PPP Contracts

SCHEDULE 7 - Audit Criteria and Procedures

Part A - Train Ride Ambience Measures

1. Train Ambience Attributes

1.1

Each Train Ambience attribute k ( being Train Ambience attributes T1.14 to T1.18 as set out in column one of Table 1 ) shall be measured according to the criteria and procedures set out in paragraph 2 below.

Table 1

k	Train Attribute
T1.14	Train Public Address audibility
T1.15	Ride quality
T1.16	On-Train noise
T1.17	Train lighting
T1.18	On-train heating and ventilation

2. Measurement Procedures At Transfer Date

2.1 From the Transfer Date until the date twelve (12) months thereafter, scores for Train Ambience Attributes T1.14, T1.15, T1.16, T1.17, T1.18 ( Train Public Address audibility, Ride Quality, On-Train Noise, Train lighting, On-Train heating and ventilation ) shall be measured utilising the existing Mystery Shopper Survey process as set out in paragraph 2.3.

2.2 During the period from the Transfer Date until twelve (12) months thereafter, the parties shall agree and implement processes and systems for measuring Infraco performance for the Train Ambience Attributes set out in paragraph 2.1 above. At the end of the twelve (12) month period the Infraco Ambience Benchmarks, and Facilities and Fault Rectification Thresholds if applicable, shall be reset based on the revised measurement methodology and performance data collected. Any such changes to the Infraco Ambience Benchmarks, and Facilities and Fault Rectification Thresholds shall be made in accordance with the provision of paragraph 2 of Section Three of the Performance Measurement Code ( Changes to Measurement Methodology, Process or Computer Systems ).

2.3

T1.14 Audibility of PA system on Train

If a PA message ( necessary or unnecessary ) was made, could it be clearly heard over the background noise that was around at that time? Consider also any clicks, rattles or hums on the microphone, as well as the Operator's microphone technique.

IF THERE WERE ANY TYPES OF ANNOUNCEMENTS THEN THIS MUST BE SCORED ( NOT N/A )

Excellent - easily heard all of the message and made sense	10
	9
Good - easily heard all of message	8
	7
Could be heard with concentration - key/important part of message could be heard	6
	5
Difficult to hear message - possibly part of key/important part of message could not be heard	4
	3
Poor - muffled/distorted/unclear. Important contents of message distorted	2
	1
Totally inaudible/not certain an announcement was intended	0
	N/A
Comment :

T1.15 Quality of ride

Consider any up and down or side to side motion and "lurching", caused by the driver braking or accelerating. Try to judge quality of ride in the same way on all trains ( for example: "standing" in middle of carriage. Have a "test task" of reading. )

Very smooth - easy to stand up and read	10
	9
Reasonably smooth	8
	7
Some rocking - effort required to read	6
	5
Unsteady - would prove difficult to read	4
	3
Continual bumpy movement and wobbling	2
	1
Extremely bumpy. Even sitting, it is hard to keep balance	0
Comment :

T1.16 Level of noise ( rolling )

Noise from the track/wheels as well as noise ( e.g. ) from the suspension or any rattling panels.

Very quiet train, you can talk easily	10
	9
Quiet train, you can talk quite easily	8
	7
Fairly quiet train - you can talk but have to raise voice to be heard	6
	5
Difficult to hold a conversation - have to talk loudly to be heard	4
	3
Noisy train: difficult to hold a conversation at all without shouting	2
	1
Very noisy train: impossible to talk without shouting	0
Comment :

T1.17 Brightness of area

Includes lighting and natural daylight.

Very well lit throughout whole carriage	10
	9
Good - bright with minor areas less than perfect	8
	7
Fairly good - majority bright, small areas need improving	6
	5
Parts of carriage need improving - perhaps certain bulbs dull/need replacing	4
	3
Badly lit - large parts of carriage dark	2
	1
Very badly lit throughout whole carriage	0
Comment :

T1. 18 Temperature

A comfortable temperature for the time of year and time of day.

Very pleasant and comfortable	10
	9
Good temperature	8
	7
Fairly pleasant - slightly too hot or cold	6
	5
Fairly unpleasant - too hot or cold	4
	3
Poor - unpleasantly hot or cold	2
	1
Extremely hot or cold, sweating or shivering	0
Comment :

Part B - Audit of Facilities

1 GENERAL

1.1 General Where the Facilities set out in Schedule 2.1 ( Service Outputs ) of the PPP Contracts fail to meet the relevant audit criteria in paragraph 1.2, 2.2, 3.2 or 4.2 below, this shall constitute a Defect or Failure under the Facilities or Fault Rectification regime. The Defect or Failure shall be either corrected in the course of the audit or reported in accordance with the procedures set out in Schedule 3 ( Reporting Procedures ).

