ACCESS CHARTER

Guidance Notes

Version: March 2015 Revision 9

Table of Contents

1. THE PRINCIPLES ............................................................................................................................. 2

2. THE COMMITMENT ......................................................................................................................... 2

3. ROLES AND RESPONSIBILITY ...................................................................................................... 3

4. APPLYING FOR ACCESS ............................................................................................................... 4

5. MAXIMISING / OPTIMISING ACCESS ........................................................................................... 5

6. TYPES OF ACCESS......................................................................................................................... 7

7. ISSUES REQUIRING RESOLUTION.............................................................................................. 9

8. FURTHER INFORMATION .............................................................................................................. 9

Annex 1 - Definitions............................................................................................................................... 10

Annex 2 – Timescales ............................................................................................................................ 13

Annex 3 – Roles and Responsibilities RACI Table .............................................................................. 14

Annex 4 – Access Subcategories .......................................................................................................... 15

Annex 5 – Access Plan Templates ........................................................................................................ 19

Annex 6 – Requests for the use of Engineering Trains ....................................................................... 25

Annex 7 – Specialist Protection Resources .......................................................................................... 27

Annex 8 – Network Rail Interface Locations......................................................................................... 28

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1. THE PRINCIPLES

The Access Charter sets out a framework for collaboration between the Access Team and Managers requesting access to undertake works on London Underground (LU) infrastructure.

Within these guidance notes the terms which are capitalised have a specific meaning, which has been defined in Annex 1.

The aim of the Access Charter is to maximise the availability and efficient use of access to the railway (Working Time) in order to best meet the needs of Managers, whilst at the same time avoiding unnecessary disruption in the operation of the railway and to the travelling public. This will be facilitated through improved access planning which will allow the finite access resource to be maximised in scale and efficiency of use. It is however noted that it is LU’s responsibility to provide access to carry out essential works and therefore ultimately, LU takes the risk when access cannot be made available.

It is also a core aim of the Access Charter to encourage and incentivise a high degree of advance access planning, facilitating the provision of sufficient time in delivery programmes for effective safety planning, safety critical checks and the publication of protection arrangements.

As stated above, the Access Charter sets out the framework for the access booking process and is not therefore intended to be a contractual document for use with supply chain Contractors. The Work Information/Specifications included in tender documents will therefore need to set out the obligations of Contractors. In this respect the LU Works Information Template has been amended to reflect the Access Charter and these Guidance Notes.

2. THE COMMITMENT

In support of the above principles and as set out in the Access Charter the Access Team have made the commitment to Managers that they will:

(a) Take responsibility for making access available to deliver work and the default position will be to say ‘yes’ and not ‘no’

(b) Work with Managers to maximise the available Working Time provided that the work:

i. can be delivered safely

ii. is not unduly disruptive to the operational railway

iii. applies an economic and efficient working pattern

(c) Facilitate and coordinate access across the whole railway to maximise utilisation of Working Time for the benefit of all

(d) Where an access request cannot be accommodated, work with Managers to provide a suitable alternative

(e) Provide an annual report detailing the performance of the Access Team in maximising available Working Time and provide guidance on how to improve on that performance

Similarly the Access Charter expects Managers to:

a. Follow the principle of early engagement with the Access Team and ongoing consultation throughout the development of the contractual documents (e.g. Access Plan / Works Information / Specification) and the letting of contracts.

b. Plan works to maximise the use of the Working Time made available, including maximising opportunities to deliver work in Traffic Hours

c. Plan works to avoid closures unless it is the only economic or safe option

d. Plan ahead and request access in a timely manner. All planning must be completed by the deadlines stipulated in Annex 2 unless stipulated otherwise by your Access Manager.

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3. ROLES AND RESPONSIBILITY 3.1 Generally

The roles and responsibilities of the key parties involved in the access planning process at each Pathway Stage Gate are summarised in a RACI Table in Annex 3. This is provided for guidance only, as each project/programme of work will be unique. Where Pathway is not the corporate governance approval process being applied, the Access Manager and the Manager should agree a project/programme specific RACI table as part of their initial consultation.

In summary the roles and responsibilities of the key parties are set out in the following paragraphs 4.2 to 4.5.

3.2 Head of Access The Head of Access is ultimately responsible for all Access Team related activities.

3.3 Access Planning Manager

The Access Planning Manager is responsible for ensuring that the Access Managers plan the work appropriately and take into account any optimisation, and integrated planning needs.

3.4 Access Managers

Access Managers provide the day-to-day interface between the Access Team and Managers and in summary are accountable for:

• optimising the work requests that are being made and provide advice, guidance and support to the Manager / Contractor throughout the process

• applying the integrated planning process

• advising on timescales with respect to booking access and additional resources

• resolving any potential work clashes

• confirming the access booking and providing a SABRE number

• capturing lessons learnt for future works

3.5 Managers Managers are accountable/ responsible for:

• identifying the access need and defining the work that is to take place

• incorporating any access efficiencies into estimates and schedules

• producing the Access Plan and associated contractual documentation (in agreement with the Commercial Manager)

• submitting the Works Request Form

• capturing lesson learnt for future works

• notifying the Access Manager of any changes in requirements which could affect the access request

3.6 Contractor

Contractors are responsible for:

• amending the Access Plan post contract award in line with any contractual terms and conditions.

In respect of conveying the above contractual obligation to Contractors the Works Information Template provides for the circumstance that the Contractor is required to engage with the Access Team, in the access planning and booking process. For this reason the

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Works Information Template uses the term Applicant and provides for either the Manager or Contractor to be designated as the Applicant for access.

4. APPLYING FOR ACCESS 4.1 Communication

The key to making access work for Managers is early engagement and communication with the Access Team.

As soon as a Manager has identified a need for access, the Access Team should be consulted for advice on what access can or can’t be given and where bespoke access might be arranged. The Access Team will also be able to advise on lockdown dates for finalising planning arrangements and for confirming access requirements in the access booking system (see Section 8 for contact details).

As the scope and method of delivery of work streams matures through the project/programme life cycle, the Access Manager will be able to refine, with the Manager, the access needs and provide additional advice on possible efficiencies.

