Annex C (6)- HAL Network Code March 2016 Part 1
| Section | Transport for London appeal under regulation 29 and complaint under regulation 30 of the Railways Infrastructure (Access and Management) Regulations |
Contents
Preface 2
Part A: General Prov;sions 3
Part
8:
Performance Monitoring
12
Part C: Modifications to the
HAL
Network Code
20
PartD
:
Tinetable
26
PartE:
Not used
Part F: Vehicle Change 49
Part G: HAL Network Change
61
Part H: HAL
Ra
il Operational Code
81
Part I Not used
Part J : Access
to
HAL Infrastructure 88
Part
K:
Information 106
Part L: Performance
112
Part M: Appeal 127
Annex
1:
Access Dispute Resolution Rules 132
Annex
2:
Availability Bench
ma
rks 195
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Preface
Preface
The HAL Network Code is a set
of
rul
es
which is incorporated by reference into,
and therefore forms part
of
, each bilateral access contract between HAL and a
holder
of
access rights. lt does not create any contractual rela
ti
onship between
operators
of
train
s.
The purpose
of
the HAL Network Code is;
1) To regulate change, including change to the working timetable, change to
railway vehicles specified in an access contract, change to the network and
change to the HAL Network Code itself;
2) To establish a performance monitoring syste
m;
and
3)
To
establish procedures in the event
of
operational disruption.
This Preface does not form pa
rt
of t
he
HAL Network Code.
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Part
A: General
Provis
i
ons
Ex
planatory Note
A. Part A sets out certain
de
finitions, general provisions
and
ru
les
of
interpretation which apply generally to
this code. Definitions which are specific to individual parts of this code
are
contained
in
the relevant part.
B. This Explanatory Note
does
not form part
of
the HAL Network Code.
Condition A 1: General
1.1
General interpreta
ti
on
The paramount objective in the railway industry is to operate a safe
and
secure railway
on
which the
elements
of
risk
to
safety and security are reduced to a level
as
low
as
reasonably
pract
icable. Nothing
in this code shall be interpreted
or
construed
as
compromisi
ng
that
ob
j
ec
tive.
In th
is
code, unless the cootext otherwise requires:
• This
code
References to this code means this code
as
modified from time
to
time.
• Parts, Conditions
and
palllgraphs
References
to
Parts, Conditio
ns
and paragraphs are to Parts, Conditions and paragraphs of this code.
• Definitions in the Act
Terms and expressions defined in the Act shall, unless
the
contrary intention appears, have the same
meaning in this code.
•
Statutory
prov
is
ions
References
to
statutory provisions shall
be
construed
as
references
to
those
pro
visions
as
amended
or
re
enacted
or
as their application
is
modified by other
staMory
provisions from time to time and sha
ll
include
references to
any
statutory provisions
of
which they are re enactments
(w
he
ther with
or
without modification).
• Interpretation Act
Words and expressions
de
fined in the Interpretation Act 1978 shall
have
the
same meaning in this code and
the rules
of
interpretation contained in that Act shall apply
to
the interpretation
of
this code.
• Include
The words "include" and "including• are to
be
construed without limitation.
• Other documents
Any agreement, instrument, licence, standard, timetable, code
or
other document referred to in this code
or
entered into, approved, authorised, accept
ed
or
issued by a person pursuant
to
this code shall be construed,
at
the particular ti
me
, as a reference to that agreement, instrument, l
ic
ence, standard, timetable, code
or
other document, as it
may
then have been amended, varied, supplemented
or
novated.
• Confli
ct
In the event
of
any conflict
of
interpretation between this code and
an
Access Agreement (not induding this
code) the following order
of
precedence shall apply:
this code;
and
the Access Agreement.
• Ti
me
limits
Where in this code
an
y
ob
ligation
of
an
Acc~s
Party is required to
be
performed within a specified time limit
that
ob
ligation shall continue after that time limit
if
the Access Party
fa
ils to comply with that obligation within
the time limit.
• Headings
The headings and references
to
headings shall
be
disregarded in construing this code.
• Ruling language
All notices served under this code shall
be
in the English language.
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Part A: General Provisions
1.2 Definitions
In
this code, unl
ess
the
context
otherw
i
se
requi
res
:
• "Act"
means
the
Railways Ad 1993 as
ame
n
ded
;
• "Access Agreement•
means
BI'I
Y particul
ar
access
con
tr
a
ct
, wheth
er
or
not
enter
ed
into pursuant to
an
y directions
of
the
ORR
under
the
Act, incorporating this
code
:
• "Access Beneficiary"
means,
in
respect
of
an A
ccess
Agr
eemen
t,
the
Train
Oper
ator
or
Access
Op
ti
on
Ho
l
de
r who is
party
to th
at
Acc
ess
Agreement;
• "Access Di
spute
Resol
ution
Rules·
or
*ADRR"
means
the
set
of
rules regulating
the
resoluti
on
of
disputes,
en
titl
ed
"A
ccess
Di
spute
Reso
lution Rules• and
annex
ed
to
th
is code at
Annex
1;
• • access
option
•
has
the
meaning ascribed
to
it in
sec
tion 17(6)
of
the
A
ct
;
• •Access
Opt
ion
Holder
·
means
an
y person
wh
o
ma
y exercise
an
access
op
ti
on
in respect
of
a railway facility:
(a)
th
at
is
no
t a
st
ation
and
(b) in r
espect
of
which the facility
ow
ner
is HAL;
• "Access Parttes•
means
, in respect
of
an
Access
Ag
r
eemen
t.
HAL
and
the
Access
Bene
ficiary
wh
o
are
party
to
that Access
Agreement;
• "
Amllate
•
means, in relati
on
to
an
y company:
(a) a
com
pany
wh
ich
is
ei
ther
a
ho
ldi
ng
company
or
a subsidi
ary
of
such company;
or
(b) a
company
whi
ch
is
a su
bsi
diary
of
a holding
company
of
which such
company
is
also
a
subsidiary,
and f
or
these purposes, "
ho
l
di
ng company" and •subsidiary"
ha
ve
the
meanings
ascr
i
bed
to
them
in
section
736
of
the Companie s
Act
1985;
• "Change of
LaW"
means
the
a
pp
lica
ti
on
to
any
person
of
an
y L
ega
l Requirement
wh
ich did
not
pre
vious
ly
so
apply
or
the
change
of
any
Legal Requirement
ap
pl
yi
ng
to
that
pe
rs
on
(incl
ud
i
ng
any
such
Lega
l Requirement ceasi
ng
to
apply,
be
ing
wi
thdra
wn
or
not
be
i
ng
renew
ed
) other than in rela
ti
on
to
:
(a) corporation tax (o r
an
y o
the
r tax
of
a similar nature
rep
l
acing
corporati
on
ta
x
on
profits
or
ga
i
ns
);
or
(b) value added
tax
;
• ·
competent
Authority
"
means
any
local,
nat
ional
or
supra
nat
ional
agenc
y, authority, department, inspectorate, m inister,
ministry, official, court, tribunal,
or
pub
li
c
or
statutory person (
whether
autonomous
or
not
and
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Part
A:
General
Provisions
including
the
ORR
) whether
of
the
United Kingdom
or
of
the
European Union,
which
has
, in res
pect
of
an Access Agreement, jurisdiction
over
either
or
both
of
the Access Parties
to
,
or
the subject
matter
of
, that agreement prov
ided
that "Competent Authority" shall
not
indude
Her
Ma;esty
's
Government (
or
any
department, minister, offiCial
or
nominee
of
it) where acting a.s shareholder
of
the Access
Party
in question
or
other
than pursuant
to
the Crown prerogative
or
a statutory function
or
power;
• "Direction"
means, in respect
of
an Access Agreement, any direction, requirement, instruction
or
rule binding
on
either
or
both of the Access Parties,
and
includes any modification, extension
or
replacement
of
any such direction,
requirement, instruction
or
rule
for
the
ti
me
being in
for
ce
;
• "
hard
copy
I
nformation
•
means any relevant item which it is
not
reasonably practicab
le
for
HAL
to
publish
on
its
website,
hav
ing
regard,
in
particular,
to
whether
such
relevant item is,
or
is
likely to be:
(a) Unavailable in electronic form;
or
(b) Incapable
of
being downloaded
and/or
printed by any class
of
persons accessing
HAL
's
we
bs
ite;
or
(c) Exceptionally costly
to
publish
on
its website;
• "Legal
Requlrernen~
means (
for
the
purpose
of
the definition
of
Change
of
Law),
in
relation
to
any person,
any
of
the following:
(a)
Any
enaclment to
the
extent
that
it applies to that person;
(b)
any
regulation
made
by the Council
or
the Commission
of
the European Union
to
the extent that
it
appl
ies
to
that person
or
a decision taken
by
the
said Commission which is binding
on
that
person
to
the extent that it
is
so binding; and
(c) any interpretation
of
law,
or
finding, contained in any
judgment
giv
en
by
a court
or
tribunal
of
competent jurisdiction in respect
of
which
the
period for making an appeal
has
expired which
requires
any
legal requirement falling within paragraphs (a)
or
(b) above
to
ha
ve effect in a w
ay
which
is
different to that in which it previously
had
effect;
• "
HAL
Infrastructure"
means the infrastructure in respect
of
which
HAL
is
the facility
owner
and which is situated in England;
•
,.
HAL
Network
Change•
has
the meaning ascribed
to
it in
Part
G
of
this
code;
• "HAL Network Code"
means
the
document entitled
"HA
L Network
Code
";
• " HAL
Network
Statement"
means
the
document entitled the •Heathrow Network Statement";
• "
HAL
"
means Heathrow Airport Limited, incorporated in England and Wales (under registered number; 01991017)
• Mnon-sensltlve version•
means a version
of
a relevant item:
(a) from which sensitive information
has
been
excised; and/or
C Healhrow Airport Llrnlteo 20 15
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Part
A:
General Provisions
(b)
in
whic
h sensitive information
has
been replaced
by
a summary containing
no
sensitive
information;
• "Network Rail Network Code"
means the document publis
hed
by
Network Rail
which
app
lie
s in
re
lation
to
the operati
on
of
railway vehicl
es
on
th
e Wid
er
UK
Rail
Networ1<
;
• "
ORR
"
means
the
Office
of
Rail a
nd
Road;
• "Potential Access Pany-
means
any
person
who
proposes
in
good
fa
it
h
to
enter
int
o
an
Access Agreement
or
become
an
Access
Option Holder provided that such person has first undertaken to
HA
L
to
be bound by the relev
ant
provisions
of
the
HAL
Networ1<
Code and the AORR;
• •publish on a webslte•
means
,
in
relation
to
any specifi
ed
inf
ormation to
be
publ
ished
on
a website, placing such specified
information
on
the relevant
we
bsite in a prominent
pos
iti
on
and with links which
ena
ble
visitors
to
that site
to
locate it quickly and without difficulty;
• "Regulations"
the
Rai
lw
ays Infrastructure (Access
and
Management) Regulati
ons
2005 (SI
no
3049 of 2005
).
as
may
be
amended
from
time
to
time
;
• •relevant ADRR Panel"
means
the Panel established under Part E
of
th
e Access Dispute Resolution Ru
les
which is
to
determ
in
e a
relevant dispute
in
accordance with the principl
es
and procedures
set
out
in
Part A
of
the Access
Di
spute
Resolution Rules;
• •relevant Item•
means
, in respect
of
any specified information, the whole
or
part
of
any information, statement, proposal,
draft, instrument
or
other document which constit
ut
es
or
forms
part
of that specified information;
• "Routes•
means, in respect
of
an Access Agreement, those parts
of
the
HAL
infrastructure which a Train Operator
has
perm
is
sion
to
use pursuant
to
that agreement;
• · secretary"
has that
mean
i
ng
giv
en
to
it in the AD
RR
;
• •secure Information•
means a relevant item, the publication of which
may
, in
the
reasonable opinion
of
HAL, create
any
risk
to
the
safety
or
security
of
the
HAL
infrastructure;
• •sensitive Information·
means a relevant item, the publicati
on
of
which by HAL:
(
a)
is
like
ly
materially
to
com
promi
se
or
otherwise prejudice
the
commercial interests
of
any Access
Party
or
a
ny
of
its Affiliates; or
(b)
may
reasonab
ly
be expected seriously
and
prejudicially
to
affect the interests
of
any
person;
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Part A: General Provisions
• ·services·
means
, in respect
of
an Access Agreement:
(a)
the
se
rv
ices
for
the carri
age
of
passengers by rai
lw
ay;
(b)
the
se
rvices for
the
carri
age
of
goods
by r ailway, and
(c) any o
th
er
tr
ain
mo
v
ement
for
the
purpose
of
testing the
ph
ysical
or
operati
ona
l characteristics
or
capabilities
of
any railway asset,
in
each
case
as
pro
vid
ed
f
or
in that agreement;
• •specified I
nf
o
rmation
•
me
ans
an
y informati
on
, statement, proposal, dra
ft
.
ins
trument
or
other
doc
u
ment
;
• "Track Access Contract Parties• or
"TAC
Panles"
means
, in respect
of
any
Access Agreement
other
th
an
an
access option,
HAL
and
the Train Operator
wn
o
are
party
to
th
at
Access
Agreement;
• "Train Crew•
means
those
persons
on
a train responsi
ble
f
or
the
operation of
th
at
tr
a
in
;
• "Train Oper
at
or"
means
(with
ou
t prejudi
ce
to
Cond
ition A 1.3
).
in
respect
of
an A
ccess
Agreement, a person (whether
or
not
an operator of trai
ns
)
who
has
permission to use track
pursu
ant
to
that
agreement:
•
"Wider
UK Rail Networ1<"
means
the network owned and opera
ted
by N etworit Ratl
to
wtli
ch the
HAL
in
frastructure abuts;
• "Working
Da
y"
means
each of
Monda
y
to
Friday (i
nc
lusive) excluding common law
and
statutory public holi
days
; and
• "Working Timetable"
means
as
se
t
out
in Condition
02.
1
and
2.1.6.
1.3
Refere
nces
to
Train Operator
Eac
h reference
in
Parts F, G, H , J , K
and
M to a
Tra
in Operator,
or
to
any
obligation
of
a Train Operator,
shall, insofar as the Train Operat
or
is
no
t an operator
of
a tra
in
,
be
construed as a reference
to
the
person
whose
operation
of
trains
on
the
HAL
in
fr
a
structtxe
de
rives from that Train Operato
r'
s Access
A
greemen
t
or
(as the case
ma
y
be
)
to
that person's obligation
and
, in
the
latter
case
, the Train Operat
or
shall procure
that
the
person
concerned performs t
he
relev
ant
obligation.
