DELAY

ATTRIBUTION

GUIDE

EFFECTIVE DATE –April 1st 2015

Issued by: The Secretary Delay Attribution Board Floor 8 1 Eversholt Street LONDON NW1 2DN

DELAY ATTRIBUTION GUIDE

Foreword

This Guide is issued to all Track Access Parties by the Delay Attribution Board – a joint industry body remitted to provide guidance to the industry on delay attribution issues.

This Guide has been re-issued to incorporate Proposals for Amendment that have been agreed pursuant to the process set out in Conditions B2.5 to B2.7 of the Network Code since the issue of the previous Guide dated 15th September 2013. Consequently, this Guide supersedes the previous Guide.

Proposals for Amendment made since the issue of the previous Guide are marked with a vertical black line in the adjacent margin, additional/revised wording will be shown in italics, and deletions will be hidden (but the deletion still being denoted by way of a vertical black line in the margin)

Any Proposals for Amendment that are agreed pursuant to the process set out in Conditions B2.5 to B2.7 of the Network Code following the publication of this Guide will be issued as Supplementary Guidance Notes to be read in conjunction with this Guide until it is next reissued.

The majority of incidents in freight terminals/yards are treated as “off-network” and are coded in accordance with section 4.15. However, from 31 October 2014 a significant number of freight yards/terminals (108) were transferred from various Freight Operators into Network Rail’s ownership. Whilst some of these sites are wholly sub-let to third parties and will, consequently, remain “off-network” and others are out of use, the remainder will be incorporated into the network(either in whole or in part) and operated by Network Rail. Incidents occurring in the Network Rail operated yards/terminals should be coded in accordance with section 4.44”.

Delay Attribution Statement of Good Practice

This Statement of Good Practice is issued by the Delay Attribution Board to parties involved in the Delay Attribution Process. It has been developed in consultation with all Industry Parties and the Board considers it has wide support. While the Statement is not intended to create contractual rights or obligations the Board will expect Industry Parties to have due regard to the Statement when participating in the Delay Attribution Process.

Track Access Parties and their employees involved in the Delay Attribution Process should:

• Work together to achieve the industry vision of Delay Attribution:

“For all parties to work together to achieve the core objective of delay attribution – to accurately identify the prime cause of delay to train services for improvement purposes”, and in doing so:

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DELAY ATTRIBUTION GUIDE

Follow good practice in undertaking the process of delay attribution by: i) accepting that the prime objective of delay attribution is to identify the prime cause of delay to train services for improvement purposes; ii) accepting responsibility for ensuring that adequate resources are applied to the delay attribution process and that sufficient controls / processes are in place to ensure that attribution staff remain impartial in the attribution of delay; iii) committing to train their staff effectively in the process of delay attribution and maintain their competence through a regular programme of competency assessment; iv) ensuring that all appropriate information and systems are fully utilised and or investigated before allocation of any incident to an Industry Party; v) only challenging attribution of an incident where there are appropriate reasons for doing so, and in so doing only providing substantive information that informs of exactly what is being challenged to enable, where possible, correct attribution; vi) working together to identify correctly the cause of an incident, no matter who that incident is attributed to, recognising that it may be necessary to re-attribute on the basis of new information; vii) assisting the delay attribution process by providing whatever information is necessary to enable the correct attribution of delay and confirming the source of the information as required. viii) working together to identify all delay (even below threshold) where practicable and cost effective; ix) avoiding adding abusive or derogatory comments to any records (systems based or otherwise) relating to Delay Attribution; x) to work together to develop key indicators on the accuracy of the delay attribution process that enable each party to identify areas where the process is not being applied effectively and agree to identify and implement action plans to improve the process; xi) having in place nominated persons for each level of the delay attribution process.

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DELAY ATTRIBUTION GUIDE

SECTION 1: INTRODUCTION ...... 7

1.1 THE NEED FOR A DELAY ATTRIBUTION GUIDE ...... 7 1.2 CONTEXT OF THE GUIDE ...... 7 1.3 PROVISION OF INFORMATION ...... 8 1.4 RELIABILITY EVENTS ...... 8 1.5 THE DELAY ATTRIBUTION BOARD ...... 8 1.6 REVISIONS TO THE DELAY ATTRIBUTION GUIDE ...... 8 SECTION 2: OVERVIEW OF DELAY ATTRIBUTION AND SYSTEM DEFINITIONS ...... 10 2.1 INTRODUCTION ...... 10 2.2 THE TRAIN PLAN...... 10 2.3 TRAIN TIME REPORTS ...... 10 2.4 RECORDING OF RELIABILITY EVENTS ...... 10 2.5 MEASURING AND RECORDING THE CAUSES OF DELAY ...... 10 2.6 INCIDENTS ...... 12 2.7 DEFINITIONS ...... 14 SECTION 3: CATEGORIES OF TRUST DELAY CODE AND DEFAULT ATTRIBUTION ...... 16

3.1 BASIS OF ATTRIBUTION ...... 16 3.2 CATEGORIES OF TRUST DELAY CODE AND THEIR DEFAULT ATTRIBUTION ...... 17 SECTION 4: GUIDANCE ON THE CODING OF INCIDENTS AND CONTRACTUAL RESPONSIBILITIES IN REAL TIME ...... 20 4.1 INTRODUCTION ...... 20 4.1.3 Joint Responsibility incidents ...... 20 4.1.18 Incidents arising out of other Access Agreements ...... 21 4.2 ACCEPTANCE INTO OFF NETWORK FREIGHT TERMINALS/YARDS ...... 24 4.3 ADHESION PROBLEMS INCLUDING LEAF-FALL ...... 25 4.3.1 Introduction ...... 25 4.3.2 Use of flowchart ...... 25 4.3.3 Application of the autumn Attribution Process ...... 25 4.3.4 Principles ...... 25 4.3.5 The ‘Neutral Zone’ concept ...... 26 4.3.6 Delays in TRUST sections not on jointly agreed Neutral Zones lists...... 27 4.3.7 Additional coding guidance ...... 31 4.3.8 Additional Guidance On The Attribution Of Reactionary Delays Incurred Related To Leaf-Fall And Adhesion Attribution...... 32 4.4 ANIMAL INCURSION, STRIKES AND INFESTATION ...... 33 4.4.3 Animal Strikes ...... 34 4.5 BRIDGE STRIKES ...... 35 4.6 CANCELLATION OF FREIGHT SERVICES ...... 35 4.7 DUPLICATE DELAYS ...... 35 4.8 PLANNED AND EMERGENCY POSSESSIONS ...... 35 4.8.4 Emergency Possessions ...... 36 4.8.5 Possession Overruns ...... 36 4.8.7 Multiple Worksite possessions ...... 36 4.8.8 Single Worksite Possession ...... 36 4.8.10 Infrastructure Trains ...... 37 4.8.11 Waiting To Pass Booked Trains During Possessions ...... 37 4.9 ENGINEERS ON-TRACK EQUIPMENT AND ENGINEERING HAULAGE TRAIN FAILURE OR OTHER PROBLEM...... 39 4.10 FATALITIES AND INJURIES...... 39 4.11 FIRES (INCLUDING FALSE ALARMS) ...... 40 4.11.7 Flowchart identifying attribution of various types of fire (including alarm activations) ...... 43 4.12 FLEET EQUIPMENT PROBLEMS ...... 44 4.12.2PASSENGER TRAIN OPERATOR DELAYS (INCLUDING CHARTER TRAINS): ...... 44 4.12.3 FREIGHT TRAIN OPERATOR DELAYS ...... 46 4.13 FLEET DEPOT DELAYS (INCLUDING MAJOR MAINTENANCE DEPOTS) ...... 46 4.14 FLOODING ...... 47 4.15 OFF - NETWORK FREIGHT TERMINAL OR YARD OR OTHER NON-NETWORK RAIL ...... OPERATED INFRASTRUCTURE DELAYS ...... 49 Delay Attribution Guide April 2015 Page 4 of 109