1.2 Audit Criteria (a) Facilities shall be in the condition and capable of fulfilling the functions described in the LUL Safety Case and/or the Infraco Safety Case and shall not be identified as sub-standard on planned general inspections carried out in accordance with the LUL Safety Case and/or the Infraco Safety Case;

(b) Facilities shall comply with Category 1 and Category 2 Standards in accordance with clause 9 of the Service Contracts and to the extent that non-compliance is a consequence of the physical design of the Facilities to which the Standard applies failing to comply with the Standard on the Transfer Date, Infraco shall ensure that until such time as those Facilities are upgraded or enhanced in accordance with Schedule 2.1 of the PPP Contracts, at which time those Facilities shall comply with the relevant Standards, the Facilities shall be in no worse condition than at the Transfer Date;

(c) Facilities shall satisfy the relevant checks set out in the Manual; and

(d) Facilities shall be free from dirt, dust and damage and securely mounted in each case as appropriate. They shall function according to their design capability such that LUL Staff may use them for their intended purpose.

1.3 Audit Procedures LUL may undertake an audit of the Facilities as frequently as deemed necessary by LUL to ensure Infraco's compliance with the criteria in paragraph 1.2 above and such audit shall be carried out in accordance with the procedures set out in clause 15 of the Service Contract and Schedule 5.12 ( Audit ) of the PPP Contracts.

2. CLEANING OF PREMISES

2.1 Definition of Facilities Group (a) The provisions of paragraph 2 shall apply to the rooms and areas used by LUL Staff and set out in Appendix 4 ( Train Staff Facilities ) of Schedule 2.1 of the PPP Contracts, and all platforms, Routeways, Ticket Halls and other areas at Stations to which Customers have access.

(b) Rooms and areas shall include floors, walls, partitions, ceilings, roofs, canopies, finishes and fixtures and fittings, but shall exclude adjacent civil engineering structures such as bridges, retaining walls, tunnel and shaft linings, platform slabs and supports, track, track side areas and track side walls.

2.2 Audit Criteria Each of the areas set out below and included in a single audit shall receive an average score of six (6) or higher for Cleanliness, level of litter and level of Graffiti when scored in accordance with the scoring criteria set out in Part A of Appendix 1 ( Premises Cleaning Audit Criteria ): (a) platforms;

(b) Routeways;

(c) Ticket Halls;

(d) rooms; and

(e) all other areas included in an audit. All areas included in an audit shall receive a score one (1) or higher for Cleanliness, level of litter and level of Graffiti when scored in accordance with the scoring criteria set out in Part A of Appendix 1 ( Premises Cleaning Audit Criteria ).

2.3 Audit Procedures LUL shall audit the rooms and areas defined in paragraph 2.1 each month or as frequently as deemed necessary by LUL to ensure that such rooms and areas comply with the criteria in paragraph 2.2 above provided that such audit is carried out in accordance with the procedures set out in clause 15 of the Service Contract and Schedule 5.12 ( Audit ) of the PPP Contracts.

3. Cleaning of Trains

3.1 Definition of Facilities Group The provisions of this paragraph 3 shall apply to all Trains of the Rolling Stock type or types normally used by LUL to provide the scheduled service on a Line. It shall apply to all aspects of the interior and exterior of a Train which are used by or are visible to Customers or ( in the case of Train cabs, which are used by LUL Staff ), including saloon interior surfaces ( panelling, ceilings, partitions, walls and flooring ), seating, arm rests, windows, Customer hold points and any other fixtures and fittings within the saloon, all cab interior surfaces and controls and all external Train surfaces.

3.2 Audit Criteria Each of the areas set out below and included in a single audit shall receive an average score of six (6) or higher for Cleanliness, level of litter and level of Graffiti ( scratched and non-scratched ) when scored in accordance with the scoring criteria set out in Part B of Appendix 1 ( Train Cleaning Audit Criteria ): (a) Train cab interior;

(b) Saloon interior;

(c) Train exterior. All areas included in an audit shall receive a score one (1) or higher for Cleanliness, level of litter and level of Graffiti ( scratched and non-scratched ) when scored in accordance with the scoring criteria set out in Appendix 1 ( Train Cleaning Audit Criteria ).

3.3 Audit Procedures LUL shall audit a sample of Trains each month or as frequently as deemed necessary by LUL to ensure that such Trains comply with the criteria in paragraph 3.2 above provided that such audit is carried out in accordance with the procedures set out in clause 15 of the Service Contract and Schedule 5.12 ( Audit ) of the Service Contracts.

