NJUG Publication Volume 1

NJUG Guidelines for the Planning, Installation and Maintenance of Utility Apparatus in
Proximity to Trees
Volume 4
NJUG GUIDELINES FOR THE PLANNING, INSTALLATION AND

MAINTENANCE OF UTILITY APPARATUS IN PROXIMITY TO
TREES
PLEASE ENSURE THAT YOU READ THE LEGAL NOTICE AND DISCLAIMER
WHICH APPEARS IN APPENDIX B OF THIS PUBLICATION
Issue 2: 16th November 2007
NJUG has a vision for street works, this vision is simply:
• Safety is the number one priority

• Damage to underground assets is avoided
• Utilities work together and in partnership with local
authorities to minimise disruption
• Utilities deliver consistent high quality
• Utilities maximise the use of sustainable methods and
materials
• Street Works in the U.K. are regarded as world class
This document forms part of that vision.
Mark Ostheimer
Director, Safety and Policy
NJUG Publication: Volume 4: Issue 2: 16/11/2007 Page 1

© NJUG Ltd and its licensors – August 2007
Proximity to Trees
The following volumes constitute the NJUG Publications. They are living
documents and may be amended from time to time. There is no attempt to
describe any specific industry process as each utility has its own specifications
and procedures. Not all the publications will necessarily be available at one time
as individual volumes will be published when available.
NJUG PUBLICATIONS
Current Previous
VOLUME 1
NJUG Guidelines on the Positioning and Colour Coding of NJUG 4 & 7
Underground Utilities’ Apparatus
VOLUME 2
NJUG Guidelines on the Positioning of Underground NJUG 2, 5 & 6
Utilities Apparatus for New Development Sites
VOLUME 3
NJUG Guidelines on the Management of Third Party Cable New
Ducting
VOLUME 4
NJUG Guidelines for the Planning, Installation and NJUG 10
Maintenance of Utility Apparatus in Proximity to Trees
VOLUME 5
NJUG Guidelines on Environmental Good Practice New
VOLUME 6
Legislation & Bibliography NJUG 1
The following NJUG publications have not been reviewed and have been completely
withdrawn:
NJUG 3 – Cable Locating Devices

NJUG 8 – Performance Guide for the Assessment of Metallic Pipe and Cable Locators
NJUG 9 – Recommendations for the Exchange of Records of Apparatus between
Utilities
NJUG 11 – Proposed Data Exchange Format for Utility Map Data
NJUG 12 – NJUG Specification for the Digitisation of Large Scale OS Maps
NJUG 13 – Quality Control Procedure for Large Scale OS Maps Digitised to OS 1988
NJUG 15 – NJUG/Ordnance Survey Service Level Agreement (Technical) for Digital
Map Products and Services

Proximity to Trees
CONTENTS
Background 5
Scope 5
1. HOW TREES ARE DAMAGED 7
1.1 The Root System 7

1.2 Below Ground 10
1.3 Above Ground 13
2. HOW APPARATUS IS DAMAGED 14
2.1 Below Ground 14

2.2 Above Ground 16
3. PLANNING OF WORKS 16
3.1 Special Considerations when Planning the Installation of

Underground Apparatus 16
3.2 Precautions when Repairing Existing Apparatus 17
3.3 Special Considerations when Planning the Installation of Above
Ground Apparatus 18
4. HOW TO AVOID DAMAGE TO TREES 19
4.1 Below Ground 19

4.2 Above Ground 24
4.3 Chemical Damage to Trees 26
5. HOW TO AVOID DAMAGE TO APPARATUS BY TREES 26
5.1 Consultation with Utilities 26

5.2 Precautions during Planting 26
6. SITES WITH DESIGNATED STATUS 27
6.1 Tree Preservation Orders and Trees in Conservation Areas 28

Proximity to Trees
7. LEGISLATION 28
7.1 Primary Legislation 28

7.2 Secondary Legislation 29
8. OTHER USEFUL PUBLICATIONS 29
9. OTHER REFERENCES 30
9.1 Arboricultural 30
9.2 Herbicides 30
9.3 Utilities 30
FIGURE 1 – Tree Protection Zone 9
FIGURE 2 – Typical Tree Structure 12
TABLE 1 – Prevention of Damage to Trees Below Ground 23
TABLE 2 – Prevention of Damage to Trees Above Ground 25
GLOSSARY 31
APPENDIX A
Important Legal Notice and Disclaimer 33
In this document the word ‘apparatus’ is used to describe both the

distribution mains and also the lateral apparatus to properties. The words
‘plant’ or ‘services’ are also used to collectively describe this and other
equipment.

Proximity to Trees
This volume supersedes NJUG 10 ‘Guidelines for the Planning, Installation and
Maintenance of Utility Services in Proximity to Trees’ and has been drafted by
NJUG members and arboriculturists.
Background
The statutory right of undertakers (utilities) to carry out works within the public
highway in order to provide and maintain their apparatus dates from the mid -
19th century. There are no statutory obligations governing the position or depth
at which apparatus should be laid within the highway. The following guidelines
should therefore be adhered to wherever practicable.
The New Roads and Street Works Act 1991, as amended by the Transport Act
2000, the Traffic Management Act 2004, the Transport (Scotland) Act 2005
together with the Street Works (Northern Ireland) Order 1995, sets down the
legislative requirements to be adopted during the installation, repair and
maintenance of apparatus in roads and streets (see Volume 6 – ‘Legislation
and Bibliography’).
Scope
(i) Trees (including shrubs and hedges) play an essential role in the
environment and visual amenity of both rural and urban landscapes. They may
take decades to grow, but can be destroyed in minutes. Wherever they are
growing, whether in public footpaths, private gardens, rural verges or elsewhere,
they require space for the adequate development of their root systems and to
allow the branches to develop an attractive and natural shape.
(ii) Modern society expects a multiplicity of apparatus (electricity, gas, water,

sewage, telecommunications and cable television) each of which requires an
extensive distribution network, both above and below ground. These networks
also need space, and they are frequently under tight constraints regarding their
alignment.
(iii) The space available for both trees and apparatus is often very restricted,
and they are frequently forced to share the available space, both above and
below ground. Where they are in close proximity, there is the potential for either
the tree or the apparatus to be subject to damage. To successfully co-exist
precautions should be taken to minimise the risk of damage to both trees and
apparatus based upon technical guidance obtained from this document and
where appropriate further advice from local authority arboriculturists.