1.4
Notices
1.4.1
An
y
not
i
ce
, consent
or
approval to
be
g
iv
en
under
this
code
by
any
person
may
be
gi
v
en
by:
(a) personal
de
liv
ery
,
ex
press postal
de
liv
ery
or
pre
paid
first d
ass
post
to the intended
recipienfs
registered address
or
principal
bus
iness address within the
UK
;
or
(b) e-mail
to
the a-mail addr
ess
of
the intended recipient
most
recently
pro
vi
ded
by the intended
recipi
ent
to
the sender.
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A:
General
Provisions
.
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1.4.2 Where any notice, consent
or
app
rov
al
is given by e-mail in accordance with Condition A 1.
4.1
(b),
the
recipi
ent
shall
be
entitled, within 5 Working Days
of
receipt
of
the
a-mail,
to
request that a hard copy
of
the notice, consent
or
approval
be
provided. Where such a request
is
made, the sender shall provide
the
recipient with the hard copy within 5 Working Days
of
the request being rece
iv
ed
.
1.4.3 Any notice, consent
or
approval given in accordance
wi
th Condition A 1.4.1 shall
be
deemed to have
been receiv
ed
in accordance with Condition A4.2.
1.5 Good faith
The Access Parties shall, in exercising their respective rights and complying with their respective
obligations under this code (including
when
conducting any discussions
or
negotiations arising out
of
the
application
of
this code
or
exercising any discretion under it) at all times act in
good
faith.
Condition
A2.'
Standards
Of
Documentation
2.1
Where in this
code
an
y person is required
to
prepare, produce
or
publish
an
y specified information,
that
ob
ligation is
an
obligation
to
ensure that the specified information:
(a) is in terms which are, to the greatest extent reasonably practicable, precise, clear and unambiguous;
and
(b) contains the informa
ti
on specified for its contents
by
the provision
of
this code which requires its
preparation, production
or
publication, and this Condition
A2
is without prejudice
to
any further
or
other requ
ir
ements specified in this code in relation to the specified informati
on
(including in Part K).
Condition A3: Publications
3.1
General Obligation
3.1
.1
Where in
th
is code HAL is required
to
publish any specified information, that obligation is
an
ob
liga
ti
on
to
ensure that
the
specified information:
(a) is, subject to Condition A3.1.3 , brought
to
the notice
of
every
Tr
ain Operator, every Access Option
Holder, Transport for London and the
ORR
and the Secretary
of
State.
(b) is published on its website.
3.1
.2 The obligation
of
HAL under Condition A3.1
.1
shall have full effect on and from
the
date
on
which
Condition
A3
comes into effect unless the
ORR
has given a notice stating:
3.1.3
(a) a later date on which Condition
A3
.1.1 shall have effect; and
(b) its reasons,
in which event Condition A3.1 .1 shall have effect on and from the date stated in
the
not
ice.
(a) Any person
to
whom HAL ow
es
an obligation under Condition A3.1.1 (a) may give notice
to
HAL
at
any time stating that it does not
wi
sh
to
ha
ve information
of
any type
or
class brought to i
ts
notice
under Condition A3.1.1 (a).
(b) If a person gives notice under Conditi
on
A3.1.3(a) HAL's obligation under Condition A3.1 .1(
a)
to
such
person shall not apply
to
the
extent stated in the notice.
(c) A person
who
has given notice under Condition A3.1.3(a) may
re
voke
or
modify its notice at any time
by further notice to HAL.
3.2
Sensitive infor
mation
0
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Part
A:
General
Provisions
Whe
re
in this code
HAL
is required
to
publish any specified information which includes re
lev
ant items
which
are
sensitive information
on
its website, that obligation shall
be
satisfied in respect
of
any relev
ant
item
if
it publishes a non-sensitive version
of
that relevant it
em
.
3.3 Secure Information
Whe
re
in this code
HAL
is required
to
publish on i
ts
website any specified information whi
ch
inc
lud
es
relevant items
which
are secure informati
on
, that
ob
ligation shall
be
satisfied
if
it:
(a) indicates
on
its w
ebs
ite:
(i)
in
general terms, the nature of
the
rele
va
nt item; and
(ii) that
it
will comply with all reasonable requests
to
supply
any
person
to
whom
HAL
ow
es
an
obligation
under
Condition A3.1.1 (a), subject to Condition A3.1.3, with a paper copy
of
the
relevant item;
and
(b)
co
mplies
with
requests
of
the kind specified in Conditi
on
A3.3(a)(ii).
3.4 Hard copy information
Whe
re in this code
HAL
is required
to
publ
ish on its website any specified information which
ind
udes
relevant items which are hard
cop
y information, but are
not
sensitive information, that
ob
ligation shall
be
satisfied
if
it:
(a) indicates on its website:
(i) the nature
of
the
relevant item;
and
(ii) that
it
will comply
wi
th all reasonable requests
to
su
pply
any person
with
a paper copy
of
th
e
relevant item; and
(b) complies with requests
of
the k
ind
specified in Condition
A3
.4(a)(ii).
3.5 Hard copy sensitive information
Where in this
code
HAL
is
required
to
pub
lish on its webs
ite
any specified information which includes
relevant items which are
hard
cop
y information and are sensitive
inf
ormation, that obliga
ti
on
shall
be
satisfied
if
it:
(a) indicates on its website:
(i)
the nature
of
the
re
lev
ant
item
; and
(ii) that it will comply with all reasonable requests to supply
any
person
with
a paper copy
of
the
non-
sensitive version of the relevant item; and
(b) complies with requests
of
the kind specified in Condition A3.5(a)(ii).
3.6 Determination
3.6.1 A determina
ti
on
as
to
whether
any
re
leva
nt item is sensitive information
may
be
made:
(a) in relation to a rele
va
nt it
em
submitted
to
HAL
by
another person, by
th
e person submitting the
relevant item, in the exercise
of
his rights under Condition
A3
. 7.1; and
(b) in relation
to
any other relev
ant
item, by HAL.
3.6.2 A determination
as
to
whether a
ny
relevant item is secure information
or
hard
copy information
ma
y
be
made
by HAL.
3.7 Non-sensitive versions
3.
7.1
Any person
who
is obliged
to
submit
specified
inf
ormation to
HAL
may submit a non-sensitive
ver
si
on
of
parti
cu
lar relevant items, provided that
he
also submits such relevant i
tems
in their entirety and
HAL
shall
publish the non-sensitive version
of
those
re
l
evant
items.
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Part
A:
General
Provisions
3. 7.2 If
no
non-sensitive versi
on
of a particul
ar
relevant item is subm
itt
ed
to
HAL
,
HA
L shall be entitled to
assume that the relev
ant
it
em
does
not
contain any
sens
itive informa
ti
on
and shall publish that relevant
item in its entire
ty
.
3.8 Appeals
3.8.1
If
any Access Party
is
dissatisfied with a determina
tio
n made
by
:
(a)
HA
L under Condition A3.
6.1
(b)
or
A3.6.2;
or
(b) any other person under Condition A3.6.1(a),
it
ma
y refer t
he
matt
er
for determination
in
accordance with the ADRR.
3.8.2
If
any Access Party
or
Potential Access Party is dissatisfied with
an
y
deci
sion
of
the re
le
v
ant
ADR
R
Panel in rel
at
ion to any matter
re
ferred to it under Condition
A3
.8.1, that Access Party
ma
y refer the
matter
to
the ORR for determination u
nd
er
Part M.
Condition A4: Notice By The ORR
4.1
Giving of Notice
W
here
in this code there is provision f
or
a notice to be g
iv
en
by
the
ORR
for any purpose, such notice:
(a) may be given from time to time; and
(b) shall only
ha
ve effect if it has
been
:
(i)
given
to
every Access Party, the Secretary
of
State, and eve
ry
other person
wh
o has notified the
ORR that it wishes
to
receive any such
no
ti
ce
; and
(ii) published on its website and placed
on
the regis
ter
mai
nta
in
ed
under section 72
of
the
Act
(
as
a
document issued
or
made by
it
under an access agreement}.
4.2 Deemed
Rece
ipt
A notice given under this code shall be deemed
to
have been receiv
ed
:
(a) if sent by hand
or
express postal delivery, at the time of d
eliv
ery
;
(b) if sent by prepaid first class
post
fr
om
and to
an
y pl
ace
wit
hin t
he
U
nit
ed
Kingdom, 3 Working Days
after posting unless otherwise
pr
ov
en;
(c)
if
sent by e-mail;
(i) upon sending
if
sent before 17:
00
hours
on
a Working
Day
;
or
(ii) in any other case,
at
09:
00
hours on the first Working
Day
following the day
of
transmission.
4.3
Re
asons for decisions
An express provision
of
this code which requir
es
or
contemplat
es
tha
t the ORR should give reasons f
or
its decision in any case
does
not a
ff
ect the right of any person
to
be g
iv
en reasons f
or
an
y other decision
of
the ORR in any other case.
Condition A5: Limitation On Liability
5.1 General
If
an
Access Party fails
to
perform an obligation under this
code
, the provisions
of
its Access Agreement
limiting the liability
of
such Access Party under that contract s
ha
ll
ha
ve effect in relation
to
such failure
unless and to the extent that:
(a) an express pro
vi
sion states otherwise in any
Part
of
th
is code;
or
c
HeatllrOw
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Part
A:
General
Provisions
(b) an express
pro
vision states otherwise
in
the relevant Access Agreement.
5.2 Saving
Condition A5.1 does not apply to an
ob
ligation
to
pay
compensation under Condition F3, G2
or
G4.
Condition A6: Contracts (Rights OfThtrd Parties) Act 1999
6.1
Application to third parties
Except
as
provided in this Condition A6,
no
person who is not an Access Party shall have
an
y right under
the Contracts (Rights of Third Parties)
Act
1999
to
enforce any provision
of
this code.
6.2 Application to HAL Network Code
Whe
re in
th
is code a right is given
to
any person who is not
an
Access Party, that person shall
be
entitled
to
enforce directly any such right under
the
Contracts (Rights
of
Third Parties)
Act
1999 but only by w
ay
of
injunction
or
other performance order
of
a court
or
competent tribunal
and
not
by
w
ay
of
damages
or
other compensatory award.
Condition A?· Consultation
7.1 Consultation by a meeti
ng
W
here
in this code a
person
is required
to
consult
wit
h other persons on
any
matter, such consultation
may
take
place
at
a meeting
to
which such persons
are
in
vit
ed
.
c
·~throw
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11
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Nelwotk
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Part
B:
Performance
Monitoring
Explanatory Note
A. Part B provides for the establishment
by
HAL
of
a Performance Monitoring System, designed
to
record
wheth
er
trains pass specified monitoring points, the times at which
they
do
so
and
the
difference
between those times
and
the corresponding scheduled times. The system
is
aJso
designed
to
enable
HAL to determine and record the cause
of
any delay
or
cancelation. Provision is made for HAL
to
notify
and seek agreement from Affected Train Operators
as
to the cause
of
any such delay
or
cancellation,
and
there are procedur
es
specified for resolving cases
where
Nelwofi( Rail and a Train Operator
disagrees
as
to
cause.
B.
Alows
for all aspects
of
monitoring
of
performance on
the
HAL infrastructure to
be
undertaken
on
HAL's
behalf
by
a suitably competent and resourced third party.
C. Establishes that the monitoring
of
performance
on
the HAL infrastructure will be overseen
by
the
Delay
Attribution Board which oversees the monitoring
of
performance
on
the
Wider
UK
Rail Network.
lt
also
establishes that the Delay Attribution Guide which applies to the Wider
UK
Rail Nelwofi( will be used
as
the basis for
the
attribution
of
performance incidents
on
the
HAL infrastructure.
D. Train Operators are given the right
to
notify HAL if the Performance Monitoring System is
not
frt
for
purpose and require HAL to investigate the grounds for such notification and report
on
its findings.
E. HAL and Affected Train Operators are given the rig
ht
to
audit and inspect
the
records and monitoring
equipment
of
the relevant Performance Monitoring System and
to
require tests
of
the Performanc.e
Monitoring System to be carried out in the presence
of
an independent expert.
F. Part B also incol'porates the Perform8nce Data Accuracy
Code
, which applies to the
Wi
der
UK
Rail
Network,
and
which encompasses defined standards
of
accuracy
of
performance data.
G. This Explanatory Note
does
not form part
of
the HAL Network Code.
c
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20
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12
Healhrow
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Part
B:
Performance
Monitoring
DEFINITIONS
In this Part B , unless the context othefwise requires:
"Affected Train Operator"
means a train operator
who
holds an Acce
ss
Agreement
en
titling
it
to operate
on
the HAL infrastructure
"Board"
means the Delay Attribution Board;
"Board Secretary"
means the secretary
of
the Board;
"Class"
has the meaning given to
it
in Part C
of
the Network
Ra
il Networl< Code for the Wider
UK
Rail Network
"Delay Attribution Board"
means the board which has been established in accordance with Condition 8 6.2
of
the Network
Ra
il Network
Code for the Wider UK Rail
Netw
ork;
"Delay Attribution Guide"
means the document which provides guidance
on
the attribution
of
delay across the Wider
UK
Rail Networl< and
which will also apply
to
the H
AL
infrastructure;
11
Member"
means a means a member
of
the Board
and
•eoard Member" shall
be
construed accordingly;
"Performance Data Accuracy Code"
means the code relating to the standards
of
perf
ormance
da
ta accuracy entitled "Performance Data Accuracy
Code"
as
issued by the Board;
"Performance Monitoring System"
means the system for monitoring train performance
desc
ri
bed
in Conditi
on
81; and
"Proposal
for
Amendment"
means any proposal to amend the Delay Attribution Guide
or
the Performance Data Accuracy Code
;.
CONDITION
81
-PROCEDURES FOR MONITORING PERFORMANCE
1.1
Performance Monitoring System
1.1.1 HAL shall operate,
or
shall procure the operation
of
, a non-discriminatory system for monitoring train
performance which accurately records:
a)
the times
at
which
tr
ains arrive at, depart from
and
pass specified
po
ints, includi
ng
the times
at
which trains arrive onto the HAL infrastructure and ti
mes
at
which they leave the HAL infrastructure;
b) the difference
be
tween the time
at
which a train arriv
es
at
, departs from
or
passes a specified point
and the time published for such arrival, departure
or
passing in the WoriTimetable ;
c)
all cancelled trains and trains failing to pass
any
specified point; and
d)
the
cause
of
train delays and cancellations.