4. AUDIT OF ESCALATORS

4.1 Definition of Facilities Group The provisions of this paragraph 4 shall apply to all escalators shown on the Station Layout Plans and the Station Fire Plans listed in Appendix 12 ( Station Plans ) of Schedule 2.1 of the PPP Contracts.

4.2 Audit Criteria The operating speed of an escalator, as recorded in accordance with paragraph 4.3 below, shall be within ten per cent ( 10% ) of the nominal speed for the escalator type, as shown in Appendix 2 ( Escalator Nominal Speeds ). The speed of the handrails, as recorded in accordance with paragraph 4.3 below, shall be within two per cent. (2%) of the speed of the escalator.

4.3 Audit Procedures

(a) Infraco shall undertake an audit of each escalator defined in paragraph 4.1 above every six (6) months or as frequently as deemed necessary by LUL to ensure compliance with the criteria in paragraph 3.2 above.

(b) The audit shall include a measurement of the operational speed of the escalator and the speed of the handrails. Speed shall be measured using a hand held calibrated tachometer capable of measuring speed in metres per second within a range of zero (0) to one ( 1.0 ) metres per second.

(c) The operational speed of the escalator shall be measured along the incline of the escalator and relative to the balustrade. The speed of the handrails shall be measured along the incline of the escalator and relative to the speed of the escalator. In each case, the average speed over a period of fifteen (15) seconds shall be recorded.

(d) On completion of an audit, Infraco shall, within three (3) Business Days, provide LUL with a report setting out the results and any action taken to correct or report Defects and Faults in accordance with paragraph 1.1 above.

APPENDIX 1

Part A: Premises Cleaning Audit Criteria

The scoring criteria to be applied in auditing the cleaning of rooms and areas defined in paragraph 2.1 of Part B of Schedule 7 ( Audit of Facilities ) are set out below.

1. Cleanliness

The audit of Cleanliness shall exclude the level of Graffiti and the level of litter.

Scoring criteria	Score
Spotlessly Clean, with original patterns and colour clearly visible	10
	9
Very Clean with only very minor areas of dirt or "dull" appearance; no dirt noticeable on windows but windows "dull" not shiny	8
	7
Generally Clean; minor evidence of dust or dirt or chewing gum residue or marks where stickers or graffiti have been removed; some minor marks, dust, dirt or "streaking" on windows	6
	5
Some areas of dust, dirt or staining, e.g. dirt build up in corners and crevices; many dirty marks on windows	4
	3
Extensive dust, dirt, staining, or chewing gum; windows dirty	2
	1
Extremely dirty or a risk of soiling upon contact; or evidence of Spillages; windows extremely dirty	0

2. Level of litter

Scoring criteria	Score
No litter whatsoever	10
	9
Not more than 2 items of litter ( 5 cm ( 2 inches ) or larger ) in the worst part ( 1 square metre ) of the area and for the whole area, not more than an average of 1 item per 10 square metres	8
	7
Not more than 4 items of litter ( 5 cm ( 2 inches ) or larger ) in the worst part ( 1 square metre ) of the area and for the whole area, not more than an average of 2 items per 10 square metres	6
	5
Not more than 6 items of litter ( 5 cm ( 2 inches ) or larger ) in the worst part ( 1 square metre ) of the area and for the whole area, not more than an average of 4 items per 10 square metres	4
	3
Not more than 8 items of litter ( 5 cm ( 2 inches ) or larger ) in the worst part ( 1 square metre ) of the area and for the whole area, not more than an average of 6 items per 10 square metres	2
	1
10 or more items of litter ( 5 cm ( 2 inches ) or larger ) in the worst part ( 1 square metre ) of the area or more than an average of 8 items per 10 square metres for the whole area	0

3. Level of Graffiti

The audit of the level of Graffiti shall include stickers but exclude scratched or etched Graffiti.

Scoring criteria	Score
No Graffiti whatsoever. No marks where previously present	10
	9
No Graffiti but there are marks where previously present in the worst area	8
	7
Not more than 2 A5 size areas of Graffiti in the worst part ( 1 square metre ) of the area and for the whole area, not more than an average of 4 A5 size area per 5 square metres	6
	5
Not more than 4 A5 size areas of Graffiti in the worst part ( 1 square metre ) of the area and for the whole area, not more than an average of 6 A5 size areas per 5 square metres	4
	3
Not more than 8 A5 size areas of Graffiti in the worst part ( 1 square metre ) of the area and for the whole area, not more than an average of 8 A5 size areas of 5 square metres	2
	1
12 or more A5 size areas of Graffiti in the worst part ( 1 square metre ) of the area or more than an average of 10 A5 size areas per 5 square metres for the whole area	0

Part B: Train Cleaning Audit Criteria

The scoring criteria to be applied in auditing the cleaning of Trains defined in paragraph 3.1 of Part B of Schedule 7 ( Audit of Facilities ) are set out below.