Proximity to Trees
(iv) Legislative mechanisms for ensuring that existing trees (including shrubs
and hedges) are safeguarded already exist (see sub-section 7 – ‘Legislation’).
References to legislation relate to the whole of the United Kingdom (UK) but
variations between countries may occur. They seek to provide constructive
advice on how to minimise damage to trees by undertakers (utilities) and to utility
apparatus by trees and will be helpful to utility companies, contractors,
arboriculturists, highway engineers, developers and planners. The guidelines
have been prepared in collaboration between representatives of the utilities, the
arboricultural and urban forestry professions and the Department for
Communities and Local Government. As with all guidelines, their interpretation
and application should be complimented at all times by common sense.
However, expert guidance on specific instances should be sought from the
appropriate utility, local authority or arboriculturist. The emphasis throughout this
document is on the need for local liaison and communication.
(v) Certain trees are subject to Tree Preservation Orders (TPOs). Trees
protected by a TPO must not be willfully damaged or destroyed and cannot be
cut down, uprooted, topped or lopped without the local planning authority
consent.
(vi) These guidelines are applicable to all apparatus (underground and

overhead) and to trees in any location (public or private, rural or urban). They
should be considered when new apparatus is planned to be constructed adjacent
to existing trees, when new trees are to be planted adjacent to existing apparatus
and where apparatus is to be maintained or repaired and trees are to be
managed (e.g. pruning, removal or replacement).
(vii) Site surveys should be undertaken appropriate to the scale of the planned
works. These surveys will identify the presence of trees which could impact on
works. Advice should then be sought from a local authority tree officer. However,
on major projects, a consultant arboriculturist may be employed to liase with the
local authority tree officer. Site surveys should be carried out according to the
recommendations within BS 5837 (see sub-section 8 – ‘Other Useful
Publications’).
(viii) The principles set out in these guidelines also have relevance in respect of
work carried out to highways near trees (e.g. kerbing, footway reinstatement).

Proximity to Trees
1. HOW TREES ARE DAMAGED
Trees are complex living organisms, which are susceptible to damage from a
wide range of physical agents or activities. Trees do not heal, damage caused to
a tree will remain for the rest of its life. Even minor damage may set up
circumstances leading to serious long term decay.
Contrary to popular belief, the root system of a tree is not a mirror image of the
branches, nor is there usually a ‘tap root’. The majority of the root system of any
tree is in the surface 600mm of soil, extending radially in any direction for
distances frequently in excess of the tree’s height. Excavation or other works
within this area are liable to damage the roots.
1.1 The Root System
The base of a trunk typically flares out in buttresses extending into the main
lateral structural roots. These rapidly subdivide into the mass of smaller roots
which serve to anchor the tree into the soil and transport water and nutrients.
Even at a short distance (3m) from a large mature tree, most roots will be less
than 10mm in diameter, but these may extend to well beyond the branch spread
of the tree. A mass of fine roots, less than 1 mm in diameter, develop off all parts
of this root system. These fine roots also absorb the water and nutrients, which
are essential for the growth of the tree.

Proximity to Trees
The main structural roots (close to the trunk) develop as the tree grows in
response to the need for physical stability. Beyond these major roots growth is
influenced by the availability of water, air and nutrients in the soil. Disturbance of
soil provides ideal conditions for root growth. Apparatus is often cooler than the
surrounding soil encouraging moisture within the soil to condense on its surface
stimulating root growth close to the apparatus. For all these reasons root growth
is often most prolific within the backfilled trench and in the soil around the
apparatus.
There are certain areas around trees, illustrated in Figure 1 – ‘Tree Protection
Zone’, where excavation either must not be undertaken or only undertaken under
strict conditions in order to avoid or minimise any damage to a tree’s root system.
For the purposes of this guideline document they are called zones;
• the Prohibited Zone (1m from the trunk)

• the Precautionary Zone (4 x the tree circumference)
• the Permitted Zone (outside of the Precautionary Zone)

Proximity to Trees
FIGURE 1 – Tree Protection Zone
1m
Key
Trunk of tree Canopy or branch spread
PROHIBITED ZONE – 1m from trunk. Excavations of any kind must not be undertaken
within this zone unless full consultation with the local authority Tree Officer is undertaken.
Materials, plant and spoil must not be stored within this zone.
PRECAUTIONARY ZONE – 4 x tree circumference. Where excavations must be

undertaken within this zone the use of mechanical excavation plant should be prohibited.
Precautions should be undertaken to protect any exposed roots. Materials, plant and
spoil should not be stored within this zone. Consult with the local authority Tree Officer if
in any doubt.
PERMITTED ZONE – outside of the precautionary zone. Excavation works may be

undertaken within this zone, however caution must be applied and the use of mechanical
plant limited. Any exposed roots should be protected.

Proximity to Trees
1.2 Below Ground
1.2.1 Root systems can be damaged by;

• the severance of a root, for example by trenching will destroy all parts of
the root beyond that point. Even roots less than 10mm in diameter may be
serving the fine roots over a wide area. The larger the root severed, the
greater the impact on the tree.
Typical root damage caused by excavation works
• damage to the bark on the root. The bark protects the root from decay and
is also essential for further root growth. It is loosely attached and easily
damaged. If damage to the bark extends around the whole circumference
the root beyond that point will be killed.
• damage to surface roots. Care must be taken when using mechanical

plant. Materials and vehicles must never be stored within the Prohibited
Zone and ideally should not be stored within the Precautionary Zone.

Proximity to Trees
• compaction of the soil. Incidental compaction may occur from storage of

materials and / or the passing of heavy equipment over the roots. This can
restrict or even prevent gaseous diffusion through the soil, and thereby
asphyxiate the roots. The roots must have oxygen for survival, growth and
effective functioning.
Poor site management within the Precautionary Zone
• alterations in soil level. Lowering the level will strip out the mass of roots
near the surface. Raising levels will have the same effect as soil
compaction.
• the application of herbicide - frequently used to clear weed growth on

operational land (e.g. substations). The wide-ranging root system of a tree
may extend into the operational land and absorb herbicides, which have
been applied to the ground. Herbicide absorbed in one part of the root
system can kill the whole tree.

