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SCHEDULE 3 - Reporting Procedures

1. Reporting of Disruptions, Defects, and Failures

1.1 This Schedule 3 sets out the reporting procedures required for the capture of data to be used in the following areas: (a) Train Availability as set out in paragraphs 2 and 3 below;

(b) Station Availability ( Station Closures ) as set out in paragraph 4 below;

(c) Platform Availability as set out in paragraph 4 below;

(d) Lift, escalator and Customer conveyer Availability as set out in paragraph 5 below;

(e) Facilities as set out in paragraph 6 below; and

(f) Fault Rectification as set out in paragraph 6 below.
1.2 The types of Disruption referred to in paragraphs 2 to 5, being Train Availability, Station Availability, platform Availability and Lift, escalator and Customer conveyor Availability, are defined in Table 1 of Part A of Schedule 5 ( Disruption, Defect, and Failure Definitions ).
1.3 Facilities and Fault Rectification refer to Defects and Failures relating to those categories of Assets set out in paragraphs 1.3, 2.1.1, 2.1.2, 2.2 and 3 and Appendices 4, 11C, 11D and 13 of Schedule 2.1 of the PPP Contracts ( Service Outputs ).
1.4 Where an Incident has been logged as one of the three following categories: (a) Service Disruption;

(b) Facilities Fault; or

(c) Fault Rectification Fault,

and subsequently changes to one of the other two categories, then provided the first Incident is not a result of a categorisation error then that first Incident must be Closed-out and a new Incident recorded under the appropriate new category. The new Incident is deemed to start as soon as the original Incident is Closed-out. Both the new and originally Closed-out Incidents shall be used for monitoring Infraco's performance.

1.4A Where an Incident has been accurately logged by an Infraco FRC as a Fault Rectification Fault based on the description provided by the person reporting the Defect, Failure or non-availability of an Asset, and subsequent investigation determines that a catagorisation error has occurred and such Incident should have been logged as a Service Disruption or a Facilities Fault, the initial Fault Rectification Fault should be Closed-out and a new Incident should be logged as either a Service Disruption or a Facilities Fault, as appropriate. The new Incident is deemed to start as soon as the original Incident is Closed-out. Both the new and originally Closed-out Incidents shall be used for monitoring Infraco's performance.
1.5 Where an Incident has been logged as one of the types of Service Disruption set out in Table 1 of Part B(i) of Schedule 5 ( Data Requirements ) and subsequently changes to another type of Service Disruption from the same table, then provided the first Incident is not a result of a categorisation error then that first Incident shall be Closed-out and a new Incident recorded under the appropriate type of Service Disruption. The new Incident is deemed to start as soon as the original Incident is Closed-out. Both the new and originally Closed-out Incident shall be used for monitoring Infraco's performance.

