Proposed Code of Practice for Inspections 3rd Edition

David Capon JAG UK Manager

Keith O’Brien Cable & Wireless Worldwide

Why change the existing Code?

To introduce regulations for a Statutory Code

The need to incorporate the extra 10% inspections proposed by the Section 74 and Permits Working Groups

To include options for a more targeted regime

A move to electronic means of reporting

Due to come into operation on the 6th April 2011

The Code details Inspections that an Authority may carry out to ensure compliance

with legal obligations. It provides guidance on:

Procedures for Inspections

Investigatory works

New performance monitoring arrangements

It also identifies actions to address issues on non compliance relating to:

• Reinstatements

• Safety Measures

• Section 74

• Permit conditions

NB: The Inspections Working Group are still deliberating the consultation responses and the current draft code may be subject to change.

The Inspection Code of PracticeThe Inspection Code of Practice

The Inspection Code of Practice

The Inspections Code of Practice

Inspection Co – Inspection Stages Inspection Categories

Standard Sample Inspections

Inspections are now called ‘Standard Inspections’ and sample inspections are now called ‘Standard Sample Inspections’

There are 5 Standard Sample Inspections:

Category A – Safety measures (these do not include reinstatements)

Category B – Quality of reinstatement (within 6 months)

Category C - Quality of reinstatement (3 months prior to end of guarantee period)

Category D – Section 74 compliance

Category E – Permit condition compliance

Category F – Third party inspections

An inspection that occurs as a result of a street works related complaint from a third party. If a defect is identified the undertaker will be obliged to pay the prescribed fee.

Category G – Defective reinstatement follow-up inspections. These occur after a reinstatement defect has been identified and consists of:

• Joint inspection (Stage 1) – A joint Inspection to determine the nature of the failure and what remedial works need to be undertakenNB: Joint inspections may not be required if agreed by both parties

• Remedial works in progress (Stage 2) – An inspection by the authority whilst works are in progress

• Remedial works complete (Stage 3) – An inspection by the authority when the remedial works are complete

Inspection Categories Cont’d

Inspection Categories Cont’d

Category H – Non-compliance follow-up inspection

This inspection category will occur after an earlier instance of a street works unreasonably prolonged occupation of the highway or non-compliance with permit conditions of which there are two types:

Section 74 follow-up

Following an earlier instance of there being unreasonably prolonged occupation of the highway. An inspection carried out as a result of a previous section 74 non-compliance

Permit follow-up

An inspection carried out as a result of a previous instance of non-compliance with a permit condition

NB: It is proposed to introduce an additional defective reinstatement non-compliance inspection

This category of inspection may result in the undertaker being obliged to pay the authority the prescribed fee

Inspection Categories Cont’d

Category I and J – Performance monitoring inspections

Inspections carried out by an authority as part of the performance monitoring regime. These in practice focus on the same obligations as category A, B and C inspections.

Category I

Inspection of street works in progress checking for compliance with safety measures as defined in the ‘Street Works and Road Works C.O.P.

Category J

Performance reinstatement inspections of interim/permanent reinstatements to check for compliance with the SROH. These inspections are carried out during the six months following the reinstatement completion date.

All performance monitoring inspections carried out are capable of attracting a fee. They are not considered standard inspections and are not counted as part of the calculation used to work out the sample of standard inspection for which there will be an obligation to pay a prescribed fee.

Chargeable Sample Standard Inspections

Duty of Undertaker to pay relevant Fee

The number of inspections that may be undertaken in a given year will be no more than 30% of the reckonable total calculated for each utility

An authority can apportion the 30% sample across any of the five standard inspection categories, i.e. Cats A to E as it sees fit to suit its priorities

These may be varied by the authority as necessary at any time during the year taking account of inspections already taken

If sample standard inspections do not take place within the timescales then they may only be considered as standard inspections and WILL NOT incur a fee

Third party and follow up inspections are not standard inspections.

Inspection Categories Cont’d

Performance Monitoring

The performance monitoring scheme becomes operational where an undertaker fails to meet the quality threshold and takes into account issues on non-compliance in relation to section 65 (safety measures and/or section 71 (material, workmanship and standard of reinstatement)

Performance criteria:

The quality threshold is that no more than 10% of either category A, B or C sample standard inspections reveal a defect over a given quarter. A quarter is considered to be one of the following time periods: April to June, July to September, October to December and January to March.

An authority may give a performance notification if:

a) More than 10% of the standard sample category A inspections undertaken in a quarter reveal a defect; or

b) More than 10% of the standard sample cat B inspections undertaken in a quarter reveal a defect: or

c) More than 10% of the standard sample category C inspections undertaken in a quarter reveal a defect

All of the above exclude abortive visits.

Performance Monitoring cont’d

Performance Notification:• Only one performance notification per utility shall be given for each quarter but in may contain more than one category of failure.

• The performance monitoring scheme cannot be started in relation to a category of inspection which is already under the scheme.

• Prior to giving a performance notification, the authority should review all the instances of non-compliance to see if mitigating circumstances apply.

• The above criteria does not apply where the utility carries out 50 or fewer works in a quarter or where there are 15 or fewer inspections of a specific category

Performance Monitoring period:

Starts on the commencement date given in the performance monitoring notification: the commencement date will be between 15 days and 20 days after notification has been given.The initial performance monitoring period shall be for 12 consecutive weeks and shall be extended in 4 week increments and will continue until the criteria has been met over the most recent 12 consecutive weeks.

Provided that the performance monitoring criteria has been met (when there is a pass rate of 90% or greater) the authority shall give a performance end notification to the undertaker within 5 days.

Inspection Percentages for Sample Failure RatesInspection Percentages for Sample Failure Rates

Percentage sample failure rate for the Percentage sample failure rate for the previous quarterprevious quarter

Performance Performance Inspection Inspection percentage “P” percentage “P”

Multiplier Multiplier P/52 P/52

Up to and including 10%Up to and including 10% 0%0% 00

More than 10% and up to and including More than 10% and up to and including 30%30%

50%50% 0.00960.0096

More than 30% and up to and including More than 30% and up to and including 50%50%

70%70% 0.01340.0134

More than 50% and up to and including More than 50% and up to and including 70%70%

90%90% 0.01730.0173

More than 70%More than 70% Up to 100%Up to 100% 0.01920.0192

Note: The formula gives a weekly figureNote: The formula gives a weekly figure

The annually agreed number of sample inspections times the multiplier and times by the number of weeks in the monitoring period usually 12 weeks.

1000 Inspections a year at 11 % failure would generate 5 extra inspection a week for a further 12 weeks = 60 extra inspections.

Inspection Fees

Fees are only payable when supported by a Works Inspection Report, if an inspection does not take place there will be no fee.

Standard Sample Inspections (cat A – D) to check compliance - £50Standard Sample Inspection (cat E) permit conditions - £56.50

Third Party Inspection (cat F) - £68.00

Defective Reinstatement Follow-up Inspections (cat G) - £47.50NB: No fee if a joint inspection does not take place

Non-Compliance Follow-up Inspections (cat H) – £47.50

Performance Monitoring Inspections (cat I & J) – £47.50

THANK YOUTHANK YOU