If, during the process (particularly during the integrated planning and optimisation stages), the Access Manager identifies any potential conflicts, these will be discussed with the Manager, so that they can be quickly resolved.

4.2 The Access Plan

In order to achieve greater efficiency and maximise Working Time it is important that all projects/programmes of work (that require site access) have an Access Plan (ref: Annex 5 for templates for Track and Station Access Plans). The Access Plan is formulated by the Manager and is developed and expanded as a working document at each stage in the life cycle of a project/programme of works (the life cycle stages being the Stage Gates defined by Pathway or other appropriate corporate governance approval stages, if the Pathway is not being applied).

The Access Manager will work collaboratively with the Manager in defining the Access Plan at each stage of the project/programme life cycle and the Manager should not commit to any contracts, with Contractors, unless the Access Plan has been agreed with the Access Manager.

For maintenance programmes, the Planned Preventative Maintenance and Corrective Maintenance schedules (subject to the agreement of the format with the Access Manager) may be submitted as an alternative to an Access Plan and these will be included in the integrated planning process.

Where the Access Manager identifies the need for a closure in an Access Plan, additional planning meetings may need to be convened before the Access Plan can be approved. The Manager (and Contractor) may be required to attend these meetings.

4.3 Work Request Form

With respect to internal processes, the Access Plan feeds into the Work Request Form. The Work Request Form not only covers access requirements, but also deals with permits and licences; storage; Operational Assurance; the use of Engineering Trains; the use of other mechanised equipment and specialist protection resources. The process for booking Engineering Trains is described in Annex 6 and specialist protection resources in Annex 7.

For those requests which do not require an Access Plan, the Applicant must still complete a Work Request Form. It is important that the contents of the Works Request Form are discussed and agreed with an Access Manager prior to submission so that the request can be processed efficiently.

In respect of defined programmes of work, access may (subject to agreement with the Access Manager), be detailed on a single Work Request Form and the delivery programme of the proposed works attached. Additional information may be requested at any time during the process, by the Access Manager, to support the processing of the Work Request Form.

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4.4 Timescales

The preparation of the Access Plan and the submission of the Works Request Form must take into account the timescales for booking access as set out in Annex 2.

It is emphasised that the timescales given in Annex 2 are the dates by which Access Plans must be agreed and therefore dialogue with the Access Team must have commenced well in advance.

4.5 Optimising existing closures

Managers should actively seek to utilise the existing closure programme to progress their works. Such opportunities can be identified and progressed through the access planning process with the Access Manager.

The Access Manager will give consideration to extending an existing planned closure to enable the Manager to deliver works, where it is considered it will provide a significant business benefit, notwithstanding the additional customer disruption caused.

In order to ensure that the level of disruption and limitation of journey opportunities caused by a closure is commensurate with the value to the business of the works to be carried out, any change to scope or use of the closure must be approved. If changes in scope are such that the value of the work to be carried out is no longer commensurate with the disruption caused, the closure may be cancelled. Other works unrelated to the original purpose of the closure may be permitted to take place within the closure limits (these will be agreed with the relevant Managers, prior to the booking being confirmed).

4.6 Changes to Access Plans and late requests for access

Every effort must be made by the Manager to request access in compliance with the timescales as set out in Annex 2.

In the event that the Manager requires a change to an Access Plan which has already been agreed and approved and where the change, if implemented, would impact the agreed access of another party or the operational railway, the change request will be referred by the Access Manager to the Access Planning Manager (and where appropriate the Head of Access) for approval. If the change cannot be accommodated a reasonable alternative will be offered, where it is practicable to do so.

Similarly, late requests for access will also be referred by the Access Manager to the Access Planning Manager (and where appropriate the Head of Access) for approval. If a late request for access cannot be accommodated a reasonable alternative will be offered where it is practicable to do so.

5. MAXIMISING / OPTIMISING ACCESS 5.1 Maximising the available working time

The key objective of both the Access Manager and the Manager is to ensure that the maximum the Working Time is made available and the most efficient access and protection methods are used.

Working time illustration The Manager must advise the Access Manager of any requirements for Set-up and Clear-Down time, which will be taken into account when planning access. The Set-up and Clear-Down time will be arranged to maximise the available Time On Tools.

Briefing and Debriefing can be undertaken ahead of, or after the identified Working Time and the Site-Person-In-Charge should be encouraged to hold these, whilst waiting to start work or after the work has been completed.

Set-up Time On Tools Clear Down

Briefing Working Time De-brief

Working Hours

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5.2 Station Access

During the planning of works within Stations, the Manager shall in the first instance, consider if the works can be carried out during Traffic Hours and thus maximise the available Working Time.

Throughout the access planning process the Access Manager will work with the Manager to enable Traffic Hours working and Working Time maximisation, where it is safe, economic and efficient to do so. To assist the Manager in planning any works on or through a Station, Local Station Access Arrangement Reference Files are available. The Manager is required to define in the Access Plan the proposed Working Times. The methodology for safe working and protection of the general public when working in Traffic Hours should also be developed in support of the Access Plan (i.e. Method Statements and established Safe System of Work).

The point that the proposed Working Time includes works in Traffic Hours that become so extensive that it cannot sensibly be carried out without a closure is not readily definable. In this regard the Access Manager and the Manager will need to jointly review the proposed scope and ascertain the optimum combination of Traffic Hours working and other forms of access in the formulation of the Access Plan.

In order to maximise worksite efficiency and the use of the available Working Time, all those gaining access to the Track via Stations must ensure that all persons, plant and equipment are positioned such that they are ready to access the Track as soon as traction current has been confirmed as being off. Access to Stations will be provided in order to facilitate this, where it is safe to do so. Depending on the location, labour, plant and materials may at the end of each shift of Engineering Hours, be removed through the Station in Traffic Hours. The Access Plan in detailing the proposed Working Time will need to detail the latest time in Traffic Hours when the Station will be clear.

Plant and materials may be moved through the Station in accordance with LU Rulebooks. It will be the Managers responsibility to ensure that the marshalling areas on the Stations are adequate for all persons, plant and equipment for which access is required and to liaise with the Access Manager to identify additional areas if required.