Proximity to Trees
NOTE: The selection and application of herbicides must be undertaken by a

competent person in accordance with Control of Substances Hazardous to
Health (COSHH) regulations.
• spillage of oils or other materials (e.g. diesel oil, cement, resins). Spillage
can permeate into the soil and damage root systems (see sub-section 4.3
– ‘Chemical Damage to Trees’).
1.2.2 If roots are damaged;

• close to the trunk. The anchorage and stability of the tree may be
adversely affected rendering the tree immediately hazardous.
• anywhere along their length. The distal portion including the fine roots they
serve, will be destroyed. Damage to fine roots by severance of a main
root, or by compaction or alteration of ground levels, will prevent fine roots
from absorbing the water and nutrients which are essential for the well-
being, growth and anchorage of the tree.
• by successive excavations. Multi-utility excavations close to a tree can

cumulatively damage a root system.
Figure 2 - Typical Tree Structure

Proximity to Trees
1.2.3 Symptoms
Trees with damage may not show any immediate symptoms. Such symptoms
may range from minor branch dieback to deterioration and ultimate death and
collapse of the tree dependent on the severity of damage and the ability of the
roots to regenerate.
If a root of 25mm diameter or over is severed, as a precautionary measure, a

local authority tree officer / arboricultural officer should be contacted immediately.
1.3 Above Ground
Trees have a single or multi-stemmed trunk supporting a framework of

branches and twigs. These structures are protected by a layer of bark, the
purpose of which is to protect the functional tissues immediately beneath.
Trees can be damaged by:
• Direct impact by plant or machinery

• Fire and scorching.
• Poor pruning
• Abrasion by overhead apparatus
• Chemicals and fuel oils
• Storage of materials within the Prohibited and Precautionary Zones
1.3.1 Abrasion
The tree may be damaged by abrasion with overhead apparatus. Initially this only
removes the outer bark. If the abrasion continues it can expose the underlying
wood which may increase the risk of fire or eventual collapse of the branch or the
tree.
If trees are growing in proximity to overhead apparatus it should be possible to

prevent the development of problems by timely pruning and tree management.
This requires knowledge of the growth pattern of the many different species of
tree, consideration of the effects of the pruning on the appearance of the tree and
application of the correct pruning techniques. All pruning should be in
accordance with BS 3998 (see sub-section 8 – ‘Other Useful Publications’). All
operatives should be authorised and competent.
For all works other than emergency or urgent works, notification and consultation
with all interested parties is necessary before work commences (see section 5 –
‘How to Avoid Damage to Apparatus by Trees’).

Proximity to Trees
1.3.2 Permissions / Notifications

Any work to trees adjacent to an area of operations that extends beyond what is
absolutely necessary for operational requirements may require either written
permission from the local planning authority (in respect to tree preservation
orders) or six weeks’ notification to the local planning authority (in respect to
trees in conservation areas)(see also section 6 – ‘Sites with Designated Status’).
2. HOW APPARATUS IS DAMAGED
The positioning and type of underground apparatus are detailed in NJUG

publication Volume 1 – ‘NJUG Guidelines on the Positioning and Colour
Coding of Underground Utilities’ Apparatus’.
Construction methods and utility service materials are subject to change and any
cluster of utility services is likely to consist of a variety of historic and modern
materials constructed to various specifications. In general utility apparatus
includes the following:
Pipes
Cables
Ducts
Chambers
Poles/Towers/Masts/Satellite dishes
Above ground installations
2.1 Below Ground
Underground apparatus (especially those less than 600mm deep) may be

affected by tree roots. The risk will depend on the ability of the apparatus, in
particular any joints, to resist or tolerate distortion.
2.1.1 Direct damage

Direct damage is caused by the annual increase in root thickness resulting in
eventual contact with apparatus. However, it is usually either the root or the
adjacent soil that will distort rather than the apparatus itself. The potential for
damage depends on how much the root thickens and is greatest in the main
structural roots within 3 metres of the tree. Roots may grow around an apparatus
to form a sheath but this will rarely exert sufficient pressure to cause any
damage. Surface wrappings inadequately attached to an apparatus, if non-toxic,
may be colonised by roots and eventually lifted off.

Proximity to Trees
2.1.2 Indirect damage

Indirect damage is restricted to shrinkable soils, mainly clays but also peat and
some silts. Such soils shrink as they dry with the potential to distort any
apparatus supported by the soil. Vegetation growing within the same area of soil
may increase the drying effect.
The degree of the shrinkability of the soil will affect the amount of movement
caused by drying and thus the potential for damage to occur. In situations where
apparatus passes from a shrinkable soil into a rigid structure there is the
possibility of extreme distortion taking place. Regular seasonal movement can
also cause damage even in the absence of roots, particularly with short
segmented pipes (see sub-section 3.1.4 – ‘Shrinkable Soils’).
2.1.3 Root incursion

Intact apparatus will not generally be penetrated by roots. However roots can
exploit existing defects such as;
• defective pipe joints

• cracks in foul or surface water drains
• inadequate or degraded pointing of inspection chambers.
Where internal conditions are moist and aerated and therefore most conducive to
root growth, root proliferation may occur and ultimately block the apparatus. If
root thickening occurs where it passes into apparatus, root related enlargement
of a defect may occur. This is unlikely at distances 3 metres or more from the
trunk.
2.1.4 Trees and Wind Movement.

The potential for damage to apparatus close to a tree may increase due to
movement of the lower trunk and a structural root as the tree sways in strong
winds. Such movement may result in direct pressure being applied to the
apparatus. Furthermore, if a tree is uprooted, any apparatus passing across or
through the disturbed root plate may also be displaced. Such events are unlikely
and are restricted to situations where apparatus is in close proximity to the trunk
of the tree, but the potential may be increased if other structural roots are
severed. Encasing apparatus in lean mix or course concrete can exacerbate this
problem as fine roots may penetrate the material providing a greater ‘hold’ on the
apparatus unless an appropriate root barrier material is used to separate the
apparatus from the root system.