1.1.2 HAL
is
permitted to
su
b-contract the undertaking
of
all activities relating to the monitoring
of
performance
to a suitably competent and resourced organisation. References to HAL in this Part 8 can be construed
as
including such suitably competent and resourced organisation
C
He
al
!l(OW Airport Limited 2015
13
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Part
B:
Performance
Monitoring
1.1
.3
No
later than 3 months prior
to
the
commencement
of
an
y Railway reporting year
HAL
will advise all
Affected Train Operators
wh
ether
it
int
ends to sub-<:ontract>
the
undertaking
of
all activities relating to the
monitoring
of
performance for that
Ra
ilway reporting year and in which case will provide detai
ls
of
the
organisation
to
whom those activities will
be
sub-contract
ed
including all relevant contact details.
1.2 The Performance
Data
Accuracy Code
1.2
.1
Incorporation
The Performance Data AcetXacy Code which appli
es
to
the
Wider
UK
Rail Network
wi
ll
be
adopted in its
entirety for the HAL infrastructure and is incorporat
ed
i
nto
and
shall form
part
of
this
code
.
1.2.2 Obligations and Righ
ts
Each Affected Train Operator shall observe
and
perform
its
obligations, and shall have
the
benefit
of
its
rights, under the Performance Data Accuracy Code.
For
the purpose
of
Condition B
1.1
•accurately" sh
all
be
construed in accordance with
th
e Performance Data Accuracy Code.
1.3
The
Delay Attribution Guide
The Delay Attribution Guide which applies
to
the
Wid
er
UK
Rail Network will
be
adopted in its entirety
for
the HAL infrastructure and is incorporated into and shall form a
part
of
this code.
CONDITION
82
-DIAGNOSIS OF DELAYS OR CANCELLATIONS
2.1
Determination
of
ca
uses of delays
or
cancellations
HAL shall, in relation
to
any train delay
or
cancellation (subject
to
any thresholds agreed be
tw
een
HAL
and &aeh Affected Train Op&ra
tor
), d&termine and record
the
persohS and causes which are responsible
for
the
delay
or
cancellation and
wh
ere more than one,
so
far
as practicable, the extent
to
which each
person
or
cause is so responsible.
2.2 Information relating to causes
of
delays
or
cancellations
HAL shall , when determining
and
recording the persons and causes which are responsible
for
train
de
lays and cancellations, have
due
regard
to
all information
wh
i
ch
is relevant in the circumstan
ces
,
including the following:
a) information from any computerised
or
other recording syst
em
which
HA
L may, for
the
time being,
be
permitted
to
use f
or
the purposes
of
a particular Access Agreement;
b) information supplied
by
Networi( Rail
ind
uding information supplied by signallers employed by
Ne
twork Rail and other persons duly authorised
to
participate in
the
signalling
of
trains;
c) information supplied by any operat
or
of
trains, whet
her
such information is within
its
knowledge
or
based on information supplied by other operators
of
ra
ilw
ay assets;
d) information supplied by HAL, whether such information is
wi
thin
HAL
's knowledge
or
based on
information supplied by persons engaged or acting
on
behalf
of
,
or
otherwise in accordance with
or
subject to the instructions
of
,
HAL
or
other operators
of
railway assets; and
e) information and guidance set out in the Delay Attribution Gui
de
.
2.3
Notification
and
agreement
of
delays or cancellations
2.3.1 Notification
of
delays
or
cancellati
ons
HAL
shall,
as
soon
as
reasonably practicable follo
wi
ng the occurrence
of
any train delay or cancellation
affecting an Affected Train Operator's train, notify that operator
of
the occurrence
of
that delay
or
cancellation and the responsibility, if any,
for
that delay
or
cancellati
on
attributed
by
HAL
to that operator.
An
y such
not
ices shall
be
sent
to
such persons that operator shall have
nom
inated
for
the purposes
of
this Condition
82
.3.1.
2.3.2 Consideration by an Affected Train Operat
or
o tieathrow Alrpoll Limited
2015
14
Heolhrow N
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ak
Code
I
Page
Part
B:
Performance
Monitoring
An
Affected Train
Operator
shall consider each
delay
or
cancellation attributed
by
HAl
to
that operator,
and
if
the
Affected
Tnm
Operator wishes
to
refer
the
attribution
for
further investigation it
shall
do
so
within
two
dear
Working Days
of
receipt of that notice, and
at
the
same time give its
reasons
for
doing
so.
Any
notification of such referral shall
be
sent
to
such person
as
HAl
shal
have nominated
for
the
purposes
of
this Condition B2.3.2. For
the
avoidance
of
doubt, such
person
nominated
by
HAL
may
be
employed
by
the
organisation sub-contracted
by
HAl
to
undertake the monitoring
of
perfoonance.
2.3.3
Agreement
of
delay attribution
Any attribution shall, unless referred
for
further investigation
by
that
Affected Train Operator within
two
clear Working Days
of
receipt
of
that notice
in
accordance with Condition B2.3.2,
be
deemed
to
be
agreed
by
that operator.
2.4 Matters referred for further Investigation
2.4.1 Procedure for conducting further investigation
The
representatives nominated, pursuant
to
Condition B2.3, by
HAL
and
the Affected Train Operator
shall, within the next
two
dear
Working
Days
after receipt
of
notification pursuant
to
Condition B2.3.1,
attempt
to
resolve
the
matter referred
for
further investigation. Such further investigation shall take into
account all relevant circumstances of the case and the guidance
set
out
in
the Delay Attmution Guide.
2.4.2 Referral
for
revie\¥
If
agreement
has
not
been
reached within the two
dear
Working Days referred to in Condition B2.4.1,
the
matter
shall
be
referred
for
review
by
the designated senior manager appointed
by
the Affected Train
Operator and
the
designated senior manager appointed b y
HAL
for
the
purposes of
this
Condition
B2
.4
.2.
2.4.3 Referral
for
further guidance
If
, within
20
Wor1
Days,
or
such
other period
as
may
be agreed
by
HAL
and
the Train Operator,
of
the
matter being referred
for
review pursuant
to
Condition B2.4.2,
HAL
and the Affected Train Operator are
unable
to
agree
on
the
attribution, they shall seek guidance from the Board,
or
from any sub-<:ommittee>
that the Board
has
designated for this purpose, on the appropriate applicati
on
of
the Delay Attribution
Guide
or
on
any
other relevant matter.
2.4.4 Guidance from the Board
If,
within 14
days
of guidance being received from the Board
or
any designated sub-committee pursuant
to Condition B2.4.3,
HAl
and the Affected Train Operator are unable to agree
on
the attribution, they
shall refer the matter for determination in accordance with the
ADRR
process
as
described in Annex 1.
2.4.5 Precedence
For
the purposes
of
operating the procedures
set
out
in this Condition B2
.4
, in any Access Agreement
HAL
and
the Train Operator
may
substitute
for
any timescale prescribed in this Condition B2
.4
a
corresponding timescale in Schedule 8
or
its
equivalent (Performance Regime)
of
that Access
Agreement
2.5
Amendments
to
the
De
lay Attribution Guide or the Performance
Dam
Accuracy
Code
2.5.1 The Delay Attribution Guide
and
Performance Data Accuracy Code are documents adopted
by
HAL
for
application on the
HAl
infrastructure and where a Train Operator wishes to vary the Delay Attribution
Gu
ide
or
the Performance Data Accuracy Code, a request should
be
submitted
to
HAL
to
propose that
variation
to
Network Rail
for
consideration
under
the procedures set out in the Network Rail
Ne
twork
Code
2.5
.2
Notice
of
Proposal for Amendment
Q Healhrow Airportllmiled
20
15
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Part
B:
Performance
Monitoring
Proposals for Amendment made by
HAL
and
Affected
Tr
a
in
OperatCKS
shall be subject t o
th
e
process
described from Condition
82.5
.3 through to Condit
ion
B2
.7.4
(W\
clusive)
and
the
parties will
ha
ve
no
right
to
appeal amendments
to
the
Delay Attribution Guide
or
the Performance Data Accuracy Code
that
r
es
ult from the application
of
that process.
2.5.3 Process
adm
inistered by Ne
tw
ori<
Rail
for
dealing with a Proposal f
or
Amendment
made
by
HAL
or
an
Affe
ct
ed Train Operator
The Board Secretary
sha
ll within 7 days fol
lo
wi
ng circulation
or
recei
pt
of
a Proposal
for
Amendment
or
within 7 days following receipt
of
any darification that
the
Board may reasona
bly
request from
th
e
sponsor
of
that proposal, o r within seven d
ays
of
rece.,t of a Proposal for Amendment pursuant
to
Condition
B6
.1.2;
a) give notice
of
that
proposal (including any associated impact assessment
and
proposed solu
ti
on
pro
vi
ded
in accordance
with
Condition B6.1 .2 to each;
and
b) invite the submission
to
the Board
of
written
re
presentations
in
respect
of
that proposal
wi
th
in
such
period
as
is r
easonab
le in all
the
c
ir
cumstances (the "Consultation Period"), bei
ng
a period
of
no
t
less than 30 days from the date
of
notification un
der
paragraph (a)
abo
ve. In making
representations,
an
Affected Train Operator should:
i.
specify
whe
t
her
or
not
it accepts the proposed change and pr
ov
ide
an explanation
for
its
position;
ii. i
nd
icate any w ider impact (includi
ng
commercial
impact
) that
the
proposed change
is
likely
to
ha
ve on its business;
and
iii. confirm
whethe
r it
is
content with any solution proposed by the sponsor,
or
iv
. provide
deta
ils of
an
y alternative
so
lution
it
considers appropriate
to
address the wider
impact (i
nc
luding commercial impact);
and
v.
indicate
whe
th
er
such an alternative
has
been discussed
and
agreed with
HAL
and
/
or
Affected Train Operators.
2.5.4
Ca
lling
of
Board
Mee
ting to consider a
Propos
al
fo
r Amendment
The
Board Secretary shall,
wi
th
in seven days follo
wi
ng
the
end
of
the Consultati
on
Period:
a) call a Board Meeting;
and
b) supply the Propo
sa
l
for
Amendment
to
ea
ch
Member together with:
i.
copies
of
all representati
ons
received pursuant to Condition
B6
.1.2; and
i
i.
if
t
he
sponsor
of
the proposal consents, any modificati
on
to t
hat
proposal.
2.5.5
Ma
terial modificati
on
of
Proposal for Amendment
If
at
any time a Proposal
for
Amendment is (with the consent
of
i
ts
sponsor) modified
in
a material way,
the Board s
ha
ll treat
the
proposal as a
ne
w Proposal
for
Amendment and the
pro
visi
ons
of
Conditions
B2.5.3 and B2.5.4 shall apply thereto.
2.5.6 Clarificati
on
The
sponsor
of
a Proposal for Amendment shall promptly comply with all reasonable
wri
tten requests
of
the Board
for
further clarifi
cat
ion of the proposal.
2.6 Consideration
by
the Delay Attrlburton Board
2.6
.1
Vo
ti
ng pass-mark
The Board shall consider and
ma
y approve each Proposal f
or
Amendment. A Proposal
for
Amendment
shall
ha
ve been approved only
if
se
ven
or
more Members (includi
ng
at
l
east
tw
o Members representi
ng
Network Rail a nd at
le
ast
two
Members representi
ng
the
other Classes) present,
and
entitled
to
v
ote
,
at
a
mee
ti
ng
of
the
Board
sha
ll
ha
ve voted in fav
our
of
that proposal,
pro
vi
ded
that the
fa
ilure
of
a
Member
timeous
ly
to
cast
its
vote
or
to i
nt
imate its abstention shall be treated
as
a vote in
fa
v
our
of
the
proposal.
2.6.2 Rights
of
attendan
ce
C I
teatiYOw
Alfpor1
Llmlle
20 15 Heol
hrow
Networi:
Code
I
Page
16
Part
B:
Performance
Monitoring
A
sponsor
of a Proposal
for
Amend
ment
sha
l
be
entitled
to
attend
the
relev
ant
part
of
an
y Board
Meeting
at
whi
ch
the
Proposal
fo
r Amendment
is
to
be
considered.
2.
7 Consequences
of
a Board decision
2.
7.1
Decision to Approve
Any decision
by
the Board
to
approve a Proposal
for
Amendment
shall
state
the
date
from
which
it is
proposed
that
such
approved amendment is
to
take
effect being a
date
no
ear1ier
than
the
date
on
which
the Board reached i
ts
dec
ision.
The
Board Secreta
ry
shall,
as
soon as reasonab
ly
practicable
fo
llowing
such
dec
.ision, submit
the
approv
ed
Proposal for Amendment (and
any
associated impact assessment
and
proposed solution) to
the
ORR
, together with a written memorandum:
a) explaining
in
reasonable detail the reasons for
the
proposed amendment,
why
the
Board considers
that
the
proposed changes
are
necessary, and
ho
w
they
will improve the industry delay attribution
process;
b) containi
ng
details
of
the
results
of
the
cons
ultation process (including copies
of
any
representations
made
pursuant
to
Condition
B6
.1.2;
c) detailing
what
, if
any
, changes
were
made
to
the
original Proposal
for
Amendment in the lig
ht
of
representations receiv
ed
,
and
why
these
changes
have been accepted;
d) stating the reasons behind the rejection
of
any
representations
in
respect of
the
Proposal for
Amendment
;
e) providing
details
of
where
a number
of
Proposals
for
Amendment
put
forw
ard
to
the Board
have
been
merged;
and
f)
stating
the
reasons
for
any dissent from the Board's decision by
any
Board Member.
2. 7.2 Requireme
nt
for
ORR's approval
No Proposal
for
Amendment
sha
ll
have
effect unless the O
RR
g
iv
es
notice
to th
e Board
in
writing that it
approves the proposal
and
confinns the
date
of
introduction.
2. 7.3 Notification
of
approval
If
the
ORR
gi
ves
its approval
of
the Proposal for
Amendment
, the Board Secretary shall,
as
soon as
reasonably practicable:
a) notify details
of
the
approved amendment
and
when
it will
take
effect
to
all
Access
Parties;
b) arrange
for
the
approved amendment
to
be
incorporated i
nto
a
re
vised
ve
rsion
of
the
Delay
Attribution
Gu
i
de
or
Perfonnance
Data
Accuracy Code;
and
c) publish
and
circulate the revised version
of
the
Delay Attribution
Gu
i
de
or
Perfonnance Data
Accuracy
Code
to
all Access Parties
and
to the
ORR
.
