Rauc(s) Fpn Seminar 26th March 2009

Fixed Penalty Notices Seminar

Welcome

Fixed Penalty Notices Seminar

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Agenda:

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13:00 13:30 matters 13:45

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Registration and coffee Welcome Introductions and Safety Overview

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

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14:00

Implementing FPN Policy

Is My Organisation Prepared – John Gooday ► Payment Mechanisms – Andrew Leyden ► Use of the SRWR to Issue and Review FPNs – Ken Hickson ► Hearing process – Ray Elliot ►

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16:00 16:00

FPN Indicators – Nisha Kharbanda Close

www.roadworksscotland.gov.u

Fixed Penalty Notices

Why Now?

Why Now? ► Transport

(Scotland) Act 2005 ► 2007 - Scottish Road Works Commissioner ► April 2008 - Bulk of subordinate Legislation  New Notices  New Notice Periods  etc ► Oct

2008 – Fixed Penalty notices www.roadworksscotland.gov.u

Why Now? ► ►

Operation of Fixed Penalty Notice process CoPs –   

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

Advice Notes –

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

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Role of the SRWR

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Need for understanding and consistency

www.roadworksscotland.gov.u

NEXT What is an FPN? Alex Rae – Scottish Water Utilities Co-Chair of RAUC(S)

www.roadworksscotland.gov.u

What is a FPN? Penalties Code of Practice

www.roadworksscotland.gov.u

Types of Penalty ► Penalties

introduced in Transport (Scotland) Act 2005  Penalties issued by Commissioner under the New Roads and Street Works Act 1991  Fixed Penalties issued by Road Works Authorities for offences under the New Roads and Street Works Act 1991  Fixed Penalties issued by Roads Works Authorities for offences under the Roads (Scotland) Act 1984

www.roadworksscotland.gov.u

Commissioner Penalties ► Used

for Systematic Failures – not one off slip-ups  S118 Duty of RWAs to co-ordinate  S119 Duty of undertakers to co-operate

► Objective

of penalties is to drive improvement, not generate income! ► Opportunity to meet improvement targets first ► Penalty up to £50,000 if no improvement ► Appeal to Sheriff within 21 days if disputed

www.roadworksscotland.gov.u

NRSWA Fixed Penalties (1) ► FPNs

may only be issued for noticing errors & late permanent reinstatement S113 Advance Notice S114 Notice of Starting Date S116 Notice of Emergency Works S129(3) Notification of Reinstatement next working day (deemed to include the removal of all signs, cones, spoil & barriers)  S129(4) Permanent Reinstatement within 6 Months    

www.roadworksscotland.gov.u

NRSWA Fixed Penalties (1) ► Defective

notices do not trigger FPN until work starts ► Retrospective Registration recommendations:  Single FPN if Utility registers works  FPN for each offence if RA discovers works

www.roadworksscotland.gov.u

NRSWA Fixed Penalties (2) ► Offences

issued    

for which FPN cannot be

Actual start notice Registration of full reinstatement details Signing and Guarding defects Defective reinstatements

► Batching

process for undisputed FPNs where agreed between RA and Utility (AL) ► Any other NRSWA FPN offences would www.roadworksscotland.gov.u require new secondary legislation

RSA Fixed Penalties ► Unauthorised

Road Occupations

 S85 Deposit of Builders Skip in Road ► Without

written permission ► Not complying with conditions of permission ► Not marked with owner’s name & contact details ► Skip owner liable unless they can prove someone else liable

 S58 Building Operations ► Occupation

for deposit of materials etc. without written

permission ► Erection of scaffolding over road without written permission

► Any

other RSA FPN offences would require new primary legislation www.roadworksscotland.gov.u

NEXT IS MY ORGANISATION PREPARED? John Gooday Scottish Road Works Commissioner

www.roadworksscotland.gov.u

FIXED PENALTY NOTICES IS MY ORGANISATION PREPARED?

JOHN GOOD ZY

Fixed Penalty Notices Is My Organisation Prepared? UNDERTAKERS     

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?

Fixed Penalty Notices Is My Organisation Prepared? ROADS AUTHORITIES 

Do you have a clear policy on dealing with FPNs? 

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If the Answer is NO 

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Does your organisation propose to issue FPNs or not? 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.

Fixed Penalty Notices Is My Organisation Prepared? ROADS AUTHORITIES (CONT’D) 

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? 

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

Do you have a business model? 

Can you cover your costs?