Proximity to Trees
2.1.5 Mechanical Removal of Trees and Stumps

The mechanical removal of tree stumps by grinding or grubbing may disturb or
damage apparatus passing across or through the root plate of the tree. Using a
mechanical digger to uproot a tree scheduled for removal is very likely to damage
apparatus within and also close to the Prohibited or Precautionary Zones as the
roots will apply pressure to the apparatus as they are uprooted.
2.2 Above Ground
If overhead apparatus come into contact with trees they may be damaged as a
result of:
• Abrasion when the tree and / or apparatus move in the wind bringing
them into contact. The resultant abrasion can damage wires affecting
their efficiency, strength and causing interference or loss of supply.
• The collapse of a branch or a whole tree which could bring down

overhead lines.
3. PLANNING OF WORKS
The inherently variable nature of trees, and also the generally low incidence of
damage to underground apparatus, makes it neither practical nor justifiable to
impose absolute limits on the proximity of trees to apparatus. Therefore site
specific liaison and agreement between the asset owner and other interested
parties is essential.
With respect to overhead apparatus there are minimum established clearances

which must be maintained. Details of these clearances can be obtained from the
utility network operator.
Before new trees are planted the advice of a local authority tree officer or
arboriculturist should be obtained.
3.1 Special Considerations when Planning the Installation of Underground

Apparatus
3.1.1 New / Renewal of Apparatus - New Trees

In considering the location of new or renewed apparatus in conjunction with a
new tree planting scheme early consultation is essential between the relevant

Proximity to Trees
professional organizations e.g. local authorities, utility companies, developers

and landowners
3.1.2 New / Renewal of Apparatus - Existing Trees

When planning the installation or renewal of apparatus the position of existing
trees should be considered as one of the primary factors which could affect the
siting, depth, method of installation and future maintenance of that apparatus.
Consultation with the relevant interested parties will identify any conflict and
consideration should be given to apparatus diversion or felling and re-planting.
This decision should be influenced by the value of the tree and the extent of the
additional diversionary works.
3.1.3 Existing Apparatus - New Trees

Early consultation with utilities should take place before any tree work, including
planting, is undertaken to ascertain the position of existing apparatus. Records of
underground apparatus should be obtained from utilities and used in conjunction
with on site apparatus detection techniques. The guidance contained within
Health and Safety Executive guidance note HSG47 – ‘Avoiding Danger from
Underground Services’ should be followed when excavating. In addition, when
planning new tree planting, there should be liaison with the utilities, local
authority and landowner so that the risks trees may pose to utility apparatus in
the future are minimised.
3.1.4 Shrinkable Soils

Apparatus laid in clay or peat should be constructed to tolerate movements of the
subsoil caused by root activity. Special precautions for differential movement
should be incorporated where apparatus joins rigid structures founded at a
different depth to the apparatus (e.g. pipe connections to chambers). See sub-
section 2.1.2 ‘Indirect Damage’.
3.2 Precautions when Repairing Existing Apparatus
Where apparatus requires repair the location of the excavation is often defined
by the location of the fault. The nature of the work usually requires open
excavation. Excavation within the Prohibited and Precautionary Zones should be
in accordance with sub-section 4.1 ‘Below Ground’ except for emergency or
urgent works.
Where emergency or urgent works may have caused damage to roots with a
diameter in excess of 25mm, interested parties should be informed immediately.
They may choose to consult a local authority tree officer or arboriculturist
regarding whether remedial treatment to the tree is necessary.

Proximity to Trees
If roots have grown into a drain or duct and proliferated so as to cause a

blockage, the removal of the root mass from within the drain or duct will only
provide temporary relief. If the root, which originally penetrated the drain, is still
present it will regenerate and recreate the same problem. Roots of other plants
may have a similar effect. Permanent relief can only be obtained by the proper
repair of the original defect e.g. by replacement or refurbishment.
Utility apparatus may be refurbished by the use of pre-fabricated, slip lined or

cured-in-place lining systems or pipes. Pre-fabricated and slip lined systems and
pipes are generally resistant to root growth / intrusion, but cured-in-place linings
may deform and ultimately collapse from the incursion of root growth. Following
pre-survey (e.g. CCTV), it is essential that any roots are removed from the bore
of the apparatus as far as practicable prior to lining, by the use of proprietary root
removal systems (e.g. high-pressure water, flails, or rotating blade cutters).
3.3 Special Considerations when Planning the Installation of Above Ground

Apparatus
The aerial parts of a tree are constantly growing larger and are prone to bend
and flex in windy conditions. As a result parts of a tree may come close to or into
contact with above ground apparatus.
3.3.1 Electricity
The overhead apparatus belonging to the electricity supply industry is subject to
minimum clearances from adjacent trees and other structures. This is to ensure
the safety of the public and protect against flashover and loss of supply. Local
conditions may require an increase in the clearances specified in current
electricity industry standards.
Part IV of The Electricity Supply Regulations covers the construction of power

lines above ground. Schedule 4(9) of the Electricity Act 1989 enables electricity
companies to require the felling or lopping of trees which obstruct or interfere
with the working of their lines or constitute an unacceptable source of danger.
In addition to the above reference should be made to the Energy Networks

Association (ENA) document Engineering Recommendation G55/1- Safe Tree
Working in Proximity to Overhead Electric Lines (see section 8).
3.3.2 Communications
Communication operators run their systems under the Telecommunications Act
1984 (as amended by the Communications Act 2003) in accordance with The

Proximity to Trees
Telecommunications Code (Schedule 2). Paragraph 19 of the

Telecommunications Code enables operators to require the lopping of trees
which overhang the street and obstruct or interfere with the working of their lines.
4. HOW TO AVOID DAMAGE TO TREES
This section gives general guidance on methods of work to minimise damage to

trees. The local authority (or for privately owned trees, the owner or their agent),
should be consulted at an early stage prior to the commencement of any works.
This will reduce the potential for future conflict between trees and apparatus.
4.1 Below Ground
Wherever trees are present, precautions should be taken to minimise damage to

their root systems. As the shape of the root system is unpredictable, there should
be control and supervision of any works, particularly if this involves excavating
through the surface 600mm, where the majority of roots develop.
4.1.1 Fine Roots

Fine roots are vulnerable to desiccation once they are exposed to the air. Larger
roots have a bark layer which provides some protection against desiccation and
temperature change. The greatest risk to these roots occurs when there are rapid
fluctuations in air temperature around them e.g. frost and extremes of heat. It is
therefore important to protect exposed roots where a trench is to be left open
overnight where there is a risk of frost. In winter, before leaving the site at the
end of the day, the exposed roots should be wrapped with dry sacking. This
sacking must be removed before the trench is backfilled.
4.1.2 Precautions
The precautions referred to in this section are applicable to any excavations or
other works occurring within the Prohibited or Precautionary Zones as illustrated
in Figure 1 – ‘Tree Protection Zone’.
4.1.3 Realignment
Whenever possible apparatus should always be diverted or re-aligned outside
the Prohibited or Precautionary Zones. Under no circumstances can machinery
be used to excavate open trenches within the Prohibited Zone.