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4.16 INFRASTRUCTURE EQUIPMENT FAILURE ...... 50 4.16.3 Track Circuit Failures ...... 51 4.16.4 Track and Rail Defects...... 51 4.16.5 Cable Faults, Power Supply and Distribution Failures ...... 51 4.16.6 Telecommunication Links ...... 53 4.16.7 Telecom Equipment Failures ...... 53 4.16.8 Radio Failures (Legacy Communications) ...... 54 4.16.9 Electrical Control Rooms ...... 54 4.16.10 Token Equipment Failure ...... 54 4.16.11 Electrification ...... 54 4.16.12 Infrastructure failures on FOC or privately owned infrastructure ...... 54 4.16.13 Failure of Network Rail maintained DOO Monitors ...... 54 4.16.14 ETCS and or ERTMS Equipment Failure ...... 54 4.16.15 Accepted Design Limitations ...... 54 4.17 LATE START FROM ORIGIN ...... 55 4.18 LOADING PROBLEMS ...... 55 4.19 MARSHALLING OF TRAIN INCORRECT ...... 56 4.20 MISHAPS AND MAJOR SAFETY INCIDENTS ...... 56 4.21 ‘MINUTES DELAY’ NOT APPARENTLY DUE TO NETWORK RAIL ...... 58 4.22 TRUST BERTH ERRORS ...... 58 4.23 REGULATION AND SIGNALLING OF TRAINS ...... 59 4.24 SAFETY PROBLEMS REPORTED BY STAFF OR PUBLIC ...... 59 4.25 GUIDANCE WHERE NO FAULT FOUND (TECHNICAL EQUIPMENT) ...... 61 4.26 RAILHEAD CONDITIONING TRAINS ...... 62 4.27 SECURITY ALERTS ...... 62 4.27.7 Flowchart identifying attribution of various types of security alert ...... 65 4.28 STATION OPERATING DELAYS ...... 66 4.28.6 Guidance for the allocation of delays caused by an incident at a station...... 70 4.29 TEMPORARY (INCLUDING EMERGENCY SPEED RESTRICTIONS) ...... 71 4.30 THE SPECIAL TRAIN ...... 72 4.31 TIMETABLE AND RESOURCE PLANNING ERRORS ...... 72 4.31.3 Guidance for the attribution of incidents due to planning errors ...... 74 4.32 TRACKSIDE SIGNS INCLUDING TSR/ESR BOARD DEFECTIVE/BLOWN DOWN ...... 75 4.33 TRAINS INCURRING SEVERAL SMALL DELAYS ...... 75 4.34 TRUST OUTAGES ...... 75 4.35 VANDALISM, THEFT AND TRESPASS ...... 76 4.36 WAITING TRAINCREW...... 77 4.37 WEATHER EFFECTS ...... 78 4.37.5a Delay code guidance for dealing with the impact of wind ...... 81 4.37.5b Delay code guidance for dealing with the impact of flooding ...... 82 4.37.5c Delay code guidance for dealing with the impact of heat ...... 83 4.37.5d Delay code guidance for dealing with the impact of snow, ice or frost ...... 84 4.37.5e Delay code guidance for dealing with the impact of visibility caused by the sun...... 85 4.37.5f Delay code guidance for dealing with the impact of visibility caused by fog, snow or rain ...... 86 4.38 WIRES DOWN AND OTHER OLE PROBLEMS ...... 88 4.39 FAILURE OF TASS BALISE SYSTEM...... 88 4.40 FAILURE OF ETCS/ERTMS BALISE SYSTEM ...... 89 4.41 OPERATIONAL GSM-R RAILWAY EMERGENCY CALL (RECS) ...... 90 4.42 OPERATIONAL GSM-R SYSTEMS – FAULTS OR FAILURES ...... 92 4.42.1 Flowchart Identifying Faults/Failures ...... 92 4.43 ATTRIBUTION OF DELAY INCIDENTS CAUSED BY TPWS INTERVENTION OR FAILURE ...... 94 4.44 NETWORK YARDS AND TERMINALS ...... 94 SECTION 5: ACCESS TO TRUST MAINFRAME INCIDENT INFORMATION ...... 95 5.1 INTRODUCTION ...... 95 5.2 TRUST INCIDENT ENQUIRY COMMANDS ...... 95 5.3 TRJF ENQUIRIES ...... 95 5.4 TRJG ENQUIRIES ...... 96 SECTION 6: TRUST INCIDENT SECURITY ARRANGEMENTS...... 97 6.1 INTRODUCTION ...... 97 6.2 ACCESS TO TRJF ...... 97 6.3 BROWSE ACCESS TO TRJG ...... 97 Delay Attribution Guide April 2015 Page 5 of 109

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6.4 INCIDENT STATUS ...... 97 6.5 CHANGES TO RESPONSIBLE MANAGER AND DELAY CODES ...... 97 SECTION 7 - APPENDIX A – DELAY CODES ...... 98 SECTION 7A - FREIGHT TERMINAL OPERATING COMPANY CAUSES ...... 99 SECTION 7F - FREIGHT OPERATING COMPANY CAUSES ...... 99 SECTION 7I - INFRASTRUCTURE CAUSES ...... 100 SECTION 7J - FURTHER INFRASTRUCTURE CAUSES ...... 101 SECTION 7M - MECHANICAL / FLEET ENGINEER CAUSES...... 102 SECTION 7N –OTHER MECHANICAL OR FLEET ENGINEER CAUSES ...... 102 SECTION 7O - NETWORK RAIL OPERATING CAUSES ...... 103 SECTION 7P - PLANNED OR EXCLUDED DELAYS OR CANCELLATIONS ...... 104 SECTION 7Q - NETWORK RAIL NON-OPERATING CAUSES ...... 104 SECTION 7R - STATION OPERATING COMPANY CAUSES ...... 105 SECTION 7T - PASSENGER OPERATING COMPANY CAUSES ...... 106 SECTION 7V - PASSENGER’S CHARTER EXCLUDABLE – TOC RESPONSIBILITY ...... 107 SECTION 7X - PASSENGER’S CHARTER EXCLUDABLE - NETWORK RAIL ...... 108 SECTION 7Y - REACTIONARY DELAYS ...... 109 SECTION 7Z - UNEXPLAINED DELAYS / CANCELLATIONS ...... 109

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SECTION 1: INTRODUCTION

1.1 THE NEED FOR A DELAY ATTRIBUTION GUIDE

1.1.1 The accurate identification of the causes of ‘Minutes Delay’, Cancellations, Diversions and other events is of prime importance to enable all parties to whom delay is attributed to identify action plans to improve operational performance. The Delay Attribution Vision and Statement of Good Practice (shown at the front of this document) underpins the way in which this will be achieved.

1.1.2 This document gives guidance on coding and attribution of ‘Minutes Delay’ and Cancellations so that there is a consistency of application and approach by all parties involved in the process of Delay Attribution.

1.1.3 The Delay Attribution Guide deals with the process of identifying the cause of delays and cancellations on the Network, that have been reported in TRUST and the process is shown in Diagram 1 below.