Where practical to do so the welfare facilities on Stations will be made available to those working on the infrastructure, be it on the Station or the Track environment. The Manager is responsible for defining the amount and type of welfare facilities required and the Access Manager will obtain the necessary authorisation as part of the access planning process.

If the Access Manager is not able to obtain authorisation for the use of all the Station welfare facilities requested by the Manager, the Access Manager will obtain the maximum amount possible and advise the Manager of the shortfall and the reasons why it has not been possible to provide all the requested facilities. Where additional welfare facilities are required the Manager is responsible for arranging for these to be provided.

5.3 Track Access

As part of the access planning process and in order to maximise working hours on site, the Access Manager will assist in identifying work opportunities that maximise the available Working Time.

The standard minimum call back time is 20 (twenty) minutes which should be the period referred to in all agreements with Contractors, unless the Access Manager has confirmed a shorter period is acceptable for a particular worksite, in the Access Plan. Where a shorter period has been agreed this should be stated, where indicated in Appendix 4 of the template Works Information (please note in respect of track milling and grinding works the standard 20 (twenty) minute call-back time is reduced to 5 (five) minutes).

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5.4 Train or Motorised Vehicle Optimisation

Engineering train rolling stock and train/mechanised vehicle paths will be subject to optimisation planning at 56 days prior to the week of the requested supply date. Optimisation planning will be carried out by the Access Manager, the aim of which is to:

• Maximising the nightly use of the available resources, trains, rolling stock, loading gangs, crews

• Maximising train pathing opportunities and time at site

• Maximising the access to the infrastructure to all parties requiring access

• Promoting opportunities to share engineering trains between requesters in order to optimise available access and/or resources

• Meeting LU’s business needs and/or priorities

In the event that it is required to re-schedule a requested train, the Manager will be consulted by the Access Manager and an alternative booking, as close to the original date as is possible, agreed.

6. TYPES OF ACCESS 6.1 Types of Access

Below is a summary of the main types of access that are available to Managers and are applicable to both Station and Track access requests. The Access Manager will work with the Manager to identify the most appropriate type of access for the works to be carried out to determine the optimum Working Time. Where necessary the Access Manager will have the final decision as to which type of access is to be used, but in exercising this authority, the Access Manager will take into account the delivery methodology and Working Time proposed by the Manager. The Access Manager will not require the Manager to adopt alternative delivery methodology and Working Times where it is not considered by the Manager to be practical or safe to do so. All requests for access shall be made in accordance with the timescales set out in Annex 2.

6.1.1 General Access

General Access is a category of access for undertaking non-exclusive/non-restrictive works on LU infrastructure, using all necessary tools and equipment. SABRE numbers may be valid for up to a whole financial year, but may also be issued for shorter time periods to suit work demands.

General Access may be applied for to cover large areas of the network, for example whole lines, or for more discrete locations or worksites to suit work demands.

A Manager may apply for a number of General Access SABRE numbers; however the Head of Access will aim to limit the proliferation of General Access SABRE numbers for the same or similar work teams, projects, or areas etc. It is however recognised that certain more complicated projects may require a number of General Access SABRE numbers, in order to better manage and monitor access utilisation, for the various sub-sets of activities, sub-contractors and/or work packages etc. under such projects. All requests will be considered by the Access Manager on their own merits. General Access does not need to be Published.

6.1.2 Non-Exclusive / Non-Restrictive Access

Non-Restrictive/Exclusive Access is similar to General Access and is also a category of access for undertaking non-restrictive and non-exclusive works on the Underground Network, using all necessary tools and equipment. It is valid for both Station and Track. The difference is that it is applied to smaller more limited areas that General Access sufficient to carry out specific pieces of work. Non-Restrictive/Exclusive Access does not require Publication.

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6.1.3 Restrictive Access

Restrictive Access is a category of access that places a restriction on what can take place within a particular worksite and where the restriction will apply to all parties attempting to work that particular shift.

The Manager must demonstrate that this is the most appropriate form of access and in conjunction with the Access Manager, take account of the impact that granting of Restrictive Access would have on the network and other work streams. Restrictive Access will not typically be permitted to cover a protracted number of shifts or consecutive shifts, across the same geographical area, but it is recognised that for some Station upgrade works that this type of access may routinely be required.

The area covered by a Restrictive Access SABRE number will be clearly defined and restricted to the minimum area required to achieve the scope of works and thereby not unduly impede the works of others.

Restrictive Access does need to be Published which will be arranged by the Access Manager.

6.1.4 Exclusive Access

Exclusive Access is a category of access that prohibits any party not directly involved in the works (for which Exclusive Access has been booked) from working in that worksite.

Similar to Restrictive Access, the Manager must demonstrate that this is the most appropriate form of access, and in conjunction with the Access Manager take account of the impact that granting Exclusive Access would have on the network and other work streams. Exclusive Access will not typically be permitted to cover a protracted number of shifts or consecutive shifts, across the same geographical area. Any requests that are contrary to this will be referred by the Access Manager to the Head of Access for review and authorisation.

The area covered by an Exclusive Access SABRE number must be clearly defined and restricted to the minimum area required to achieve the scope of works and thereby not unduly impede the works of others.

Exclusive Access does need to be Published which will be arranged by the Access Manager..

6.1.5 Emergency Access

Emergency Access is access required to deal with an Incident as defined in Rule Book 2, or is required to rectify the failure of an asset which, if not rectified, would have a material adverse impact on passenger services. Emergency Access takes precedence over any other booking or request as directed by the Incident Officer.

6.1.6 Major Closures

A Major Closure can be classified as any planned disruptive work which results in any LUL service being unavailable between 0600 and 2100 on a weekday (excluding Bank Holidays).

6.1.7 Minor Closures

A Minor Closure can be classified as any planned disruptive work, apart from L&E Closures (defined below) which results in any LU services being unavailable outside the hours of 0600 and 2100 on a weekday (excluding Bank Holidays) or at any other time at Weekends and Bank Holidays (including the Night Tube Period for works within the Night Tube Sections).

6.1.8 L&E Closures

Lift & Escalator Closures are closures of lifts, escalators or travelators which can be accommodated without requiring a Station or platform to be closed. The Access Manager

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will review the impact of the requested L&E Closure in the context of any other concurrent network closures.