2.7.4
Dec
isi
on
to Reject
The Board Secretary
sha
ll, as
soon
as reasonably practicable followi
ng
a decision
of
the
Board,
or
following recei
pt
of
notiftcation
of
a decision
of
the
ORR
,
to
reject a Proposal
for
Amendment, notify the
sponsor
of
that decision.
CONDITION
83-
SYSTEM INVESTIGATION
3.1 Notlftcatlon
of
unsatisfactory system
An
Affected Train
Operator
may
,
when
it
has
reasonable
grounds
for
cons
idering that the Performance
Mon
it
or
i
ng
System
is
not
satisfying the requirements set
out
in Condition 81, notify
HAL
of
the
manner in
which
the
Performance Monitoring System
is
alleged
no
t
to
satisfy such requirements.
3.2 Investigation
of
system
As
soon
as
practicable following receipt
of
a not
ice
from an Affected Train Operator under Conditi
on
B3
.1,
HAL
shall investigate the matters
com
plained
of
and
sha
ll,
wi
th
in the period
of
28
da
ys follo
wi
ng
c Healtvow Airport
umate
2015
17
Heathrow
Networic
Code
1
Page
Part
B:
Performance
Monitoring
the date of recei
pt
of that notice, prepare and deliv
er
to
that operatOf a
report
of its
inv
estiga
ti
on.s which
shall in
dude
:
a)
de
tails
of
all re
lev
a
nt
tests and checks ca
rr
ied
ou
t by
HAL
;
b)
the
results
of
HAL's investigati
ons
;
c)
HAL
's conclusion as
to
whether
the
Performance Monitoring System fai
led
to
sa
tis
fy
the
requ
ire
men
ts
set
out
in
Condition 81
in
the manner
al1eged
by that Affected Train Operator
or
in
MY
other
r
espec
t;
d)
HAL
's rea
sons
fOf
its condusions and copies
of
all relevant
data
and documentation
in
respect
thereand
e)
an
y st
eps
which
HAL
is taki
ng
or
pro
poses to take
in
respect
of
any
faWu
re
to sa ti
sfy
the
said
requirements.
3.3 Adjustment to
prior
resutts
If
it
is es tablished in accordance with Conditi
on
8 3.2
or
Condition
84
.2
th
at
the
Performance M
on
it
oring
S
yst
em
is
no
t satisfying the requ
ir
emen
ts
set
out
in Condition 81,
the
results obtained from the
Perform
an
ce
Monitoring System f
or
the
period
of
two months preceding
the
date
of
the
investigation
or
,
if
la
ter
,
since
the
dat
e
of
the
last investigation under Condition
83
.1 (
but
not
in respect
of
eartier periods),
shall be adjusted in a
manner
which is
fa
ir and reasonable to correct
the
r
es
ul
ts
.
CONDITION
84
-RECORDS. AUDIT AND TESTING
~.1
Obligation
to
keep Information
HAL
and
the
Affected T
ntin
Operat
ors
shall,
for
a
period
of
not
less than six years, k
eep
sum
ma
ries of all
material infonnation relating to the monitori
ng
of
train performance.
4.2 Right to a
udit
and I
nspect
An
A
ff
ected Train Operat
or
ma
y, without prej
ud
ice
to
Condition 83. 2
and
on givi
ng
at
least five days'
prior notice
to
HA
L:
a) audit
and
in
spect at
any
reasonable
time
all processes, syst
ems
and records
of
th
e Performance
Monitoring System for
any
particular period
and
in
relation
to
the
Affected
Tr
ain Operator's
Servi
ces
;
b) inspect
at
any
reasonable time all such premises
and
equipment as
.a
re used in connection
wit
h the
PerfOfmance Monitoring System
to
monit
or
train
perf
ormance
in
respect
of
the
Affected Train
Operator's
Se
rvices; and
c)
require HAL
to
carry
out
analysis, investigations and tests
of
the
Pedormance
Monitoring System
incl
ud
ing the processes, systems and
eq
uipment
used
in connection with
the
Performance
Monitoring System
in
the presence
of
an independent
expe
rt
nom
i
na
t
ed
by
the
Affected Train
Operator, such tests
to
be
as reasonably required by
the
Aff
ected
Tr
ain
Operat
or
to
determi
ne
its
accuracy
and
suitability to monit
or
train performance
in
respect
of
the Affected Train Operato
r'
s
Services.
4.3
Co
sts
to
be
borne by Investigating
party
Subject
to
Condition
84
.4,
any
audit, inspection,
ana
lysis, investigati
on
or
testi
ng
carried out in
accordance with
Con
dition
84
.2 shall
be
at
the requesting Affected Train
Opera
to
r'
s
ow
n cost.
4.4 C
osts
to
be
borne by
HAL
Where
the overall resu
lts
of
the Performance Monitoring System f
or
that period
8/e
sho
wn
as
a result of
any
audit, inspection, analysis, investigation
or
testing to
be
inaccurate in any material respect
due
to
any
act
or
om
ission by
HA
L.
HA
L shall
bear
th
e reasonable cost
of
tha
t audit, in spection, analysis,
investigation or testi
ng
.
CONDITION
85
-CO-OPERATION
0
Heattrow
Alrporlll'lllled
:101~
18
Heolhrow
Nelwotlc
Code
I
P~e
Part
B:
Performance
Monitoring
5.1
Review ot operations
HAL and the Affected Train Operators shall,
not
less than once every six months, meet, review
performance
and
discuss alterations to their operations which will improve train performance
and
reduce
train delays and canceltations.
5.2 Implementation
of
alterations
HAl
and
the Affected Train Operators agree to use all reasonable endeavours to implement
any
alterations agreed under Condition B5.1.
5.3 Obligations In Access Agreement
Nothing
in
this Part B shall restrict
HAl
and the Affected Train Operators agreeing, in an Access
Agreement, obligations in relation to performance monitoring which are more onerous than those
contained
in
this Part B.
CONDITION
86-
DELAY ATIRIBUTION BOARD
6.1
Pu
rpose of
th
e Board
6.1
.1
Delay Attribution Guide
and
Performance Data Accuracy Code
HAL
and Affected Train OperatOB agree that monitoring
of
performance
on
the HAl infrastructure will be
overseen by the Delay Attribution Board, which has been established through the
Networi<
Ra~
Networit
Code for the Wider UK Rail Networi<, the purpose
of
which is to
lead
,
monitor
and
advise
on
the
effectiveness
and
accuracy
of
the
delay attribution process and use
of
the Delay Attribution Guide
and
the
Performance Data Accuracy Code.
6.1.2 Proposal for Amendment
The Board
may
receive,
or
sponsor, Proposals for Amendment, pursuant to
Condition
B2.5.1, and
has
responsibility for considering whether
or
not the Delay Attribution Guide
or
the
Performance Data
Accuracy
Code
as
appropriate should be amended in accordance with any such proposal, after taking
account
of
information supplied by the Board Secretary pursuant to Condition B2.5.4(b).
6.1.3 Guidance
The Board will provide guidance
to
T AC Parties
on
request
to
assist in the resolution of disagreements
concerning delay attribution.
6.1.4 Payments
by
HAl
and
Affected Train Operators
HAl
and each Affected Train Operator shall, within 30 days
of
being requested to
do
so
by
the Board
Secretary, pay to the Board Secretary
an
amount representing an equal share
of
the fair and reasonable
costs and expenses
of
the Board in overseeing the monitoring
of
performance on the
HAL
infrastructure,
the administration
of
Proposals
For
Amendment and
for
providing guidance
on
issues relating to delay
attribution on the
HAl
infrastructure.
e Heattvow
Alrpon
Lmrted 2015
19
Heattwow
Netwonc
Code
I Page
Part
C:
Modifications
to
the
HAL
Network
Code
Explanatory Notes
A. Part C provides fo r a process by which the HAL Network Code and
ce
rtain other arrangements (AD
RR
)
may
be
changed. The process set
out
in Part C is , in certain circumstances, al
so
used in re
lat
ion t o
changes
to
aspects of Access Agreements into which this code is incorporated.
B. A Proposal for Change may be initiated by the ORR, a
Tra
in Operat
or
, Access Option Holder or HAL and
is subj
ect
to
a consultation process.
C Part C also establishes the principle that the parties agree
to
become users
of
the "Code of Practice f
or
the management and Development
of
Railway Code Systems"
whi
ch
applies to Wider UK
Raa
Ne
tw
ori<
. A
party intending to propose a change
to
either
of
these documents shall notify HAL and
ea
ch
Tr
ain
Operator
or
Access Option Hold
er
of
the
ir
intention to do so.
0 This Explanatory Note does not form part
of
the H
AL
Ne
tw
ork Code.
C
Heatl1fow
Anporl limited 2015
20
He
ol
tvow
Netwoo
Cod e I
Pag
e
Part
C:
Modifications
to
the
HAL
Network
Code
DEFINITIONS
In
th
is Part C, except where the context otherwise requires:
·
Access
Option Holder"
means
in
resp
ec
t
of
a an Access Option, a person who
holds
future rights
to
use
track pursuant
to th
at
option
"
Consultation
Peri
od
"
means
th
e period f
or
co
nsultation described in Condition C2.2 ;
"Proposal
for
Change
"
me
ans
an
y proposal
to
change the
HAL
Networ1<
Code
(including
this
Part
C) together
wi
th
any
modification
of
that
proposal;
"Relev
ant
Person•
means H
AL
, a
Tra
in Operator, Access
Opt
ion Holder and a
ny
other person who, in
the
opinion of the ORR, shall
be
likely
to
be
affected by i
ts
decision whether
to
appro
ve
or
reject a Proposal
for
Change
;
and
·s ponsor"
means
the person
who
proposes a Proposal for Change.
"Train Operator•
means
in respe
ct
of
an
Ac
cess Agreement, a person
who
h
as
permission to
use
track pursuant
to
that
agreement.
CONDITION
C1
-ADM
IN
ISTRATION OF THE CHANGE PROCEDURE
1.1
HAL
sha
ll
pro
vide all administrative services reasonably necessary
for
the
receipt, notification,
consultation, response and effect
of
Part C.
1.2
In
i
ts
capacity
of
administrator, HAL will establish,
ma
intain and update as necessary on
its
web-site
the
current version
of
each
of
the
HAL
Networ1<
Code
and
the
ADRR, and a
ll
documents
or
other instruments
which the
HAL
Network Code
ex
pressly states
are
incorporated i
nto
it.
1.3 H
AL
shall
prov
i
de
copies
of
the whole
or
an
y
part
of
any
documents contai
ned
on
the
web-site
to
any
person
upon
request and
HAL
shall
be
entitled
to
charge its reasonable costs incurred
for
the
provision
of
such
cop
ies.
1.4 HAL
sh
all
be
entitled
to
recover
the
cos
ts
of
ad
ministering the procedures referred
to
in Part C.
CONDITION C2 -RECEIPT AND NOTIFICATION OF PROPOSALS FOR
CHANGE SPONSORED BY HAL, A TRAIN OPERATOR OR ACCESS
OPTION HOLDER
2.1
Entitlement
to
make
Proposal
for
Change
HAL
and each Train Operator
or
Access Option Holder shall
be
entitled to
make
a Proposal fo r Change
for consideration.
An
y such Proposal
for
Change shall
be
sent
by
the Sponsor
to
all
other persons
ent
itled
to
make
a Proposal
for
Change and the
ORR
and shall:
a.
be
in writing;
b. specify the wording
of
the change proposed;
c. specify the
date
or
series of dates
on
whi
ch
it
is proposed that
the
change come
into
effect,
if
other
th
an 14
days
after
any
approval notified by
the
ORR pursuant
to
Condition C2.3; and
d. be supported
by
an
explanation in reasonable detail
of
the reasons
for
the
proposed change.
2.2
Not
ice
of
Prop
osal
for
C
hange
Cl
He.tlhrow Airport I trlllled
20
I
!i
21
Heolhrow
NelworX
Code
I
Page
Part
C:
Modifications
to
the
HAL
Network
Code
HAL shall, within 7
da
ys follow
ing
circulation
or
recei
pt
of
a P roposal f
or
Change
or
,
where
HAL
is
no
t
the Sponsor
of
that
proposal, within 7 days
fo
llo
wi
ng
receipt of any clarification that HAL
ma
y reasonably
request from the Sponsor
in
res
pect
of
a Proposal for Change:
a. give notice
to
each
Traf'l
Operat
or
, Access Option Holder and to the
ORR
of
i
ts
pmvisional
timescale
for
consulti
ng
on
and
consi
der
i
ng
that Proposal f
or
Change;
and
b. invite the submission
to
HAL
of
written representati
ons
in respect of that Proposal f
or
Change
within
such period as is reasonable
in
aU
th
e circumstances, being a period
of
no
t l
ess
than
30
da
ys
from
the date of notification
un
der
Condition
C2
. 1 above.
2.4 Modification
of
Proposal
for
Change
2.4.1 A modification
to
a Proposal
for
Chan
ge
may
be
proposed by
HAL
,
the
ORR
, a Train Operat
or or
Access
Option Holder
at
a
ny
time
during
the
Consultation Period
and
shaD
be
cop
ied
to all
oth
er
persons
entitled
to make
SI.ACh
a modification
to
a Proposal for
Chan
ge
.
2.4.2 H
AL
and the Sponsor
of
the Proposal for Cha
nge
(
where
th
at
Sponsor is
no
t
HAL
) shaft consider
an
y
modifications
wh
ich
are
pr
opos
ed
to a Proposal
fo
r Change and:
a. where the proposed modification
is
a m aterial modification then
HA
L sh all treat
the
proposal a.s a
ne
w Proposal for Change;
and
b. where the proposed modification is
not
a material modification then HAL shall consider the Proposal
for C
hange
,
as
modified,
but
shall
not
treat the proposal
as
a
new
Proposal
for
Change;
pr
ovided that, where HAL
and
the Sponsor
of
th
e Proposal for Change (
wher
e that
Spon$01'
is
no
t
HAL
)
cannot agree promp
tly
whether
or
not
a proposed modification is material
or
not
then
,
for
the purposes
of
this Condition C2.4, the
mod
ification
wi
ll
be
treated
as
though it is a
ma
terial modification.
2.5
Clarification
The Sponsor of a Proposal
for
Cha
nge
shall promptly comply with all reasonable
writt
en
requ
es
ts
of
HAL
, the
OR
R, a Train Opera
to
r
or
Access
Opt
ion
Holder
for
further clarification
of
the Proposal f
or
Change.
