1.0 Introduction
1.1. We are the Local Highway Authority for all roads except trunk roads within North Yorkshire. All motorways and trunk roads, which form the strategic road network, are managed by the Highways Agency on behalf of the Secretary of State.
1.2. This protocol outlines our requirements for road safety audits on highway improvement schemes on county roads including developer-funded new roads and developer funded improvements to the existing highway network.
1.3. The national standards for undertaking road safety audits are set by the Highways Agency and are contained in the 'design manual for roads and bridges at HD 19/03 (volume 5, section 2, part 2). We have adopted these standards unless stated differently in this protocol document.
1.4. We have a specific objective to reduce casualties resulting from road traffic collisions. At locations or along routes where casualties are known to be occurring this will be achieved through the implementation of measures designed to reduce the number of collisions and systematically applying road safety audit principles to ensure that all measures, when implemented, are as safe as practicable
1.5. The objective of this protocol is to ensure that the road safety implications of all highway improvements on county roads and developer funded highway works within North Yorkshire are appropriately considered for all highway users, including those working on the highway.
1.6. All road safety audits associated with developer funded works and works as a result of the audits will be wholly at the developer’s expense.
2.0 Stages of audit
2.1. HD 19/03 defines four principal stages for road safety audits:
- Stage 1 road safety audit: Completion of preliminary design
- Stage 2 road safety audit: Completion of detailed design
- Stage 3 road safety audit: Completion of construction
- Stage 4 road safety audit: Monitoring (12 and 36 months after opening)
2.2. In some instances stage 1 and stage 2 road safety audits can be combined into a stage 1/2 road safety audit. For developer funded works we will advise when this is appropriate.
2.3. Stage 1 road safety audits shall be undertaken before public consultations are undertaken on the scheme or options (i.e. more than one scheme); publication of orders; land acquisition and/or development-led highway improvement schemes before formal planning consent, where reasonably practicable.
2.4. For stage 1, stage 2 or stage 1/2 road safety audits of highways improvement schemes led by ourselves with an estimated cost of £100,000 (excluding fees) or less the project sponsor may reduce the minimum number of audit team members and may remove the requirement for a daytime and/or night time site visit if the costs of a full audit are unlikely to be justified by the benefit. Any decision and the reasons for the decision are to be recorded in writing.
2.5. Not all schemes will be subject to a stage 4 audit. For stage 4 audits, the decision as to whether to undertake the audit and visit the site shall be taken by the project sponsor based on recommendation by the audit team, and depending on the scheme nature; the problems identified at previous audits and whether they were implemented or subject to exception, and the numbers and nature of injury and damage only incidents which records are available. Stage 4 reports shall summarise previous audit findings and the current status of each.
3.0 Schemes to be audited
3.1. Road safety audits shall be undertaken on:
- All new roads
- All improvements on highways where the average annual daily traffic flow is or exceeds 5,000 vehicles/day and the estimated works cost exceeds £10,000 where the team leader, of traffic engineering team and project sponsor consider audits necessary
- Where considered necessary by the team leader, of the traffic engineering team and project sponsor all improvements on highways with fewer than 5,000 vehicles/day and the estimated works costs exceed £25,000
- All traffic signals and pedestrian-controlled crossings
- All developer funded improvements of the existing highway network (Section 278 works)
- Any highway improvement which the project sponsor considers that a road safety audit is required
4.0 Implementation
4.1. For highway improvement schemes promoted by ourselves this protocol shall be complied with forthwith and the traffic engineering team will undertake the relevant stages of the road safety audit.
4.2. Generally, audit teams shall consist of a minimum of two appropriately qualified members. However, for lower costs schemes it is recognised that the potential benefits may not justify the cost of two auditors. Therefore where the highway improvement scheme is valued at less than £100,000 (excluding fees), the project sponsor may request that the audit team consists of one member where the cost of two members is not considered appropriate. The reasons for the decision must be recorded and included in the audit brief.
4.3. For developer funded highway improvement schemes, the requirement for road safety audits under this protocol and undertaking remedial works shall be introduced into all new agreements and progressed as detailed below.
