PPP Contracts
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SCHEDULE 1.10 - Infrastructure Protection | ||||||||||||||||||||||||||||
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1 Infrastructure Protection means ensuring the safety, protection and integrity of the Underground Network. Infraco's Infrastructure Protection obligations include: (b) Outside Party work: ensuring that Outside Parties are suitably advised and that steps are taken to ensure, as far as is reasonably practicable, that the Underground Network and its safety and LUL's interests are not adversely affected by Outside Party work; (c) location enquiries: assisting LUL to respond to enquiries from third parties concerning the location and depth of the Underground Network; (d) streetworks: assisting LUL to respond to notices under the New Roads and Streetworks Act 1991 and, as far as is reasonably practicable, taking necessary steps to avoid damage to the Underground Network or its safety or LUL's interests; and (e) abnormal loads: assisting LUL to respond to notifications for the movement of abnormal loads by road across Greater London and other areas over or adjacent to the Underground Network to ensure, as far as is reasonably practicable, safety and avoid damage to the Underground Network or its safety or LUL's interests, as set out in this Schedule. (ii) references to LUL's interests shall mean LUL's interests to the extent that an Infraco would reasonably be expected to be aware of such interests or has been informed in writing by LUL that such interests are to be considered, in either case in relation to Infrastructure Protection; and ( iii ) references to the Underground Network or the LUL Network shall mean those parts of the Underground Network, or the LUL Network ( as the case may be ), for which Infraco is responsible pursuant to the applicable PPP Contract. | ||||||||||||||||||||||||||||
| 2 Except where otherwise provided in this Schedule, LUL shall be the single point of contact with all third parties in relation to Infrastructure Protection. Where Infraco receives a communication, of whatever nature in relation to Infrastructure Protection, unless the communication relates to a matter in respect of which LUL has given Infraco a notice in accordance with paragraph 9A, Infraco shall as soon as reasonably practicable notify the Infrastructure Protection Manager and forward the communication to him. | ||||||||||||||||||||||||||||
| 3 In addition to the requirements set out in paragraph 2 of this Schedule, where Infraco itself identifies an Infrastructure Protection requirement, Infraco shall, unless the requirement relates to a matter in respect of which LUL has given Infraco a notice in accordance with paragraph 9A, as soon as reasonably practicable notify the Infrastructure Protection Manager and as soon as reasonably practicable thereafter forward written notice and details of the requirement to him. | ||||||||||||||||||||||||||||
| 4 Appropriate Infraco representative(s) shall meet with the Infrastructure Protection Manager once in each Payment Period to discuss progress and resolve any problems in relation to Infrastructure Protection. | ||||||||||||||||||||||||||||
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5 Infraco shall supply to the Infrastructure Protection Manager as soon as reasonably practicable following their preparation ( or where relevant their provision to Infraco ) any surveys, reports and/or other documentation prepared or procured by Infraco or otherwise provided to Infraco pursuant to its obligations under the applicable PPP Contract that are relevant to Infrastructure Protection, including but not limited to: (b) copies of all surveys giving height and width clearances for bridges; (c) copies of all assessment reports giving structural capacity information completed in accordance with Standards Nos. CED-TI-3111, CED-TI-3114, E3318, E3320, E3321 and E3322 ( as amended, varied or replaced from time to time in accordance with the provisions of the Standards Code ); (d) for new and modified Assets as constructed general arrangement drawings clearly showing the plan, location, key dimensions and design capacities for live loads in accordance with Standards Nos. E1110, E1112, E1114, E1200 and CED-ST-1108 ( as amended, varied or replaced from time to time in accordance with the provisions of the Standards Code ); and (e) copies of all topographical survey drawings in accordance with Procedures P1121 and P1127 ( as amended, varied or replaced from time to time in accordance with the provisions of the Standards Code ). LUL shall be entitled to utilise such documentation including but not limited to making it available to third parties for the purposes set out in this Schedule. Where such surveys, reports and/or other documentation have critical safety or other implications for Infrastructure Protection, Infraco shall notify the Infrastructure Protection Manager of their contents by the quickest practicable means in advance of supplying them. Infraco shall respond within seven (7) days to requests from the Infrastructure Protection Manager for additional information that has or should have been prepared or procured by Infraco or otherwise provided to Infraco pursuant to its obligations under the applicable PPP Contract, where the information contained in such reports, surveys and documentation is unclear, incomplete, out of date or otherwise appears unreliable, and shall provide such additional information to the Infrastructure Protection Manager as soon as is reasonably practicable thereafter. | ||||||||||||||||||||||||||||