Proximity to Trees
The appropriate method of working within the Precautionary Zone should be

determined in consultation with the local authority (or for privately owned trees
the owner or their agent) and may depend on the following circumstances;
• the scope of the works (e.g. one-off repair or part of an extensive

operation)
• degree of urgency (e.g. for restoration of supplies)
• knowledge of location of other apparatus
• soil conditions
• age, condition, quality and life expectancy of the tree
Where works are required for the laying or maintenance of any apparatus within
the Prohibited or Precautionary Zones there are various techniques available to
minimise damage.
Acceptable techniques in order of preference are;
a ) Trenchless
Wherever possible trenchless techniques should be used. The launch and
reception pits should be located outside the Prohibited or Precautionary Zones.
In order to avoid damage to roots by percussive boring techniques it is
recommended that the depth of run should be below 600mm. Techniques
involving external lubrication of the equipment with materials other than water
(e.g. oil, bentonite, etc.) must not be used when working within the Prohibited
Zone. Lubricating materials other than water may be used within the
Precautionary Zone following consultation and by agreement.
b) Broken Trench - Hand-dug

This technique combines hand dug trench sections with trenchless techniques if
excavation is unavoidable. Excavation should be limited to where there is clear
access around and below the roots. The trench is excavated by hand with
precautions taken as for continuous trenching as in (c) below. Open sections of
the trench should only be long enough to allow access for linking to the next
section. The length of sections will be determined by local conditions, especially
soil texture and cohesiveness, as well as the practical needs for access. In all
cases the open sections should be kept as short as possible and outside of the
Prohibited Zone.

Proximity to Trees
c) Continuous Trench - Hand-dug

The use of this method must be considered only as a last resort if works are to
be undertaken by agreement within the Prohibited Zone. The objective being to
retain as many undamaged roots as possible.
Hand digging within the Prohibited or Precautionary zones must be undertaken

with great care requiring closer supervision than normal operations.
After careful removal of the hard surface material digging must proceed with
hand tools. Clumps of roots less than 25mm in diameter (including fibrous roots)
should be retained in situ without damage. Throughout the excavation works
great care should be taken to protect the bark around the roots.
All roots greater than 25mm diameter should be preserved and worked around.
These roots must not be severed without first consulting the owner of the tree or
the local authority tree officer / arboriculturist. If after consultation severance is
unavoidable, roots must be cut back using a sharp tool to leave the smallest
wound.
4.1.5 Backfilling
• Any reinstatement of street works in the United Kingdom must comply
with the relevant national legislation (see: Volume 6 – ‘Legislation and
Bibliography’). In England this relates to the requirements of the code
of practice – ‘Specification for the Reinstatement of Openings in
Highways’ approved under the New Roads and Street Works Act 1991.
Without prejudice to the requirements relating to the specification of
materials and the standards of workmanship, backfilling should be
carefully carried out to avoid direct damage to roots and excessive
compaction of the soil around them.
• The backfill should, where possible, include the placement of an inert

granular material mixed with top soil or sharp sand (not builder’s sand)
around the roots. This should allow the soil to be compacted for
resurfacing without damage to the roots securing a local aerated zone
enabling the root to survive in the longer term.
• Backfilling outside the constructed highway limits should be carried out

using the excavated soil. This should not be compacted but lightly
“tamped” and usually left slightly proud of the surrounding surface to
allow natural settlement. Other materials should not be incorporated into
the backfill.

Proximity to Trees
4.1.6 Additional Precautions near Trees

• Movement of heavy mechanical plant (excavators etc.) must not be
undertaken within the Prohibited Zone and should be avoided within the
Precautionary Zone, except on existing hard surfaces, in order to
prevent unnecessary compaction of the soil. This is particularly important
on soils with a high proportion of clay. Spoil or material must not be
stored within the Prohibited Zone and should be avoided within the
Precautionary Zone.
• Where it is absolutely necessary to use mechanical plant within the

Precautionary Zone care should be taken to avoid impact damage to the
trunk and branches. A tree must not be used as an end-stop for paving
slabs or other materials nor for security chaining of mechanical plant. If
the trunk or branches of a tree are damaged in any way advice should
be sought from the local authority tree officer / arboriculturist.
See TABLE 1 –‘Prevention of Damage to Trees Below Ground’ below for

summary details regarding causes and types of damage to trees and the
implications of the damage and the necessary precautions to be taken to avoid
damage.

Proximity to Trees
TABLE 1 - Prevention of Damage to Trees Below Ground
Causes of Type of Implications to Tree Precautions

Damage Damage
Trenching, Root severance • The tree may fall over Hand excavate only within the
mechanical • Death of the root beyond the Precautionary Zone. Work carefully
digging etc. point of damage around roots. Do not cut roots over
• Potential risk of infection of 25mm in diameter without referring
the tree to the local authority tree officer.
The larger the root the greater For roots less than 25mm in
the impact on the tree. diameter use a sharp tool and
make a clean cut leaving as small
a wound as possible.
Trenching, Root bark • The tree may fall over Do not use mechanical machinery
mechanical damage • If the damage circles the to strip the top soil within the
digging, top soil root it will cause the death of Precautionary Zone.
surface removal the root beyond that point Hand excavate only within the
etc. • Potential risk of infection of Precautionary Zone. Work carefully
the tree around roots. Do not cut roots over
The larger the root the greater 25mm in diameter without referring
the impact on the tree. to the local authority tree officer.
For roots less than 25mm use a
sharp tool and make a clean cut
leaving as small a wound as
possible.
Vehicle movement Soil Restricts or prevents passage of Prevent all vehicle movement,
and plant use. compaction & gaseous diffusion through soil, plant use or material storage within
Material storage water the roots are asphyxiated and the Precautionary Zone.
within the saturation killed affecting the whole tree.
precautionary
area.
Top-soil scouring, Alterations in Lowering levels strips out the Avoid altering or disturbing soil
excavation or soil level mass of roots over a wide area. levels within the Precautionary
banking up. causing Raising soil levels asphyxiates Zone.
compaction or roots and has the same effect as
exposure of soil compaction.
roots.
Use of herbicides. Poisoning of • Death of the whole tree The selection and application of
the tree via root • Death of individual herbicides must be undertaken by
absorption branches a competent person in accordance
Damage to leaves and shoots. with COSHH regulations.
Spillage of oils or Contamination Toxic and asphyxiation effects of Never store oils, chemicals or
other materials. of soil chemicals, oils, building materials building materials within the
(cement, plaster, additives etc.) Precautionary Zone or within the
on the root system can kill the branch spread of a tree, which ever
tree. is the greater.
Placement or Various Death of all or part of the tree. Effective planning and liaison with
replacement of local authority tree officer, taking
underground into consideration the position of
apparatus. trees, and their future growth
potential and management