6.1.9 Access Subcategories

Within the above main types of access there are a number of access subcategories which are used in the booking system. The subcategories are detailed in Annex 4 and a description of the typical work to which they apply, such a track possession, is also provided in order to provide some assistance in identifying the type of access applicable to particular works.

7. ISSUES REQUIRING RESOLUTION

Where the Access Manager or the Manager considers that the other party has not acted in the spirit of collaboration intended by the Access Charter the matter should be referred in the first instance to the Access Planning Manager and the Programme Manager (or equivalent).

If the matter cannot be resolved it may then be referred to the Head of Access and the Capital Programmes Director / Chief Operating Officer for resolution.

8. FURTHER INFORMATION

If you have any questions or queries about this document, please contact the Access Transformation Programme Team at ATP@tfl.gov.uk.

If you have any questions or queries specific to Track or depot access please send these to

AccessRequestsTrack@tfl.gov.uk

If you have any questions or queries specific to Station access or Operational Assurance please send these to

AccessRequestsStations@tfl.gov.uk

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Annex 1 - Definitions

Access Charter: the principles of engagement and collaboration between the Access Team and Managers.

Access Manager: The person responsible for access requests for particular works and who will act as the single point of contact for a Manager in respect of all access related matters.

Access Planning Manager: The person responsible for the coordination of the Access Managers in the optimisation, and integration of access planning across all work streams.

Access Plan: The access plan developed at each project/programme life cycle stage detailing the access required to deliver works in the form of the templates provided as Annex 5.

Access Team: the team which comprises the Head of Access and his delegated representatives the Access Planning Manager and Access Managers.

Applicant: The term used by the template Works Information to denote that the obligation to book access may reside with Contractors as well as Managers

Contractor: A third party supplier of works or services.

Engineering Hours: This term applies to the running line and is described as being when traction current is switched off (as published in the Guide to Switching Current On and Off subject to variance as published in an Engineering Notice) and trains are not running (ref LU Rule Book 17 for the definition of Engineering Hours). Engineering Look Ahead Notice: The weekly look ahead notice published on the LU intranet.

Engineering Notice: The daily notices published on the LU intranet.

Guide to Switching Current On and Off: The guides to traction current on and off switching times published on the LU intranet

Head of Access: The person responsible for managing access to the LU infrastructure for works. This role includes but is not limited to the responsibility for the publication of safety documentation.

Incident Officer: The senior LU operating officer responsible for managing an incident.

Local Station Access Arrangement Reference Files: The guides published by the Head of Access detailing where works may potentially be undertaken on Stations in Traffic Hours including details of possible locations for the storage of materials and equipment and Station opening and closing hours and published on the LU intranet.

LU Rule Book: Are the rule books covering the operation of trains and stations and accessing the track published on the LU intranet at:

Manager: The person (normally the Project Manager or the Construction Manager as defined by the Pathway Manual for project related works or Asset Manager/Accountable Manager for operational activities), or their delegated representative (which may include supply chain contractors) responsible for booking access for the delivery of work. Network Rail: means Network Rail Infrastructure Limited.

Network Rail Interface Locations: means the locations on the LU where network Rail Infrastructure interfaces with LU infrastructure as set out in Annex 8.

Nightly Engineering Protection Arrangements (NEPA):The guides to nightly engineering protection arrangements published on the LU intranet

Night Tube: means the provision a 24 hour revenue service which is due to commence 11th September 2015.

Night Tube Running Period: means nominally the period between 21:00hrs Friday night and 06:00hrs Sunday morning

Night Tube Sections: means the sections of the Underground Network which provide Night Tube. The applicable sections of the Underground Network are:

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a. The Central Line route between and including Hainault, Loughton and Ealing Broadway stations (no Night Tube outside of this route The Jubilee Line entire network

b. The Jubilee Line entire network

c. The Northern Line route between and including High Barnet, Edgware and Morden Stations via the Charring Cross Branch (no Night Tube outside of this route)

d. The Piccadilly Line route between and including Cockfosters and Heathrow Terminal 5 stations (no Night Tube outside of this route)

e. The Victoria Line entire network

Operational Assurance: An Operational Assurance Notification made to LU in accordance with the requirements of Standard 1-538 (Assurance).

Pathway: The TfL project planning process. Planned Works Report: means the daily and weekly notices published on the LU intranet.

Published: In respect of Restrictive and Exclusive Track access published means the works need to be notified in the Engineering Look Ahead Notice, the Engineering Notice and the Nightly Engineering Protection Arrangements (NEPA) Notice. For Restrictive and Exclusive Stations access published means the works need to be notified in the Station Work Plan.

SABRE (Site Access Booking for Railway Engineering): The system used to record access requests (or any system for recording access which may supersede it at any time in the future). Specialist Protection: means all protection arrangements in addition to the Contractors SPC (with dual protection qualifications) including but not limited to possession masters; protection resources to implement possession protection arrangements; staff to isolate traction current, technical officers to implement a set of protection arrangements and protection on Network Rail Infrastructure. Stage Gates: Are the project control gates defined by Pathway and as listed below:

Stage 1 – Outcome definition Stage 2 – Feasibility Stage 3 – Concept Design Stage 4 – Detail Design Stage 5 – Delivery Stage 6 – Project Close

Station: Areas to which LU Rule Book 10 applies including buildings or equipment designed to be used by customers to access or leave a train.

Station Works Plan: The general access requests; planned works weekly and planned daily publications circulated by LUL detailing the access arrangements for works planned to be undertaken at all stations.

Resource Request Form: This form can be obtained from the Access Team by emailing them on ProtectionResourceBookings@tube.tfl.gov.uk

Track: defined by LU Rule Book 21 as being; within two metres of any rail; on the track itself; platform end ramps and within 600 mm of a platform edge.

Traffic Circular:: means the weekly publication containing information such as, infrastructure changes, train service changes, events affecting LU, notification of restrictions to LU operations and operational communications published on the LU intranet.

Traffic Hours: This term applies to the running line and is described as being when traction current is switched on (as published in the Guide to Switching Current On and Off subject to variance as published in an Engineering Notice) and trains are running (ref LU Rule Book 17 for the definition of Traffic Hours). Works Information Template: means the works information template published on the LU intranet.