Diagram 1: Delay Attribution Process

Controls • Delay Attribution Board • Delay Attribution Guide • Condition B4 Audit rights

Input Output • Delays / Cancellations • Accurate record of the identified in the Train Process agreed cause of delay / Management Systems • Assign Delay Attribution cancellation to train services • Reporting reasons and contractual responsibility for incidents

Resources • Delay Attribution Staff • Responsible Managers • Training & Competency Assessment package • IT Applications

1.2 CONTEXT OF THE GUIDE

1.2.1 The Delay Attribution Guide is incorporated into and forms part of the Network Code. However, the use of the word “Guide” is important as the document is not intended to cover every particular circumstance. A complete set of “rules” would be a constraint on contract management by the parties.

1.2.2 It is intended that the Delay Attribution Guide is the source of guidance on the Delay Attribution process as a whole for all parties to the Track Access Contract, and others involved in the delay attribution process.

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1.2.3 This document can only be amended by the process defined in the Network Code Part B. In brief this requires a formal proposal for amendment to be made in writing to the Secretary of the Delay Attribution Board (the Board). A period of industry consultation on the proposal for amendment will then take place before the Board considers the merits of adopting the proposal. The Board may then recommend that the proposal for amendment is adopted. The ORR‘s approval is required before an amendment can take effect. Any changes so approved will come into effect on a defined date, (i.e. will not apply retrospectively before that date). Note: this is a short explanatory note – please refer to Network Code Part B paragraphs 2.5, 2.6 and 2.7 for the full process (which takes precedence over this paragraph if there is any doubt).

1.3 PROVISION OF INFORMATION

1.3.1 All parties involved in the process of correct identification of causes of delay are required to provide any information necessary to facilitate anyone working to establish Delay Attribution. In order to do this all parties will ensure that adequate lines of communication are established and maintained to provide this information from both their own staff and any of their agents acting on their behalf.

1.4 RELIABILITY EVENTS

1.4.1 When a train is not able to make all the booked calls shown on the train schedule this is referred to in this Guide as a Reliability Event. They can occur in the following circumstances:

• A train cancelled for full journey; • A train cancelled for part of journey; • A train diverted from booked route, and fails to call at a booked stop; • A train runs through a station it is booked to call at but does not stop.

The term Reliability Event is used for all such occurrences in the rest of this document for brevity.

1.5 THE DELAY ATTRIBUTION BOARD

1.5.1 The purpose of the Board (as defined by the Network Code paragraph B6.1) is to manage and oversee the effectiveness and accuracy of the delay attribution process and use of the Delay Attribution Guide.

1.5.2 In this context the Board will: • Ensure that delay attribution is undertaken in an unbiased and transparent manner; • Ensure that appropriate training and competency assessment is available to everyone involved in the process of delay attribution; • Provide guidance to Industry Parties on the process of delay attribution and the interpretation of the Delay Attribution Guide; • Make recommendations for changes to the delay attribution process to improve its efficiency and effectiveness and oversee the delivery of such changes.

1.5.3 Any correspondence with the Board should be addressed to the Secretary at the address shown on the front page of this guide.

1.6 REVISIONS TO THE DELAY ATTRIBUTION GUIDE

1.6.1 Any Track Access Party may propose revisions to the Delay Attribution Guide. Revisions should be made in writing to the address shown in 1.5.3 above and should be submitted providing the following information:

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• The name of the sponsor (or sponsors if more than one sponsor is proposed) – sponsors can only be Access Parties (Note: the ORR is also able to propose revisions, but a different process is applied when this occurs); • The proposal – this needs to be precise i.e. proposing to insert specific words, sentences, paragraphs or diagrams into the Delay Attribution Guide and or delete specific text or diagrams. To facilitate understanding when proposals are put to consultation there should be one proposal per existing paragraph in the Delay Attribution Guide, unless the proposal covers the replacement or insertion of multiple consecutive paragraphs and it is more sensible to submit the proposal as one proposal. • Other implications; would the proposed amendment have an impact on other areas beyond the proposed change to the Delay Attribution Guide i.e. as a result of benchmarks or system implications, frequency of event, and management information? Please note this is not an exhaustive list. If so the Sponsor should also suggest a proposed approach to addressing these areas; • An explanation as to why the proposal is being made including any associated benefits.

1.6.2 Track Access Parties are reminded that whilst the Delay Attribution Guide is part of the Network Code it is also a working document. Proposals for revision should be made with this in mind. The Delay Attribution Board will consider if the proposal is fit for purpose (i.e. will be understandable to the users of the document) and may refer a proposal back to the Track Access Party if it is judged that this is not the case. Any specific rewording should be drafted in plain English.

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SECTION 2: OVERVIEW OF DELAY ATTRIBUTION AND SYSTEM DEFINITIONS

Throughout this and subsequent sections, ‘*’ represents the choice of a character. For example, Y* means a two character code with first letter Y. Similarly ‘##’ stands for the Business Code of a Passenger or Freight Train Operating Company.

2.1 INTRODUCTION

2.1.1 This section is a brief guide to the way in which TRUST identifies the occurrence of train delays and then allows explanation and attribution of these together with Reliability Events.

2.1.2 The TRUST system essentially has four component parts: • The Train Plan; • Records of the times at which trains arrive, depart or pass specific locations; • The cause of train delays and Reliability Events; • Incidents which can be attributed to the ‘responsible’ organisation and to which individual train delays and Reliability Events can be allocated.

2.2 THE TRAIN PLAN

2.2.1 TRUST accesses the Train Schedule, the timetable for each individual train that is planned to operate on a given day. This includes the arrival and departure time at all calling points and also the passing time at other key locations. Normally, schedules are created through interface with the access planning systems within Network Rail. However, Network Rail Controls can create schedules principally for Very Short Term Planned specials which have been advised to Network Rail outside the normal Operational Planning timescales. Depending on the timescale of creation, these can be either Applicable or Non-Applicable timetable services for Performance regime purposes, though they are all subject to normal Delay Attribution.

2.3 TRAIN TIME REPORTS

2.3.1 By either automatic (direct links to TRUST from modern signalling systems) or manual (keyboard input) means, it is possible to report the times that trains arrive, depart or pass Recording Points. These are a specific sub-group of all locations shown on a train’s schedule and normally reflect stations or yards at which major activity takes place and key junctions. TRUST also treats all origin and destination locations for a given train as pseudo Recording Points, if required, although normally this is only necessary for freight trains.

2.3.2 By comparing the time at which a train actually arrives at, departs from or passes a Recording Point with that shown in the Train Schedule, TRUST is able to calculate the ‘Lateness’ at that particular point.

2.4 RECORDING OF RELIABILITY EVENTS

2.4.1 Full train cancellations and the majority of partial cancellations can be recorded directly in TRUST. Only trains diverted to an alternative destination can be recorded as diversions. For other types of Reliability Event the Failure to Stop report should be used in respect of all locations at which the train is booked to call. See paragraph 1.4.1 for definition of Reliability Events.

2.5 MEASURING AND RECORDING THE CAUSES OF DELAY

2.5.1 By comparing two successive recordings of Lateness, TRUST identifies any ‘Minutes Delay’ that a train has incurred. It is these ‘‘Minutes Delay’’, essentially incremental Lateness, that is pivotal to the TRUST delay explanation and attribution process as they can be attributed to Train Operators or Network Rail using the Incident concept (see Section 2.6).

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The Lateness at a given Recording Point, subject to a train being able to recover lost time, is the aggregate of all the individual ‘Minutes Delay’ from origin to that Recording Point.

2.5.2 ‘Minutes Delay’ falls into three categories:

• Late starts where the ‘Minutes Delay’ is equal to the Lateness of departure; • Location delays which are ‘Minutes Delay’ incurred between the arrival at and departure from the same Recording Point at which a train is booked to call. This is known as ‘station or yard overtime’; • Section delays which are ‘Minutes Delay’ incurred between two successive recordings at different Recording Points.