2.6 Meeting
to
discuss a Proposal
for
Change
Within 7 day s following the
end
of
the Consultation Period,
HA
L shall g
iv
e notice
to
ea
ch
Tra
in Operator,
Access Option Holder
and
the O
RR
calling a
meet
i
ng
to discuss the Proposal for
Change
and
an
y
written representations it
has
received in respect
of
t
hat
Proposal f
or
Cha
nge
.
HAL
shall inform each
Train Oper
at
or
, Access Opt
ion
Holder a
nd
t
he
ORR
of
the
dat
e,
ve
nu
e
an
d time of
suc
h meeting (
ha
vi
ng
first made reasonable efforts to consuh with each
Tr
ain Operator, Access Option Holder
and
the
ORR
as
to such
da
te, v enue
and
ti
me
). such meeti
ng
to
be
he
ld
no
later than
21
days follo
wi
ng
the
end
of
the
Consulta
ti
on
Period.
2.7
Further consultation
HAL shaU, as soon
as
reasonably practicable follo
wi
ng
a request at any meeting conv
ened
pursuant
to
Condition 2 .6
to
ca
rry
out
fu
rther
consultation in respect of any Proposal for Change,
carry
out
that
further consultation.
CONDITI
ON
C3-
CONSIDERATION
OF
PROPOSAL FOR CHANGE
SPONSORED BY HAL, A TRAIN OPERATOR OR ACCESS OPTION
HOLDER
3.1
Submission
of
Proposal
for
Change
to
ORR
Followi
ng
the conclusion
of
the Consultat
io
n
Per
iod and , where applicable, follo
wi
ng
the conclusion
of
any meeting called by
HAL
pursuant
to
Condition
C2
.6
and
any further consultation conducted pursuant
to Conditi
on
C2. 7,
HAL
shall submit the
Pr
oposa
l for Change to the O
RR
, together w
ith
a written
me
mor
andum:
0 tlealhrow Alfpor1Lm1ted 201 5
22
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OON
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I P
01g
e
Part
C:
Modifications
to
the
HAL
Network
Code
a. explain
in
g
the
reasons
for
the
Proposal
for
Change;
b. containing deta
is
of
the results
of
the
constAtation pr
oc
ess
including, INhere relevant, any further
consultation process (in each case including copies
of
any
represootations
made
during such
consultation process);
c. confirming whether
or
not
HAL supports
the
Proposal for Change (including its reasons);
d. confirming whether
or
not
each Train Operator and Access Option
Hokier
supports
the
Proposal
for
Change (including their reasons
(t
o the
extent
th
at they are known to
HAL.
having
made
reasonable
enquiry
));
and
e. stating the
date
or
series
of
dates
upon which it is considered that the proposal should take effect
should
the
ORR
approve
the
Proposal for Change pursuant to Condition C3.3, such
date
being no
earlier than
14
days
after
the
date
on
which
the
ORR
g
iv
es notice
of
any
such
appro
val.
3.2 Request for further Information from the Sponsor
of
a Proposal
for
Change
The Sponsor of
the
Proposal
for
Change, including
where
s
uch
Sponsor
is
HAL
, shall use its reasonable
endeavours to provide
any
further
inf
orm
ation required in relation
to
the consideration
of
a Proposal
for
Change
by
the
ORR.
3.3
Notlncation
of
approval
or
rejection
of
a Proposal
for
Change
3.3
.1
The ORR
may
notify
HAL
as
soon
as reasonably practicable of its approval
or
rejection of a Proposal
for
Change sponsored by
HA
L, a Tra
in
Operator
or
Access Option Holder submitted
to
it pursuant to
Condition
C3
.1
and, where
relevant
any further
inf
ormation su
bm
itted to it pursuant
to
Condition C3.2,
p
ro
vid
ed
that the
ORR
may
make any
minor
clarificatory modifications before approving
any
such
Proposal
for
Change.
3.3.2
No
Proposal
for
Change sponsored
by
HAL
, a Train Operator
or
Access Option Holder shall
have
effect
unless the ORR
gives
notice to
HAL
in writing
that
it
approves
the
proposal pursuant
to
Condition
C3
.3.1
and
on
ly
if
the
following conditions have
been
satisfied (and
the
ORR
has
given its reasons
in
the notice
as to
why
it considers such condrtJons have been sabsfied):
a. the Proposal for Change
in
question promotes
or
achieves the objectives specified
in
section 4
of
the
Ad
; and
b.
the
inte
re
sts
of
any
Re
levant Person
or
persons would
not
be
unfairly prejudiced
if
the
Pr
oposal
for
Change were
made
, unless such unfair prejudice is outweig
hed
by
or
is likely to
be
outweighed
by
any prejudice
whi
ch
will
or
is likely
to
be
sustained by
any
other Relevant Person
or
persons
if
the
Pr
oposal for Change is
not
made, having
due
regard
to
the
need
to
enable Relevant Persons
to
plan
the
Mure
of
th
e
ir
businesses
wi
th
a reasonable degree of assurance;
provided that, in all cases, the Proposal
for
Change in question shall not prejudice the ability
of
HA
L to
perform
its
contractual obligations
or
otherwise
undu
ly
harm
the
financial position
of
HAL.
3.4 Not
ifi
cation
to
parties
Where the ORR
gives
notice to
HAL
pursuant to
C3
.3.2,
HAL
shall ensure that all Train Operators and
Access
Op
tion Holder shall
be
notified
of
the
change and its effective date.
3.5
Effective date
of
change
Any
no
tice given
under
C3
.4 shall specify
the
effective date(s)
of
the proposed change which shall
be
unless otherwise determined 14
days
from
the
date
of
notification made pursuant
to
Condition C.3.4.
CONDITION
C4-
PROPOSAL FOR CHANGE SPONSORED BY ORR
4
.1
The
HAL
Netwoti<
Code
shall have effect with the modifications specified in
any
notice given
by
the ORR
for
the purposes
of
this Condition
C4
, provided that the ORR shall be satisfied
as
to
the
need
for
the
mo
difi
ca
tion
as
provided
for
in Condition C4.2,
the
procedural requirements of Condition C4.2 shall have
been satisfied and
the
modification shall
not
have
effect until the date provided for in Condition C4.3.
4. 2 Conditions
to
be
satisfied In respect
of
Proposal
for
Change sponsored
by
ORR
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Part
C:
Modifications
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HAL
Network
Code
4.2.1 Any notice giv
en
by the ORR pursuant to Condition
C4
.1 in res
pect
of
a Proposal
for
Change sponsored
by the ORR shall have effect only
if
the following conditions have been satisfied (and the ORR has given
its reasons in the notice as to 'Nhy
it
considers such conditions have been satisfied
):
a.
the modification in question promotes
or
achieves the objectives specified in section 4
of
the Act;
and
b. the interests
of
any Relevant Person
or
persons woukl
be
unfairty prejudiced
if
the modification were
not made, and the need to avoid
or
remedy such oofair prejudice outweighs
or
is likely to outweigh
any prejudice
'Nh
ich will or is likely to
be
sustaflecl by any other Relevant Person
or
persons
if
the
modification is made, having due regard to the need to enable Relevant Persons to plan the future
of
their businesses with a reasonable
degree
of
assurance;
provided that, in all cases, the modification in question shall not prejudice
the
ability
of
HAL
to
perform its
obligations under the Access Agreement
or
otherwise unduly harm the financial position
of
HAL.
4.2
.2 The procedural requirements
'Nh
ich requi'e to have
been
followed
for
the purposes
of
Condition
C4
.1
are:
a. the ORR shall have sent a copy
of
its proposal to HAL, each Train Operator and Access Option
Holder which shall:
i. be in writing;
ii. specify the wording
of
the modification proposed;
iii. specify the date
or
series
of
dates
on
'Nhich it is proposed that the modification come into
effect; and
iv. be supported
by
an
explanation in
re
asonable
de
tail
of
the reason for the proposed
modifica
ti
on, which must include the reasons why it considers the conditions in C4.2 would
be
satisfied;
b.
the ORR shall have invited the submission
of
written representations
on
the
doct~mentation
provided pursuant to (a) above
from
HAL
,
each
Train Operator and Access Option Holder within
such period as
is
reasonable in all circ-.nstances;
c. the ORR shall
ha
ve taken such representations into account (other than those which are frivolous
or
trivial) in making its decision
on
the modification to
be
made; and
d. the ORR shall have notified
HAL
,
each
Train Operator and Access Option Holder as to its
conclusions in relation to the modification in question (including by providing to each such person a
copy
of
the text
of
the proposed
modif~eation
)
and
its reasons for those conclusions, which may be
provided
at
the same time as the notice under Condition C4.1.
4.3 Effect
A notice under Condition C4.1 shall ha
ve
effect upon such date,
or
the happening
of
such event, as shall
be
specified in the notice.
CONDITION
C5-
PR
O
VI
SION
OF
REVISED TEXTS
5.1
A notice under Part C shall not have effect in relation
to
any Proposal for Change which relat
es
to
Co
ndition C3.3.2
or
proposed modification
wh
ich relates to Condition C4.
5.2 HAL shall, as soon
as
reasonably practicable following issue
of
a notice pursuant to Condition C4.1
or
following approval
of
a Proposal for Change by the ORR pursuant to Condition C3.3, supply to all Train
Operators, Access Option Holder and the ORR a revised version of the amended documentation
incorporating the change and shall publish a revised copy
of
such documentati
on on
its website.
CONDITION C6
ARRANGEMENTS ADOPTION OF OTH
ER
OPERA
TI
ONAL
6.1 HAL and each Train Operator
or
Access Option Holder will apply to become users
of
t
he
"Code
of
Practice for the management and Development
of
Railway Code Systems" whi
ch
appli
es
to the Wider
UK
Ra
il Network.
o
Hetrtl1row
Airport
Lmtted
20
15
24
Heotlvow
NelwM
Code
I Page
Part
C:
Modifications
to
the
HAL
Network
Code
6.2 Where a
pa
rty
wi
shes to propose an amendment to the "Code of Practice
for
the management
and
Development
of
Railway C
ode
Syst
ems
w
the
y will app
ly
the
relev
an
t processes applicable
to
that
documen
t.
Prior to
do
ing
so
, the party wishing to propose an amendment will notify
HAl
and each Train
Operat
or or
Access Option Holder
of
th
eir i ntention
to
do so.
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Part
D:
Timetable
Part
D-
Timetable Change
1
Introductio
n
1.1
Overview
2 BI·Annual Timetable
Revision
Process
2.1
Preli
m1n
ary
2.2
Re
vi
sion
of
Tonetable Planning Rules and Engineering Access Statement -
0-M
to D-44
2.3
T~m
etable
consultation -D-55 to 0-40
2.4 Submission of Access Proposa
ls
by Timetable Participants -before and after
the
Priority Date
at
0-40
2.5 Content of an Access Proposal
2.6 Timetable Preparation -D-40 to D-26
2.
7 New Working Timetable Publication -D-26
3 Variations
to
the
Working
Timetable
3
.1
Overview
3.2 Timeline for
the
Planning of Timetable Variations
3.3 Train Operator Variations after D-26
3.4
Networt<
Rail Variations with
at
least
12
Weeks Notice
3.5
Ne
tw
ort<
Rail Variations with less than 12 Weeks Notice
3.6 Timetable Variations by consent
3.
7
Pu
blication
of
Tmetable Variations
3.8 Operation
of
Part H
3.9 Summary
4 Decisions
by
Network
Ra
il
4
.1
De
cisions concerning the Rules
4.2 Decisions arising
in
the preparation
of
a New Worki
ng
Timetable
4.3 Decisions conc.erning Train Operator Variations
4.4 Decisions concern
in
g
Networ1<
Rail Variations
4.5 Decisions concerning Possessions Strategy N
ot
ices
4.6 The Decision Criteria
4. 7 Finality
of
decisions
5 Appeals
5.1 Appeal in accordance with the ADRR
5.2 Appeal to ORR
5.3 Powers
of
dispute resolution bodies
5.4 Status
of
Decisions
5.5 Binding effect
of
appeal rulings
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5.6 Implementing an appeal ruling
5.7
liability
of
Network Rail
6 Possessions Strategy Notices
6.1 Possessions Strategy Proposal
6.2 Consultation
6.3 Finalisation
of
Possessions Strategy -Possessions Strategy Notice
6.4 Appeal
6.5
Relationship with the Rul
es
6.6 Relationsh
ip
with Part G
6. 7 Amendment
of
Possessions Strategy Notice
7 calendar
of
Events and Event Steering Group
7.1
Calendar
of
Events
7.2 Event Steering Group
8 MJscellaneous
8.1 D
ir
ections issued by the ORR
8.2 Confidentiality
8.3 Removal
of
Train Slots from Working Timetable
wh
ere no Acc
ess
Rights exist
8.4 Consultation
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Timetable
CONDITION
D1
-INTRODUCTION
1.
1 Overview
1.
1.1
lt
is the responsibility
of
HAL to allocate capaetty on the HAL infrastructure and to establish,
or
to
procure the est
ab
lishment
of
a timetable for the HAL infrastructure, referred to as the 'Working
Timetable•.
(a) HAL
is
perm
itt
ed to sub-contract the oodert.aking
of
all activities relating to the establishment
of
the Working Tinetable to a suitably competent and resourced organisation. All references
to HAL in this Part 0 shall
be
construed as including such suitabty competent and resourced
organisation.
(b) Where HAL has sub-contracted the establishment
of
the Working Timetable to
Neft.\lott(
RaiJ
,
except where this Part 0 states otherwise,
the
activities relating to the establishment
of
the
Working Timetable will be fully integrated into Ne
twoi'X
Ra
n'
s activiti
es
relating to the
establishment
of
the
WorX
ing Timetable
in
respect
of
the Wid
er
UK RaU
Networi<
.
(c) Where HAL has sub-contracted the establishment
of
the Working Timetable to
Netwo..X
Rail,
a Timetable Participant
ma
y:
(i) incorporate its submission
of
Access Proposal as described in Condition 02.4 and
Condition 03.4.9 into its submission
of
Access Proposal relating to the Wider
UK
Rail Netwofi(;
(ii) incorporate its Train Operator V
ar
iation Request as described in Condition 0 3.3
into its Train Operator Variation Request relating to the Wider
UK
Rail Network.
1.1.2 Those entitl
ed
to participate in the processes set out in this Part 0 are
de
fined as "Timetable
Participants•.
1.1
.3 The Working Timetable is re-issued in revised form twice a yea
r.
Th
e process for producing the bi-
annual revis
io
n
of
the Working Timetable is described
tn
Condition
02
.