Work Request Form: The e-form which must be completed in order for a access booking to be processed.

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Working Time: the period of time when access to the worksite can be granted, for the purpose of performing work and setting-up/clearing-down the site.

Set-up Time On Tools Clear Down

Briefing Working Time De-brief

Working Hours

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Annex 2 – Timescales

Type

Applicable to(iv):

Station Access(i) Track Access(i) Working Time in

Engineering Hours

Traffic Hours

General Access Non-Restrictive/ Exclusive Access

Yes (14) Yes (14) Yes Yes

Restrictive Access Exclusive Access

Yes (21) Yes (56) Yes Yes

Major Closures(iii)(v) Yes (540) Yes (540) No Yes

Minor Closure(ii) (iii)

(v) Yes (222) Yes (222) No (ii) Yes

L&E Closure(iii) Yes (90) N/A Yes Yes

Notes

i. The above table gives the T- date in brackets by which planning must be completed. Managers must allow for sufficient time for adequate planning.

ii. A Minor Closure may be applicable to Engineering Hours if a vehicle is being outstabled Where no more than two vehicles are being outstabled at any single location the timescale for booking may subject to the agreement of the Access Manager be reduced to 90 days

iii. The timescales shown here are the longest lead times required for Closures. Please talk to the Access Team, with respect to your specific requirements and they will advise of any improvements which can be made on these timescales

iv. Where access is required to Network Rail infrastructure at the Network Rail Interface Locations the minimum booking period for all access types is 294 days access except for Major Closures which remains unchanged

v. A Closure in respect of a depot or sliding may be required if the proposed works affects the operational railway

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Annex 3 – Roles and Responsibilities RACI Table

Pathway RACI for Access Related Activities

The following chart is intended as a guide for access related activities undertaken as part of the Pathway lifecycle.

Step

Num

ber

Activ

ity

Path

way

Stag

e 1

(Out

com

e De

finiti

onPa

thwa

y St

age

2 (F

easib

ility)

Path

way

Stag

e 3

(Con

cept

Des

ign)

Path

way

Stag

e 4

(Det

ail

Desig

n)

Path

way

Stag

e 5

(Del

ivery

)Pa

thwa

y St

age

6 (P

roje

ct C

lose

)

Head

of A

cces

s

Acce

ss P

lann

ing

Man

ager

Acce

ss M

anag

er

Man

ager

Cont

ract

or

1 Identify potential access requirements and engage with Access Manager as early as possible √ C A/R

2Identify assumptions and possible efficiencies with respect to access arrangements. Advise on potential planning timescales for access requests and known constraints. Check possible clashes and opportunities. √ A R C

3Record outcomes of access discussions / assumptions in the project execution plan (as appropriate). Outline where and when the works are planned (with approximate dates and Engineering / Traffic Hours working patterns if known), any potential constraints (if known) and resource requirements (in particular vehicles / plant - if known). Identify potential efficiencies which should be investigated, as more detail is produced.

√ C A/R

4Agree possible Working Time efficiencies to be reflected in budget estimate and delivery programme based on discussions with Access Manager and previous work / lessons learned. Include assumptions, mitigation and potential impacts in risk/opportunities register √ C A/R

5 Access Manager to advise on potential optimisation of access request as a result of changing access landscape (e.g. use existing closures / traffic hours etc.) √ A R C

6 Prepare / update draft Access Plan, delivery programme and budget estimate taking into account timescales for booking access and the possible efficiencies previously identified. Optimise Access Plan/programme to maximise Traffic Hours working and minimise closures (number and duration) √ √ √ C A/R

7 Notify/update the Access Manager on requirements for Vehicles, Plant, Equipment and Specialist Resources (if applicable) √ √ √ C A/R

8 Access Manager to advise on timescales for works request applications, and to check on continued availability of Vehicles, Plant, Equipment and Specialist Resources which are being booked through the Access Department √ √ √ A R C

9 Continue discussions with Access Manager, refine requirements and assumptions as applicable. Update Access Plan for submission at Stage Gate Review √ √ √ C A/R

10Draft / Submit Works Request Form(s) (as & when applicable) [Works Request Forms / General Access may be required at the early stages of a project in order to conduct survey work or similar] √ √ C A/R

11 Access Manager confirms booking(s), access arrangements and issues SABRE number √ √ A R I

12 Prepare Works Information/Specification to reflect the detail in the Access Plan (including any bespoke access arrangements which have been agreed with the Access Manager), welfare facilities and storage areas √ √ C A/R

13 Update Access Plan in accordance with the Contract terms to reflect project and scope changes √ C A/C R

14 Access Manager confirms revised booking and access arrangements and issues booking number(s) √ A R I I

15 Update lessons learned & core plans (Access Team) √ A R C

16 Update lessons learned (Project) √ C A/R

17 In the event of any dispute at any point during the process which cannot be resolved between the Access Manager & Manager; this should be escalated to the Access Planning Manager for resolution √ √ √ √ A R C C

Key

Responsible:

Accountable:

Consulted:

Informed:

Note: Contractors may become responsible for updating the Access Plan before Stage 5 in contracts where there is early contractor involvement such as contractor design.

Responsible for producing the output but not ultimately accountable. Responsibility can be delegated

Ultimately accountable for the successful completion of the activities. Accountability cannot be delegated

Must be consulted during the process. Evidence of consultation should be retained

Informed about the process deliverable. Evidence of the required information having been disseminated should be retained

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Annex 4 – Access Subcategories

The following list is indicative not exhaustive. Please consult with your Access Manager in order to establish agreed timescales for finalising the access arrangements for your works.

Station works

Access Type Booking Description Days Work Type Description

General Access General Access (non Track) 14 For undertaking the majority of everyday access needs, using relevant tools and materials. Not to be used for works that imposes a restrictive or exclusive requirement on other access users.

Non Restrictive/ Exclusive Access

Non Restrictive/ Exclusive Access (non Track)

14 For undertaking everyday access needs, using relevant tools and materials within a defined area

Restrictive Access

Restrictive - Asbestos Site 21 Only issued to specialist Asbestos contractors registered with LU for asbestos works. Access for asbestos works e.g. removal for which no other parties can be present on grounds of safety.

