days payment period£120 within 36 days payment period Discounted to £80 if paid within 29 daysDiscounted to £80 if paid within 29 days Details of how and where to payDetails of how and where to pay Location and details of offenceLocation and details of offence Contact name and address for any representationsContact name and address for any representations

► Request for Hearing if offence disputedRequest for Hearing if offence disputed Must be in writing within 36 daysMust be in writing within 36 days Stops clock on payment period but Stops clock on payment period but notnot discount discount

periodperiod

Page 23: RAUC(S) FPN Seminar 26th March 2009

www.roadworksscotland.gov.uk

Code of Practice for Code of Practice for PenaltiesPenalties

► Following Request for HearingFollowing Request for Hearing RA must hold hearing within reasonable timeRA must hold hearing within reasonable time Consider representations and decide whether to Consider representations and decide whether to

withdraw FPNwithdraw FPN Notify FPN recipient of decisionNotify FPN recipient of decision IF FPN withdrawn must refund any payment receivedIF FPN withdrawn must refund any payment received

► If Penalty Unpaid at end of payment periodIf Penalty Unpaid at end of payment period RA may enforce with sheriff officers; orRA may enforce with sheriff officers; or Pursue summary offence through courtsPursue summary offence through courts

► Judicial appeal can only overturn enforcement Judicial appeal can only overturn enforcement ifif Fixed penalty proved to have been paid on time; orFixed penalty proved to have been paid on time; or Hearing requested on time and not heldHearing requested on time and not held

Page 24: RAUC(S) FPN Seminar 26th March 2009

www.roadworksscotland.gov.uk

Penalties and the SRWRPenalties and the SRWR► SRWR will generate reports listing possible SRWR will generate reports listing possible

fixed penalty trigger situationsfixed penalty trigger situations RA must decide whether or not to issue fixed RA must decide whether or not to issue fixed

penaltypenalty

► SRWR can be used to deliver some FPNsSRWR can be used to deliver some FPNs Each Statutory Undertaker can choose whether or Each Statutory Undertaker can choose whether or

not to receive them this waynot to receive them this way Network Rail have chosen to receive paper notices Network Rail have chosen to receive paper notices

by post at their head officeby post at their head office Other Undertakers may still have to indicate their Other Undertakers may still have to indicate their

choicechoice Paper system required for RSA fixed penaltiesPaper system required for RSA fixed penalties

Page 25: RAUC(S) FPN Seminar 26th March 2009

www.roadworksscotland.gov.uk

Advice Note 16Advice Note 16

►Advice on methods of paying multiple Advice on methods of paying multiple FPNs - mainly applicable to larger FPNs - mainly applicable to larger UtilitiesUtilities

►FPNs are charges not invoicesFPNs are charges not invoices►Difficult for some finance departments to Difficult for some finance departments to

process and track these paymentsprocess and track these payments►Potentially 32+ methods for payment of Potentially 32+ methods for payment of

these chargesthese charges►Advice Note may help simplifyAdvice Note may help simplify

Page 26: RAUC(S) FPN Seminar 26th March 2009

www.roadworksscotland.gov.uk

Advice Note 16Advice Note 16► Authorities gathers information on potential Authorities gathers information on potential

FPNs from SRWR, site visits, etcFPNs from SRWR, site visits, etc► Authority identifies FPNs it intends to pursue Authority identifies FPNs it intends to pursue

(potential FPNs) by the 10(potential FPNs) by the 10thth of following of following monthmonth

► Utility responds by 20Utility responds by 20thth of month to indicate of month to indicate those FPNs to be acceptedthose FPNs to be accepted

► Authority issues all FPNs to be pursued on Authority issues all FPNs to be pursued on the 20the 20thth of the month – those not being of the month – those not being disputed may be issued as a batch along disputed may be issued as a batch along with a summary list (invoice?)with a summary list (invoice?)

Page 27: RAUC(S) FPN Seminar 26th March 2009

www.roadworksscotland.gov.uk

Advice Note 16Advice Note 16

►The 29/36 day clock starts when the The 29/36 day clock starts when the FPN is issued – 20FPN is issued – 20thth of month of month

► If authorities choose to use Advice If authorities choose to use Advice Note 16 then 60 day rule must be Note 16 then 60 day rule must be considered considered

► Is the clock stopped when the written Is the clock stopped when the written request for a hearing is sent or request for a hearing is sent or received?received?