1. Cleanliness:

The audit of Cleanliness shall exclude the level of Graffiti and the level of litter.

Scoring criteria	Score
Spotlessly Clean, with original patterns and colour clearly visible	10
	9
Very Clean with only very minor areas of dirt or "dull" appearance; no dirt noticeable on windows but windows "dull" not shiny	8
	7
Generally Clean; minor evidence of dust or dirt or chewing gum residue or marks where stickers or graffiti have been removed; some minor marks, dust, dirt or "streaking" on windows	6
	5
Some areas of dust, dirt or staining, e.g. dirt build up in corners and crevices; many dirty marks on windows	4
	3
Extensive dust, dirt, staining, or chewing gum; windows dirty	2
	1
Extremely dirty or a risk of soiling upon contact; or evidence of Spillages; windows extremely dirty	0

2. Level of Litter:

Scoring criteria	Score
No litter whatsoever	10
	9
Not more than 2 items of litter ( 5 cm ( 2 inches ) or larger ) in the worst part ( 1 square metre ) of the area and not more than an average of 4 items per car	8
	7
Not more than 4 items of litter ( 5 cm ( 2 inches ) or larger ) in the worst part ( 1 square metre ) of the area and not more than an average of 8 items per car	6
	5
Not more than 6 items of litter ( 5 cm ( 2 inches ) or larger ) in the worst part ( 1 square metre ) of the area and not more than an average of 10 items per car	4
	3
Not more than 8 items of litter ( 5 cm ( 2 inches ) or larger ) in the worst part ( 1 square metre ) of the area and not more than an average of 12 items per car	2
	1
10 or more items of litter ( 5 cm ( 2 inches ) or larger ) in the worst part ( 1 square metre ) of the area or more than an average of 15 items per car	0

3. Level of Graffiti ( excluding scratched or etched Graffiti ):

The audit of the level of Graffiti ( excluding scratched or etched Graffiti ) shall include stickers.

Scoring criteria	Score
No Graffiti whatsoever. No marks where previously present	10
	9
No Graffiti but there are marks where previously present in the worst area	8
	7
Not more than 2 A5 size areas of Graffiti in the worst part ( 1 square metre ) of the area and not more than an average of 4 A5 size areas per car	6
	5
Not more than 4 A5 size areas of Graffiti in the worst part ( 1 square metre ) of the area and not more than an average of 8 A5 size areas per car	4
	3
Not more than 8 A5 size areas of Graffiti in the worst part ( 1 square metre ) of the area and not more than an average of 12 A5 size areas per car	2
	1
12 or more A5 size areas of Graffiti in the worst part ( 1 square metre ) of the area or more than an average of 15 A5 size areas per car	0

4. Level of Graffiti ( scratched or etched ):

Scoring criteria	Score
No scratched Graffiti whatsoever	10
	9
One very small area of scratched Graffiti, up to 4 inches ( the size of two Travelcards ) in the worst part ( 1 square metre ) of the area	8
	7
Not more than 2 A5 size areas of Graffiti in the worst part ( 1 square metre ) of the area and not more than an average of 4 A5 size areas per car	6
	5
Not more than 4 A5 size areas of Graffiti in the worst part ( 1 square metre ) of the area and not more than an average of 8 A5 size areas per car	4
	3
Not more than 8 A5 size areas of Graffiti in the worst part ( 1 square metre ) of the area and not more than an average of 12 A5 size areas per car	2
	1
12 or more A5 size areas of Graffiti in the worst part ( 1 square metre ) of the area and more than an average of 15 A5 size areas per car	0

APPENDIX 2 - Escalator Nominal Speeds

Escalator type	Nominal Speed ( metres per second )
34L	0.75
76L	0.75
COMPACT	0.65
HD-B	0.74 and 0.64
HD-C	0.74 and 0.64
LHD-M	0.64
LUL_1	0.75
LUL_2	0.75
LUL_2J	0.75
MH	0.74 and 0.64
MH-A	0.74 and 0.64
MH-B	0.74 and 0.64
MY	0.61
MY-A	0.74 and 0.64
PH	0.75
PS	0.75
PS-X	0.65
RA-C	0.61
RT.HD 3.6	0.6
RT.HDM4	0.75

Note: Where two (2) nominal speeds are shown in column 2 of the table above for one (1) escalator type, the measurement described in paragraph 3.3 of Part B of Schedule 7 ( Audit of Facilities ) shall be undertaken for each available nominal speed.

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