1.1.4 In the period between bi-annual revisions
of
the Working T
im
etable, either HAL or Timetable
Participants may wish to vary the WorKing Timetable, whether by a
lt
ering or removing a scheduled
Train Slot
or
by inserting a new Tra
in
Slot.
HAL
shall operate the processes described in Condition
03
to facilitate variations to a WorXing Timetable
in
appropriate circumstances.
1.
1.5 In conducting the processes set out in this Part, decisions must be made by HAL in accordance with
the principles set out
in
Condition
04
.
1.1.6 Condition
05
describes the processes by wh ich a T
im
etable Participant, dissatisfied with a decision
of
HAL made in respect
of
this Part 0 , may in specified circumstances
ap
peal against that decision.
1.1. 7 HAL requires access to the HAL infrastructure in order to fulfil its obligations
in
relation to the HAL
infrastructure. The processes by whi
ch:
(a) the Working Timetable is updated on a bi-annual basis (as described in Condition
02
);
and
(b) va
ri
ations to the WorXing Timetable outside that bi-annual procass are facilitated (as
described in Condition
03
);
ind
ude arrangements to procure access to
the
HAL
infrastructure required by HA
L.
Where such access is required over a period greater than
that covered by one revision
of
the Wofi(ing Timetable, HAL
ma
y wish to conduct an
extraordinary process
of
consultation with parties affected by those works. A process for
such consultation is described
in
Condition
06
.
1.1.8 lt is the responsibility
of
HAL and all Timetable Participants to collaborate with each other so that the
im
plementation
of
the procedures
in
this Part 0 is carried out wi
th
op
ti
mal efficiency. HAL and
Timetable Participants shall each establish and maintain systems and resources which are necessary
c Heauwow
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hrow
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and suffici
ent
to
facilitate such collaboration and
th
eir compliance with
the
procedures set
out
in
ltl
is
Part.
1.
1.9 In additi
on
to compliance with the processes described in this Part D. Ti
me
table Participan
ts
may
be
separat
el
y required
to
consult
wi
th the Secretary
of
State, Transport for London, other infrastructure
managers and
an
y other
pa
rties
wit
h the right
to
be
so consulted, regarding proposals for the
de
velopment
of
Services.
1.1.10
lnthis
PartD
:
(a)
th
e singul
ar
shall include the plural and vice-versa;
(b)
th
e headings are for conve
ni
ence only and shall
not
affect interpretation.
1.1.11 In this Part 0 , capitalised words have the meanings shown below:
Access
Proposal
shall
ha
ve the meaning shown in Condition 02.4.1;
Ancillary
Movement
a trai n
mo
vement
wh
ich is not
an
express part of any Services but which is necessa
ry
or
reasonably required
for
giving full effect
to
the
train movements which are an express part
of
a Service and shall
include a
ny
such
tr
ain
mo
vement as is referred
to
in paragra
ph
(c) of the definition of "Services" to the extent that
it is not expressly provided for
in
an Access Agreement;
Calendar
of
Events
is a calendar. produced by Ne
tw
ork Rail f
or
the
Wid
er
UK
Ra
il
Ne
tw
ork,
go
ing forward for a
period of at l
east
4 years
sho
wi
ng events which are likely
to
require
si
gn
ificant changes to the W
or
king Timetable
in a future bi-annual timetable re
vi
sion process carri
ed
ou
t in accordance with Condition
02
;
C·X
sha
ll
have the meaning shown in Condition 02.1.5;
Decision
Crtterla shall
ha
ve the meaning shown in Cooditi
on
04.6
;
Draft
Calendar of
Events
a draft Calendar
of
Events;
Draft
Rules shall have the meaning shown in Condition
02
.2.3;
Event
is an event,
or
grouping
of
events shown in the Calendar
of
Events;
Event
Steering
Group
is a group set
up
and chaired by Ne
tw
ork
Rail and comprises representativ
es
from
Ne
tw
ork
Ra
il, relevant funders and
any
Timetable Particip ants that:
(a) are likely
to
be
affected by the Eve
nt
; and
(b) who agree
to
be
on
the
group.
Where an Event Steering Group is covering a HAL Event,
HAL
will
be
represented on that Ev
ent
Steering Group.
Exercised
shall mean
as
a consequence of :
(a) submitting
an
Access Proposal to
Ne
tw
ork Rail by the Priority Date in accordance
wi
th Condition s
02
.4
and
02
.
5;
or
(b) a Rolled
Over
Access Proposal;
Firm
Right
a right:
(a}
of
a Timetable Particip
snt
under an Access Agreement in r
es
pect
of
the quantum. timing
or
any other
characteristic
of
a train movement;
or
{b)
of
HAL under the Rules; and which in either such ca se is not expressed
to
be subject to
an
y contingency
outside
the
control
of
the right holder (save that in the case
of
(a
},
the right may
be
subject
to
the Rules);
Flexing
Right
a right, exercisable by HAL in allocating a Train Sl
ot
in
the
New Working Timetable,
to
vary a Train
Slot:
(a) sought in
an
Access Proposal ;
or
C
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Timetable
(b) a risi
ng
from a Rolled Over Access Proposal;
or
(c) sought in a Train Operator Variation Request, m any way within a
nd
consistent with the Exerctsed Fr
rm
Rights
of
the relevant Timetable
Pa
rtictpant
or
, where the Train Slot which i s being varied i s a Strategic
Train Slot, in any way without limitation:
HAL
E
ngineering
Access
State
ment
a document setting out, for any pa
rt
of
the HAL infrastructure, each
of
the
following matters:
(a) the location , number, timing and duration
of
any HAL Restrictions
of
U
se
; and
(b)
an
y alternative train routes
or
stoppr
ng
patterns whrch may apply during any HAL Restriction
of
Use
referred to in paragraph (a ) above:
HAL
Ev
ent
an event,
or
grouping
of
events, that HAL has requrred Network Rail to include in the Calendar
of
Events;
HAL
Res
triction
of
Use a Restriction
of
Use that occurs wholly
or
mainly
on
the
HAL
infrastructure;
HAL
Timetable
Planning Rules a document,
or
relevant sections
of
the Network Rail Timetable Planning Rul
es
,
regulating, for
an
y part
of
the HAL infrastructure, the standard timings and other matte
rs
necessa
ry
to enabfe
trains to be included in the New Working Timetable
or
schedul
ed
into the Working Timetable applicable to that
part
of
the HAL infrastructure, being rules which specify (amongst other matters) any required;
HAL
Variation
shall have
th
e meaning shown in Condition
03
.1.2:
HAL
Variation Request a request made
by
HAL for a
HAl
V
ar
iation;
Initial
Consulta
tion
Pe
rio
d shall have the meaning sho
wn
in Condition
02
.3.3;
Network
Rail
Restr
ic
tion
of
Use a Restricti
on
of
Use that occurs wholly
or
mai
nl
y on the Network
Ra
il Ne
tw
ork
that will affect,
or
may potentially affect,
the
operabon of a Timet
ab
le Participant's services
on
the
HAL
infrastructure;
Network
Serv
ices shall have the meaning given to it in section
82
(2) of the Railways Act 1993;
New
Working
Timetable shall
ha
ve the meantng shown in Condition 02.1.6;
Possessions
S
trategy
Not
ice
shall
ha
ve the meaning set out in Conditi
on
06
.3. 1;
Possess
i
ons
S
trategy
Partici
pants
shall
ha
ve the meaning set
ou
t in Condition 06.1 .1;
Possessions
Strategy
Propos
al shall have the
me
aning set out in Conditi
on
0.6.1.2;
Principal
Change Date shall have the meani
ng
set
out in Condition
02
.1.3;
Prior
Working
Timetable shall have the meaning set
out
in Conditi
on
02
.1.6;
Priority
Date shall have the meaning set
out
in Conditi
on
02
.4.4;
Ra
ilway
Operat
ional
Code shall have the
me
aning shown in Part H of this code;
Rolled
Over
Access
Prop
osal where an Access Proposal w
as
submitted in a previous revision
of
the Working
Timetable resulting in Train Slots being included in the Prior Working Timetable which the relevant Timetable
Participant does not seek to vary in
the
New Working Timetable in accordance wi
th
this Part 0 ;
Rules the HAL Timetable Planning
Ru
les and
the
HAL Engineering Access Statement;
Short
Term
Plan shall have the meaning shown in Condition 0 3.7 .
1:
Su
bs
id
iary
Ch
a
nge
Date shall have the meaning show n in Conditi
on
02.1.3;
Timetable Change Date shall have the meaning shown in Condition 02.1.3;
Timetable Participant
c
Hc>alhrow
Alrpof1lm11ed
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(a)
an
Ac
cess Beneficiary;
or
(
b)
a Potential Access Party;
Timetable
Pe
riod
shall
have
the meaning shown in Condition 02.1.6;
(a) timings (including specified allowances) allowed f
or
travel between specified
po~nts
on
the
HAL
infrastructure for each type
of
tra10
and
for each type
of
traction used, taking into account
any
particular
constraints imposed by railway vehicles
wh
ich may form part
of
the train;
(b) timing margins
or
allow
ances
for stopping
at
j
unc
tions
and
other specified poi
nts
;
(c) mini
mum
timing margins
or
headways between successive trains travelling on the same section
of
track;
(d) mini
mum
and maximum time periods for stoppi
ng
at stations and other specified
po
i
nts
:
and
(e) restrictions
as
to
the
speed
of
railway v
ehides
on any section
of
track;
Timetable
Preparation
P
eriod
shall
have
the
meaning shown in Condition
02
.6.1;
Timetable
Variation
shall have the meaning shown in Condition
03
.1
.3
;
T
imetable
Variat
ion
by
Consent
sha
l
have
the meaning sho
wn
in Condition
03
.6.1;
Timetable
Week
shall have the meaning shovm in Condition
03
.2.1;
Tlmetab
lln
g
Panel
shall have the
mean
ing shown in the ADRR;
Tim
ing
Load
in relation
to
a Service,
the
timing reference code
wh
ich
de
tails the
manm.m
speed and particul
ar
combination of tractioo
type
and
traii
ng
weight, together with whether any
veh
icles may be
con
veyed to which
l
oca
l speed restrictions will apply;
Train
Operator
Variation
shall have
the
meani
ng
shown in Condition 03.1.1;
Tra
in
Operator
Variation
Request
shall have the meantng shown
1n
Condition 03.3.1;
Train
S
lo
t a train movement
or
a series
of
tr
ain movements, identlfied
by
arrival and departure times
at
each
of
the
start, intermediate (where appropriate)
and
end points
of
each train movement;
TW·X
shall
have
the meanmg sho
wn
in Condition
03
.2.1;
Work
i
ng
Hours
any hour during the period
09
:00
to
17:00
on
a
Work
ing
Day
; and
Works
any inspecti
on
, ma intenance, renewal, re pa
ir
, replacement, improvement, enhancement
or
de
velopment
of
, or any o
th
er work in relation
to
.
an
y
part
of
the
HAL
infr
astructure.
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CONDITION
02
-BI-ANNUAL TIMETABLE REVISION PROCESS
2.1
Preliminary
2.1
.1
The Working Timetable shall show every tra
in
mov&ment on the
HA
L infrastructure, including:
(a) every Service;
(b) every Ancillary Movement;
(c) the times
of
:
(i) departure from origrn and arrival at destination;
(ii)
the
tme
of
pass
ing the point that the
HA
L
mfr
as
tructure connects
to
the Network
Rail Networi<
(iii)
arrival
at
and departure from every rntermediate stopping point;
(iv)
such passing points. in accordance
wi
th
the
HAL
Timetable Planning Rules, as
HAL
(acting reasonably) considers appropriate; and
(v) all relevant timing allowances.
The Working Timetable shall also include documents detailing platform arrangements.
2.1
.2 HAL shall re-issue the WorlTimetable in revised form
on
tw
o occasions in each y
ear
, after a
consultation
and
revision process conducted
by
HAL
in accordance with this Condition D2
2.1
.3 The implementation dates for the two annual revisions
of
the Working Timetable
wi
ll
conform with
Schedule 4 of the Regulations. In particular, in accordance with Schedule 4. paragraph 2{1)
of
th
e
Regulations, timetable decisions wtll
not
be
made
until
the
end
of
the consultation period outlined
in
paragraph 4.4.1
of
the Networi<
Statemenl
To
the extent permitted by the Regulations. following
consultation with other infrastructure managers, HAL
ma
y v ary the change implementation
dates
from
time
to
time. provided that all Timetable Participants
ha
ve been informed
of
and
not
objected to
th
e
change. The Timetable Participants shall have no right to object
if
HAL varies the change
implementation date
in
order
for
it
to
remain consistent
wi
th the change date that appli
es
to
the Wider
UK
Rail Networl<. Each change impl&mentation date is referred to as a
"T
imetable Change Date
".
The
first and main change implementation
d21te
, occurring in the
wi
nter
of
a calendar year, is referred
to
as
the "Principal Change Date
".
The second change implementation date, occurring in the summer
after
the Principal Change Date. is referred
to
as the "Subsidiary Change Date".
2.1.4 This Condition D2 describes the process by
whi
ch
HAL
will
re
vise the Working Timetable
on
each
of
the Timetable Change Dates. Unless stated otherwise in this Part D, this process will be followed
regardless
of
wh
ether the change is to
be
implemented
on
a Principal Change Date
or
on
a Subsidiary
Change Date.
2.1.5 For the purposes of this Part D, a
Ti
metable Change Date shall
be
designated by the letter "D". The
sequence
of
events culmi
nat
ing in the adoption of a revised Worl
is
designated by a
series
of
milestone dates and steps, all
of
whi
ch refer
to
a week in the period prior
to
date •D•. Ea
ch
week commences at
02
:
00
on a Sunday and expires
at
01
:
59
on
the following Sunday. So, f
or
example, •D minus 26" ( or "D-26") refers to the 26th week prior
to
date "D". Where in this Part D any
step or event is requrred
or
stated
to
occur by any w
eek
designated in this way, it must occur no later
than
Spm
on Friday
of
the
preceding week.
So
,
for
example, a step which i s required to occur no la
ter
than "D-26• must occur
no
later than :
(a)
Sprn
on Friday;
(b) in the week commencing on the Sunday which occurs 27 weeks prior to a Timetable Chan
ge
Date.