2.5.3 Once ‘Minutes Delay’ is identified as having been incurred, the TRUST system will seek an explanation. This includes unrecovered time where Recovery Time is shown in the Train Schedule between two successive Recording Points and a late running train arrives or passes the second location late. Firstly TRUST will look to see if there is a ‘Network Delay’ for that location or section between two successive TRUST Recording Points. A Network Delay is normally used to explain small delays, up to a specified threshold that will be inflicted upon every train due to a particular problem. For example, a Temporary Speed Restriction or a signal failure requiring trains to stop and the driver to be cautioned past the signal by the signaller.

2.5.4 Any ‘Minutes Delay’ that cannot be explained by a Network Delay are then directed to a particular point (normally a Network Rail Control or signal box) for explanation, subject to any minimum threshold that may have been set. Delays below this threshold are excluded from the explanation and attribution process and are known as ‘Derived Delays’ or sub threshold delays. However, sometimes these will be explained and attributed to provide additional information for performance management purposes but will not feature in Performance Regime calculations. As part of a system based communication process to reduce the level of telephone calls, these initial ‘Delay Requests’ for a particular station could be sent to a Train Operator’s representative for initial explanation although Network Rail would still be responsible for attribution.

2.5.5 As part of the Train Consist reporting procedures, Freight Operators are required to input a ‘Late Start Reason Code’ (Delay Code) if a train leaves a private siding or yard late. This might include Simplified Direct Reporting freeform text, which is added to support the use of a particular delay code, e.g. the inward service that caused a late start for which code Y* has been used.

2.5.6 The explanation for those delays above the threshold or those explained by Network Delays is in the form of a TRUST Delay Code that indicates the cause, e.g. points failure, locomotive failure, and incorrect regulation. The Delay Code consists of two characters with the first indicating the general type of delay: Infrastructure failure, Network Rail Production or Train Operator problem etc. The second allows categorisation to provide more detail.

2.5.7 When trains are recorded in TRUST as ‘cancelled’ for any part of their booked journey, a Cancellation Code is mandatory. Similarly for trains diverted from their booked route and which start or terminate at a location off the planned route a cancellation code for that part cancelled is required. These codes are those Delay Codes that are appropriate for cancellations or diversions.

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2.6 INCIDENTS

2.6.1 The TRUST Incident concept allows allocation of instances of ‘Minutes Delay’ and/or Reliability Events to a particular occurrence and attribution to a ‘responsible’ organisation.

2.6.2 Each separate and unconnected occurrence resulting in ‘Minutes Delay’ and or Reliability Events is set up by Network Rail staff as a TRUST Incident. Such incidents may also be created for other events in which case they have no relevance to train performance schemes until ‘Minutes Delay’ are allocated to them. An incident is a partly structured ‘log entry’ describing the event and includes five particularly important fields:- • Incident Title (up to 30 characters) • Description Code (TRUST Delay Code) • Responsible Manager Code • Acceptance Status Code • Free format text (currently maximum of 30 lines).

2.6.3 The type of occurrence is codified using the TRUST Delay Code that best describes it. These codes map to a default Responsible Manager Code identified by TRUST. However, it is possible to overtype this if the automatic attribution is at variance to the contractual responsibility for that particular event.

2.6.4 The Responsible Manager Code consists of four characters. Normally the first coincides with the initial letter of the Delay Code to drive the automatic attribution process. However, any can be matched to a Network Rail Production code (OQ**) and there is also some flexibility with other codes to reduce the number of different Responsible Manager Codes required for each organisation. This is detailed in paragraph 3.2.3.

2.6.5 The middle two characters are the finance systems Business Code for the organisation involved. There are separate ones for each Network Rail Route, TOC and Freight Operator. These also drive the security arrangements for browse and update access as they also form part of the user NCI sign-on (see section 6).

2.6.6 The last character allows the subdivision of a particular organisation to reflect different managerial responsibilities. For certain Train Operators the last character differentiates between trains operated under different Track Access Agreements. The system allows these to be changed by staff in the Responsible Manager’s organisation. In particular, Train Operators may wish to use this facility to assist with identification of attribution to their own sub-contractors but the last letter must not be altered without Network Rail’s agreement if the Incident would switch to a different Access Contract. Network Rail will not be responsible for correct allocation of managerial responsibility within another company’s organisation but will set up required codes in the TRUST Systems Tables.

2.6.7 The Network Rail Manager Code represents the location of the incident that caused the delay minutes or cancellations. Whilst this overriding principle should be applied when attributing incidents, care must be taken to fully investigate each incident to ensure it is correctly applied.

2.6.8 Where a delay is caused on another Network Rail Route or management area as a result of a TRUST section spanning two Routes or management areas, the delay in the case of an asset failure should be attributed to the owner of the asset responsible for the failure (through use of the Responsible Manager Code) and to the area in which the asset failed (through use of the Network Rail Manager Code).

2.6.9 In the case of incidents involving, for example, animals on the line, vandalism or trespass where a location has been identified the Network Rail Manager Code used in the TRUST incident should represent the Route or management area in which the incident occurred.

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2.6.10 When incidents occur where a specific location has not been identified, i.e. an unconfirmed report of stone throwing, the Responsible Manager and Network Rail Manager Codes used should represent the Route or management area of the TRUST section on which the delay alert is generated. This should be the default code generated by the TRUST DA system.

2.6.11 Where a Route or management area have running lines that cross each other or run adjacent to each other and an incident occurs on one Route or management area resulting in trains being delayed, i.e. as a result of a fire on NR infrastructure, the delay should be attributed a Responsible Manager and Network Rail Manager Code that represents the Route or management area on which the original incident occurred.

2.6.12 If an incident occurs off the Network e.g. a security alert or fire and it doesn’t directly affect an asset but does affect more than one station, yard, depot or running lines, a separate primary incident should be created for each directly affected location. The Network Rail Manager should represent these locations, notwithstanding the requirements of the DAG when one incident for each affected train operator is required.

2.6.13 If an incident occurs off the Network and directly affects an asset and in the process affects more than one station, yard, depot or running line, the incident should be created in accordance with the DAG and the Responsible and Network Rail Manager codes should reflect the management area that owns the affected asset.

2.6.14 If a security alert is on the Network and affects more than one station, yard, depot or running line the incidents should be created in accordance with the DAG and the Responsible Manager and Network Rail Manager Codes attributed should represent the management area that the incident occurred on.

2.6.15 Cross-boundary delays due to wrong regulation should be attributed to the Route or management area that was responsible for causing the delay. The Network Rail Manager and Responsible Manager codes must represent the Route or management area whose signalbox made the last incorrect regulating decision.

2.6.16 Cross boundary delays resulting from a VSTP schedule are an exception to the rule as the incident can be the result of a decision made in a remote location not represented by any Network Rail Manager Code and the limitations of the current delay attribution system does not allow for the kind of complexity faced with these types of incident. Therefore;

2.6.16.1 When delays occur as a result of schedule errors, including VSTP moves, the incident should be attributed a Network Rail Manager Code that represents the Route or management area on which the delay alert is generated on because that is where the incident first manifests itself and allocated a Responsible Manager Code indicating the responsibility for the creation/validation of the VSTP that caused the incident.

