NEHAUC - Agreed Guidance Notes

Reference No. GN1/02

Title: Section 74 – Local Conciliation Process

North of England HAUC

Co-Ordination of Street Works and Works for Road Purposes and Related Matters

Section 74

Local Conciliation Process

NEHAUC - Agreed Guidance Notes

Reference No. GN1/02

Title: Section 74 – Local Conciliation Process

Introduction

Chapter 9 of the Code of Practice for the Co-Ordination of Street Works and Works for Road Purposes and Related Matters, Second Edition, sets out a framework for the Conciliation and Arbitration process within HAUC.

Using this framework, North of England HAUC have drafted the following local agreement for the settlement of duration challenges under section 74 of the New Roads and Street Works Act 1991.

Detailed below is the 2-stage conciliation process, along with annexes detailing the composition of the conciliation panel and documentation required. Also included is a flow chart that should be used as a guide to the conciliation process.

Stage 1 – Local Level Communication

The first stage of the conciliation process should always be at a local level. Communication should take place between the works promoter and the highway authority to attempt to resolve the disagreement over the duration estimate.

In the interests of keeping good working relationships it is important that the process should move on to stage 2 only if communication and discussion at local level has been thoroughly explored and exhausted without reaching agreement.

Stage 2 – North of England HAUC Conciliation Panel

The Panel shall be requested by either party to meet within 2 months of the final breakdown of Stage 1 conciliation. The requesting party shall arrange a date, time and venue that is agreeable to all and have the responsibility of informing all the parties involved. As much notice as possible should be given.

Each party must bear its own costs and share equally any fees or expenses of the Conciliation Panel. If the Panel considers that one party has presented a frivolous case the panel may award all costs against them.

Prior to the meeting of the Panel, each party shall make available to the Panel members all relevant documentation and evidence.

The panel shall convene on the agreed date and each party shall be given the opportunity to present their case. The Panel shall then facilitate a discussion between the parties with the intention of the parties reaching an amicable agreement. Should this be unsuccessful, the Panel will then discuss the case in private and agree a revised duration. If they so wish the Works Promoter or Highway Authority may delegate their representation and attendance to their respective North of England HAUC representative. This should be declared to all parties involved.

If any of the parties fails to attend the confirmed meeting date, time and venue then the decision of the other panel members shall stand.

If the Panel fail to agree then either party may refer the matter to arbitration under Section 99 of the New Roads and Street Works Act 1991.

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Highways Chair Utilities Chair

NEHAUC - Agreed Guidance Notes

Reference No. GN1/02

Title: Section 74 – Local Conciliation Process

ANNEX A

Conciliation Panel

The conciliation panel shall comprise of the following:

North of England HAUC Utility Chairperson

North of England HAUC Highway Authority Chairperson

At the request of either party or the above Panel members, in matters of particular complexity, a third independent person, acceptable to both parties, may be appointed to the Panel.

In the event of either of the North of England HAUC chairpersons having a conflict of interest or be unavailable they must declare this to all parties involved and nominate a replacement from NE HAUC.

ANNEX B

Documentation

All costing, technical and other information relevant to the matter in dispute, together with a summary of each party’s position should be given to the members of the Panel prior to the meeting, and be made available at the meeting to help the proceedings of the Panel.

The works promoter shall produce relevant evidence to support their duration estimate. The highway authority where possible shall provide historical evidence relevant to their challenge of the duration estimate.

A written record of the panels proceedings and findings shall be issued to the works promoter and highway authority and a copy kept in confidence by the North of England HAUC secretariat. This copy will only be available to the members of the panel and the parties involved.

ANNEX C

NORTH of ENGLAND – HIGHWAY AUTHORITIES & UTILITIES COMMITTEE / HAUC/01
Issue: 01
NE HAUC – CONCILIATION PROCESS FLOW / Date 01/04/02
Page: 1 of 1
PROCEDURAL ACTIVITIES FLOWCHART - / Activity description numbers correspond to paragraph numbers in accompanying text
No. / Activity / Utility / HA / HAUC / INPUT / OUTPUT / Details / (System)
/ HA challenge to Utility duration estimate
1 / Utility receive challenge to duration estimate within 3 Days
2 / Does Utility accept HA challenge and revised estimate? /
3 / Local meeting held between HA and Utility (Works Promoter) / No
4 / Is work duration now agreed? / Yes
5 / Utility requests local HAUC conciliation / No / / Yes / Refer to NE HAUC Conciliation Process
6 / HAUC Conciliation Panel meets within 2 months of local meeting / Meeting recorded / minuted
7 / Is conciliation & revised duration acceptable to Both parties / Yes
8 / Party in disagreement requests escalation to Arbitration / No / Arbitration Process detailed in NRSWA Co-ordination CoP
9 / Process End / End
KEY / Activity / Input / Decision / Document / Communicate

NEHAUC Agreed Guidance NotesGN1/02

 See annex C for the Flow Chart

 See annex A for details of the Panel

 See annex B for details of documentation