2. Train Availability - Train Service Disruptions (excluding Speed Restrictions)

2.1 Infraco and LUL shall take reasonable steps to ensure that Train Service Disruptions are notified to the Line Controller as soon as reasonably practicable after they are identified. The party whose employee or sub-contractor, including ( but not limited to ) Train operators, Signal Operators, Station Supervisors, and Infraco, who first identifies the Train Service Disruption shall be responsible for notifying the Line Controller and providing any details required under paragraph 2.3 below. Infraco shall be entitled to have a representative sit with the Line Controller at any time and from time to time provided Infraco has previously notified the Line Controller of its intentions and further provided the representative has complied with any reasonable directives from the Line Controller so as to ensure that the Line Controller is not hindered in carrying out his functions.
2.2 On notification of a Train Service Disruption which has been caused by an Incident involving, or potentially involving, a Defect in or a Failure of a Facility and where Infraco action is required before the Facility can return to service, the Line Controller shall contact the relevant Infraco personnel to request Infraco to investigate and carry out necessary work or corrective action.
2.3 The Line Controller shall record all relevant details on the Failure and Delay Summary Sheet ( F&D ). Full descriptions and requirements are set out in the tables in Part B(i) of Schedule 5 ( Incidents and Disruptions recorded by the Line Controller ). Data requirements marked as compulsory must be recorded.
2.4 Except in the case of Rolling Stock, where a Line Controller becomes aware of a Defect in or a Failure of a Facility then the Line Controller shall contact the FRC in order to request Infraco to investigate and carry out necessary repair work or corrective action with all the information specified in paragraph 6 of this Schedule and the unique F&D Number that has been assigned to the Disruption.
2.5 The Line Controller shall determine when the Initial Delay of a Train Service Disruption has ended ( End of Initial Delay ) as defined in Table 2 of Part B(i) of Schedule 5 ( Incidents and Disruptions recorded by Line Controller ). The time at the End of Initial Delay shall be recorded in the F&D. ( The End of Initial Delay does not apply to Train Cancellations. )
2.6 In cases of Signal Failure, where the FRC has been requested to investigate a Defect in or a Failure of a Facility and have undertaken the necessary repair work or corrective action, then the Line Controller shall record the time when the signal is operational and the train service restored as the end of the duration of the Disruption ( End of Duration ) as defined in Part B(i) of Schedule 5 in the F&D.
2.7 In cases of Train Cancellations and Train Withdrawals, the End of Duration shall be recorded by the Line Controller in the F&D in addition to other data requirements as defined in Part B(i) of Schedule 5 in the F&D.
2.7A A Train Service Disruption shall be deemed to be Closed-out at the End of Initial Delay in accordance with paragraph 2.5 above and a Signal Failure Train Cancellation or Train Withdrawal shall be deemed to be Closed-out at the End of Duration in accordance with paragraphs 2.6 and 2.7 above.
2.8 Where a Full Line Suspension or a Partial Line Suspension arises as a consequence of three (3) or more consecutive Section 12 Station Closures, then the Line Controller shall record this Suspension or Disruption as a separate entry on the F&D, constituting an Incident in its own right ( a Consequential Incident ). The Line Controller shall record all relevant details for the Line Suspension in the F&D in accordance with paragraph 2.3 above and assign a status of Consequential Incident in the "Consequential Incident Flag" in accordance with Table 4 of Part B(i) Schedule 5 ( Disruption, Defects and Failures Definitions ).
2.9 Where a Full Line Suspension or a Partial Line Suspension arises in accordance with paragraph 2.8 above, the Line Controller shall notify Infraco of such Disruption. The three or more consecutive Station Closures shall each be assigned a status of Causal Incident and shall be recorded as such in their entries in the F&D by the Line Controller ( a Causal Incident ).
2.10 At the end of Traffic Hours, the F&D shall be forwarded to SMART for entry into CuPID.

3. Train Availability - Speed Restrictions

3.1 Speed Restrictions are defined in Table 1 of Part A of Schedule 5 ( Disruption, Defect and Failure Definitions ). The party requiring the Speed Restriction shall send the Speed Restriction request form to the Duty Operations Manager. Infraco, when placing signage for the Speed Restriction, shall supply all the information marked as compulsory set out in the tables in Part B(ii) of Schedule 5 ( Data Requirements ) to the Duty Operations Manager. The Duty Operations Manager shall then forward a copy of the form to SMART.
3.2 On notification of the Speed Restriction referred to in paragraph 3.1 above, SMART shall record the relevant details in CuPID. Full descriptions and requirements are set out in the tables in Part B(ii) of Schedule 5 ( Data Requirements ). Data requirements marked as compulsory must be recorded.
3.2A In the event that a Speed Restriction notified to SMART in accordance with paragraph 3.1 remains in place beyond the end of Payment Period, CuPID shall Close-out the Speed Restriction at the end of the Payment Period and record the date and time of the end of the Payment Period as the End of Duration for the purposes of Table 6 of Part B(i) of Schedule 5 ( Data Requirements ). Subject to paragraph 3.4 below, CuPID shall then record the relevant details of the Speed Restriction at the beginning of the subsequent Payment Period, and the date and time of the beginning of that subsequent Payment Period shall be the Start Time for the purposes of Table 6 of Part B(i) of Schedule 5 ( Data Requirements ).
3.3 Where the elapsed time between the imposition and lifting of a Speed Restriction includes less than three (3) complete Payment Periods, at the end of the Speed Restriction, the party lifting the Speed Restriction shall notify SMART. SMART shall then Close-out the Speed Restriction and the actual time at which the Speed Restriction is lifted, ( which shall be the End of Initial Delay for the purposes of Table 2 of Part B(ii) of Schedule 5 ( Data Requirements ) ) shall be recorded in CuPID.
3.4 Where the elapsed time between the imposition and lifting of a Speed Restriction includes three (3) or more complete Payment Periods, CuPID shall Close-out the Speed Restriction at the end of the third complete Payment Period and record the date and time of the end of that Payment Period as the End of Duration for the purposes of Table 6 of Part B(i) of Schedule 5 ( Data Requirements ). For the avoidance of doubt, it shall not record the details of the Speed Restriction at the beginning of the subsequent Payment Period.
3.5 When a Speed Restriction is required on any of the Line Sections set out in Appendix 8 of Schedule 2.2, paragraph 3.4 shall be deemed not to apply. In the event that the elapsed time between the imposition and lifting of such a Speed Restriction includes three (3) or more complete Payment Periods, the provisions of paragraph 3.2A shall be deemed to apply until such time as the Speed Restriction is lifted. For the avoidance of doubt, such Speed Restrictions will continue to be abated under the Availability regime.