Restrictive - Bright Lights 21 For where access introduces the use of additional lighting that could potential impact other access users. Rarely applied.

Restrictive - Closure Area 21 To define an area of a station subject to a Closure (i.e. taken out of service for the purposes of engineering works).

Restrictive - Movement of Materials

21 For where access necessitates the movement of materials either through a station that may impact on other access users. May include craning over of materials.

Restrictive - Noisy Works 21 For where access will result in particularly noisy works that may have an impact on other access users.

Restrictive - Plant / Chemicals in a confined space

21 For where access introduces the use of plant and chemicals in a confined space . Rarely used.

Restrictive - Power Cessation- Power Outages Possible

21 For where access will introduce a cessation of power that may impact other access users (e.g. need for temporary supplies/portable lighting).

Exclusive Access Exclusive – Asbestos Exclusion Zone

21 Only issued to specialist Asbestos contractors registered with LU for asbestos works. Access for asbestos works e.g. removal for which no other parties can be present on grounds of safety.

If your work includes station and track activities, please contact the Access Team with respect to any constraints / special arrangements concerning your work. The Access Team will advise you with respect to your booking.

15

The following list is indicative not exhaustive. Please consult with your Access Manager in order to establish agreed timescales for finalising the access arrangements for your works.

Track

Booking Description Booking Description Booking

Description Booking Description

General Access (Non Exclusive/ Non-Restrictive

General Access (Track) 14 For undertaking the majority of everyday access needs, using relevant tools and materials. Not to be used for works that imposes a restrictive or exclusive requirement on other access users.

Non Restrictive/ Exclusive Access

Non Restrictive/ Exclusive Access (Track)

14 For undertaking everyday access needs, using relevant tools and materials within a defined area

Restrictive Restrictive - Allied Track 56 To define an area of track used in conjunction with, or subject to impact from, another access booking e.g. unloading of materials from a train booked under an Exclusive Specified Area.

Restrictive - Asbestos Site 56 Only issued to specialist Asbestos contractors registered with LU for asbestos works. Access for asbestos works e.g. removal for which no other parties can be present on grounds of safety.

Restrictive - Bright Lights 56 For where access introduces the use of additional lighting that could potential impact other access users. Rarely applied.

Restrictive - Closure Area 56 To define an area of the LU railway subject to a Closure (i.e. taken out of service for the purposes of engineering works).

Restrictive - Motorised Trolley

56 For the operation of a motorised track trolley on the railway.

Restrictive - Movement of Materials

56 For where access necessitates the movement of materials either on, over or adjacent to the LU railway that may impact on other access users. May include craning over of materials.

Restrictive - Noisy Works 56 For where access will result in particularly noisy works that may have an impact on other access users.

Restrictive - Out-stabled Trains

56 To define an area of the LU railway where a service train is stabled (normally in platforms/sidings). May restrict the type of works that can be performed adjacent to this location.

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Track

Booking Description Booking Description Booking

Description Booking Description

Restrictive (Published) Cont’d

Restrictive - Plant / Chemicals in a confined space

56 For where access introduces the use of plant and chemicals in a confined space (e.g. platform inverts). Rarely used.

Restrictive - Power Cessation- Power Outages Possible

56 For where access will introduce a cessation of power (e.g. tunnel lighting, supply points) that may impact other access users (e.g. need for temporary supplies/portable lighting).

Restrictive - Protection Area 56 To define an area of track used as a protecting or 'buffer' zone. Used in conjunction with another Exclusive booking e.g. Specified Area, Possession.

Restrictive - Sub Station Works

56 Primarily for the use of LU Power teams requiring access to sub stations supplying power to the LU traction current system.

Restrictive - Wheels Free Zone

56 For works that require the running rails to be free of electrically conducting plant or equipment e.g. trolleys, trains etc. Usually used for works requiring isolation of the signalling circuits e.g. commissioning.

Exclusive Exclusive 56 For works necessitating sole access of the LU railway, and not more appropriately catered for under other categories herein. Only used sparingly and for short durations due to its restrictive nature on other works.

Exclusive - Asbestos Exclusion Zone

56 Only issued to specialist Asbestos contractors registered with LU for asbestos works. Access for asbestos works e.g. removal for which no other parties can be present on grounds of safety.

Exclusive - Current Rail Resistance Measurements

56 Primarily for the use of LU Power teams requiring controlled current measurements of the traction current delivery system.

Exclusive - Engineers' Current Area

56 For the running of engineering vehicles on live traction current in accordance with the Rule Book.

Exclusive - Possession 56 For the exclusive control of access to a given area of the railway. Traction current may be on or off. May involve the use of engineering trains, RRVs etc. As defined in the Rule Book

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Track

Booking Description Booking Description Booking

Description Booking Description

Exclusive Cont’d

Exclusive - Running on current, moving according to signals

56 For the running of vehicles on live traction current obeying LU signalling systems (e.g. test trains). Often referred to as ‘Cancelled Engineering Hours’. As defined in the Rule Book.

Exclusive - Specified Area 56 For the running of engineering machines e.g. trains, RRVs on the railway. As defined in the Rule Book

Exclusive - Traction Current Switching During Eng Hrs

56 For access that requires traction current to be switched on and off intermittently during the engineering hours shift. Primarily used in relation to power supply testing/commissioning etc.

If your work includes station and track activities, please contact the Access Team with respect to any constraints / special arrangements concerning your work. The Access Team will advise you with respect to your booking.

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Annex 5 – Access Plan Templates Stations Access Template Contact the StationAccessTeam@tfl.gov.uk for assistance with completing this plan. This plan is designed to outline the project scope and areas of the station where work will be completed or access will be required. This information will enable the most efficient access for your project which may include working during traffic hours, station preparation time or providing assistance with station closure request(s). This form is designed to be completed and transmitted electronically. Note – This is an early indication and not authority to work – SABRE, closure and OAN requirements still apply.