Page 28: RAUC(S) FPN Seminar 26th March 2009

www.roadworksscotland.gov.uk

NEXTNEXT

Use of the SRWR to Issue and Review Use of the SRWR to Issue and Review FPNsFPNs

Ken HicksonKen Hickson

SymologySymology

Page 29: RAUC(S) FPN Seminar 26th March 2009

Scottish Road Works RegisterFixed Penalty Notices Seminar

Scottish Government OfficesThursday 26 March 2009

INTEGRATION - INNOVATION - INTEGRITY

Using the SRWR for FPNs

Presented by: Ken Hickson

Page 30: RAUC(S) FPN Seminar 26th March 2009

Using the SRWR for Fixed Penalty Notices

Topics to be covered

FPNs for Unattributable Works

Creating Fixed Penalty Notices

Reviewing FPNs prior to Issuing

Batching agreed FPNs to facilitate payment

Auto-Prompted Fixed Penalty Notices

Implementation and phase-over from test to live

Page 31: RAUC(S) FPN Seminar 26th March 2009

Using the SRWR for Fixed Penalty Notices

Creating Fixed Penalty Notices

Key in details of the offence

Roads Authority can raise FPNs on their roads

Issue FPN immediately or “Hold for review”

Use Works Charges TAB on Works Record

Page 32: RAUC(S) FPN Seminar 26th March 2009

Using the SRWR for Fixed Penalty Notices

FPNs for Unattributable Works

Promoter “accepts” works

Roads Authority creates Unattributable Works

Unattributable Works Reference changed to Works Promoter Reference

Roads Authority identifies promoter

Roads Authority raises FPN on Promoter

Page 33: RAUC(S) FPN Seminar 26th March 2009

Using the SRWR for Fixed Penalty Notices

Creating Fixed Penalty Notices

Page 34: RAUC(S) FPN Seminar 26th March 2009

Using the SRWR for Fixed Penalty Notices

Auto-Prompted Fixed Penalty NoticesS0062 – Start date is before todayThe Start Date on a pre-works notification is before the current date (i.e. the notice is being input retrospectively), and it is not the situation of an emergency Works Type where this is valid.

S0207 – End date provided is before todaySimilar to S0062, but where the end date specified, as well as the start date, is before the current date.

S0071 – Works start date is more than 30 days before todayS0072 – Works end date is more than 30 days before todayThese messages are produced instead of S0062 and S0207, if the proposed start date is more than 30 days in the past.

S0089 – Actual end date is before proposed start dateA works completion notice has been entered giving a works completion date which is before the start date that was proposed in the initial notice (there may have been no actual start notice).

Page 35: RAUC(S) FPN Seminar 26th March 2009

Using the SRWR for Fixed Penalty Notices

Auto-Prompted Fixed Penalty NoticesS0093 – Insufficient notice period without agreementThe proposed start date on a pre-works notification does not provide the specified notice period and there is no record of an agreement for an early start.

S0112 – Start date for follow-up notice is before earliest valid start dateThe start date given on a 7 day notice is before the start date specified in a preceding advance notice (i.e. for major works or works in a TS road).

S0255 – Actual start date is after latest possible end dateThis is where an actual start date is recorded, which is not only after the latest legal start date, but is after the latest possible end date.

S0279 – Follow-up notice has not been issuedA notice has been received indicating that some works is under way or has been carried out (this could, for example, be an “Actual Start”, a “Registration”, a “Clear/Closed”), for a works on which there was an advanced notice (i.e. 1 or 3 Month), but no follow-up notice (i.e. 7 Day).

Page 36: RAUC(S) FPN Seminar 26th March 2009

Using the SRWR for Fixed Penalty Notices

Auto-Prompted Fixed Penalty NoticesS0290 – Actual start date is before earliest legal start dateAn actual start notice has been sent with a date which is before the Proposed Start date on the preceding notice (generally a 7 Day notice).

S0295 – Works clear notice is lateS0296 – Works closed notice is lateThe notice has not been sent by the deadline of 16:30 on the following day.