5.0 Developer funded Section 278 works on trunk roads
5.1. Where developer-funded off site highway works have any impact on the strategic road network the local highways authority expects that the Highways Agency will take the lead with local highway authority input.
5.2. The developer and his design team will need to ensure that the audit team curriculum vitae and the design brief for the audit have been approved by the local highway authority before the strategic road network is commenced.
5.3. The local highways authority will require the option to send an observer on strategic road network audits to ensure that local highway network issues are fully considered.
6.0 Developer funded Section 278 works on the local highways authority's network
6.1. Where developer funded off site highway works will only be on the local highway network the following will apply:
- Stage 1 Audit: Where requested by the local highway authority prior to a formal response to a planning application.
- Stage 2 audit: Following detailed design and prior to the sealing of the Section 278 Agreement by the local highways authority.
- Stage 1/2 audit: As an alternative to separate Stage 1 and Stage 2 road safety audits, if considered more appropriate, following detailed design and prior to the sealing of the Section 278 Agreement by the local highway authority.
- Stage 3 audit: Usually prior to opening to traffic but always prior to the works being placed on ‘maintenance’ and the issue of the part 1 certificate for the Section 278 Agreement. All identified remedials shall be addressed and where appropriate completed prior to the issue of the certificate unless agreed otherwise in writing by the local highway authority.
- Stage 4 audit: Where considered necessary by the local highways authority and in all instances where personal injury accidents have occurred. Usually prior to the issue of the part 2 final certificate for the Section 278 Agreement. The local highways authority may however request a later audit, for example, 36 months after opening to traffic. All identified remedials shall be addressed and where appropriate completed prior to the issue of the certificate unless agreed otherwise in writing by the local highway authority.
6.2. The local highway authority will expect a minimum of a Stage1/2 or Stage 2 Audit and a Stage 3 Audit. Section 278 Agreements will be worded such that progress in the agreement will be dependent upon satisfactory road safety audits.
6.3. For Stage 3 road safety audits the police representative shall be classed as a formal team participant with their comments recorded, and the police representative signing the report. A representative from the local highway authority’s area office will also attend in the role of maintaining agent.
6.4. The need for Stage 4 road safety audits will be set out in the Section 278 Agreement and flagged up with the developer at an early stage. The need for a Stage 4 road safety audit may be identified at a late stage due to the occurrence of personal injury accidents.
6.5. Developers are required to seek a quote from our road safety audit team for audits of developer funded off site highway works within North Yorkshire. Our road safety audit team fully meets the training requirements outlined in HD19/03 and are totally independent from the transport and development team who would be dealing with the developer’s application. The transport and development team negotiate and manage Section 278 works.
6.6. Where our road safety audit team is unable to meet the developer’s programme requirements an independent third party road safety audit team, fully in accordance with HD19/03, will need to be appointed by the developer.
6.7. Where a third party audit team is appointed they will need to be wholly independent of the design team. Where the developer’s design consultants have road safety audit teams at a separate geographical location the local highway authority may accept an audit team from the separate office. In these circumstances, the local highway authority will need to be satisfied of the independence of the audit team. Audit teams at the same geographical location will not normally be acceptable.
6.8. The developer and his design team will need to ensure that the audit team curriculum vitae and the design brief for the audit have been approved by the local highway authority before the audit is commissioned.
7.0 Section 278 works road safety audit recommendations
7.1. Any recommendations in a road safety audit report will need to be addressed by the design team. This should be discussed with the project sponsor. An exception report will be required to indicate how the recommendations will be addressed.
7.2. A standard format for exception reports is available.
7.3. Exception reports shall be signed by a senior member from the design organisation. Once signed by the design organisation the project sponsor will co-ordinate the report being signed off by a senior officer from the local highway authority.
7.4. For Stage 2 road safety audits the Section 278 agreements will not be sealed by ourselves until the exception report has been signed by the local highway authority. Consequently, the developer will not be permitted to commence works in the highway until the exception report has been completed.
7.5. For Stage 3 road safety audits the certificate commencing the “maintenance period” will not be issued until the exception report has been signed by the local highway authority.