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Patrolling | ||||||||||||||||||||||||||||
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6 Infraco shall inspect by walking the route at street or surface level, or observing from a train window for open sections, all locations on or above the Underground Network at the time intervals stated below, or the time intervals stated in Infraco Safety Case where these are shorter: (b) for tube tunnels, at intervals of not less than six (6) weeks and not more than ten (10) weeks with an average interval of eight (8) weeks; and (c) for open sections at intervals of not less than three (3) and not more than five (5) weeks with an average interval of four (4) weeks. | ||||||||||||||||||||||||||||
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7 In the course of such inspections Infraco shall take all reasonable steps to identify any new Outside Party work that could affect the Underground Network or its safety or LUL's interests, and where such new Outside Party work is identified, inform LUL of the work and the identity of and contact information for the Outside Party performing the work. If during the route inspections Infraco identifies any such new Outside Party work Infraco shall: (b) if there is actual or imminent danger to the Underground Network or its safety or LUL's interests: (ii) as soon as practicable advise those responsible for the Outside Party work to cease and make safe the Outside Party work or the element of the Outside Party work that is endangering the Underground Network or its safety or LUL's interests. Such advice shall initially be given directly or by telephone and immediately followed up by a letter and if possible a facsimile; ( iii ) as soon as practicable advise the Infrastructure Protection Manager; (iv) as soon as practicable inform any other companies operating trains on the affected track; (v) inform the Health and Safety Executive; and (vi) prepare and submit a written report regarding the work including actions taken and further recommended actions, and send the report to the Infrastructure Protection Manager within five (5) working days of the inspection. | ||||||||||||||||||||||||||||
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8 Infraco shall send to the Infrastructure Protection Manager within five (5) working days of the end of each Payment Period a concise but comprehensive report detailing: (b) a list of the route walking inspections scheduled to be undertaken in the Payment Period just commenced. | ||||||||||||||||||||||||||||
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Outside Party Work | ||||||||||||||||||||||||||||
| 9 The rights and obligations set out in the provisions of paragraphs 11 to 23 inclusive of this Schedule, shall only apply in relation to any Outside Party work once Infraco receives either a notice referred to in paragraph 9A or a notice referred to in paragraph 10 of this Schedule ( as the case may be ) in relation to that particular Outside Party work. | ||||||||||||||||||||||||||||
| 9A LUL shall be entitled to give notice of any intended Outside Party work to the Infraco whose Assets are likely to be affected by such Outside Party work and shall send to that Infraco any information received by LUL in relation to the Outside Party work proposed, or sent by LUL to the Outside Party, including but not limited to any letters, drawings, specifications, designs, contact information, marked up ordnance survey extracts and/or other relevant information passing between LUL and the Outside Party, together with details of any specific LUL requirements in relation to that Outside Party work ( subject always to the requirements of Engineering Standard E1008 ( as amended, varied or replaced from time to time in accordance with the provisions of the Standards Code ) ( ES E1008 ). | ||||||||||||||||||||||||||||
| 10 Where the Assets of more than one Infraco ( and if relevant the assets of any PFI Contractor ) are likely to be affected by the Outside Party work, LUL shall send the notice and information referred to in paragraph 9A to the Infraco the Assets of which are, in the opinion of the Infrastructure Protection Manager, the most affected, with an instruction to liaise with and to co-ordinate the other Infracos and where possible PFI Contractors affected, and shall copy the notice and the information to the other Infraco(s) and PFI Contractors affected. | ||||||||||||||||||||||||||||
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11 Where Infraco is affected by Outside Party work but is not identified by the Infrastructure Protection Manager ( pursuant to paragraphs 9A and 10 of this Schedule ) as the Infraco most affected, Infraco shall: (b) not be required to undertake any of the obligations referred to in paragraphs 20, 21 or 22 of this Schedule in relation to such Outside Party work except to the extent agreed between Infraco and the Infraco identified to co-ordinate the Outside Party work, but may do so where Infraco believes that any of its own Assets are at risk. | ||||||||||||||||||||||||||||
