1) Please can you tell me the number of Train Operators who have been sent to Company Disciplinary Interview(CDI) for passing a signal at danger(SPAD), Including all aspects such as failing to follow procedure after SPAD etc. 2)Following on from question 1, please can you summarise the outcome of the CDI(e.g Dismissed, Demoted to 'X', Kept job and given retraining etc.) 3) Please can you tell me the number of Train Operators who have been sent to Company Disciplinary Interview(CDI) for failing to follow correct side door enable(CSDE) procedure, Including all aspects such as doors open in tunnel and wrong side door open etc. 4)Following on from question 3, please can you summarise the outcome of the CDI(e.g Dismissed, Demoted to 'X', Kept job and given retraining etc.) In relation to question 2 and 4, Please can you put the information along the lines of the following format: Train Operator 1 sent to CDI for SPAD- failing to follow correct procedure. CDI outcome- Dismissed etc. Please can I have this information from 1st January 2012 up until the present date of this request(4th October 2017), withholding any personal information from this document that may invalidate this request (name, employee number etc.)

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TfL Ref: 1768-1718

Thank you for your request received by Transport for London (TfL) on 4 October 2017 asking for information about London Underground Train Operator Company Disciplinary Interviews.

Your request has been considered in accordance with the requirements of the Freedom of Information (FOI) Act and our information access policy. I can confirm we do hold some of the information you require.  You asked:

1) Please can you tell me the number of Train Operators  who have been sent to Company Disciplinary Interview(CDI) for passing a signal at danger(SPAD), Including all aspects such as failing to follow procedure after SPAD etc.

2)Following on from question 1, please can you summarise the outcome of the CDI(e.g Dismissed, Demoted to 'X', Kept job and given retraining etc.)

3) Please can you tell me the number of Train Operators  who have been sent to Company Disciplinary Interview(CDI) for failing to follow correct side door enable(CSDE) procedure, Including all aspects such as doors open in tunnel and wrong side door open etc.

4)Following on from question 3, please can you summarise the outcome of the CDI(e.g Dismissed, Demoted to 'X', Kept job and given retraining etc.)

In relation to question 2 and 4, Please can you put the information along the lines of the following format: Train Operator 1 sent to CDI for SPAD- failing to follow correct procedure. CDI outcome- Dismissed etc.

Please can I have this information from 1st January 2012 up until the present date of this request(4th October 2017), withholding any personal information from this document that may invalidate this request (name, employee number etc.)

Unfortunately, to provide the information you have requested would exceed the ‘appropriate limit’ of £450 set by the Freedom of Information (Appropriate Limit and Fees) Regulations 2004.

Under section 12 of the FOI Act, we are not obliged to comply with a request if we estimate that the cost of determining whether we hold the information, locating and retrieving it and extracting it from other information would exceed the appropriate limit. This is calculated at £25 per hour for every hour spent on the activities described.

We have estimated that it would significantly exceed the appropriate limit to provide a response to your current request. This is because there is no centralised record connecting Train Operator Signals Passed at Danger, (SPAD's) with the disciplinary process and the employee actions taken as a result. Because HR related cases follow the employee, the first stage of trying to extract the information you have requested would be to discover who was a Train Operator grade when the disciplinary case was created. Following this, we would need to individually review the case notes of each employee with a case to see if it was related to SPAD. To check individual case notes would take between 10-15 minutes per case. There are 643 disciplinary cases recorded since 2009-10 that include employees in the Train Operations areas, and although they may not all be for Train Operators, we think that the majority would be. We estimate that even if only half the cases involve train operators, this would still mean that over 80 hours of investigating individual case notes would need to be carried out in order to determine if a SPAD was the reason for disciplinary action.

To help bring the cost of responding to your request within the £450 limit, you may wish to consider narrowing its scope so that we can more easily locate, retrieve and extract the information you are seeking. For example you may wish to significantly reduce the time period you are requesting the information for.

If you want to refine your request or make a Freedom of Information Act request in future, please bear in mind that the Freedom of Information Act allows you to request recorded information held by us. You should identify the information that you want as clearly and concisely as you can, specifying the types of document that you are looking for. You might also consider limiting your request to a particular period of time, geographical area or specific departments of the organisation. Although your request can take the form of a question, rather than a request for specific documents, we do not have to answer your question if it would require the creation of new information or the provision of a judgement, explanation, advice or opinion that was not already recorded at the time of your request.

Please see the attached information sheet for details of your right to appeal.

Yours sincerely

Sara Thomas

FOI Case Management Team

General Counsel

Transport for London

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