S0976 – Two hours after notice is being sent lateThe notice is sent more than two hours after the recorded Start Date/Time.The Early/Late Start process that is being developed:

S1082 – Actual start date is after latest legal start dateThis is produced if an Actual Start is recorded with a date that is beyond the 7 day validity period of the 7 Day notice.

Page 37: RAUC(S) FPN Seminar 26th March 2009

Using the SRWR for Fixed Penalty Notices

Auto-Prompted Fixed Penalty Notices

Page 38: RAUC(S) FPN Seminar 26th March 2009

Using the SRWR for Fixed Penalty Notices

Reviewing FPNs Prior to Issuing

Prior to issue, Charge Enquiry is used for review

Auto-Prompted FPNs are created “on hold”

Both Roads Authority and Utility can view potential FPNs

Manually-created FPNs can be created “on hold”

Utility can send comments as appropriate

Procedure in accordance with Advice Note 16:

Page 39: RAUC(S) FPN Seminar 26th March 2009

Using the SRWR for Fixed Penalty Notices

Batching Agreed FPNs for PaymentDay 1 to Day 10 of month: - Utility makes comments re FPNs from last month - Roads Authority releases “hold” to indicate intention to pursue, or cancels FPNDay 11 to Day 20 of month: - Utility has further 10 days to view those released from “hold” and contest - Roads Authority may cancel or replace on “hold”Un-contested/agreed FPNs may then be batched into summary invoice for payment

Procedure in accordance with Advice Note 16:

Contested FPNs may still be pursued and issued individually, following “agreed” batch

Page 40: RAUC(S) FPN Seminar 26th March 2009

Using the SRWR for Fixed Penalty Notices

Implementation and Phase-overPlanning for implementation: - Allocate staff with access permissions for FPNs - Set up FPN Contact and Authorised Officer - Provide Address, Bank Details, etc.Phase-over: - Many FPNs may be “prompted –awaiting review” - Roads Authority may review outstanding FPNs - Clear Charge will cancel outstanding FPNs - Bulk Clear Charge (all or tagged items) allows “slate to be wiped clean”

Page 41: RAUC(S) FPN Seminar 26th March 2009

Using the SRWR for Fixed Penalty Notices

Demonstration

Page 42: RAUC(S) FPN Seminar 26th March 2009

http://www.symology.co.uk

®

Symology

Page 43: RAUC(S) FPN Seminar 26th March 2009

FPN SEMINAR 26 MARCH 2009HEARING PROCESS

R Y ELLIOT

LIAISON MANAGER

Page 44: RAUC(S) FPN Seminar 26th March 2009

• Informal discussion takes place between both parties

• FPN either paid, withdrawn or escalated to formal hearing

• Recipient of FPN requests hearing using Form 1 of RAUC(S) Advice Note 18

• Timescale for requests same as payment period i.e. 29 and 36 days

Request for Hearing

Page 45: RAUC(S) FPN Seminar 26th March 2009

Receipt of Written Evidence• On receipt of written evidence (see Form

1) roads authority can withdraw FPN without holding a hearing, should reasons given in the evidence prove valid

• When Hearing goes ahead Procurator Fiscal must be notified (potential summary offence)

Page 46: RAUC(S) FPN Seminar 26th March 2009

Hearing Body Set-up• Roads authority nominates an individual or

group known as the hearing body• Roads authority decides on voting

structure where body consist of more than one member

• Hearings body advised by an official familiar with technical and legal issues but has not been directly involved in the issue of FPN

Page 47: RAUC(S) FPN Seminar 26th March 2009

Hearing Timing & Location• Convened within 8 weeks of date the

written request• Applicant notified of date, time and

location using notification of FPN hearing form (Form 2) at least 7 days prior to hearing date

• One alternative date permitted on request• Accessible location

Page 48: RAUC(S) FPN Seminar 26th March 2009

Hearing Conduct

• Informal• Failure to attend results in withdrawal of

hearing • Held in public

Page 49: RAUC(S) FPN Seminar 26th March 2009

Hearing Process • Applicants written evidence considered by

Hearings body• Roads official provides report to Hearings

body • Applicant can address Hearings body and

question roads official• Roads official advises Hearings body and

questions applicant

Page 50: RAUC(S) FPN Seminar 26th March 2009

Hearing Process (2)• Hearings body asks questions of the

applicant and roads official• Hearings body may discuss responses in

private• Hearings body may invite applicant to

return whilst a decision is made

Page 51: RAUC(S) FPN Seminar 26th March 2009

Hearing Decision• Hearings body announce decision at the

conclusion of hearing (confirmed in writing within 7 days)