When the Speed Restriction is lifted, SMART shall close-out the Speed Restriction and the actual time at which it is lifted ( which shall be the end of Initial Delay for the purposes of Table 2 of Part B(ii) of Schedule 5 ( Data Requirements ) shall be recorded in CuPID.
3.6 For the purposes of paragraph 3.4 above, lifting of a Speed Restriction shall mean its complete removal after the Incident causing it has been Closed-out. A change in any of the data requirements recorded by SMART in accordance with paragraph 3.2 above and set out in Table 6 of Part B(i) of Schedule 5 ( Data Requirements ) shall not, by itself, constitute the lifting of a Speed Restriction.
3.7 Any party requesting a change to a Speed Restriction shall inform the Duty Operations Manager. The Duty Operations Manager shall then forward details of the change, together with the date and time from which the change applies, to SMART. Where the elapsed time between the imposition and lifting of a Speed Restriction includes less than three (3) complete Payment Periods, SMART shall Close-out the Speed Restriction and record the date and time from which the change applies as the End of Duration for the purposes of Table 6 of Part B(i) of Schedule 5 ( Data Requirements ). SMART shall then record the relevant details of the Speed Restriction, including any changes resulting from the change in the Speed Restriction, and the date and time from which the change applies shall be the Start Time for the purposes of Table 6 of Part B(i) of Schedule 5 ( Data Requirements ).

4. Station Availability (Station Closures)

4.1 This paragraph 4 addresses Station Closures and covers:

(a) Full Station Closures;

(b) Partial Station Closures; and

(c) Platform Closures.
4.2 Where a Station or part of a Station is closed as a result of a failure to meet the requirements for Station Availability as set out in paragraph 2.1 of Schedule 2.1 of the PPP Contracts ( Service Outputs ), or for any other reason, then the Station Supervisor, Duty Station Manager ( DSM ) or other LUL employee shall notify the Line Controller as soon as reasonably practicable.
4.3 On notification of a Station Closure, the Line Controller shall record the relevant details on the F&D. Full descriptions and requirements are set out in the tables in Part B(i) of Schedule 5 ( Data Requirements ). Data requirements marked as compulsory must be recorded.
4.4 The Line Controller shall inform the Station Supervisor, DSM or other LUL employee of the unique F&D Number that has been assigned to the Disruption.
4.5 On notification of a Station Closure which has been caused by an Incident involving or potentially involving a Defect in or a Failure of a Facility, then a Station Supervisor, DSM or other LUL employee shall contact the FRC in order to request Infraco to investigate and carry out necessary repair work or corrective action. The Station Supervisor, DSM or other LUL employee shall provide the FRC with all the information specified in paragraph 6 of this Schedule and the unique F&D Number that has been assigned to the Disruption.
4.6 When the Station or part of the Station is re-opened, the Station Supervisor, DSM or other LUL employee shall notify the Line Controller and specify the time of the re-opening which shall be the End of Initial Delay as described in Table 2 in Part B(i) of Schedule 5 ( Data Requirements ). The Line Controller shall record the End of Initial Delay in the F&D.
4.6A The Station Closure or Partial Station Closure or Platform Closure shall be deemed to be Closed-out at the End of Initial Delay in accordance with paragraph 4.6 above.
4.7 Where a Full Line Suspension or a Partial Line Suspension arises as a consequence of three (3) consecutive Section 12 Station Closures, then the rules in paragraph 2.8 above shall apply.
4.8 At the end of each traffic day, the F&D shall be forwarded to SMART for entry into CuPID.