7.6. For Stage 4 road safety audits the “final certificate” will not be issued until the exception report has been signed by the local highway authority.
8.0 Developer funded Section 38 works
8.1. The local highway authority will undertake a desktop audit of developer funded roads to be adopted by a Section 38 agreement, in lieu of a formal Stage 2 road safety audit. The desktop audit team will consist of a fully qualified road safety auditor and a member of the transport and development team.
8.2. In certain circumstances where the desktop audit raises concerns, the auditors will request a formal Stage 2 road safety audit. The procedures in Section 6 and Section 7 above should then be followed.
8.3. The local highway authority’s maintenance inspection will generally take the place of a formal Stage 3 road safety audit.
8.4. In certain circumstances where the inspection raises concerns with local highway authority officers, they will request a formal Stage 3 road safety audit. Where any personal injury collisions have been recorded prior to the request for a pre maintenance inspection a Stage 3 road safety audit shall be undertaken. The procedures in Section 6 and Section 7 above shall then be followed and the road safety audit undertaken at the developer’s expense.
8.5. The issue of the formal “maintenance certificate” which triggers bond reduction’s, shall not be issued until the exception report relating to any Stage 3 road safety audit has been signed by the design team, accepted and signed by the local highway authority and any recommendations implemented or funded by the developer.
8.6. The local highway authority final pre adoption inspection will generally take the place of a formal Stage 4 road safety audit.
8.7. In certain circumstances where the pre-adoption inspection raises concerns with local highway authority officers, they will request a formal Stage 4 road safety audit. Where any personal injury collisions have been recorded prior to the request for the inspection a Stage 4 road safety audit shall be undertaken. The procedures in Section 6 and Section 7 above shall then be followed and the road safety audit undertaken at the developer’s expense.
8.8. The certificate adopting the roads shall not be issued until the exception report relating to the Stage 4 road safety audit has been signed by the design team, accepted and signed by the local highway authority and any recommendations implemented or funded by the developer.
9.0 Adoptions by notice – Section 37
9.1. Where a developer funded road is to be adopted by notice under Section 37 of the Highways Act 1980 the developer will be required to have a formal Stage 3 road safety audit undertaken following the procedures set out above.
9.2. The Stage 3 road safety audit brief will need to be written such that it extends the auditors’ remit to consider those issues which would normally be considered in a Stage 2 road safety audit.
9.3. The certificate adopting the roads shall not be issued until the exception report relating to the Stage 3 road safety audit has been signed accepted and signed by the local highway authority.
9.4. In certain cases a Stage 4 road safety audit may be requested in accordance with the requirements set out above. The certificate adopting the roads shall not be issued until the exception report relating to the Stage 4 road safety audit has been signed by the design team, accepted and signed by the local highway authority and any recommendations implemented or funded by developer.
10.0 Exemptions
10.1. Where the project sponsor considers it unnecessary for a road safety audit to be applied to a particular highway improvement scheme, approval for a departure from this protocol must be obtained from the team leader – traffic engineering. The departure application must clearly state why an audit is not considered necessary.
10.2. A departure from this protocol allowing an exemption from a road safety audit should only be approved when the effect of the highway improvement scheme on the highway would be minimal. An exemption will generally not be given for development led highway improvement schemes due to the increased risk to ourselves.
11.0 The relationship between road safety audit and health and safety legislation
11.1. When incorporating road safety audit recommendations into scheme designs, the design team shall be responsible for reviewing and amending any design risk assessments and/or hazard identification required by health and safety legislation.
12.0 Design changes and audit shelf life
12.1. Stage 1, Stage 1/2 and Stage 2 road safety audits shall be repeated if the scheme design materially changes or if the previous audit for the relevant stage is more than five years old. In the case of minor changes to a highway improvement scheme then the re-audit should only be concerned with the elements of the scheme that have been changed. In the case of minor changes, further site visits may be undertaken as considered appropriate.
12.2. If the design of the highway improvement scheme is significantly changed during the construction period, then the elements of the scheme that have been redesigned shall be resubmitted for a Stage 2 road safety audit prior to the alteration being incorporate in the works.