1. Project Details:

Station: Start Date: End Date:

Overall summary of planned works/project description:

2. Site Specific details In some cases, it may be easier to submit station layout plans depicting the proposed work/access

areas Indicate if you are attaching station layout plans

Please list here the main areas that will be affected and need to be ‘booked’ to this project. This broadly encompasses access routes, storage areas and actual works areas. SID Code (where known)

Area Description Type of access Access route Storage Worksite

Details of work Exclusive*

Example 4/092

Circulating Area Worksite Tiling of walls and floors, including floor grinding in preparation

*Can any of the areas above be used by other projects or will exclusive access be required? Tick the box only if exclusive access is required.

Access, Logistics & Operations

Station Access Plan

PMF -F0478

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3. Working in Traffic Hours Working in Traffic Hours can benefit your project by significantly increasing available work time. Can any of the proposed works be carried out in Traffic Hours? (Tick the box if YES) Please give details of what (if any) works can be carried out in Traffic Hours and what (if any) mitigations need to be in place to facilitate this For work in Engineering Hours, will access be required prior to station closing or is work required in Station Preparation Time? (Tick the box if YES)

If YES, give details:

4. Closures Will any closures (major or minor) be required? (Tick the box if YES) If YES, give details here: 5. Operational Assurance - summary Will the work involve any of the following? If you tick ANY of the boxes below, an OAN will be required to be signed off by the Operational Landlord. The Project Manager is responsible for starting the OAN process, together with a Non Technical Project Summary.

Disturbing the track/ballast L&E equipment Hoarding erection Dusty or noisy work Fire protection systems Hot working

Electrical/lighting Hazardous materials PA CCTV OPO Changes to passenger flows Signals, train signage Impact to customers/residents

Movement/storage of materials Ticket offices/halls Work to platforms or floors

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7. Sign off This form can be signed and transmitted electronically

6. Summary of other arrangements Bb224 Process – impact on the station fire system, station layout/configuration, station fire plans

Is there a change to the Fire Strategy for the station in Traffic Hours? (Tick the box if YES) If YES (or unsure), you will need to comply with the Bb224 PMF process. In addition, the Area Manager Stations will need to review their local risk assessments and Emergency Plans. Please summarise extent of changes: Welfare arrangements, noise/dust, impact on local residents, other details, comments etc Where known, provide details of welfare arrangements for contractors, any changes to staff accommodation and proposed mitigation, noise/dusty works, impact on local residents, known existing Local Authority controls regarding works/deliveries, known issues with Hazardous Substances in this area and any other issues. Continue on a separate page if necessary. The Access Arrangements will be discussed in much greater detail as part of the Operational Readiness Plan. Notes:

Area Manager Stations /Operational Task Manager Name:

Date: Sign: Transmission via email authorises

Project Manager (or representative) Name: :

Date: Sign: Transmission via email authorises

ALO Access Manager Name: :

Date: Sign: Transmission via email authorises

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Track Access Template

22

<lifecycle

Sponsor Prog Man

Proj Man

email phone

Access Man

email phone

Station UrgTrack

AppVeh/PlantProtection

L&E Closure

Major ClosureDo you need vehicles /

plant / equipment?

Will work be delivered in phases?

Likely Start Date

Describe where you will need access (include storage details & access routes if known)

5.0 STATION SPECIFIC DETAILS (if applicable)

4.0 LOCATIONS

6.0 DATES & SHIFTS

Earliest Start Date

Will you need a closure?How many phases?

Further Details Attached Minor Closure

Will you need specialist resources?

0

How much time?

Latest Start Date

Describe when you will need access and your prefererd shift pattern(s)

Earliest Finish DateLikely Finish DateLatest Finish Date

Minimum Duration

ContingencyMaximum Duration

Traffic / Opening Engineering / Closed

Both

Works schedule attached

2.0 ACCESS LOGISTICS

Applicant Access ManagerClosure (Maj)

Type of Access

Do you need set-up / clear down time?Have you considered working during traffic / opening times?

Exclusive Vehicles (T/Plant)Closure (Min) Restrictive Vehicles (Other)Closure (L&E)

Unpublished Work NR / 3rd Party

Station

Station Specific Details:SID

CodeArea Description

Depot / Sidings PlantPublished Work

General AccessPossession

Specialist Resources

All planning & works request applications must be complete & submitted days in advance of the Monday of the week access is required

Description of works & particular requirements

Movement of Materials

Details of Work

Site map(s) attachedSpace Allocation Storage License

3.0 WORK DESCRIPTION & PHASING

0

Project Title <Project> Project / UIP Code <UIP Code>

SAP MPD No. Lifecycle Stage Date

Access Plan

1.0 GENERAL INFORMATION

Programme <Programme> Document Ref <Document Reference>

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For details on completion timescales for processing Access Requests, talk to an Access ManagerA resource loaded schedule of work is to be attached when the form is submitted for final approval & processing

7.0 SPECIALIST PROTECTION (if applicable)

Describe what specialist resources w ill be required & whether these w ill be provided by LU / Contractor or a Third Party

Describe any access / planning requirements

8.0 VEHICLES / PLANT / EQUIPMENT (if applicable)

Describe what Vehicles / Plant / Equipment w ill be required

9.0 ADDITIONAL INFORMATION

Add any other information which may be pertinent to the access requirements here

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Annex 6 – Requests for the use of Engineering Trains A6.1 General Arrangements

The Manager requests engineering trains, access for test trains, access for mechanised vehicles, and associated train paths via a Work Request Form in line with the timescales set out in paragraph A6.2 below. As part of the access planning process the Manager and Access Manager will agree train paths, working site limits (including but not limited to specific limits for a specified area, engineers current area or those Track sections for which Engineering Hours will be cancelled) and the means of access and egress to the worksite for both mechanised vehicles and personnel. The Access Manager will arrange for publication appropriate train paths to and from the worksite.

The Manager provides the Access Manager with the necessary cost codes (SAP numbers/Oracle activity codes) for the cost of the trains and mechanised vehicles to be charged to. Any costs arising from changes to or cancellation of the trains and mechanised vehicles will also be charged by the Access Manager to these cost codes.

In order to aid effective planning, Managers are advised that engineering trains are a finite resource and there may be limited availability of the engineering train fleet on weekend shifts. The fleet is allocated on a business priority basis.