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2.1.6
To
produce the
tim
etable
to
take effect
on
a Timetable Change Date, HAL
wi
ll use
as
th
e starting point
th
e timetable published
at
D-26 in the process related to the immediately Pfecedi
ng
Timetable Change
Date
but
ma
y
de
lete
an
y Train Slots in respect
of
wht
ch
it believes, actmg reasonably and after
consultation
wi
th the relevant Timetable Participant (
if
appropriate
),
that the relevant Timetable
Participant.
or
it
s successor,
wH
I not have the necessary access rights
at
the time
of
the
intended
operation
of
the Train Slots
("
the Prior Working Timetable").
If
any subsequent variations are made
to
the
Prior Worf(ing Timetable as a result
of
the appeal Pfocess. then they shaD also
be
incorporated into
it. The Prior Worf(i
ng
Ti
metable is then subject
to
a process
of
amendment under
Co
nditi
on
D2 and
during this period shall be referred
to
as the "
Ne
w Worf(ing Timetable". The timetable which the New
Work
ing Timetable becomes on a Timetable Change Date
is
the
Work
ing
Tmetable
. The period
be
tw
een Ti
metab
le Change Dates is referred
to
as
the "Timetable Period".
2.1.7 Not later than D-73 in relation
to
the
Prinapal Change Date onl
y.
HAL shall:
a) publish to all Timetable Participants a calendar showing the milestone dates wht
ch
will apply
(for
th
e purposes
of
this Condition D2) to the process of planning the New W orf(ing
Timetables to t
ake
effect as Working T
im
etabl
es
on
the P
ri
nci
pa
l Change Date and the
Subsidia
ry
Change Date
b) notify all Timetable Participants
of
the organisation to whom HAL's responsibilities in respect
of
the establishment
of
the Worf(ing Timetable has been sub-contracted. Included within
th
is
no
tificati
on
will be all relevant contact details.
2.2
Revis
ion
of
HAL
Timetable
Planning
Ru
les
and
HAL
Engineering
Access
Statement
-D-64
to
D·
44
2.2
.1
Bo
th
the
HAL
Ti
me
table Planning Rules and the HAL Engineering
Ac
cess Statement (together ref
er
red
to
as
"the Rul
es
")
are re
vi
sed
on
a bi-annual basis, each revised version
be
ing operative for the same
Timetable
Per
iod as the Worf(i
ng
Timetable to which they pertain. The Rules must be
re
vised and
updated, 1n accordance w
rth
the procedures descnbed
in
this Condition 02 .2.
as
a fir
st
stage i n the
preparation
of
a New Worf(i
ng
Timetable.
2.2.2 Be
tw
een D-64
and
D-60, HAL shall consu
lt
with Timetable Participants in respect of any proposed
changes
to
the Rules.
2.2.3 Follo
wi
ng consultati
on
in accordance with Condition D2.2.2 , and not later
than
D-59, HAL shall provi
de
to all Timetable Participants a draft
of
the revised Rules (t
he
"Draft Rules"), provided that:
(a) where "D"
is
a
Pr
incipal Change Date, the Draft Rules to be provided and finalised shall be
bo
th
those for the Timetable Period commencing on that Principal Change Date and those
for
th
e Timetable Period commencing on the immediately succeedi
ng
Subsidiary Change
Date;
(b) where "D " is a Subsidi
ary
Change Date, the Draft Rules to
be
provided and finalised shall
pertain only
to
the Timetable Pe
ri
od commencing on that Timetable Change Date and shall
contain
on
ly
revisions:
(i) which are
no
t material;
or
(ii) the need
fo
r which w
as
not
reasonab
ly
fo
reseeable at the time when the pri
or
re
vi
sion
of
the Rul
es
w
as
made.
2.2.4 Follo
wi
ng distribution
of
the Draft Rules and by D-54:
{a)
HAL
shall consult
wi
th
Timetable Participants In respect
of
the Draft Rules provided to them
in
accordance wi
th
D2
.2.3 and in respect
of
any representations made pursuant to paragraph
(b} below;
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Timetable
(b) Timetable Participants may make representations to HAL
.,
r
espect
of any changes they
propose or objections
the
y m ay have to the Draft Rules
pr
ovided
to
them
in accordance with
D2.2.3.
2.2.5 Followi
ng
D-
54
and by
D44
, HAL
sh
all consider the re
pr
esentations and objections made to it by
Timetable Participants pursuant
to
Co
ndition
D2
.2.4 and may amend the
Dra
ft
Rul
es
.
No
t lat
er
than D-
44, HAL shall 1ssue the final
re
vised Rules to all Timetable P articipants.
2.2.6 In preparing revised Rul
es
,
HA
L shall
be
req
uir
ed and entitled to act in accordance
wi
th the
dut
ies
and
po
wers
set
o
ut
in
Co
ndition
04
.1 and to
pr
ovi
de
to Timetable Participan
ts
its
reasons
for
making the
revisions
to
the Rules.
2.2.7 Between
D44
and publication of the
Ne
w Working Timetable at D-26,
HAL
may further re
vi
se
the
Rules
where
it considers, acting reasonably, such revision necessary
or
des
irable in order to
op
timi
se
that
Ne
w Working T
metable
. Before making any such further revisions to the Rul
es
,
HAL
must first
consult
wi
th
all T
metable
Participants
wh
o may
be
affected b y
th
e proposed
cha
ng
es
. HA L
wi
ll th en
inform all affected
Tmetable
Part
icipants
of
any such changes as soon as
pract
icable a
ft
er
they
are
made
.
The
amending
power
created by this Cond1tion D2.2.7 is
Wi
thout prejudice
to
the amendi
ng
power referred
to
in Condition D3.4.
2.2.8 Subject to Condition D2.2.9 below, any Timetable Participant dissatisfi
ed
wit
h any decision
of
HAL in
respect
of
th
ose Rules (including any decision to rev
ise
th
ose Rules pursuant
to
Co
ndition D2.2.7)
is
entitled
to
appeal against any part
of
it.
An
y such appeal shaH
be
cond
uct
ed in accordance w
ith
Condition D5 and must be made by a
Ti
metable Participan
t:
(a) in respect o f any
dec
ision to re
vi
se
the
Rules pursuant to Condition D2.2.7, wi
th
in
fi
ve
Work
ing Days
of
receipt
of
HAL
's decision;
(b) ot
he
rwise
wi
th1n fifteen Working Days
of
receipt of
HA
L's decis
ion
.
2.2.9
No
appeal may
be
brought pursuant to Conditi
on
D2.2.8 in respect
of
a
ny
part
of the Rules which
conforms
with
any Possessions Strat
eg
y Notice whi
ch
has:
(a)
not
been appealed in the timeframe
for
appeal set out in Condit
ion
06
.4.1;
or
(b)
has
been appealed but
has
been
fina
lly
determined by a Timetabli
ng
Panel or the ORR
(c) is
nece
ssary to enable the execution of an agreed Possess
io
n Strategy
Not
ice,
or
a
Possession Strategy Notice which has bean appealed but
has
been
finally determined
by
a
Timetabling Panel
or
the
ORR
, relating to the
Wi
der
UK
Rail
Ne
tw
ork
.
2.3
Timetable
consultation
-
0·55
to
0-40
2.3.1
An
y T
metab
le Participa
nt
WI
Shing to i
ntr
oduce significant new Se
rv
ices
or
make
si
gn
ificant changes
to
its Services
sh
all notify
HAL
at
the earliest opportunity and,
wh
ere
po
ssible, before D-55.
If
HAL
consi
ders
that the in
tt
oduct1on
of
such new
or
changed Services may necessitate substantial ti
me
table
changes, it
ma
y commence the Initial Consulta
ti
on
Period,
re
fer
re
d to in Condition D2.3.2 below,
before D-55. In any event. HAL shall consult
wi
th
Timetable Participa
nts
wh
o may be affected by the
pro
po
sed
ne
w or changed Services a nd shall provide t
hem
wi
th all avai
la
ble relevant information
in
respect
of
those proposals.
2.3.2
Dur
ing the period from D-55 to D-40 (
or
such extended period
re
ferred to in Condition D2.3.1 ):
(a) Timetable Participants shall indicate the changes (
if
an
y)
that they propose should be made
in
prep
aring the
Ne
w W orking Timetable;
(b) HAL shall consult with Timetable Participants in respect
of
t
he
Ne
w
Work
ing Timetable. The
pe
ri
od of consultation required by
th
is Conditi
on
is referred to
as
the "
In
itial Consultation
Period".
2.3.3 Du
ri
ng the Initial Consultation Pe
ri
od,
HAL
shall:
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Timetable
(a) use its reasonable
eodeaVOUfs
to
an
sw
er
enquiries made by Timetable Participan
ts
in
connection
with
matters that may affect or relate to the New Working Timetable:
(b)
parti~
te
in
dialogue
with
Network
Ra
il and all Timetable Participants in order to identify
opportunities
to
develop strategic initiatives
and
to promote
networic
benefits such
as
connections, complementary services patterns and efficiency
of
operation.
2.3
.4
Not later than 0-45 HAL shall provide
to
the Timetable Participants a copy
of
the
Prior Working
Ti
me
table.
If
an
y changes are
made
to the Prior Working Timetable
as
a result of the appeal process
under Condition 02.7, then
HAL
shall notify these changes to Timetable Participants as soon as
reasonably practicable.
2.4 Submission
of
Access Proposals by Timetable Part
ic
ipants -before and after the Prlorfty Date
at
0-40
2.4.1
A Timetable Participant shall set out its requirements in respect
of
the New
Woricin
g Timetable in a
written proposal, to be referred to as
an
"Access Proposal" whe
re:
(a) it wishes to exercise any Finn Rights and/or Contingent Rights and/or
an
y expectati
on
of
rights to obtain Train Slots in respect
of
the
relevant Timetable Period , where those rights
were not exercised to obtain Train Slots
in
the
Prior Working Timetable; and/or
(b) it wishes to make changes to
an
y Train Slot in the Prior
Wo
rk
ing Timetable;
(c) it wishes
to
set out its
req
uirements in response to a notification by HAL under Condition
D2
.4.6; and
2.4.2 W here a Timetable Participant does not intend using a Train Slot, whi
ch
is included in
the
Prior
Working
Ti
metable,
in
the relevant Timetable Period, it sha
ll
notify this fact to HAL in writing by 0-40 or
as soon as practicable therea
ft
er.
2.4.3 Access Proposals may
be
submitted to HAL during the period up
to
0-26. Howev
er
, Timetable
Participants shall submit the
ir
Access Proposals (and any revised Access Proposals) as
ea
rly
as
reasonably practicable prior to 0-26
in
order to facilitate optimal planning
of
the
New Working
Timetable by
HAl
and
to
ensure optinal consultation between HAL, Network
Ra
il
and
all Timetable
Participants.
2.4.4 Access Proposals submitted by 0-40 ("the Priority Date") are given priority in
the
compilation
of
the
New Working
Ttm
etable in certain circumstances set out in Condition
04
.2. Access Proposals
submitted after the Priority Date but by 0-26 will be incorporated by HAL into the New Working
Timetable
as
far as reasonably practicable, taking into account the complexity
of
the
Access Proposal
including
an
y reasonable foreseeable consequential impact on the New Working Timetable and the
time available before the end of the Timetable Preparation Period, and in accordance wi
th
the
principles set out in Condition D4.2.
2.4.5 Any subsequent or revised Access Proposal
su
bmitted
by
a Timetable
Pa
rtici
pan
t sha
ll
amend
an
Access Proposal submitted earlier where
it
sets out different requ irements to the earlier submitted
Access Proposal regarding the manner in which a right is
to
be exercised. In such case the date
on
which the subsequent or
re
vised Access Proposal is submitted wi
ll
be treated, for the purposes
of
Conditi
on
04
.2.2, as the date
of
notification of the relevant right.
2.4.6 Where a Timetable
Pa
rticipant has:
(a)
su
bmitted
an
Access Proposal which cannot
be
accommodated in
th
e New Working
Ti
me
table; or
(b) a Train Slot
in
the Prior Worki
ng
Timetable whi
ch
cannot
be
accommodated in the New
W
oric
ing Timetable;
or
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(c) submitted a propos
al
p\Ml)Orti
ng
to
be
an Access Proposal but which i s defective
or
incomplete,
2.4
.7
HAL must notify the Timetable PartiCipant
of
this fact, as soon as possible after it has become aware of
it, so that t
he
Timetable Participant has the opportunity t o submit a further Access Proposal under
Condition 02.4.1 (c
).
2.5 Content
or
an Access Proposal
2.5
.1
Each Access Proposal shall comply with
the
requirements of paragraph
4.1
of the
Ne
tw
ork
St
atement
and shall include as a minimum in respect of each Train Slo
t,
save to
the
exte
nt
that
HAL
express
ly
agrees in writing
to
the contrary.
(a) t
he
dates on which Train Slots are intended to
be
used;
(b) the start and end points
of
the tra
in
movement;
(c) the intermediate calling points;
(d) the times
of
arrivaJ
and departure from a
ny
point specified under paragraphs (b) and (c )
above;
(e) the railway vehicl es or Timi
ng
Load to be used;
(f)
an
y required train connections with other railway passenger services;
(g) the proposed route;
(h)
an
y proposed Ancillary Movements;
(i)
an
y required pla
tf
orm arrangements
at
the
start.
end and all intermediate
ca
lling points;
0) any relevant commercial and service codes; and
(k} the proposed maximum train speed and length.
2.5.2 W here an Access Proposal has been submitted by a Timetable Participant,
HA
L shall be entitled to
require any further information
in
respect
of
that Access Proposal that
it
reasonably considers to
be
necessary or beneficial to the preparation
of
the New Working Timetable.
2.6 Timetable Preparation -D-40 to D-26
2.6.1 D
ur
ing the Timetable Preparati
on
Pe
ri
od (
0-40
to D-26) ("Timetable Preparation Period"), HAL shall
compile the proposed
Ne
w Working Timetable.
2.6.2 Between D-40
and
D-26:
(a) all Timetable Participants shall have access to the evolving draft
of
the New Worki
ng
Timetable either:
(i) by way
of
"read-only" remote computer access or such other electronic means
reasonably requested b y a Timetable Participant ; or
(ii) to the extent that a Timeta
bl
e Participant does
not
have the required systems to
facilitate remote computer access, by read-o
nly
computer access upon attendance
at a location where such access
is
available as specified by H
AL
;
(b) HAL shall consult further with Timetable Partictpants
in
respect
of
their Access Proposals
and the evolvi
ng
dra
ft
of
the New Working Timetable , and shall continue to answ
er
enquiries
and
facilitate and
co--ord
inate dialogue as stated in Condition
02
.3.3.