13.0 Specialist advisors
13.1. The design organisation and the audit team should consider if there are any particular features of the project, such as complex signal controlled junctions, highway design, traffic management or maintenance issues that warrant the appointment of specialist advisors to advise the audit team. Appointment of specialist advisors is subject to the approval of the project sponsor who would separately instruct them on their role. A specialist advisor is not a member of the audit team but advises the team on matters relating to their expertise.
14.0 Audit brief
14.1. The design team is responsible for preparing the audit brief. A copy of the brief shall be forwarded to the project sponsor for approval in advance of the audit. The project sponsor may instruct the design team to delete unnecessary items or to include additional material, as he/she considers appropriate. The project sponsor must document the reasons for deleting or adding any information to the audit brief.
14.2. For our promoted schemes the project sponsor shall issue the audit brief and instruct the audit team. For developer funded works the audit brief shall be approved by the local highway authority.
14.3. To maximise the benefit from the road safety audit, the brief needs careful preparation and must include sufficient information, as outlined in paragraph 2/62 of HD19/03, to enable an efficient audit to be undertaken.
15.0 Audit management
15.1. The project sponsor and design team should liaise and ensure that the audit process is initiated at the appropriate stages, allowing sufficient programme time to complete the full audit procedure. This should include an allowance for the incorporation of design changes.
15.2. The design team should ensure that the audit team is given sufficient notice of when the scheme will be ready for audit and the date by which the report will be required.
15.3. The audit team leader shall invite representatives of the North Yorkshire Police and the maintaining agent to accompany the audit team. The audit team leader shall notify the project sponsor of the date proposed for the site visit to offer their views for the Stage 3 audit.
15.4. The audit team leader may also, with the approval of the project sponsor, invite representatives of the North Yorkshire Police and the maintaining agent to advise on audits at Stages 1 and 2 where the audit team leader considers that their participation will benefit the audit.
16.0 Audit report
16.1. At all stages the audit team shall prepare a written report. Stage 1, 2 and 3 audit reports shall include the information outlined in paragraph 2.68 of HD 19/03.
16.2. The report shall contain a separate statement for each identified problem describing the location and nature of the problem and the type of incidents considered likely to occur as a result of the problem.
16.3. Each problem shall be followed by an associated recommendation and follow the guidance set out in HD 19/03.
16.4. The road safety audit team, in formulating recommendations for dealing with the identified problems, shall make allowance for the fact that strategic decisions on matters such as route choice, junction type, standard of provision and departures from standards already reflect the best balance of a number of factors including road safety. Recommendations requiring major changes in these areas are unlikely to be acceptable when balanced with other aspects of the scheme and the audit team should not make such proposals.
16.5. The audit team shall send a draft report directly to the project sponsor with a copy being sent to the design team. The audit team leader shall discuss the draft report with the project sponsor prior to formal submission so that anything agreed to be outside the terms of reference can be identified and removed. In addition, where the project sponsor agrees a variation on a recommendation with the audit team leader, this revised recommendation should be incorporated into the final audit report. The audit team leader should consider the need to discuss variations with the audit team and specialist advisors before variations are made. The audit team leader shall not include in the audit report technical matters that have no implications on road safety or any other matter not covered by the audit brief, such as maintenance defects observed during site visits and health and safety issues.
16.6. The audit team leader shall send any comments on matters that are not covered by the audit brief to the project sponsor in a separate letter. Maintenance defects noted during site visits shall be immediately reported direct to the relevant area manager. The project sponsor shall also be informed.
17.0 Exception report
17.1. It is the project sponsor’s responsibility to ensure that all problems raised by the audit team are given due consideration. The project sponsor may wish to consult the design team at this stage. If the project sponsor considers any problem raised to be insignificant or is outside the terms of reference, or that the solutions recommended are not suitable given the relevant economic and environmental constraints, the project sponsor shall prepare an exception report giving reasons and proposing alternatives for submission to the corporate director business and environmental services with whom the final decision/arbitration rests. If there is more than one exception in respect of an audit then each exception shall be considered and approved separately.
17.2. The project sponsor shall provide copies of each approved exception report to the design team and audit team leader for action and information respectively.