2.6.17 Network Rail Manager Code Attribution Examples:

A. Incident with a known location  A train is delayed or held on Route or management area ‘A’ due to an asset failure that has occurred at an identified location on Route or management area ‘B’. The delay should be attributed to an incident with the Network Rail Manager code of Route or Area ‘B’. B. Incident with no known location  A train is delayed or held on Route or management area ‘A’ as a result of an incident for which no known location has been identified. The delay should be attributed to an incident with the Network Rail Manager code of Route or Area ‘A’. C. Where lines run adjacent or cross over each other  Where Route or management area ‘A’ running line crosses over Route or management area ‘B’ running lines and an incident occurs on Route or Area ‘A’ affecting trains on Route or Area ‘B’, the delay should be attributed to an incident with a Network Rail Manager code of Route or Area ‘A’.

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D. Incorrect Regulation  A delay on Route or Area ‘B’ caused by wrong regulation by the last signalbox on Route or management area ‘A’ should be attributed to an incident with a Network Rail Manager Code of Route or Area ‘A’ as the owner of the signalbox that caused the delay.

E. Schedule Errors including VSTP moves.  Where a train has incurred delay due to a schedule error, the delay should be attributed to an incident with a Network Rail Manager representing the Route or management area where the delay alert has been generated.

F. Failure to mitigate incidents  When Route or management area ‘A’ requests a ‘failure to mitigate’ incident (that is attributed to a Train Operator) to be created on Route or management area ‘B’ for an incident that originated on Route or area ‘A’ then the Network Rail Manager should be that of Route or area ‘A’.  When Route or management area ‘A’ requests a ‘failure to mitigate’ incident (that is attributed to Network Rail) to be created on Route or management area ‘B’ for an incident that originated on Route or area ‘A’ but has been exacerbated by a failure to mitigate by Network Rail on Route or area ‘B’, then the Network Rail Manager should be that of Route or area ‘B’.

2.6.18 It is important that TRUST incidents are updated as new or later, more accurate information comes to light, particularly information that relates to the Delay Code and Responsible Manager. All information which assists the process of accuracy and clarity should be entered promptly, and reference made to the source of data or information in the freeform text.

2.7 DEFINITIONS

2.7.1 Primary Delay A Primary Delay is a delay to a train that results from an Incident that directly delays the train concerned, irrespective of whether the train concerned was running to its schedule (schedule includes booked platform or line) at the time the incident occurred, i.e. the delay is not the result of another delay to the same or other train. Primary Delay should not be attributed a ‘Y’ reactionary code.

2.7.2 Reactionary Delay A Reactionary Delay is a delay to a train that results from an incident that indirectly delays the train concerned, i.e. the delay is the result of a prior delay to the same or any other train.

2.7.3 Section 4.1.24 provides an example of attribution of a series of delays occurring to a Plymouth to York train. In the example given, trains held behind the Plymouth to York train held approaching Derby should be attributed to the signal failure as a Primary Delay until dissipation of the queue of trains has begun. Any delays to trains joining the queue after this train should be treated as Reactionary Delays.

2.7.4 All Delay Minutes and Reliability Events explained under paragraphs 2.5.3, 2.5.4, 2.5.5 or 2.5.7 can then be attributed to the ‘prime’ incident. This includes the Y* Reactionary Delays which describe Delay Minutes caused, normally away from the immediate vicinity of the incident, due to the consequential late running of one or more trains that have been delayed by it. The reporting number of the other train involved in the Reactionary Delay should be shown in the free format delay text field. ‘Minutes Delay’ requiring explanation as per paragraph 2.5.4 can be allocated to an existing Incident if they are incurred in the vicinity of its occurrence (i.e. not a Reactionary Delay), once investigation has shown no other incident has occurred, in which case they pick up the same Delay Code as the Incident. Reactionary delays (Y*) must not be used against P-coded incidents; a fresh incident should be created in accordance with Sections 4.8 and 4.29

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2.7.5 It follows that TRUST Incidents must not have a Y* Delay Code. The analysis of Reactionary Delays in a particular area (irrespective of the Incident) allows identification of delays resulting from managerial procedures. On the other hand the full effect of particular Incidents (both prime cause and reactionary) can be measured by extraction of Incident information.

2.7.6 Where a train diverted from its scheduled line or platform causes a delay, Reactionary Delay is allocated to the prime incident that caused the diversion, irrespective of the lateness of the diverted train. Any excessive delay incurred to the diverted train within the diversion should be investigated as a potential new prime incident. Where the diverted train is delayed by a new prime incident the further delay should be allocated to the new prime incident and not the reason for the diversion.

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SECTION 3: CATEGORIES OF TRUST DELAY CODE AND DEFAULT ATTRIBUTION

3.1 BASIS OF ATTRIBUTION

3.1.1 The Guide reflects the principles of the Track Access Contract and Network Code as set out in the Track Access Contract in Schedule 8 and in the Network Code, Part B. As this document is a guide and not a contractual document, the guide may not be a perfectly accurate reflection of those contractual entitlements. The contractual roles carried out by the parties are; • Network Rail - Operator of Infrastructure (The Network) • Train Operator - Operator of Trains

3.1.2 Where, in these roles, either party contracts with another organisation then any ‘Minutes Delay’ or Reliability Events as a result of a separate contract are still attributable to the party concerned. As far as a Train Operator is concerned this includes responsibility for Incidents associated with hiring resources and access to stations (including Network Rail Managed Stations) and Light Maintenance Depots.

3.1.3 Under the Access Contracts, Network Rail is responsible for the effects of one Train Operator, but only as an Operator of Trains (see 3.1.1), on another in respect of problems on the Network Rail infrastructure, the so-called ‘Star Model. So that the full impact of an occurrence can be evaluated and to support certain Open Access Contracts all ‘Minutes Delay’ and Reliability Events will be allocated to the associated TRUST Incident.

Figure 1 - Diagram of the Star Model

TOC “A” only deals with Network Rail and the impact of other TOCs on it is met by Network Rail

TOC “A” TOC “D”

TOC “B” Network Rail TOC “E”

TOC “F” TOC “C”

3.1.4 Attribution will normally be to the prime cause of delay, which may be the initial reported cause of the delay or the symptom by which a more complex prime cause manifests itself.

3.1.5 If an operator’s service is delayed due to overcrowding as a result of an operator’s train either being cancelled, or delayed, any delay or cancellation is to be attributed to the prime cause of why the initial train was delayed, or cancelled.

3.1.6 Where an operator’s service suffers delay as a result of overcrowding or station overtime due to that train being of short-formation, and all reasonable attempts to mitigate have been made, the delay should be attributed to the prime cause incident that resulted in the train being of short-formation for that service.

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3.2 CATEGORIES OF TRUST DELAY CODE AND THEIR DEFAULT ATTRIBUTION

3.2.1 As mentioned in Section 2 of this guide, TRUST Delay Codes are used to describe the TRUST Incident causing ‘Minutes Delay’ and/or Reliability Events. The initial letter of its TRUST Delay Code drives the automatic default attribution of a TRUST Incident as described in section 3.2.3 below. If the Delay Code describes an occurrence normally attributable to Network Rail or its contractors, then it and the management area of the Incident allow selection of the appropriate default Network Rail Responsible Manager Code. If the TRUST Delay Code is normally associated with Train Operator, its combination with the identity of the first train allocated to the Incident allows TRUST to identify the default Train Operator Responsible Manager Code. This reflects the ability of Train Operators to operate across the Network.

3.2.2 Because this is a guide it cannot cover every circumstance that may arise and thus, there will always be certain scenarios where the default attribution is not appropriate. These will either be identified directly by Network Rail or as part of the contract management process in real time or after the event.

3.2.3 In drawing together this Guide, cognisance has been taken of the contractual responsibilities of Train Operators, Network Rail and Network Rail’s Contractors, and to ensure that these are encompassed as far as possible in the Delay Codes. The table below gives details of the categories including the default attribution and the form of the associated Responsible Manager Code. The full list of codes is shown in Section 7. Changes to these codes will be advised through an update of this Guide.