Proximity to Trees
4.2 Above Ground
4.2.1 Damage by Pruning

Trees (including shrubs and hedges) can be damaged by inappropriate or
excessive pruning. Reference should be made to the Energy Networks
Association (ENA) document “Engineering Technical Report 136 Vegetation
Management near Electricity Equipment – Principles of Good Practice” (see
section 8 – ‘Other Useful Publications’) or appropriate company specific
documentation for guidance on pruning.
See TABLE 2 – ‘Prevention of Damage to Trees Above Ground’ below for

summary details regarding causes and types of damage to trees and the
implications of the damage and the necessary precautions to be taken to avoid
damage.

Proximity to Trees
TABLE 2 - Prevention of Damage to Trees Above Ground

Causes of Damage Type of Damage Implications for the Tree Precautions
Impact by vehicle or Bark bruising, Wounding with the potential Surround the trunk with protective
plant bark removal, for infection ultimately free-standing barrier. Exclude
damage to the wood, resulting in death of all or vehicles, plant or material storage
Physical attachment damage to buttress part of the tree. from the Precautionary Zone.
of signs or hoardings roots, Ensure sufficient clearance of
to the trunk abrasion to trunk Structural failure of the tree cables or ropes.
Storage of materials
at base of tree
Rubbing by winch or
pulling cables
Impact by vehicle or Bark damage to Structural failure of the Exclude vehicles, plant or material
plant branches, branch. storage from the Precautionary
breakage and splitting Zone. Ensure sufficient clearance
Rubbing by overhead of branches, Wounding or loss of a of cables or ropes.
cables abrasion to branches branch with the potential for All pruning should be carried out
infection ultimately resulting in accordance with BS3998
in death of all or part of the (prune affected branches to give
branch or tree. appropriate clearance from
cables)
Inappropriate siting Inappropriate pruning, Severely pruning tree to Effective planning and liaison with
of overhead unnecessary tree acquire line of sight signal local authority tree officer /
apparatus, such as removal for communications dish arboriculturist, taking into
CCTV, lighting etc. consideration the position of trees,
fixtures and and their future growth potential
communications and management.
masts and dishes.
Lack of forethought Complete tree The tree is removed Agree the location and installation
in design and removal unnecessarily of services at the design stage.
location of apparatus Consideration should be given to
and services entries the creation of dedicated service
on new routes wherever possible.
developments
Use of herbicides Poisoning of the tree Death of the whole tree, The selection and application of
via absorption through death of individual herbicides must be undertaken by
bark, leaves and branches, a competent person in accordance
shoots damage to leaves and with COSHH regulations.
shoots

Proximity to Trees
4.3 Chemical Damage to Trees
Chemical damage to trees adjacent to utility premises and operational land can
be avoided if;
• the risk is identified when planning any work involving herbicides or other
chemicals ensuring that only appropriate chemicals are used. Particular
care should be exercised when considering the use of herbicides
recommended for “non crop areas” as many of these also specify “do not
use where there may be roots of desirable plants”,
• herbicides are applied only at the rate and in the manner recommended
by the manufacturer,
• follow-up applications are not undertaken until weeds reappear on the

operational land,
• alternative methods of weed control are considered.
5. HOW TO AVOID DAMAGE TO APPARATUS BY TREES
5.1 Consultation with Utilities
The potential for future conflict between trees and above-ground apparatus can
be reduced by appropriate planning. Early consultation with utilities should
therefore take place before any tree work including planting is undertaken to
ascertain the position of existing apparatus. Records of underground apparatus
should be obtained from utilities and used in conjunction with on site apparatus
detection techniques. Specific care must be taken when removing the stumps of
existing trees. In addition when planning new tree planting there should be liaison
with the utilities, local authority and landowner so that the risks trees may pose in
the future are minimised.
5.2 Precautions during Planting

Every possible precaution should be taken to ensure that the existing apparatus
is not damaged during excavation works. Health and Safety Executive guidance
note HSG47 – ‘Avoiding Danger from Underground Services’ and any specific
guidance issued by the apparatus owner should be followed at all stages of the
work.

Proximity to Trees
5.2.1 Below Ground

Before any excavation work begins, trial holes should be undertaken to validate
the results of any detection surveys undertaken to confirm the actual position and
depth of the apparatus.
5.2.2 Above Ground

Consideration should be given to the presence of satellite dishes and masts on
commercial properties, poles and drop wires, as future tree growth may cause
operational problems.
Reference should also be made to Energy Networks Association (ENA)

document ‘Engineering Technical Report 136 Vegetation Management near
Electricity Equipment – Principles of Good Practice’ (see section 8 – ‘Other
Useful Publications’) or appropriate company specific documentation.
NOTE: In all cases where definitive clearances are required, contact must be
made with the appropriate electricity or communication company who will
determine the clearance to be adopted.
See also sub-section 3.3 – ‘Special Considerations when Planning the

Installation of Above Ground Apparatus’.
6. SITES WITH DESIGNATED STATUS
Certain sites may be specifically designated and will require consultation and / or
permission from the relevant authority prior to undertaking any works. These
sites include:
• Sites of Special Scientific Interest

• English Heritage Sites
• English Nature / Natural England
• National Trust Land
• Nature Reserves
• Conservation Areas
• Scottish Natural Heritage
• Areas of Outstanding Natural Beauty
• Countryside Council for Wales
• Historic Scotland
• Northern Ireland Environment and Heritage Service
• Cadw (Welsh Historic Monuments)