18.0 Subsequent actions
18.1. The project sponsor will instruct the design team in respect of any changes required during the preparation, design and construction of the scheme resulting from audit.
18.2 Through the construction period following the Stage 2 audit, the design organisation shall keep the project sponsor informed of all design changes that occur so that any requirement for a further Stage 2 audit can be identified. The project sponsor shall then initiate any additional audits required. For development led schemes, the developer must notify the local highway authority where recommendations are not implemented before the site is adopted.
18.2. The project sponsor is responsible for initiating prompt action on accepted recommendations in the audit report and approved exception reports. The project sponsor shall notify the corporate director of the reasons if works to implement Stage 3 recommendations or alternative measures proposed in exception reports, are not completed within six months of acceptance of the Stage 3 audit recommendations and/or approval of exception reports.
18.3. The Stage 4 reports shall be submitted to the corporate director business and environmental services following consultation with relevant parties (see Appendix A) who will consider the reports and decide on appropriate action. For development funded highway improvement schemes, the recommendations shall be discussed with the developer and the alterations to be undertaken by the developer agreed. Retention of some or all of developers bond monies to secure agreed Stage 4 works (or earlier audits) must always be secured should works be “adopted” in advance of completion of all Stage 4 works.
Definitions
| Road safety audit | The evaluation of highway improvement schemes during design and through to the end of construction (preferably before the scheme is open to the public) to identify potential road safety problems that may affect any users of the highway and to suggest measures to eliminate or mitigate those problems. The audit process includes the collision monitoring of highway improvement schemes to identify any road safety problems that may have occurred after opening. This Stage 4 audit will include the analysis and reporting of 12 and 36 months of completed personal injury collision data from when the scheme became operational. |
| Local highway authority | Ourselves exercising our powers as local highway authority. |
| Highway improvement scheme | All works that involve construction of new highway or permanent change to the existing highway layout or features. For example, this includes changes to road layout, kerbs, footways, signs and markings, lighting, signalling, drainage, landscaping, bus shelters and installation of roadside equipment. |
| HD 19/03 | That section of the design manual for roads and bridges which sets out the requirements for undertaking road safety audits. |
| Developer | A person or organisation usually having a valid planning permission which includes the construction, at the developer’s expense of a new road on land within the development site or off site amendments to the existing local highway network. |
| Section 278 | An agreement under Section 278 of the Highways Act 1980 between the developer and the local highway authority. |
| Section 38 | An agreement under Section 38 of the Highways Act 1980 between the developer and the local highway authority |
| Design organisation | The organisation appointed by the developer to take responsibility for the various phases of scheme preparation for the highway works. |
| Design team | The group appointed by the developer to undertake the various phases of scheme preparation for highway works. |
| Design team leader | A person within the design team, responsible for managing the scheme design and coordinating the input of the various design disciplines. |
| Audit brief | The instructions to the audit team defining the scope and details of the highway improvement scheme to be audited, including sufficient information for the audit to be undertaken. To be prepared by the design team and approved by the project sponsor. |
| Audit team | A team that works together on all aspects of the audit, independent of the design team and approved for a particular audit by the local highway authority. The team shall comprise a minimum of two persons with appropriate levels |
| Audit team leader |
A person with the appropriate training, skills and experience, who is approved for a particular audit by the local highway authority/project sponsor. The audit team leader has overall responsibility for carrying out the audit, managing the audit team and certifying the report. The audit team leader is required to have:
|
| Audit team member |
A member of the audit team, with the appropriate training, skills and experience, necessary for the audit of a specific scheme reporting to the audit team leader and approved by the local highway authority/project sponsor. The audit team member is required to have:
|
| Audit team observer |
A person accompanying the audit team, to observe and gain experience of the audit procedure. The audit team observer is encouraged to contribute actively to the audit process. The audit team observer is required to have:
|
| Director | The person within the local highway authority with overall responsibility for accepting the developer’s works as highway maintainable at the public expense. The term director shall mean the corporate director of business and environmental services. |