• Fixed penalty withdrawn Form within Appendix B (1991 Act) or Appendix D (1984 Act) of Code of Practice for Penalties issued

• Fixed penalty confirmed Notice contained within this Advice Note (Form 3) issued (includes justification behind decision)

Page 52: RAUC(S) FPN Seminar 26th March 2009

www.roadworksscotland.gov.uk

NEXTNEXT

FPN IndicatorsFPN IndicatorsNisha KharbandaNisha Kharbanda

Office of the Scottish Road Office of the Scottish Road Works CommissionerWorks Commissioner

Page 53: RAUC(S) FPN Seminar 26th March 2009

THE SCOTTISH ROAD WORKS COMMISSIONERFPN INDICATORS 2009

Page 54: RAUC(S) FPN Seminar 26th March 2009

Purpose of the Indicators Background Usage Retrieval and Format Illustrations Definitions and Guidance Commissioner’s Comments

Page 55: RAUC(S) FPN Seminar 26th March 2009

Purpose – To answer five key questions

1. Are roads authorities coordinating the works on their roads

2. Are undertakers cooperating?

3. Are works taking too long to complete?

4. Is Traffic Management to an acceptable standard?

5. Are reinstatements meeting the specification?

Page 56: RAUC(S) FPN Seminar 26th March 2009

4 – 5 indicators per question – refined in 2008

Level playing field – Undertakers and RWAs e.g. FPNs & Registration Offences

Technical specifications and definitions agreed with KPI Working Group, Community and Symology

Multiple Report formats to cater for different requirements

Series of trends will inform evidence for penalties

BACKGROUND

Page 57: RAUC(S) FPN Seminar 26th March 2009

Measuring/benchmarking your own performance

Identifying activity e.g. issuing of FPNs Identifying ‘problem/hot spot’ activities Comparing geographic areas More guidance to be issued

USAGE

Page 58: RAUC(S) FPN Seminar 26th March 2009
Page 59: RAUC(S) FPN Seminar 26th March 2009

Accessible from Global Database : Reporting: Management Report Viewer

RETRIEVAL & FORMATS

Page 60: RAUC(S) FPN Seminar 26th March 2009
Page 61: RAUC(S) FPN Seminar 26th March 2009
Page 62: RAUC(S) FPN Seminar 26th March 2009

Accessible from Global Database : Reporting: Management Report Viewer

Three formats for downloading and analysing reports:

Crosstab – standard pivot layout – Excel data export

Details – core detailed data reports – disaggregated

Summary – similar to crosstab – some contain additional columns to show percentages e.g. Potential Noticing Offences as a Percentage of Total Works Phases

RETRIEVAL & FORMATS

Page 63: RAUC(S) FPN Seminar 26th March 2009

ILLUSTRATIONS - CROSSTAB

Page 64: RAUC(S) FPN Seminar 26th March 2009

Report 2b – Crosstab - Potential Noticing Offences (PNO)SECTION 113(5) % SECTION 114(5) % SECTION 116(4) % SECTION 129(6) % Total