| 12 Infraco shall use the rates set out in the Appendix to this Schedule to calculate its costs incurred in performing its obligations under this Schedule in relation to Outside Party work. The rates in the Appendix to this Schedule shall be indexed in accordance with the provisions of Schedule 4.2 ( Indexation ) of the applicable PPP Contract. Infraco and ( if applicable ) the other Infracos affected shall, within ten (10) working days ( or such other period as agreed by the Infrastructure Protection Manager ) of receipt of the notice referred to in paragraph 9A ( or where applicable the notice referred to in paragraph 10 ), prepare and deliver to the Infrastructure Protection Manager an estimate of their respective costs to be incurred in performing its obligations under this Schedule in relation to the Outside Party work. An Infraco's estimated costs shall be reasonable having regard to Infraco's experience of costs incurred ( where relevant ) in relation to similar Outside Party work and to the information provided by LUL. Where an Infraco acts as coordinator in respect of another Infraco or other Infracos pursuant to paragraph 10 of this Schedule, then the estimate shall include Infraco's costs of so coordinating. Where LUL has advised Infraco that it will seek to recover a fee from an Outside Party, as referred to in paragraph 13 of this Schedule, the Infraco's estimates shall include Infraco's costs of assisting LUL under paragraphs 13 and 14. | ||||||||||||||||||||||||||||
| 13 LUL may endeavour to agree with the Outside Party that the Outside Party will pay a fee to LUL for the services provided by LUL to the Outside Party. Any such fee may include Infraco's costs and the costs of any other Infracos affected, in accordance with the estimates provided by them. If required by LUL, Infraco shall liaise with the Outside Party, and with any other Infracos affected in relation to the basis and details of any cost estimate provided in accordance with paragraph 12 of this Schedule and use reasonable endeavours to reach agreement in relation to the payment of costs. For the avoidance of doubt, Infraco's or Infracos' ( as the case may be ) entitlement to payment of costs by LUL pursuant to this Schedule are not dependent upon whether or not LUL has sought to recover or has recovered any of those costs from the Outside Party. | ||||||||||||||||||||||||||||
| 14 If required by LUL, following LUL's instruction given under paragraph 12, Infraco shall provide all assistance reasonably required by LUL, to enable LUL to recover all of its relevant costs and any agreed costs of Infraco and any other Infracos affected from the Outside Party. | ||||||||||||||||||||||||||||
| 15 LUL may issue to Infraco a written instruction to the effect that the Outside Party work may proceed, and confirming the scope of work and the costs estimated by Infraco pursuant to paragraph 12 that are acceptable to LUL ( acting reasonably ). Infraco shall ( notwithstanding any disagreement regarding estimated costs ) commence performing its obligations in relation to Outside Party work including those set out in paragraph 19 of this Schedule on receipt of that written instruction. Infraco shall begin performing its obligations in relation to Outside Party work including those set out in paragraph 19 of this Schedule before receipt of such a written instruction where Infraco believes that the safety, protection and/or integrity of the Underground Network is or potentially is at risk, in which case it shall notify LUL that it has commenced performing its obligations and the nature of that performance, as soon as is reasonably practicable. | ||||||||||||||||||||||||||||
| 16 The provisions of Schedule 5.7 ( Non-ISC Invoicing ) shall apply in relation to payment of Infraco or Infracos' costs incurred in respect of its obligations relating to Outside Party work notified pursuant to paragraphs 9A or 10 of this Schedule. | ||||||||||||||||||||||||||||
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17 Infraco shall with each Statement of Costs ( as defined in Schedule 5.7 ) submitted pursuant to Schedule 5.7 ( Non-ISC Invoicing ) submit the following information: (b) the total value of Infraco's costs incurred up to the date of the Statement of Costs in respect of each project of Outside Party work; (c) the amount for which Infraco seeks payment under the relevant Statement of Costs , itemised by Outside Party work project; (d) all relevant supporting information and documentation including but not limited to particulars of staff or contractors utilised, hours worked, rates charged, and work carried out, in relation to the payment sought under the relevant Statement of Costs; and (e) an estimate ( where relevant ) of any charges in relation to services performed by third parties for and on behalf of Infraco in relation to its Infrastructure Protection obligations in respect of Outside Party work, but for which statements of costs have not yet been received by Infraco. | ||||||||||||||||||||||||||||