| Project sponsor | The person, within the council responsible for ensuring the progression of the highway works and ensuring compliance with the requirements of this protocol. For developer funded schemes the person will usually be in the transport and development team. |
| Maintaining agent | The area maintenance manager (or his representative) who will always be invited to attend a Stage 3 road safety audit to identify maintenance defects. |
| Audit report | The report produced by the audit team describing the road safety related problems identified by the team, the likely consequences and the recommended solutions to those problems. |
| Exception report | A report prepared by the design team for the project sponsor’s acceptance and formal approval by the director on each recommendation in the audit report that the design team proposes should not be implemented. |
| Collision investigation | The collection and examination of historical collision data over a period of time (usually three to five years) in order to identify patterns, common trends and which may have contributed to the collisions. While causation may be unpreventable (loss of control by a driver due to illness for example), contributory factors such as speed, or highway environment can affect the outcome. |
| Specialist advisor | A person approved by the project sponsor, to provide specialist independent advice to the audit team, should the scheme include complex features outside the experience of the audit team members, for example. a complex traffic signal controlled junction. |
| Overseeing organisation | Ourselves, as local highway authority. |
Appendix A
Definition of director
The term director shall mean the appropriate officer acting on behalf of the corporate director of business and environmental services as follows:
1 Directly managed area
a) Head of Highway Operations (or referred up to his/her line manager) for the stages of all highway improvements, including those associated with highway maintenance and developments, being overseen by the area manager;
b) Head of Network Strategy (or referred up to his/her line manager) for highway improvements associated with bridge maintenance;
c) Head of Network Strategy (or referred up to his/her line manager) for highway improvements associated with major schemes and the stages of highway improvements associated with cycling schemes and developments overseen by the traffic management and road safety manager;
d) Head of Network Strategy (or referred up to his/her line manager) for those stages of highways improvements including traffic signals and lighting overseen by the traffic management and road safety manager but excluding traffic signals and lighting where they form part of a larger scheme;
e) Assistant Director – Integrated passenger transport (or referred up to his/her line manager) for highway improvements associated with passenger transport schemes.
Generally, decisions are to be made by the holder of the named post. Decisions should only be referred to the named post’s line manager where the named post holder is absent from work and scheme progress would be unreasonably delayed or the post holder considers that the decision needs to be made by the line manager. The decision may not be delegated to posts below that named.
Appendix B
Programming for road audits
Undertaken by our accident investigation and prevention team
This appendix has been produced to provide an indication of the minimum time that should be allowed in scheme programmes for the production of road safety audit reports. However, the project sponsor should always have discussions with the team leader (traffic engineering) to agree timescales as they will be dependant on the nature of the scheme and the team’s workload.
The team leader (traffic engineering) will generally require at least two weeks notice of a road safety audit so that they can be programmed into the team’s work and, if necessary, consultants and/or specialist advisors can be commissioned to assist in the road safety audit.
Stage 1 and Stage 2 audits
If sufficient notice of the scheme has been given, then, generally a draft report will be sent to the project sponsor within four weeks of receiving all relevant information as described in paragraph 2.62 of HD 19/03 road safety audit.
Stage 3 audits
For Stage 3 road safety audits, the aim would be to produce the draft report within two weeks of the site visit; the timing of site visits may be constrained by inclement weather, staff resources and other factors.
Where reasonably practicable, for new roads or where roads are closed to the public to permit construction, Stage 3 road safety audits should be undertaken before the road is opened to public vehicular traffic so that alterations can be made before opening to traffic.
The audit brief, plans and other relevant information for Stage 3 road safety audits must be received at least two weeks prior to the date that the project sponsor considers that the project will be sufficiently advanced for a Stage 3 road safety audit to be undertaken to enable the police and other representatives to attend the site meeting.
The project sponsor must undertake appropriate discussions with the contractor to ensure, as far as reasonably practicable, the safety of the audit team and that the audit team is appropriately advised of any safety risks on the site. Generally, unless there is no construction activity and all hazards are adequately fenced, the project sponsor shall arrange for a contractor’s representative, who has health and safety responsibilities for the site, to accompany the audit team.
Stage 4 audits
Where Stage 4 Audits are undertaken they will be carried out in the same manner as Stage 3 Audits.