Delay Code Brief Description Default Attribution and Other Valid Category Responsible Manager Responsible Code Form Manager Codes A Freight Terminal Operations Operator(s) of trains D##* Causes affected (A##*) F Freight Train Operator Operator (F##*) D##* causes (excluding Fleet and Terminal problems) I and J Non Passenger’s Charter Network Rail (IQ**) CQ**,QQ**, Excludable infrastructure OQ** problems M and N Passenger and Freight Train Operator (M##*) D##* Operator Fleet problems O Network Rail Operating Network Rail (OQ**) OQ** causes P Planned or excluded See paragraph 3.2.5 OQ** delays/cancellations (PQ**) Q Network Rail internal non- Network Rail (QQ**) OQ** Operating causes R Station Operations Causes Operator(s) of passenger D##* trains affected (R##*) T Passenger Train Operator Operator (T##*) D##* causes (excluding Fleet and Station problems)

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Delay Code Brief Description Default Attribution and Other Valid Category Responsible Manager Responsible Code Form Manager Codes V Passenger’s Charter Operator (V##*) D##* excludable events the responsibility of Passenger Train Operators X Passenger’s Charter Network Rail (XQ**) O##* excludable events the responsibility of Network Rail Y Reactionary/consequential As per Incident to which delays arising as a result of they are allocated trains being delayed earlier by a given incident Z Unexplained delays and Network Rail (OQ**) Z##* cancellations

3.2.4 Although reference to Passenger’s Charter excludable events has no relevance for non- passenger Operators, the separate coding of such events allows any Passenger Operator to separately identify any associated ‘Minutes Delay’ or Cancellations for exclusion from Passenger’s Charter figures. While this document seeks to identify likely circumstances where Passenger’s Charter exclusion may apply and provide a definition of when Passenger’s Charter exclusion criteria have been met, it is the Train Operator’s prerogative as to whether any particular incident is excludable. 3.2.5 In the event of a request to exclude a particular incident being received which does not appear to accurately reflect the circumstances of the incident or meet the criteria laid down for passenger charter excludable delays (As defined in DAG 3.2.6), the request must be further confirmed with the operator, to avoid errors. The operator should be asked to justify the details of the request, which must then be entered in the freeform and the incident recoded. Such recoding should not be undertaken without supporting justification being provided and documented

3.2.6 For passenger charter exclusion criteria to have been met then at least one of the following principles should apply: -

• the relevant authorities advising the public not to travel due to adverse weather • the Met Office issuing a severe weather notice to the industry • other modes of transport are being affected by severe weather e.g. o motorway traffic being disrupted o airports being affected o local roads been affected o ferry sailings having been suspended • a railway asset is operating outside of the design parameters due to the conditions being experienced • an incident that is not avoidable by industry partners and is not the responsibility of a railway industry company • an impact on the operation of the railway caused by individuals or organisations outside of the railway industry

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3.2.7 Where the cause of an Incident is known in advance and can be contractually excluded from the Track Access Performance Regime, for example certain Temporary Speed Restrictions (TSRs) and Possessions, the appropriate P* Code (Planned or excluded Delays or Cancellations) is used. In these circumstances the known occurrence of such delays is normally reflected in the Train Schedule on the day in the form of Recovery Time, often shown on a subsequent TRUST section, or inflated point to point running times. In some cases payment will have been made for this under Schedule 4 or through an Amended Timetable mechanism. It should be noted that Condition of Track/Structure speed restrictions will not necessarily qualify in this way contractually. Some will be attributable to Network Rail. The default Responsible Manager Code will be a Network Rail one (of the form PQ**) but this may be overridden as described in Sections 4.8 and 4.29

3.2.8 P* Codes may also be used to avoid allocation of particular ‘Minutes Delay’ and/or Reliability Events to either Track Access Party and hence exclude them totally from the Performance Regime. The codes PE, PG are to be used when a planned train cancellation does not have its schedule cancelled in the Integrated Train Planning System (ITPS). All ITPS cancellations are automatically coded PD. Staff entering schedules into TRUST/TSI must not use this latter code. The code PL is only to be authorised for use by Account Executives for specific Incidents (with Responsible Manager Code P##*) where the Train Operator and Network Rail agree to the exclusion of all delays and cancellations for that Operator only. If other Operators are affected then a separate Incident must be created for the Operator concerned. Suitable documentation must support each use of this code.

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SECTION 4: GUIDANCE ON THE CODING OF INCIDENTS AND CONTRACTUAL RESPONSIBILITIES IN REAL TIME

4.1 INTRODUCTION 4.1.1 This section gives detailed guidance to Network Rail Control, Performance and other staff on how many types of occurrence causing ‘Minutes Delay’ and, or Reliability Events should be coded, and identify likely situations where the default attribution may need to be overridden. It should be noted that the list is not exhaustive. The contracting parties will be expected to agree attribution for events not fully covered by this Guide or for which exceptional circumstances apply. See paragraph 1.2.1.

4.1.2 Normally all ‘Minutes Delay’ (whether direct or reactionary) and, or Reliability Events because of an occurrence will be allocated to one TRUST Incident and will be attributed to the Responsible Manager identified. Two principal exceptions are Joint Responsibility incidents (see Section 4.1.3 to 4.1.16 and incidents arising out of other access agreements (see Section 4.1.18) 4.1.3 Joint Responsibility incidents

4.1.4 A special type of incident may affect trains of a Template Schedule 8 Train Operator. These are contractually known as Joint Responsibility incidents and fall into two categories. The first are specifically those incidents at stations which prevent a train entering or passing through a station at the time it is scheduled to do so and the access of passengers through the station to or from the train.

4.1.5 The other circumstance is where Network Rail and the Train Operator agree that they are equally responsible for an incident under their access contract and the circumstance is not covered elsewhere in the DAG.

4.1.6 When Joint Responsibility criteria is met the Responsible Manager Code attributed to the incident takes the form of D##*, indicating that the incident is jointly accepted and that the delays will be shared between the parties in the performance systems downstream from TRUST.

4.1.7 For Joint Responsibility to be applicable for an incident at, or affecting a station both of the following criteria need to be met by the train incurring ‘Minutes Delay’ or cancellation:

a) The train is prevented from entering the station at the time it is booked to call, and b) Passengers would be prevented from accessing the train if the train called at the station at the time it was booked to call.

4.1.8 Only when both criteria have been met can the incident be attributed with a D##* Responsible Manager Code.

4.1.9 In all cases the closure of access to the station must be undertaken by a responsible person and be reasonable and justified in the circumstances, which should be detailed in the incident freeform text.

4.1.10 In the event of Joint Responsibility being applicable in accordance with the guidance above, an incident should be created for each operator incurring at least one direct Primary Delay in respect of any train booked to call at the station affected during the period of closure. Any subsequent direct delays in respect of trains booked to stop incurred by that operator should be allocated to this incident. However, where trains of one operator so delayed then affect those of another operator elsewhere on the Network the delay to the second operator’s train should be allocated to the incident created for the first operator, i.e. normal arrangements apply in respect of the attribution of Reactionary Delay (see paragraph 2.7.2.). Subsequent directly affected trains not booked to call should be attributed to Network Rail.

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4.1.11 Failures to call at a booked stop (otherwise known as cancelled stops or cancellations) may also be allocated to the Joint Responsibility incident where the train would not have been able to call (stop) at the time it is scheduled to do so and the access of passengers to/from that train would have been prevented.

