Permit scheme checklist

The DfT Statutory Guidance for Highway Authority Permit Schemes states:

· “Before introducing an order to implement a permit scheme, the Authority is required to prepare information and evidence (including information from the consultation exercise) to support the decision of the Authority to bring a permit scheme into operation”; and

· “The Authority must ensure that all aspects of the proposed scheme comply with the 2007 regulations (as amended), before making the order giving effect to the scheme. Notice of such an order should be provided to statutory undertakers at least four weeks before the order comes into effect”.

The guidance provides a checklist to ensure that the proposed scheme meets these requirements. The checklist is reproduced below with comments from officers.

Ref*	Subject	Yes/No	Place in scheme documents
1	Scheme compliance statement – which includes: · The legal name of the authority/authorities included · An assurance of Street Manager compliance · A table showing Regulatory compliance · Confirmation that all financial requirements have been met	Yes	· Legal name of the authority included - see Scheme document Section 1 · Street Manager compliance - see Scheme document Section 1.3 · A table showing Regulatory compliance – this table · Confirmation that all financial requirements have been met - see Scheme document and Cost Benefit Analysis summary document
2	The Permit Scheme document must: · Clearly define the streets the scheme applies to · Detail the team that will be in place to operate scheme · Detail the approach to post-implementation evaluation · Demonstrate benchmarking undertaken & completed	Yes	· Clearly define the streets the scheme applies to - see Scheme document Section 3.2 · Detail the team that will be in place to operate scheme – See Proposed Team Structure document · Detail the approach to post-implementation evaluation - - see Scheme document Section 11 · Demonstrate benchmarking undertaken & completed - see Cost Benefit Analysis summary document. Benchmarking was also undertaken by comparing fee levels with other local authorities.
3	Demonstration of compliance with the non-discrimination obligation [utility and authorities’].	Yes	See Scheme document Sections 1 and 2
4	Permit Scheme Objectives (including the improvements expected – suggested limited to around 4).	Yes	See Scheme document Section 2
5	How the Permit Authority proposes to evaluate the scheme so as to measure it continually against its objectives [the ‘when’ is set out in regulations].	Yes	See Scheme document Sections 2 and 11
6	The costs and benefits (whether or not financial) which the Permit Authority anticipates will result from that permit scheme.	Yes	See Scheme document Section 2 and Cost Benefit Analysis Summary document
7	The evidence considered by the Permit Authority as to the fees which may be charged, and the reasons for its decision (fees matrix). To confirm that the fees and costs are developed in line with the Regulations (15.3.1) and proportionate to the value added by issuing a permit.	Yes	See Cost Benefit Analysis Summary document
8	The proposed variation implementation date	Yes	Proposed implementation date currently stated as by April 2021 (to be confirmed once decision is taken on implementation)
9	Details of any transitional arrangements which the Permit Authority would wish to apply in relation to the permit scheme coming into effect.	Yes	Scheme document Section 10
10	Consultation Report – changes to scheme clearly shown in response to the consultation.	Yes	See Statutory consultation summary document
11	Consideration of 'Nationally Significant' initiatives for example: Implementation of Superfast Broadband, HS2, etc.	Yes	Scheme document Section 1.2
12	When operating a permit scheme each authority must comply with the NRSWA, TMA and the 2007, 2015 and 2020 Regulations, and must have regard to statutory guidance.	Yes	Scheme document Section 1 and throughout

*Reference from DfT Statutory Guidance for Highway Authority Permit Schemes, Annex B: Check List.