Proximity to Trees
6.1 Tree Preservation Orders and Trees in Conservation Areas
Section198 of the Town and Country Planning Act 1990 (the Act) gives local
planning authorities powers to make trees and woodlands the subject of tree
preservation orders (TPOs) in the interests of amenity. Trees protected by a TPO
may not be willfully damaged or destroyed and cannot be cut down, uprooted,
topped or lopped without the local planning authority’s consent.
Additionally, under section 211 of the Act, anyone proposing to cut down, uproot,
top, lop etc. a tree in a conservation area is required to give the local planning
authority six weeks’ notice before doing so. This gives the authority an
opportunity of making a TPO in respect of the tree.
Certain statutory obligations imposed by Acts of Parliament may allow for the
limited felling, topping or lopping of trees protected by a TPO in order to supply
and maintain service. This does not preclude the requirement to consult with the
owner.
See also: Volume 5 – ‘NJUG Guidelines on Environmental Good Practice’
7. LEGISLATION
Reference should also be made to Volume 6 – ‘Legislation & Bibliography’.
7.1 Primary Legislation
National Parks and Access to the Countryside Act 1949*

Health and Safety at Work Act 1974
Highways Act 1980**
Telecommunications Act 1984
Gas Act 1986
Electricity Act 1989
Town and Country Planning Act 1990 (Section 198 Tree Preservation Orders).
Water Industry Act 1991
The New Roads and Street Works Act 1991 (NRSWA)
The Streets Works (Northern Ireland) Order 1995
Communications Act 2003
Traffic Management Act 2004
Transport (Scotland) Act 2005
The Streets Works (Northern Ireland) (Amendment) Order 2007
* Under the National Parks and Access to the Countryside Act 1949 local
authorities are given a general power to plant trees.

Proximity to Trees
** Under the Highways Act 1980 highway authorities may plant trees in the
highway, or license others to do so. They need to ensure that trees do not
overhang or cause a danger to roads or footpaths, and are given powers to
prevent this from happening.
The above list is not exhaustive.
7.2 Secondary Legislation
Each Act of parliament in 7.1 will have various associated regulations that should
be referred to.
8. OTHER USEFUL PUBLICATIONS

This is not an exhaustive list of available publications and is only valid at the time
of issue.
BS 3998 Recommendations for Tree Work

• Provides general recommendations for tree surgery and other tree work.
BS 5837 Trees in Relation to Construction

• Gives advice on the integration of new development amongst trees.
Codes of Practice approved under the New Roads and Street Works Act 1991
• Co-ordination of Street Works and Works for Road Purposes and

Related Matters
• Specification for the Reinstatement of Openings in Highways
• Safety at Street Works and Road Works
• Measures Necessary where Apparatus is Affected by Major Works
(Diversionary Works)
• Inspections
Energy Networks Association publications:

• Engineering Technical Report 136 ‘Vegetation Management Near
Electricity Equipment – Principles of Good Practice’
• Engineering Recommendation G55/1 – ‘Safe Tree Working in Proximity to
Overhead Electric Lines’
• ENA-TS 40-80 – ENA Technical Standard for Overhead Line Clearances
• Engineering Recommendation G70 – Vegetation Control near Overhead
Lines

Proximity to Trees
• ETR 132 – Improving Network Performance (under abnormal weather

conditions by the use of a risk based approach to vegetation management
near electric overhead lines)
• MNT/004 – UK Distribution Policy for the Inspection and Maintenance of
Overhead Lines
HSE Arboriculture and Forestry Advisory Group publications

• AFAG 804 Electricity at work: Forestry and arboriculture
• AFAG 404 Electrical utility arboriculture
Manual for Streets (supercedes Design Bulletin 32 and Places, Streets and
Movement)
• The Department for Transport and the Department for Communities and
Local Government (DCLG), with support from the Commission for
Architecture and the Built Environment (CABE), commissioned WSP ,
TRL , Llewellyn Davies Yeang and Phil Jones Associates to develop a
Manual for Streets to give guidance to a range of practitioners on
effective street design.
National House Building Council (NHBC) Standards Chapter 4.2. Building near
trees
• Gives information on the design of new foundations in proximity to trees
on shrinkable clay soils.
9. OTHER REFERENCES
9.1 Arboricultural
Arboricultural advice may be sought from the:
• Arboricultural Advisory and Information Service
• Arboricultural Association
• Arboriculture and Forestry Advisory Group
• International Society of Arboriculture
• Local authority Arboricultural Officer
• The Tree Advice Trust
9.2. Herbicides
Information on herbicides and their application may be obtained from the:
• British Agrochemicals Association
9.3 Utilities
Utility advice may be sought from the local utility contact or NJUG.

Proximity to Trees
GLOSSARY
Apparatus Equipment such as valves, stopcocks, chambers,

cabinets, transformer chambers etc and includes any
structure for the lodging of apparatus.
Arboriculturist A professional who cultivates and manages trees,
hedgerows and shrubs and provides information and
advice on specific tree related issues.
Carriageway A way constituting or comprised in a highway, being a
way (other than a cycle track) over which the public
have a right of way for the passage of vehicles.
Cycle track A way constituting or comprised in a highway over which
the public have a right of way on pedal cycles with or
without a right of way on foot.
Desiccation The state of extreme dryness, the drying out of roots.
Distal Situated farthest from the centre.
Drop wires Overhead wire from telegraph pole to customer
premises.
Duct / ducting Structure (usually cylindrical) used to convey and
protect apparatus.
Fibre optic The use of very thin glass or plastic fibres through which
light can be transmitted to carry information from a
source to a receiver, especially for telecommunication,
television and information technology systems.
Footpath A highway over which the public have a right of way on
foot only, not being a footway.
Footway A way comprised in a highway which also comprises a
carriageway, being a way over which the public have a
right of way on foot only.
GRP Glass Reinforced Plastic
Herbicide A chemical that destroys plants.
Main Structure (usually cylindrical) used to convey water or
gas or oil generally greater than 50mm in diameter.
NJUG National Joint Utilities Group Limited.
Pipe Longitudinal structure (usually cylindrical) used to
convey water, gas or oil.
Root plate Formed just below the soil surface when shallow lateral
growing roots predominate over the development of a
deep taproot.

Proximity to Trees
Service strip A strip of designated land alongside a carriageway or

footway used to convey services.
Sub-duct Longitudinal structure (usually cylindrical) laid inside
ducts used to carry smaller diameter cables such as
fibre optic.
Tiles Impact resistant cover constructed of earthenware,
concrete or polyethylene for protecting underground
cables
Utility An undertaker by statute that has a legal right to provide
customer services (e.g. communications, electricity, gas,
water)
Verge A strip of land which may form part of the public highway
alongside a carriageway or footway, which may contain
services.