2.6.3 In compiling the New Working Timetable, HAL
sh
all be required and enti
tl
ed to act in accordan ce with
the duties and powers set out in Condition
04
.2.
2.7 New Working Timetable Publicat
ion-
D-26
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2. 7
.1
T
he
New Working Timetable shall
be
published by
HAL
at
0-26
, subject only to variations made in the
course of the appeal process described in this Condition D2.7.
2.
7.2 Any Timetable Participant affected by the New Working Timetable shall
be
entitled to appeal agamst
any part
of
it
provided that
an
appeal is lodged within
tw
enty WoriDays
of
its publication. All such
appeals shall
be
conducted
tn
accordance with Condition
05
.
2.7.3
Wh
ere a Timetable Participant has enquiries
or
requ
ir
es
further information from HAL regarding the
pu
blished New Working Timetable,
HAL
shall respond fully and promptly and where possible,
takng
into account the nature of the enquiry
or
informa
ti
on requested and the date this
is
received by
HAL.
so
as
to ena
bl
e a Ttmetable Participant to comp
ly
with the timescal
es
in Condition D2.7.
2.
2.7.4
HA
L shall promptly make all revisions to the New Working Timetable required by all appeal decisions,
and shall notify all Timetable Participants upon completion
of
those changes.
CONDITION
03-
VARIATIONS TO THE WORKING TIMETABLE
3.1
Overview
3.1.1 From D-26 and during the releva
nt
Timetable Period, Timetable Participants
ma
y wish to vary either
the New Working Timetable,
if
it is be
fo
re
the Timetable Change Date,
or
otherwise the W
ori
Timetable
on
an
ad
hoc basis by:
(a) addi
ng
an additional Train Slot
on
one
or
more occasions:
(b) amending the detail
of
one
or
more Train Sl
ots
;
(c) remo
vi
ng
one
or
more Train Slots.
Any such variation is referred to
as
a "Train Operator Variation" . The process to
be
foii
O'Ned
where a
Timet
ab
le Participant seeks a Train Operator Variation is set out in Condition
03.3.
3.1.2 From D-26 and during the relevant Timetable Period,
HAL
ma
y wish to vary either the
New
Working
Timetable, if it is before the Timetable Change Date.
or
otherwise the Worki
ng
Timetable on
an
ad hoc
bas
is by:
(a
) adding an additional Train Slot
on
one
or
more occasions;
(b) amending the detail
of
one
or
mo
re Train Slots;
(c) removing one
or
mo
re
Train Sl
ots
;
in order to facilitate a HAL Restri
ct
ion
of
Use
or a Network Rail Restri
ct
ion
of
Use.
Any
such variation
is referred to as a "
HA
L V ariati
on
". The process to be followed where a HAL Variation is sought with
mo
re than
12
week's notice is
set
out
in Conditi
on
D3.4. The process to be followed where a HAL
Variation is sought with le
ss
than 12 w
eek
's notice is
set
out in Condition D3.5.
3.1.3 Train Operator Variations and HAL Variations are collectively referred to
as
"Timetable Variations".
3.1 .4 In considering or making any Timetable Variation,
HAL
shall be required and entitled to act in
accordance with the duties and pow
ers
set
out
in Conditions D4.3 and
04
.4.
3.2
Tlmellne
for
the
Planning
of
Timetable
Variations
3.2
.1
HAL Timetable Variations are planned
by
HAL
on
a w
eek
by w
eek
basi
s.
Each week of a W orking
Timetable is
re
ferred to as a "Timetable
Week
". Each Timetable Week
co
mmences at 00:01 on a
Saturday and expires at 24:00 on the following Friday. The sequence
of
events by whi
ch
va
ri
ations are
finalised is designated by a series
of
milestone dates and steps, all
of
which refer to a week in the
pe
riod prior to the commencement
of
Timetable Week "TW". So, for example, "TW minus
12
" (
or
"TW-
12"}
re
fers to the 12th week
pr
ior to the start
of
a given Timetable Week "TW".
Wh
ere in this Part 0 any
step or
ev
ent is required or stated to occur by any week
des
ignated in this way. it must occur no later
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than 5pm on Friday
of
the preceding week. So, for example, a step which is required to occur no later
th
an
"TW
-1
2" must occur no later than:
(a) 5pm on Friday;
(b) in the week commencing on the Sunday w hich occurs 13 weeks prior to the commencement
of
wee
kTW.
3.2.2 Not later than D-26,
HAL
shall provi
de
to all Timetable Participants a calendar pertaining to
each
Timetable Week, showing the milestone dates which will apply (p
ur
suant to this Condition D3) to the
planning
of
all Ttmetable Variations in respect
of
that Timetable Week.
3.3 Train Operator Variations
after
D-26
3.
3.1
Where a Timetable Participant seeks a Train Operator Variation, it shall submit to
HAl
a writt
en
request, referred to
as
a "Train Operator Variation Request".
3.3.2 A Train Operator Variation Request shall conta m a full description
of
the variation sought and, where it
relates to the addition or amendment of any Train Slot to
be
included in the Wonong Tmetable. shaD
provide the same information in respect
of
the variation as would be contained in an Access Proposal
(save th
at
where a proposed Train Sl
ot
amendment does not involve revision
of
any information
pr
eviously supplied to HAL in
an
Ac
cess Proposal for that Train Slot, the Tra
in
Operator Variati
on
Request need not repeat that information).
3.3.3 From D-26 and during the relevant Timetable Period, a Timetable Participant is entitled to make a Train
Operator Variation Request and HAL shall have the
po
w
er
to accept, reject or modify
it
, subject to
the
timeframes set
out
in
Condition D3.3.6 below and
ac
ting in accordance
with
Condition 0 4.3.
3.3.4 Where a Train Operator Variation Request is received:
(a) on any
da
y which is
no
t a Working Day; ancflor
(b) aft
er
10:00 hours on a Working Da
y;
it shall be deemed to
ha
ve
been
received on the
next
Working Day thereafter.
3.3.5 For the purposes
of
calcula
ti
ng HAL' s response time to a Train Operator Variation Request set out in
Condition D3.3.6, the
da
y
of
HAL's recei
pt
of
a Train Operator Va
ri
ation Request
is
described as day 1
and each Working Day following thi s adds a
da
y onto the description. For example, the Working Day
after the day
of
receipt
of
the request is day 2.
3.3.6 HAL shall notify its acceptance, rejection
or
modificati
on
of
a Train Operator Variation Request, by the
followi
ng
latest times:
(a) as soon as reasonably practicable, where the request is to operate a Trai n
Sl
ot
on day 1 or
da
y 2.
(b) by 15:
00
hours on day 1,
wh
ere the request is to operate a Train Slot on
da
y 3;
(c) by 10:00 hours on day 2, where the request is to operate a Train Slot on day 4;
(d) by 15:
00
hours on day 2, where the request is to operate a Train Slot on
da
y 5;
(e) by
15
:
00
hours on day 3, where the request is to operate a Train Slot on
da
y 6;
(
f)
by 10:00 hours on day 4, where the request is to operate a Train Slot on
da
y 7;
(g) where (a), (b
),
(c
),
(d
),
(e) or (f)
do
not apply , wi
th
in five
Wor
king Days
of
recei
pt
of
the
request.
3.3.7 Where HAL fails to notify its response to a Tra
in
Operator Variation Request in accordance with
Condition
03
.3.6 and the request, if accepted, would not give rise to any conflict with:
(a) the
Ne
w Working Timetable after it is published
at
D-26; or
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(b) the relevant
Wori
g Timetable;
or
(c)
the
Rules,
it
shall
be
deemed to have accepted the request.
3.3.8 Where a Ttmetable Participant is dissatisfied with any final decision
of
HAL
in
response to a Train
Operator Variation Request,
it
may appeal against that decision
in
accordance with Condition
05
,
provided that it submits its appeal as soon as reasonably practicable and, in any event,
no
later than
five
Wori
g
Da
ys after it is notified
of
the
relevant decision
by
HAL.
3.3.9 Where HAL rejects or modifies any Train Operator V
ar
i
at
ion Request
it
must provide written reasons
for its decision.
3.4
HAL
Variations with at
least
12 Weeks Notice
3.4.1 T
he
procedures described
in
this Condition
03
.4 are designed to facilitate the planning of all HAL
Restrictions
of
Use
and
Networi<
Rail Restrictions
of
Use at least 12 weeks prior to the start
of
each
Timetable Week.
3.4.2 HAL shall
be
entitled to make a variation to the WoriTimetable provided that:
(a) the HAL Variation is made for the purpose
of
taking HAL Restrictions
of
Use which are
consistent with the Rules, as published following the process set out in Condition
022
or as
amended in accordance with
the
procedure established pursuant to Condition 03.4.3; or
(b) the
HAl
Variation is made for the purpose
of
facilitating an agreed
Netv.-ork
Rail Restriction
ofUse
; and
(c) HAL complies with the procedure set out in this Condition
03
.4.
3.4.3 HAL shall include in the Rules a procedure to enable amendment of the Rules, following their
fi
na
lisation in accordance wrth Condition 02.2. Th1s amendi
ng
power is without prejudice to
the
amending
po
w
er
referred to in Condition 02.2.7, and is to be utilised
in
order to facilitate changes
which HAL considers necessary
to
take HAL Restrictions of Use or to fadlitate Networi< Rail
Restrictions
of
Use.
3.4.4 The procedure referred to in Condition 03.4.3:
(a) must require t
ha
t no amendment to the Rules may be made unless HAL has consu
lt
ed with
all Timetable Participants likely to be affected
by
the
amendment;
(b) must require th
at
all
dec
isions of
HAL
be made by application
of
the Decision Criteria in
accordance with Condition
04
.6;
(c) may authorise changes to the procedure.
3.4.5 All amendments to the Rules made pursuant
to
the procedure referred to in Condition
03
.4.3 shall be
subject to the appeal procedures in Condition
05
as
if
they were made pursuant to a procedure set
out
in this Part 0 .
3.4.6
No
twithstanding anything stated elsewhere in this Part 0 , where any amendment is made to the
procedure referred to in Condition 03.4.3
by
use
of
th
at
procedure, the amendment shall
not
take effect
until the determination of any appeal against the same.
3.4.7 Where HAL proposes to make any variation to the Working Timetable consequent upon an amendment
to the
Ru
les made in accordance with this Condition 03.4, HAL shall provide to each Timetable
Parti
ci
pant,
by
TW
-30,
i
ts
proposals for HAL Restrictions
of
Use in respect
of
the corresponding
Timetable Wee
k.
All such proposals may be amended or supplemented by HAL
at
any time prior to
TW-26 and such amendments or supplements should also
be
provided to Timetable Participants prior
to
TW-26
.
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3.4.8 After
TW
--30
but by TW-26, HAL shall consul t with each Timetable
Pa
rticipant affected (directly
or
indi
redly
) by
the
HAL Restrictions of Use proposed pursuant to Condition
03
.4
.7
and
shall seek to
agree all HAL Va
ri
ations to be made .
3.4.9 To facilitate the
pl
a
nn
i
ng
of any HAL Variati
on
, HAL may require that any Timetable Participant shall
submit a revised Access Proposal in respect of any Train Slot.
3.4.10 Where HAL requires a revised Access Proposal:
(a)
the
requirement must
be
notified to the affected Timetable Partic
ip
ant no later than
TW
-22;
(b) HAL
sha
ll specify the aspects
of
the Access Proposal whi
ch
need to
be
re
vised and its
reasons for this;
(c) HAL shall specify a rea sonab
le
peri
od
in which the
re
vised Access Proposal must
be
provided,
and
in any event the revised Access Proposal shall
be
submitted no later than
TVV-
18.
3.
4.1
1 HAL may modify, accept or reject a revised Access Proposal and where
it
modiftes or rejects any
revised Access Proposal ,
it
must provide written reasons for its decisi
on
.
3.4.
12
Where a revised Access Proposal has not been submitted by a Timetable Participant as required by
HAL, HAL shall
be
entitled to make a HAL Va
ri
ation
of
an
y Train Slot in respect
of
whi
ch
the revised
Access Proposal was required and no appeal may
be
made in respect
of
HAL's decisi
on
.
3.4.13 Not later than
TW
-14. HAL shall notify all Timetable Participants of its
de
cisi
on
in respect
of
HAL
Variations
to
be
made pursua
nt
to the procedure
in
this Condition
03
.4.
3.4.14 Not
la
ter than TW-13 . any Timetable Participant affected by HAL's decisi
on
notified pursuant to
Condition
03
.4.13 shall i
nf
orm HAL whether it accepts or disputes that decision.
3.4.15
At
TW-12, HAL shall record and provide to all Tirrtetable Participants, in accordance
wi
th Condition
03.7
.1
, the HAL Variations to be made pursuant to this Conditi
on
03
.4.
3.4.16 Subject as provided in Condition
03
.4.12, any Ti
rrte
table Participant which is dissatisfied with any final
decisi
on
of
HAL in respect of a HAL Variation may appeal against it in accordance with Conditi
on
05.
3.5
HAL
Variations
with
less
than
12
Weeks
Notice
3.
5.1
lt may
be
necessary for HAL Restrictions
of
Use to
be
arranged by HAL, or Network Rail Restrictions of
Use
to
be
arranged by Network Rail, with less than 12 week's notice
or
otherwise outside the process
described in Condition 03.4.
Th
e following
pa
ragraphs of this Condition
03
.5 a
re
intended to fac
ili
tate
su
dl
Restrictions
of
Use.
3.5.2 Where HAL proposes to make any variati
on
to the Worki
ng
Timetable in circumstances where it
is
not
reasonably practicable to comply with the tim ing requirements
of
Condition
03
.4, HAL shall follow
the procedures set out in Conditi
on
03.4 save that:
{a) the timing requirements specified there;
and
(b) Conditions
03
.4.13,
03
.4
.1
4 and
03
.4.15;
shall not apply.
In
carrying out those procedures, HAL sh
all
be
permitted (for itsel
f)
and shall prescribe
(for affected Timetable Participants) such time periods for ea
ch
step as are reasonably pra cticable in
the circumstances. HAL shall notify all affected Timetable Participants of i
ts
final decis i
on
in respect of
any such cha
ng
e as soon as reasonably practicable.
An
y variation to a Working Timetable made
pursuant to this Condition 03.5.2 shall be a "HAL Va
ri
ati
on
" for the purposes
of
this Part D.
3.
5.3
An
y Timetable Participant which is dissatisfied with any final decision
of
HAL
in
respect
of
a HAL
Variati
on
made pursuant to Condition 03.5.2 may appeal in accordance with Condition 05.
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