A6.2 Use of new specialist plant and equipment

If a Manager needs to use new specialised plant and equipment, it must be approved prior to an application for access being granted. Without the relevant Certificate of Technical Conformance etc. being in place and approved, access will not be granted.

A6.3 Timescales for booking an engineering train

The timescales for booking an engineering train or other mechanised vehicle is described the in following flow chart.

For illustrative purposes a typical train or mechanised vehicle booking lifecycle is described and illustrated below. In this example, ‘T’ indicates the Monday of the week that the train or vehicle is booked to work on.

Note: ‘T’ indicates the shift that the train or vehicle is booked to work on.

Pre T-56 Days

• e-Form completed on Access Portal • Request Status: Submitted • Clash Checking & analysis undertaken • Requests submitted to date are entered onto SABRE • Request Status: Approved (dependent on suitability of works, clash checking & stock & crew availability)

T-56 Days

• Lock-down of requests and Train Optimisation performed • Resources to be booked as appropriate • Any outstanding Assurance certification / route approvals must be provided within this period before the booking status is approved • Request Status: Completed • Booking Status: Approved

T-21 Days

• Train path and details of working at site prepared for publication • Train is published on the Engineering Notice Look Ahead

T-0 Days

• Train path and working at site details are published on the Engineering Notice & NEPA

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The process at each stage is summarised as follows:

a. Pre T-56 Days

A Work Request for a train can be submitted by a Manager at any time prior to T-56 days. All requests will be made by the Manager comprehensively completing all the requisite screens of the Work Request. The Work Request is the sole means by which TransPlant engineering vehicles can be booked and requested and there is provision on the Work Request to provide specific details as to the make-up of each train (if the consist is known). The Access Manager will assist the Manager as necessary in planning and requesting trains or access for mechanised vehicles.

b. T-56 Days

All planning for engineering trains, train paths or mechanised vehicles must be completed & received by T-56 days, after which train optimisation will be carried out by the Access Manager.

From T-56 days onwards the requested access for an engineering train or mechanised vehicle will be entered onto SABRE and a check for any clashes can be carried out. The Access Manager will update the request’s status to ‘Completed’ if there are no clashes or impediments pertaining to the request at that time. If there is a clash at this stage, the Access Manager will assess whether the clash is likely to be resolvable by the train optimisation process and will work with the Manager to identify potential alternative dates.

The Access Manager and Manager will agree the engineering train paths, confirm the engineering train’s method of working at site; access and egress to the worksite for mechanised vehicles and/or personnel, and carry out protection planning.

The Access Manager will update the Booking status to ‘Approved’.

c. T-21 Days

At this time the train path, and details of the train or mechanised vehicle’s working at site, will be prepared for publication. These details will be included on the Engineering Notice Look Ahead

d. T-0 Day of the Works

The Engineering Notice is published with full details of the train or mechanised vehicle’s path and it’s working at site.

A6.4 Amendments / Cancellations

Any amendments or cancellations with respect to train or motorised vehicle requests must be processed through the Access Manager, who will ensure that the publications are amended.

A6.5 Network Rail Infrastructure

Not withstanding the timescales stated above, where engineering trains or other mechanised vehicles are required and which need to be positioned on Network Rail infrastructure in order to deliver the works, a Work Request for the provision of such vehicles shall be submitted to the Access Manager before T-365. The Access Manager will advise the applicable timescales for confirmation of booking following consultant with Network Rail.

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Annex 7 – Specialist Protection Resources A7.1 General Arrangements

Protection on track will normally be provided by Contractors staff who possess a Protecting Workers on The Track (PWT) license with the relevant competency (e.g. Engineering Hours, Depots, Traffic Hours etc.).

The Managers shall ensure that all Contractors undertaking the works provide all necessary competent staff resources. From May 2015 all Site-Persons-In-Charge who work on or about the track will be expected to have completed their dual-certification, and be competent to provide protection during Engineering Hours.

In the interim period up to May 2015, where the Contractor is unable to provide a full complement of SPC with dual qualifications, the Manager shall request the Access Manager to make arrangements for protection in lieu of the Contractor.

A7.2 Specialist Protection resources

Where the Manager considers that there is a requirement for additional Specialist Protection resources, the Manager will discuss this requirement with the Access Manager and seek agreement that additional Specialist Protection resources are provided (examples of additional protection resources that may be required are possession masters; protection resources to implement possession protection arrangements; staff to isolate traction current and technical officers to implement a set of protection arrangements). Specialist Protection may also be required on complex areas of track.

Where the Access Manager agrees that additional protection is required, the Manager will formally request the provision of the additional Specialist Protection resources by completing the specialist resources section of the Resource Request Form which should be submitted a minimum of 21 days prior to the Specialist Protection being required. Upon receipt, the Access Manager will advise the Manager of the cost and procure the Specialist Protection resources requested. The Manager must provide the Access Manager with the necessary cost codes (SAP numbers/Oracle activity codes) for the cost of Specialist Protection resources to be charged to. Any costs arising from changes to or cancellation of the Specialist Protection resources will also be charged by the Access Manager to these cost codes.

Where a Manager makes a request for access for works that requires a track possession for a specified area, then the Access Manager will (in consultation with the Manager) plan the protection required; procure the necessary resources and arrange for publication of protection methods around the worksite. As above, the Manager will provide the Access Manager with the necessary cost codes (SAP numbers/Oracle activity codes) for the cost of the protection resources ordered to be charged to. The Manager is responsible for the worksite within the limits of published protection.

A7.3 Cancellation Charges The cost of Specialist Protection staff will be charged back to the Managers project codes in the event of cancellation (or non-utilisation) on the following basis:

• Cancellations made 96 hours or more in advance of the activity start date – no charge will be levied;

• Cancellations made less than 96 before the job start date – the full cost will be charged.

The above durations are subject to the cancellation being made before 12:00hrs on a weekday (Monday to Friday inclusive). Where a cancellation notice is received after 12:00hrs, the 96hour cancellation period will be calculated from 09:00hrs on the next weekday.

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Annex 8 – Network Rail Interface Locations

28

29

30

31

32

33

34

35