NEXT Payment Mechanisms Andrew Leyden – SGN Chair SRWR Management Group

www.roadworksscotland.gov.u

Fixed Penalty Notices Payment Mechanisms

www.roadworksscotland.gov.u

Payment Mechanisms ►2

Documents to look at:-

 Code of Practice for Penalties  Advice Note 16 - Fixed Penalty Notice Payment Process

www.roadworksscotland.gov.u

Code of Practice for Penalties ► 60

days from offence to issue FPN ► Standard form of Fixed Penalty Notice     

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

► Request

for Hearing if offence disputed

 Must be in writing within 36 days  Stops clock on payment period but not discount period www.roadworksscotland.gov.u

Code of Practice for Penalties ► Following Request for Hearing RA must hold hearing within reasonable time Consider representations and decide whether to withdraw FPN  Notify FPN recipient of decision  IF FPN withdrawn must refund any payment received  

► If

Penalty Unpaid at end of payment period

 RA may enforce with sheriff officers; or  Pursue summary offence through courts ► Judicial

appeal can only overturn enforcement if

 Fixed penalty proved to have been paid on time; www.roadworksscotland.gov.u or

Penalties and the SRWR ► SRWR

will generate reports listing possible fixed penalty trigger situations  RA must decide whether or not to issue fixed penalty

► SRWR

can be used to deliver some FPNs

 Each Statutory Undertaker can choose whether or not to receive them this way  Network Rail have chosen to receive paper notices by post at their head office  Other Undertakers may still have to indicate their choice  Paper system required for RSA fixed penalties

www.roadworksscotland.gov.u

Advice Note 16 ► Advice

on methods of paying multiple FPNs - mainly applicable to larger Utilities ► FPNs are charges not invoices ► Difficult for some finance departments to process and track these payments ► Potentially 32+ methods for payment of these charges ► Advice Note may help simplify www.roadworksscotland.gov.u

Advice Note 16 ► Authorities

gathers information on potential FPNs from SRWR, site visits, etc ► Authority identifies FPNs it intends to pursue (potential FPNs) by the 10th of following month ► Utility responds by 20th of month to indicate those FPNs to be accepted ► Authority issues all FPNs to be pursued on the 20th of the month – those not being disputed may be issued as a batch along with a summary list (invoice?)

www.roadworksscotland.gov.u

Advice Note 16 ► The

29/36 day clock starts when the FPN is issued – 20th of month ► If authorities choose to use Advice Note 16 then 60 day rule must be considered ► Is the clock stopped when the written request for a hearing is sent or received?

www.roadworksscotland.gov.u

NEXT Use of the SRWR to Issue and Review FPNs Ken Hickson Symology

www.roadworksscotland.gov.u

INTEGRATION - INNOVATION - INTEGRITY

Scottish Road Works Register Fixed Penalty Notices Seminar Scottish Government Offices Thursday 26 March 2009

Using the SRWR for FPNs Presented by: Ken Hickson

Using the SRWR for Fixed Penalty Notices Topics to be covered Creating Fixed Penalty Notices FPNs for Unattributable Works Auto-Prompted Fixed Penalty Notices Reviewing FPNs prior to Issuing Batching agreed FPNs to facilitate payment Implementation and phase-over from test to live

Using the SRWR for Fixed Penalty Notices Creating Fixed Penalty Notices Roads Authority can raise FPNs on their roads Use Works Charges TAB on Works Record Key in details of the offence Issue FPN immediately or “Hold for review”

Using the SRWR for Fixed Penalty Notices FPNs for Unattributable Works Roads Authority creates Unattributable Works Roads Authority identifies promoter Promoter “accepts” works Unattributable Works Reference changed to Works Promoter Reference Roads Authority raises FPN on Promoter

Using the SRWR for Fixed Penalty Notices Creating Fixed Penalty Notices

Using the SRWR for Fixed Penalty Notices S0062 – Start date is before today Penalty Notices Auto-Prompted Fixed The 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 today Similar 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 today S0072 – Works end date is more than 30 days before today These 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 date A 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).

Using the SRWR for Fixed Penalty Notices S0093 – Insufficient notice period withoutPenalty agreement Auto-Prompted Fixed Notices The 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 date The 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 date This 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 issued A 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).

Using the SRWR for Fixed Penalty Notices Auto-Prompted Fixed Penalty Notices S0290 – Actual start date is before earliest legal start date An 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 late S0296 – Works closed notice is late The notice has not been sent by the deadline of 16:30 on the following day. S0976 – Two hours after notice is being sent late The 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 date This is produced if an Actual Start is recorded with a date that is beyond the 7 day validity period of the 7 Day notice.