5. Lift, Escalator and Customer Conveyor Availability

5.1 Where the Failure of or Defect in a Lift, escalator or Customer conveyor Asset results in a Station Closure then the procedures in paragraph 4 above shall apply.
5.2 The procedure for reporting Lift Downtimes, Escalator Downtimes and Customer Conveyor Downtimes not resulting in a Station Closure is detailed in paragraph 6 below.
5.3 Where a Lift, escalator or Customer conveyor is subject to a Closure booked under the Access Code, the Closure shall be recorded using the procedure for reporting Defects, Failures and Suspensions set out in paragraph 6 below and flagged as a Booked Access.

6. Asset Failures, Defects, and Suspensions

6.1 Assets covered under this paragraph 6 are:

(a) Assets defined in paragraphs 1.3, 2.1.1, 2.1.2, 2.2 and Appendices 4, 11C, 11D and 13 of Schedule 2.1 of the PPP Contracts ( Service Outputs ):
(i) Facilities;

(ii) Fault Rectification;
(b) Assets in the following types of Failures, Defects or Disruptions:
(i) Signal and track Failures, Defects, and Suspensions;

(ii) Station Closures; and

( iii ) Lift, escalator and Customer conveyor Availability.
6.2 Defects in, Failures of or Suspensions of an Asset shall be reported to the FRC as soon as they are identified. The Station Supervisor, Line Controller, DSM or other LUL employee shall notify the FRC as soon as reasonably practicable following the discovery of such a Defect in, Failure or Suspension of Service of an Asset providing all required data ( including the unique F&D Number where relevant ) as set out in Part B(ii) of Schedule 5 ( Data Requirements ).
6.3 Where an Infraco member of Staff or Infraco contractor identifies a Defect in or Failure of an Asset, then the Station Supervisor, Line Controller, DSM or other LUL employee shall be notified as soon as reasonably practicable.
6.4 Where a member of LUL Staff considers that a Station area, Train Maintenance Depot or Train Crew Depot fails to meet the audit criteria for the cleaning of premises set out in paragraph 2 of Part B of Schedule 7 ( Audit Criteria and Procedures ), then the member of LUL staff shall contact the FRC in order to request Infraco to investigate and carry out necessary repair work or corrective action. The LUL employee shall provide the FRC with all the information specified in the tables in Part B(ii) of Schedule 5 ( Data Requirements ).
6.5 Where a single Defect in or Failure of a Facilities Asset results in multiple non-availability of the same type of Facilities Asset at the same Station, then such multiple non-availability shall be treated as a single Incident and recorded as such by the FRC. Where a single Defect in or Failure of a Facilities Asset results in multiple non-availability of the same type of Facilities Asset at multiple Stations, then each of such multiple non-availability at each Station shall be treated as a single Incident and recorded as such by the FRC.
6.6 The FRC shall record all calls which fail to meet the service requirements specified in paragraphs 3.1, 3.4, 3.5 and 3.6 of Schedule 2.1 of the PPP Contracts ( Service Outputs ) in the FRC Database.
6.7 On notification, the reporting LUL party shall decide, based on the type of Incident and with reference to the definition of a Service Disruption, Facilities Fault or Fault Rectification Fault, whether the Failure of or Defect in an Asset is a Service Disruption, a Facilities Fault or a Fault Rectification Fault and determine accordingly the appropriate asset classifications as set out in Schedule 2.1 of the PPP Contracts ( Service Outputs ) and inform Infraco of the decision.
6.8 The FRC shall record all relevant details when the call ( referred to in paragraph 6.6 above ) is received on the FRC Database. Full descriptions and requirements are set out in the tables in Part B(ii) of Schedule 5 ( Data Requirements ). Data requirements marked as compulsory must be recorded.
6.9 Where LUL has specified a Special Clearance Time in accordance with paragraph 3.10 of Schedule 2.1 of the PPP Contracts ( Service Outputs ) the FRC shall record the agreed Special Clearance Time and the reason in the "Special Clearance Flag" in accordance with Table 4 of Part B(ii) of Schedule 5 ( Data Requirements ) in the FRC Database.
6.10 Where the Standard Clearance Time of three (3) hours applies on the grounds that a fault, would result in safety or environment contravention orders being issued against London Underground by the Health and Safety Executive, the FRC shall record such faults as contraventions in accordance with Part B of Schedule 5 ( Data Requirements ) in the FRC Database.
6.11 For Fault Rectification calls as required under paragraph 3 of Schedule 2.1 of the PPP Contracts ( Service Outputs ), unless a Special Clearance Time has been requested by LUL ( in accordance with paragraph 6.9 above ), or a Standard Clearance Time has been overridden ( in accordance with paragraph 6.10 above ), the Standard Clearance Time shall be used in conjunction with the Actual Clearance Time to measure performance. The Actual Clearance Time shall end at the "End of Duration" as specified in Table 2 of Part B(ii) of Schedule 5 ( Data Requirements ).