4.1.12 Initial attribution in accordance with the guidance above should be reviewed by performance/account teams to ensure that all parties have taken reasonable steps to avoid and/or mitigate the effects of the incident. Any failure to mitigate delay must be attributed to the responsible party in accordance with DAG Section 4.1.21 Failure to Mitigate.

4.1.13 Circumstances may arise where Joint Responsibility criteria are met for only a limited period within the overall duration of an incident; for example, initially both the line and the station may be closed, but then one re-opens, while the other remains closed. In these circumstances multiple incidents may be required. For example, a failure to call at a booked stop should not be allocated to a Joint Responsibility incident where the access of the train to the station was not prevented – this would be a cancelled stop the responsibility of the Train Operator. Equally, the failure to call at a booked stop should not be allocated to a Joint Responsibility incident where the access of passengers to/from that train would not have been prevented – this would be a cancelled stop the responsibility of the party causing the incident that led to the cancellation.

4.1.14 Joint Responsibility criteria would not apply in any of the following circumstances:

o Where the source of the incident originates from or affects the station, and does not affect the Network or its operation. o Where the source of the incident is train borne. o Where the source of the incident originates from signalling and associated equipment. o Where the source of the incident is in relation to physical works undertaken by Network Rail at that station.

4.1.15 The causes of Joint Responsibility incidents in connection with stations are wide-ranging and therefore guidance on the correct Delay Code to use is provided in the section of the DAG relating to the type of incident, examples include:

o Fatalities (4.10) o Fires, including false alarms (4.11) o Security alerts (4.27) o Trespass, including threats of suicide (4.35) o Weather affecting station buildings (4.37)

4.1.16 In all the circumstances in this Section 4.1, the term station should be taken to include Network Rail Managed Stations.

4.1.17 Guidance for the correct allocation of delays caused by Joint Responsibility type incidents at a station is given in DAG Section 4.28.6 4.1.18 Incidents arising out of other Access Agreements Incidents can arise from other access agreements, such as those due to Station Operating activities (station access agreements) or delays or Reliability Events arising on infrastructure not operated by Network Rail. The latter include, but are not limited to depots, and private sidings off Network Rail operated infrastructure and London Underground or Eurotunnel lines (see sections 4.2, 4.13, 4.15 and 4.27). A separate incident is created for each Train Operator affected. However, where trains of one operator so delayed then affect those of another operator elsewhere on the Network the delay to the second operator’s train should be allocated to the incident created for the first operator, i.e. normal arrangements apply in respect of the attribution of Reactionary Delay (see paragraph 2.7.1.). Specific guidance is given in the relevant sections where these kinds of incidents may occur.”

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4.1.19 Engineering trains and on-track machinery (including those servicing possessions) are now subject to an incentivised performance scheme. It is therefore vital that delays to these trains are attributed delay codes and responsible manager codes, subject to the full provisions of this guide. Section 4.9 refers.

4.1.20 when agreeing attribution of ‘Minutes Delay’, or Reliability Events the contractual responsibility of Network Rail and Train Operators to mitigate the effects of an Incident should be taken into account. This includes where one of the Track Access Contract parties refuses a reasonable request (usually defined with reference to any contingency / service recovery plans that may have been agreed) to terminate one or more trains short of destination to prevent knock-on effects continuing for an extended period on intensively diagrammed services. A separate incident attributed to the party concerned is to be created for the effects of such failure to mitigate.

4.1.21 In the case of incidents where Network Rail is held to be at fault, if the acts or omissions of the Train Operator were such as to prevent the mitigation of delay then the additional delays must be attributed accordingly. The converse also applies to the acts or omissions of Network Rail, its staff or agents, in the case of incidents where a Train Operator is at fault.

4.1.22 As mentioned in paragraph 2.7.4, the group of Y* Codes (Reactionary Delays) are used to describe the effect of late running due to an earlier occurrence on the same or other trains. Although the ‘Minutes Delay’ carries a separate TRUST Reactionary Delay Code they are still attributed to the principal Incident (i.e. the one that has the largest number of ‘Minutes Delay’ allocated to it that contributes to the lateness at that point). Where two or more Incidents have had the same affect then the Reactionary Delay must be split equally between them.

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4.1.23 if the largest cause of delay is a succession of unexplained sub-threshold cumulative delays, whether attributed as such or otherwise, the provisions of DAG Section 4.33 apply.

Example Suppose a Plymouth to York train is delayed as follows:-

At Plymouth: 10 minutes due to vehicle defect. Approaching Bristol: 3 minutes due to loss of path. Approaching Derby: 8 minutes due to signal failure. Approaching Sheffield: 4 minutes due to waiting platform (due to its late running it has lost its platform ‘slot’).

The ‘Minutes Delay’ approaching Bristol would be attributed to the vehicle defect but using the Delay Code YC or YD to describe its loss of path. If no time were regained then the 4 ‘Minutes Delay’ approaching Sheffield would also be attributed to the vehicle defect using code YO since the 13 ‘Minutes Delay’ due to this exceeds the 8 ‘Minutes Delay’ due to the signal failure. However, if the train had regained all but 5 minutes by the time it left Birmingham, the delay outside Sheffield would be attributed to the signal failure since only 5 minutes of the lateness approaching Sheffield is due to the vehicle defect. It is important that the effects of subsequent incidents are properly taken into account when considering the attribution of reactionary delays, and determining where the earlier incident’s effects have ceased.

Apart from YL in respect of FOC delays (See 4.28.2), the only other exception is where the main or only cause of delay is a P* coded incident in which case the code JB is to be used, reflecting that the location of the Recovery Time in the train schedule does not avoid conflicts with other trains after the TSR has been encountered. See Sections 4.29 .

4.1.24 Additional guidance for the correct attribution of Reactionary Delay in other scenarios is given in the following sections: 2.7 Definitions 4.2 Acceptance into off Network Freight Terminals/Yards 4.17 Late Start from Origin 4.23 Regulation and Signalling of Trains 4.28 Station Operating Delays

4.1.25 In the event of a train regaining all lost time, no attributed delay incurred prior to such a recovery may be considered as a valid cause for subsequent delay. Such delays must be investigated and attributed either to a direct cause, or as reaction to a further incident causing conflicting late running.

4.1.26 Y* coded delays should be split if the working to which it relates has 2 or more incidents with minutes of the same value on it. i.e. 2J61 – 4” YD 000001 4” YO 000002

2G64 – 4” YI 000001 4” YI 000002.

4.1.27 A special type of Incident may affect trains of a Model TAC Schedule 8 Train Operator. These are contractually known as Joint Responsibility Incidents and fall into two categories. The first are specifically those at stations which both prevent a Train entering or passing through a station at the time it is scheduled to do so and access for passengers through the station to or from the Train. An example is a security alert where passengers are not allowed access to the platforms and Trains are not allowed to operate through or into the station. A Joint Responsibility Incident would not apply where a train is held at a platform due to an incident on the station. All such occurrences must have a separate TRUST Incident for each Template Schedule 8 Train Operator affected and be given a Responsible Manager Code of the form DH##*.