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18 If at any time Infraco's respective individual costs in relation to the Outside Party work appear likely to exceed the estimates previously given, Infraco shall notify the Infrastructure Protection Manager, with justification of such revised estimate, as soon as reasonably practicable. Upon receipt of such a revised estimate, the Infrastructure Protection Manager may endeavour to agree with the Outside Party that the Outside Party will pay an increased fee to LUL, reflecting the increased cost to LUL of providing its services to the Outside Party as a result of the increase in Infraco's and other Infracos' costs in accordance with the revised estimate given by them, and LUL shall not be liable to Infracos for any of their costs which exceed the estimates previously given, until and to the extent that a revised estimate has: (b) as otherwise determined pursuant to paragraph 26 of this Schedule. Thereafter the revised estimate shall apply to all costs incurred or to be incurred ( to the extent of the revised estimate ) in excess of the previous estimates. | ||||||||||||||||||||||||||||
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19 Infraco and other Infracos affected shall ( in relation to those parts of the Underground Network for which the relevant Infraco is responsible ): (b) use all reasonable endeavours to ensure that any surveys, measurements, calculations, construction and engineering or risk assessments required are carried out at the appropriate times and forthwith inform LUL where Infraco becomes aware that this has not occurred; (c) where pursuant to any Outside Party work Infraco is aware or should reasonably be aware that any assets forming part of the Underground Network are to be modified, removed or replaced or are reasonably expected to be affected by changes in loading or ground movement, or additional assets are to be created as part of the Underground Network, Infraco shall ( in addition to attending to and/or complying with any requirements advised by LUL pursuant to paragraph 9A of this Schedule ): (i) ( where it has received a notice pursuant to paragraph 9A or where applicable the notice referred to in paragraph 10 of this Schedule ), use all reasonable endeavours to liaise directly with the Outside Party for the purposes of seeking to secure all drawings, documents and other information necessary for Infraco to perform its obligations as set out in this paragraph 19(c); and (ii) once it is satisfied that the design and specification of the Outside Party work ( as the same affects its Assets and/or those parts of the Underground Network for which it is responsible ) meet any specific LUL Infrastructure Protection requirements identified by LUL pursuant to paragraph 9A, confirm in writing to LUL that ( to the extent that the relevant Outside Party is required to comply with the terms of ES E1008 ( as amended, varied or replaced from time to time in accordance with the provisions of the Standards Code ) ): (a) the Outside Party has in Infraco's opinion produced a conceptual design statement setting out sufficient information so as to enable a decision to be made as to whether to grant approval in principal pursuant to ES E1008 ( as amended, varied or replaced from time to time in accordance with the provisions of the Standards Code ) ( Approval in Principal ) ( for the avoidance of doubt, this shall not involve Infraco performing any qualitative design checking ). Infraco shall if requested by LUL use all reasonable endeavours to obtain further information from the Outside Party in this regard; and (b) the Outside Party has advised Infraco that it ( the Outside Party ) has applied the appropriate design check category required pursuant to ES E1008 ( as amended, varied or replaced from time to time in accordance with the provisions of the Standards Code ); (d) for the purposes of performing the obligations referred to in paragraph 19(c)(ii), Infraco shall: (i) provide all reasonable assistance and advice relevant for the purposes of Infrastructure Protection to Outside Parties at each material stage in the design and progress of the Outside Party work following the initial notice from LUL received pursuant to paragraph 9A or where applicable the notice referred to in paragraph 10 of this Schedule through to finalisation of the detailed design and specification; (ii) take into account the existence of any assets of which Infraco is aware or should reasonably have been aware, including but not limited to those owned by third parties; and ( iii ) refer to the Infrastructure Protection Manager any matters arising in relation to the Outside Party work which it is aware or should reasonably be aware will affect LUL's obligations and responsibilities to the Health and Safety Executive or in connection with LUL's role as Infrastructure Controller or LUL's Safety Case or the Safety Agreement, and Infraco shall observe the Infrastructure Protection Manager's requirements in relation to these; (e) ensure that any monitoring of Outside Party work required to safeguard the Underground Network or its safety or LUL's interests is carried out; (f) use all reasonable endeavours to ensure that any precautions or mitigation measures identified as a result of surveys, calculations, measurements, risk