Atlantic Telecomms 0 0 0 0 0BP 0 0 0 0 0British Telecom 133 10% 652 48% 0 0% 581 43% 1,366Cable and Wireless 3 8% 18 45% 0 0% 19 48% 40Core Utilities 0 0 0 0 0E S Pipelines Limited 1 11% 2 22% 0 0% 6 67% 9Easynet Telecommunication Limited0 0 0 0 0Energetics 3 43% 4 57% 0 0% 0 0% 7Energis 0 0 0 0 0Fulcrum 1 10% 1 10% 0 0% 8 80% 10GEO 5 100% 0 0% 0 0% 0 0% 5Global Crossing 0 0 0 0 0GTC Pipelines Limited 1 14% 3 43% 0 0% 3 43% 7H2O Networks Ltd 0 0 0 0 0Independent Pipelines Limited3 19% 7 44% 0 0% 6 38% 16Innovene 0 0 0 0 0National Grid 0 0 0 0 0Network Rail 0 0% 1 100% 0 0% 0 0% 1Ntl: 4 1% 27 9% 0 0% 256 89% 287O2 UK Ltd 0 0% 3 30% 0 0% 7 70% 10Opal Telecom 0 0 0 0 0Orange PCS 2 67% 1 33% 0 0% 0 0% 3Royal Mail 0 0 0 0 0Scottish and Southern Energy 1 2% 23 50% 0 0% 22 48% 46Scottish Gas 116 41% 124 44% 0 0% 41 15% 281Scottish Power 63 20% 111 35% 3 1% 139 44% 316Scottish Water 85 5% 360 22% 5 0% 1,182 72% 1,632Shell 0 0 0 0 0T Mobile 1 25% 3 75% 0 0% 0 0% 4Telewest 2 0% 43 7% 0 0% 597 93% 642Thus 29 35% 41 49% 0 0% 14 17% 84United Utilities 2 67% 0 0% 0 0% 1 33% 3Verizon 1 33% 2 67% 0 0% 0 0% 3Vodafone Limited 9 29% 9 29% 0 0% 13 42% 31Wight Cable 0 0 0 0 0WS Atkins 0 0 0 0 0

Total 465 10% 1,435 30% 8 0% 2,895 60% 4,803

Page 65: RAUC(S) FPN Seminar 26th March 2009
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DEFINITIONS & GUIDANCE

Help file available Symology helpdesk/ Myself More info on website Creation of MI forum to share best

practice

Page 68: RAUC(S) FPN Seminar 26th March 2009

COMMISSIONER’S COMMENTS (Q3)

NOTICING AND REGISTRATION OFFENCES S113

Advance S114 Start

S116 Emergency

S129 Closure

Total

Undertakers 487 1,582 13 3,174 5,258 Total Works (starts) 24,422 22% Total Works (ends) 22,631 23% RWAs 495 799 0 1,225 2,516 Total Works (starts) 3,166 79% Total Works (ends) 4,618 54%

Page 69: RAUC(S) FPN Seminar 26th March 2009

COMMISSIONER’S COMMENTS (Q3)

Emergency - 2,141 Urgent – 7,479

Works Extensions Undertakers - 6,440 RWAs - 953

Awaiting Closure or RegistrationUndertakers – 24,258 RWAs – 1,609

Undertaker Reinstatement overdue > 1400

Page 70: RAUC(S) FPN Seminar 26th March 2009

COMMISSIONER’S COMMENTS

Q3 2008-09 – High priority Indicators – Identifying any bugs or unusual numbers

Q4 2008-09 – Remaining Indicators – Results in mid April - Organisations have a last opportunity to identify problems and rectify

Q1 2009-10 – Results in mid July – Commissioner will be identifying poorly performing Organisations

Page 71: RAUC(S) FPN Seminar 26th March 2009
Page 72: RAUC(S) FPN Seminar 26th March 2009

List of Current Indicators

Report 1 – Potential Noticing Offences and Actual FPNs Issued Report 2a – Road Works Authority Potential Registration Failures Report 2b – Total Potential Noticing Offences Report 2c – Categorised Potential Noticing Offences Report 4a – Total Emergency, Urgent or Remedial Dangerous Works Report 4b – Total Minor, Standard, Major Works Report 6 – Works Phases Overrun Report 9a – Works Phases Commenced Report 9b – Works Phases Finished Report 12 – Works Extension Notices Issued Report 16 – Works Phases awaiting Closure or Registration Report 17 a – Standard Notice Activity Report 17b – Other Notice Activity Report 17c – Inspection Activity Report 17d – Comment Activity Report 18 – Interim Reinstatements Due

Page 73: RAUC(S) FPN Seminar 26th March 2009

List of Future Indicators

Report 3 - FPNs issued by RWAs for R(S)A Offences Report 10 - Early Start (this report will also include 'Late Starts' as an

additional column) Report 13 - Section 125 notices Report 14 - Interim Reinstatements Report 15 - Average Time to Complete Works Report 17d - Comment Activity Report 19 - Substandard Traffic Management from Inspection Reports Report 20a - FPNs disputed Report 20b - FPNs disputed and upheld Report 22 - Total Works References

Page 74: RAUC(S) FPN Seminar 26th March 2009

Fixed Penalty Notices SeminarFixed Penalty Notices Seminar

End of Seminar