6.12 When the work in respect of calls to the FRC in paragraph 6.8 above, ( the Work Order ) has been completed:

(a) For Station Assets, the repair team shall immediately contact the nominated LUL representative who shall confirm in writing that the Work Order has been completed ( the Sign-off ). The repair team shall then notify the FRC that the Work Order has been Signed-Off and also where appropriate, that the Station ( or the part of the Station ) has re-opened or that normal service has resumed. The repair team shall forward the Signed-Off Work Order to the FRC.
(b) For signal and track Assets, the repair team shall immediately notify the Line Controller and then the FRC of the completion of the Work Order.
6.13 The FRC shall then Close-out the Incident and record the repair team's time of completion ( as defined as the End of Duration in Table 2 of Part B(ii) of Schedule 5 ( Data Requirements ) ) in the FRC Database. In the case of planned works, any overrun shall be noted in the FRC Database in addition to the actual excess duration of the overrun. All information relating to Closed-out Incidents within a week, recorded by the FRC in accordance with this paragraph 6 and Part B of Schedule 5 ( Data Requirements ), shall be supplied to LUL by Infraco by the end of business each Monday following such week. Infraco shall at that time also supply LUL with information on any and all outstanding Incidents recorded by the FRC.
6.14 Where an Incident is classified as Facilities Fault or Fault Rectification Fault in accordance with paragraph 6.7 above and such Incident is reported to the FRC before the Transfer Date and Closed-out after the Transfer Date, such Incident shall be deemed to have been reported to the FRC on the Transfer Date and the start time of such Incident recorded in accordance with Table 2 of Part B(ii) of Schedule 5 of this Performance Measurement Code shall be midnight on the Transfer Date.

6A Rolling Stock Fault Rectification

6A This paragraph 6A applies to Train Assets where such Assets are subject to requests for Fault Rectification under paragraph 3 of Schedule 2.1 of the PPP Contracts ( Service Outputs ).
6A.2 Where a Train driver or other LUL employee identifies a Defect in or Failure of a Train Asset, he shall notify the Train Maintenance Depot to which the Train is expected to return on leaving service as soon as reasonably practicable. Completion of the Unit Defect Log Book shall constitute notification of the Train Maintenance Depot for the purposes of this paragraph 6A.2. Following completion of the Unit Defect Log Book, LUL shall notify the nominated Infraco representative as soon as reasonably practicable, providing all required data as set out in Part B( iii ) of Schedule 5 ( Data Requirements ).
6A.3 On notification of the Defect or Failure, Infraco shall record all required data, as set out in Part B( iii ) of Schedule 5 ( Data Requirements ). Data requirements marked as compulsory must be recorded.
6A.4 When the work required to rectify a Defect or Failure reported under paragraph 6A.2 above has been completed, Infraco shall Close-out the Incident and record the time of completion ( defined as the End of Duration in Table 2 of Part B( iii ) of Schedule 5 ( Data Requirements ) ) in the Infraco database.
6A.5 The Actual Clearance Time shall end at the "End of Duration" as specified in Table 2 of Part B( iii ) of Schedule 5 ( Data Requirements ). For the purposes of measuring performance, the Actual Clearance Time shall be used in conjunction with the time period which is the greatest of the following: (a) the Standard Clearance Time; or

(b) the time period between the notification of the Defect or Failure to the nominated Infraco representative and the time at which the Train first returned to service following notification. All information relating to Closed-out Incidents within a week, recorded by the FRC in accordance with this paragraph 6 and Part B of Schedule 5 ( Data Requirements ), shall be supplied to LUL by Infraco by the end of business each Monday following such week. Infraco shall at that time also supply LUL with information on any and all outstanding Incidents recorded by the FRC.

7. Additional Incident data collection

7.1 In some cases Service Disruptions and Incidents may be reported solely on an IRF and not to the Line Controller or the FRC. The IRF shall be forwarded to SMART for entry into CuPID for Fault Attribution. Infraco shall be notified of such occurrences and all the rules for attribution timescales as in Schedule 4 shall apply.
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