assessments, construction and engineering, monitoring or otherwise are put into effect and inform LUL of any deficiencies of which Infraco is or should reasonably be aware; (g) where the Outside Party's work requires the Outside Party to enter on or over or under: (i) the Underground Network ( other than the LUL Network as defined in the Master Definitions Agreement for the purposes of the Access Code ) use all reasonable endeavours to arrange access; and (ii) the LUL Network ( as defined in the Master Definitions Agreement for the purposes of the Access Code ), prepare and provide to the Infrastructure Protection Manager in a timely manner an Access Request Form in a manner such that the Infrastructure Protection Manager is able to submit that Access Request Form to the Access Reservation Agency in accordance with the provisions of the Access Code; (h) where the Outside Party's work requires the Outside Party to enter on or over or under any part of the Underground Network for which Railtrack is the Infrastructure Controller or the National Railway Network, provide the Outside Party with the relevant contact details for Railtrack; (i) notify the Infrastructure Protection Manager where in Infraco's reasonable opinion the Outside Party's work is likely to result in a change being necessary to the LUL Safety Case; (j) where the Secretary of State's approval is required in accordance with the WPE Regulations in respect of any new or altered works, plant or equipment to be used in connection with the Services comply with paragraph 7 of the Safety Agreement; (k) require method statements to be submitted to and approved by Infraco in advance of any Outside Party work notified pursuant to paragraphs 9A or 10 of this Schedule including ( where required by LUL ) any Outside Party work which affects both Operational Property and Non-Operational Property, and where necessary require amendments to such method statements, and where it appears likely that method statements will not be submitted within a reasonable period before the Outside Party work is to commence, advise the Infrastructure Protection Manager of this fact promptly; (l) make available any safety related staff necessary for the purposes of the Outside Party work; (m) where any exemption from the London Fire and Emergency Planning Authority is required in connection with the Outside Party work: (i) use all reasonable endeavours to obtain any plans and documents necessary to secure such approval are prepared in advance of the Outside Party work; and (ii) take all reasonable steps to ensure that the Outside Party work does not commence until such exemption approval is given. Where it appears likely that such exemption approval will not be given within a reasonable period before the Outside Party work is to commence, Infraco shall promptly advise the Infrastructure Protection Manager of this fact; (n) where the CDM Regulations apply to the Outside Party work: (i) use best endeavours to ensure that the health and safety plan produced by the Outside Party pursuant to the CDM Regulations is compliant with the CDM Regulations, to the extent that such health and safety plan is relevant to the Underground Network; and (ii) request and use its best endeavours to obtain from the Outside Party copies of any documents relevant to Infrastructure Protection that are contained in the Outside Party's health and safety file, and incorporate those documents into the relevant health and safety files which Infraco is obliged to maintain pursuant to paragraph 6 of the Safety Agreement; (o) use all reasonable endeavours to ensure that all Outside Party work on or affecting Operational Property and/or ( where required by LUL ) Non-Operational Property is undertaken in accordance with any approvals given by or requirements imposed by LUL and communicated to Infraco, and also any Approval in Principle; and (p) use all reasonable endeavours to ensure that the Outside Party work is undertaken safely; (q) maintain correspondence files for all Outside Party work whilst the Outside Party work is in progress and for a minimum of two (2) years after settlement with LUL of the final account for the Outside Party work to which it relates; (r) perform its obligations in connection with Outside Party work in a timely manner having due regard to the Outside Party's reasonable programme requirements for Infrastructure Protection advice and assistance and the Outside Party work to which the advice and assistance relate, and Infraco's other obligations under the applicable PPP Contract; and (s) be entitled to withdraw any approvals given to Outside Parties only with the prior written consent of the Infrastructure Protection Manager, which consent shall not be unreasonably withheld or delayed. Save that if such withdrawal is, in the reasonable opinion of Infraco required for emergency safety implications for Infrastructure Protection, Infraco may withdraw such approval without obtaining the prior consent of the Infrastructure Protection Manager, whom it shall inform as soon as practicable thereafter. | ||||||||||||||||||||||||||||