Using the SRWR for Fixed Penalty Notices Auto-Prompted Fixed Penalty Notices

Using the SRWR for Fixed Penalty Notices Procedure in accordance Advice 16: Reviewing FPNs with Prior toNote Issuing Auto-Prompted FPNs are created “on hold” Manually-created FPNs can be created “on hold” Prior to issue, Charge Enquiry is used for review Both Roads Authority and Utility can view potential FPNs Utility can send comments as appropriate

Using the SRWR for Fixed Penalty Notices Procedure in Agreed accordance FPNs with Advice 16: Batching forNote Payment Day 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 FPN Day 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 Contested FPNs may still be pursued and issued individually, following “agreed” batch

Using the SRWR for Fixed Penalty Notices Implementation and Phase-over Planning 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”

Using the SRWR for Fixed Penalty Notices

Demonstration

S y m o lo g y

http://www.symology.co.uk

®

FPN SEMINAR 26 MARCH 2009 HEARING PROCESS R Y ELLIOT LIAISON MANAGER

Request for Hearing • 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

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)

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

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

Hearing Conduct • Informal • Failure to attend results in withdrawal of hearing • Held in public

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

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

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)

NEXT FPN Indicators Nisha Kharbanda Office of the Scottish Road Works Commissioner

www.roadworksscotland.gov.u

THE SCOTTISH ROAD WORKS COMMISSIONER FPN INDICATORS 2009

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

Purpose – To answer five key questions 3.

Are roads authorities coordinating the works on their roads

4.

Are undertakers cooperating?

5.

Are works taking too long to complete?

6.

Is Traffic Management to an acceptable standard?

7.

Are reinstatements meeting the specification?

BACKGROUND 

4 – 5 indicators per question – refined in 2008

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

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

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Multiple Report formats to cater for different requirements

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Series of trends will inform evidence for

USAGE 





 

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

RETRIEVAL & FORMATS 

Accessible from Global Database : Reporting: Management Report Viewer

RETRIEVAL & FORMATS 



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

ILLUSTRATIONS CROSSTAB

Report 2b – Crosstab - Potential Noticing Offences (PNO) SECTION 113(5) Atlantic Telecomms 0 BP 0 British Telecom 133 Cable and Wireless 3 Core Utilities 0 E S Pipelines Limited 1 Easynet Telecommunication Limited 0 Energetics 3 Energis 0 Fulcrum 1 GEO 5 Global Crossing 0 GTC Pipelines Limited 1 H2O Networks Ltd 0 Independent Pipelines Limited3 Innovene 0 National Grid 0 Network Rail 0 Ntl: 4 O2 UK Ltd 0 Opal Telecom 0 Orange PCS 2 Royal Mail 0 Scottish and Southern Energy 1 Scottish Gas 116 Scottish Power 63 Scottish Water 85 Shell 0 T Mobile 1 Telewest 2 Thus 29 United Utilities 2 Verizon 1 Vodafone Limited 9 Wight Cable 0 WS Atkins 0

Total

465

%

10% 8% 11% 43% 10% 100% 14% 19%

0% 1% 0% 67% 2% 41% 20% 5% 25% 0% 35% 67% 33% 29%

10%

SECTION 114(5) 0 0 652 18 0 2 0 4 0 1 0 0 3 0 7 0 0 1 27 3 0 1 0 23 124 111 360 0 3 43 41 0 2 9 0 0

1,435

%

48% 45% 22% 57% 10% 0% 43% 44%

100% 9% 30% 33% 50% 44% 35% 22% 75% 7% 49% 0% 67% 29%

30%

SECTION 116(4) 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 3 5 0 0 0 0 0 0 0 0 0

8

%

0% 0% 0% 0% 0% 0% 0% 0%

0% 0% 0% 0% 0% 0% 1% 0% 0% 0% 0% 0% 0% 0%

0%

SECTION 129(6) 0 0 581 19 0 6 0 0 0 8 0 0 3 0 6 0 0 0 256 7 0 0 0 22 41 139 1,182 0 0 597 14 1 0 13 0 0

2,895

%

43% 48% 67% 0% 80% 0% 43% 38%

0% 89% 70% 0% 48% 15% 44% 72% 0% 93% 17% 33% 0% 42%

60%

Total 0 0 1,366 40 0 9 0 7 0 10 5 0 7 0 16 0 0 1 287 10 0 3 0 46 281 316 1,632 0 4 642 84 3 3 31 0 0

4,803

DEFINITIONS & GUIDANCE

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

COMMISSIONER’S COMMENTS (Q3) NOTICING AND REGISTRATION OFFENCES

Undertakers

RWAs

S113 Advance

S114 Start

S116 Emergency

S129 Closure

Total

487

1,582

13

3,174

5,258

Total Works (starts) 24,422

22%

Total Works (ends) 22,631

23%

495

799

0

1,225

Total Works (starts) 3,166

79%

Total Works (ends) 4,618

54%

2,516

COMMISSIONER’S COMMENTS (Q3) Emergency - 2,141 7,479 Works Extensions Undertakers - 6,440

Urgent –

RWAs - 953

Awaiting Closure or Registration Undertakers – 24,258 RWAs – 1,609 Undertaker Reinstatement overdue > 1400

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

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

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

Fixed Penalty Notices Seminar

End of Seminar