Proximity to Trees
APPENDIX A
Important Legal Notice and Disclaimer
1. This publication describes utility industry guidelines for the planning,

installation and maintenance of utility apparatus in proximity to trees. NJUG
has endeavoured to ensure that the information is correct and up-to-date at
the date of first publication, but does not warrant its completeness and
accuracy or that it will remain up-to-date. This publication is not intended to
be exhaustive and may not be applicable in all situations.
2. You are permitted to print and download and make photocopies of this
publication for your own use only on the following basis:
a) none of the information or related graphics in this publication are modified

in any way;
b) no graphics in this publication are used separately from accompanying
text; and
c) NJUG’s copyright notices and this Legal Notice and Disclaimer are to
appear in all copies
3. Unless otherwise stated, the copyright and other intellectual property rights in
this publication are owned by NJUG Ltd or its licensors. For the purposes of
this legal notice, any use of extracts from this publication other than expressly
permitted by this legal notice, is prohibited. If you breach any of the terms in
this legal notice, your permission to use this publication automatically
terminates.
4. No part of this publication may be reproduced in any way (including via any
website) or stored in any public or private electronic retrieval system or
service without NJUG’s prior written permission. Any rights not expressly
granted in this legal notice are reserved.
5. This publication has no legal or statutory authority and is not intended to be a

definitive or complete statement of the applicable law. Reference should
always be made to any relevant legislation. This publication is not intended to
be or to replace specific legal advice and all persons acting or placing
reliance on this publication or any part of it are advised to consult with their
own legal advisors to ensure that they understand and comply with the legal
requirements which are applicable to their organisation and circumstances.

Proximity to Trees
6. Persons who act or place reliance on this publication are solely responsible
for undertaking all surveys, enquiries, tests and other investigations as may
be appropriate in the circumstances. NJUG Ltd and its directors, advisors and
other contributors to this publication (together collectively referred to as
‘NJUG’) do not accept any responsibility for the actions or conclusions drawn
by persons acting or placing reliance on this publication.
7. This publication is free of charge and persons relying on this publication

acknowledge that it would be unreasonable to hold NJUG liable in respect of
this publication and the information contained in it. NJUG excludes all liability
to the maximum extent permitted under applicable law. NJUG shall not be
liable for any direct, indirect or consequential losses, damage, costs or
expenses whatsoever or howsoever sustained by any person acting or
placing reliance on this publication (or any person or entity claiming through
such person) or otherwise arising therefrom – whether arising in tort, contract
or otherwise – including, without limitation, any loss of profits, contracts,
business, goodwill, data, income, revenue or anticipated savings.
8. Nothing in this disclaimer shall exclude or limit NJUG’s liability for death or
personal injury arising from its negligence, nor any other matter which cannot
be excluded or limited under applicable law.


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NJUG Guidelines for the Planning, Installation and Maintenance of Utility Apparatus in

NJUG GUIDELINES FOR THE PLANNING, INSTALLATION AND

Issue 2: 16th November 2007

NJUG has a vision for street works, this vision is simply:

• Safety is the number one priority

This document forms part of that vision.

NJUG Publication: Volume 4: Issue 2: 16/11/2007 Page 1

NJUG 3 – Cable Locating Devices

NJUG Publication: Volume 4: Issue 2: 16/11/2007 Page 2

1. HOW TREES ARE DAMAGED 7

1.1 The Root System 7

2. HOW APPARATUS IS DAMAGED 14

2.1 Below Ground 14

3.1 Special Considerations when Planning the Installation of

4. HOW TO AVOID DAMAGE TO TREES 19

4.1 Below Ground 19

5. HOW TO AVOID DAMAGE TO APPARATUS BY TREES 26

5.1 Consultation with Utilities 26

6. SITES WITH DESIGNATED STATUS 27

6.1 Tree Preservation Orders and Trees in Conservation Areas 28

NJUG Publication: Volume 4: Issue 2: 16/11/2007 Page 3

7.1 Primary Legislation 28

8. OTHER USEFUL PUBLICATIONS 29

FIGURE 1 – Tree Protection Zone 9

FIGURE 2 – Typical Tree Structure 12

TABLE 1 – Prevention of Damage to Trees Below Ground 23

TABLE 2 – Prevention of Damage to Trees Above Ground 25

In this document the word ‘apparatus’ is used to describe both the

NJUG Publication: Volume 4: Issue 2: 16/11/2007 Page 4

(ii) Modern society expects a multiplicity of apparatus (electricity, gas, water,

NJUG Publication: Volume 4: Issue 2: 16/11/2007 Page 5

(vi) These guidelines are applicable to all apparatus (underground and

NJUG Publication: Volume 4: Issue 2: 16/11/2007 Page 6

1. HOW TREES ARE DAMAGED

1.1 The Root System

NJUG Publication: Volume 4: Issue 2: 16/11/2007 Page 7

• the Prohibited Zone (1m from the trunk)

NJUG Publication: Volume 4: Issue 2: 16/11/2007 Page 8

FIGURE 1 – Tree Protection Zone

Trunk of tree Canopy or branch spread

PRECAUTIONARY ZONE – 4 x tree circumference. Where excavations must be

PERMITTED ZONE – outside of the precautionary zone. Excavation works may be

NJUG Publication: Volume 4: Issue 2: 16/11/2007 Page 9

1.2 Below Ground

1.2.1 Root systems can be damaged by;

Typical root damage caused by excavation works

• damage to surface roots. Care must be taken when using mechanical

NJUG Publication: Volume 4: Issue 2: 16/11/2007 Page 10

• compaction of the soil. Incidental compaction may occur from storage of

Poor site management within the Precautionary Zone

• the application of herbicide - frequently used to clear weed growth on

NJUG Publication: Volume 4: Issue 2: 16/11/2007 Page 11

NOTE: The selection and application of herbicides must be undertaken by a

1.2.2 If roots are damaged;

• by successive excavations. Multi-utility excavations close to a tree can

Figure 2 - Typical Tree Structure

NJUG Publication: Volume 4: Issue 2: 16/11/2007 Page 12

If a root of 25mm diameter or over is severed, as a precautionary measure, a

1.3 Above Ground

Trees have a single or multi-stemmed trunk supporting a framework of