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20 If: (i) provision is already made by any Law and ( where applicable ) any statutory procedures have been complied with; or (ii) provision is already made by a Relevant Third Party Agreement; or ( iii ) LUL, the affected Infracos and the Outside Party otherwise agree; (b) a concession to any Category 1 Standard or Category 2 Standard is required for the successful completion of the Outside Party work, Infraco shall ( subject to and in accordance with the provisions of the Standards Code or the Standards Change Procedure for Category 2 Standards as applicable ) take any steps necessary and appropriate to secure such a concession. | ||||||||||||||||||||||||||||
| 21 Where Outside Party work is not known to be of an intermittent nature and no work has occurred for three (3) months, Infraco shall take all reasonably practicable steps to contact the Outside Party and to ensure that the Outside Party work is completed in accordance with any approvals ( including Approvals in Principle ) given by LUL or Infraco, and where the Outside Party work is not so completed, that it is made safe in such a way as to comply with the requirements of this Schedule. | ||||||||||||||||||||||||||||
| 22 On completion of the physical work Infraco shall provide copies to the Infrastructure Protection Manager of any general arrangement and foundation drawings as may be appropriate along with copies of correspondence relating to the completion of the Outside Party work in question ( in each case to the extent made available to Infraco by the Outside Party ). This shall include confirmation that the Outside Party work is completed in accordance with any specific LUL requirements notified pursuant to paragraph 9A of this Schedule and where relevant any Approval in Principle, and that the parts of the Underground Network for which Infraco is responsible have not been damaged during such Outside Party work or that any damage has been made good. Infraco shall also provide copies of any other drawing or correspondence prepared or procured by Infraco or otherwise provided to Infraco pursuant to its obligations under the applicable PPP Contract which LUL may require due to the special nature of any particular Outside Party work. | ||||||||||||||||||||||||||||
| 23 Infraco shall at the same time as submitting each Statement of Costs in accordance with paragraph 16 of this Schedule submit to the Infrastructure Protection Manager a brief progress report on all Outside Party work in progress or completed or to which paragraph 21 applies during the previous Payment Period. | ||||||||||||||||||||||||||||
| 24 Where by virtue of Section 238 of the GLA Act Infraco enjoys the status of statutory undertaker similar or identical to that enjoyed by LUL, the parties hereby agree that it is their intention that where any obligation is imposed or power conferred upon Infraco such obligation or power shall be exercised by LUL save as expressly authorised in this Schedule or in writing by LUL. | ||||||||||||||||||||||||||||
| 25 Where LUL performs any obligations or exercises any powers under this Schedule 1.10 which are similarly imposed upon Infraco by virtue of Section 238 of the GLA Act, LUL shall have no liability to Infraco for the performance of any such obligation or exercise of any such power, provided that such obligation or such power is performed or exercised with reasonable care and due regard to LUL's obligations to Infraco under this Schedule. | ||||||||||||||||||||||||||||
| 26 If any dispute under this Schedule as to the costs to be paid to Infraco or other Infracos affected is referred for resolution under the Dispute Resolution Agreement the dispute shall be determined having regard to the schedule of rates set out in the Appendix to this Schedule or where there are no applicable rates the terms on which a contract for the services in question might reasonably be expected to be placed on arm's length commercial terms in the market ( or where no such contract could be so placed in the market then a contract for such services as are reasonably comparable to the services in question and in respect of which a contract could be so placed on arm's length commercial terms in the market ). | ||||||||||||||||||||||||||||
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Appendix to Schedule 1.10 - Rates | ||||||||||||||||||||||||||||
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1. Infraco rates | ||||||||||||||||||||||||||||
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2. Contractor rates Where it is necessary for Infraco to utilise contractors in relation to its Outside Party work obligations, Infraco shall obtain prior written approval from the Infrastructure Protection Manager for the Outside Party rates, and shall be entitled to a mark-up of 5% on those rates once approved. Infraco shall include these rates in both its estimates and Statements of Costs provided pursuant to this Schedule 1.10. | ||||||||||||||||||||||||||||
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3. Disbursements Infraco shall be entitled to claim reimbursement for disbursements with a value not exceeding £100 specifically relating to performance of its Outside Party works obligations, or with a value exceeding £100 where it has received prior written approval for such disbursements from the Infrastructure Protection Manager. |
Transport for London