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4.1.28 The various scenarios covered in this section are listed below:

4.2 Acceptance into off Network Freight Terminals/Yards 4.3 Adhesion Problems Including Leaf-Fall 4.4 Animal incursion, strikes and infestation 4.5 Bridge Strike 4.6 Cancellation of Freight Services 4.7 Duplicate Delays 4.8 Planned and Emergency Possessions (including Overruns) 4.9 Engineers On-Track Equipment and Engineering Haulage Train Failure or Other Problem 4.10 Fatalities and Injury 4.11 Fires (including False Alarms) 4.12 Fleet Equipment Problems 4.13 Fleet Depot Delays (including Major Maintenance Depots) 4.14 Flooding 4.15 Freight Terminal / Yard /Other off Network Infrastructure Delays 4.16 Infrastructure Equipment Failure 4.17 Late Start from Origin 4.18 Loading Problems 4.19 Marshalling of Train Incorrect 4.20 Mishaps and Major Safety Incidents 4.21 ‘Minutes Delay’ not apparently due to Network Rail 4.22 TRUST Berth Errors 4.23 Regulation and Signalling of Trains 4.24 Safety Problems Reported by Staff or Public 4.25 Guidance where No Fault Found (technical equipment) 4.26 Railhead Conditioning Trains 4.27 Security Alerts 4.28 Station Operating Delays 4.29 Temporary (Including Emergency) Speed Restrictions 4.30 The Special Train 4.31 Timetable and Resource Planning Errors 4.32 Trackside Signs Including TSR/ESR Board Defective/Blown Down 4.33 Trains Incurring Several Small Delays 4.34 TRUST Outages 4.35 Vandalism/Theft/Trespass 4.36 Waiting Train crew 4.37 Weather Effects 4.38 Wires Down and Other OLE Problems 4.39 Failure of TASS Balise System 4.40 Failure of ETCS/ERTMS Balise System 4.41 Operational GSM-R (Railway Emergency Call) 4.42 Operational GSM-R Systems-Faults/Failures 4.43 Attribution of Delay Incidents caused by TPWS Intervention or Failure 4.44 Network Yards and Terminals

N.B. In the sections below ‘##’ means the Business Code of the Train Operating Company/Companies Concerned, and ‘*’ indicates a choice of letter/number.

4.2 ACCEPTANCE INTO OFF NETWORK FREIGHT TERMINALS/YARDS

4.2.1 Normally the ‘Minutes Delay’ will be allocated to the appropriate A*, F* or M* Code Incident occurring in the off Network terminal/yard and attributed to the Freight Operator whose trains are affected, with a separate incident being created for each Freight Operator involved.

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4.2.2 Likely exceptions: No. Circumstances Delay Code Incident Attribution

a. Infrastructure defect or problem on Network Rail I*/J*/X* as See section operated infrastructure outside any-terminal/yard appropriate 4.16 b. Incident within a yard or terminal off Network Rail Appropriate Freight operated infrastructure, causing trains to be delayed A*, F* or M* Operator(s) - entering into either that off Network yard/terminal Code separate or an adjacent off Network yard or terminal sharing Incident for the same connection to the Network. each Operator involved (A##*) c. Freight Operator of train waiting outside off Network AA Operator of terminal or yard does not provide information on train concerned incident in off Network terminal or yard. (A##*) d. Delays to other trains because an early running OB Network Rail freight train cannot enter an off Network terminal. (OQ**) e. Where a train is not in its booked siding or yard on Appropriate Principal Network Rail Infrastructure and as a result causes a Y* Code Incident Reactionary Delay that would not have occurred if it causing train to were in its booked siding or yard on Network Rail be in the wrong Infrastructure (subject to occurrences of any further siding/yard. incident causing delay), reactionary delay is allocated to the incident that caused the train to be in the wrong siding or yard on Network Rail Infrastructure. f. Incident within a Network Yard or Terminal causing Appropriate Principal trains to be delayed entering or leaving that Network code Incident Yard or Terminal. causing train to be delayed.

4.3 ADHESION PROBLEMS INCLUDING LEAF-FALL

4.3.1 Introduction The principles of this attribution process are based on reasonableness and pragmatism. The procedures and the guidance, if applied in the right spirit, have the potential to reduce TRUST incident disputes during each autumn. 4.3.2 Use of flowchart This guidance should be read in conjunction with the associated flowcharts (see section 4.3.6) as this encapsulates the overall process flows for determining responsibility for delays. 4.3.3 Application of the autumn Attribution Process The period during which this guidance should apply will normally be aligned to the commencement and cessation of the route railhead treatment programme undertaken by Network Rail. E.g. autumn attribution can be “turned on or off” by joint agreement where adhesion related delays on a route are observed, predicted, reported or apparent in line with the prevailing conditions as per individual agreements for managing the adhesion delays between Network Rail and operators. 4.3.4 Principles The process for attribution is dependent on two crucial pieces of information: • Lists of jointly agreed Neutral Zones; • Jointly agreed definitions of ‘reasonable time-loss’ values for each of the jointly agreed Neutral Zones.

These crucial pieces of information need to be worked out and agreed between Network Rail and

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operators and supplied to attribution staff.

In jointly agreed Neutral Zones and where the level of delay is within the ‘reasonable time-loss’, then attribution of that delay will be to an agreed Neutral Zone in accordance with DAG 4.3.5. 4.3.4.1 Jointly agreed Neutral Zones Each Network Rail Route will agree with their lead Train Operator(s) a list of locations where adhesion problems are common (and on behalf of other Routes in which that operator runs trains). These may be compiled from any supporting source, and are to be presented in the form of a list of affected TRUST delay sections. Examples of such sources are:

• Lists of sites vulnerable to low adhesion, as published in the Sectional Appendix. • TRUST sections where performance analysis shows delays in the autumn-related categories to be high. 4.3.4.2 Determining the level of ‘reasonable time-loss’ in a jointly-agreed Neutral Zone. Each Network Rail route will also agree with their lead operator(s), in relation to the list above, the number of ‘Minutes Delay’ in a given delay section which shall normally be agreed as the maximum ‘reasonable time-loss’ for inclusion in the “Neutral Zone” incidents as described above. The ‘reasonable time-loss’ agreed with the operator may be specific to particular classes of train or traction type. ‘Reasonable time-loss’ will be either pre agreed for that section or be in line with average time losses in that section, that day. It may be appropriate to have different values for different times of day particularly given the nature of autumn adhesion conditions in the early morning and around dusk. ‘Reasonable time-loss’ can be amended at any time with consent of affected parties based on the severity of actual or predicted adhesion conditions as per DAG 4.3.4.4.

4.3.4.3 Actions to Mitigation. In determining both the attribution of delays within a section to a responsible manager or to the Neutral Zone (see below) and the level of ‘reasonable time-loss’, there should be due cognisance taken of the extent to which any of the parties has undertaken actions to mitigate delay prior to and during the autumn period to prevent or reduce train delays. Examples of this would be the extent to which Network Rail has undertaken effective measures in mitigating the effects of deciduous vegetation that can lead to adhesion problems, or where an operator has undertaken to have sanding equipment fitted to trains.

4.3.4.4 Review of Neutral Zone lists. The jointly agreed Neutral Zone list will be agreed annually prior to the autumn season and be subject to mutual review. Annual agreement does not preclude amendment by all-party agreement at any time, either in respect of the list of delay sections or ‘reasonable time-loss’ levels applied. For instance, in the event of delay levels indicating that a further section should be added to the list of sites where problems may be expected, this may be affected immediately upon the consent of the affected parties. ’Reasonable time-loss’ will also have to be determined.

N.B: Nothing in Section 4.3.4.1 or 4.3.4.2 precludes the real-time mutual agreement of an amendment to the list of agreed Neutral Zones or ’reasonable time-loss’, which may be applied to one or more train delays. Network Rail routes and their lead Train Operators should consider the mechanisms required to make such real-time agreement the subject of a permanent amendment, if desired. 4.3.5 The ‘Neutral Zone’ concept The “Neutral Zone” is intended to allow for the fact that the exact circumstances of delay due to the wheel/rail interface are complex, not fully understood by the industry, and that industry parties frequently suffer from a lack of detailed information and resource during the autumn period.

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4.3.5.1 Setting up Neutral Zone incidents. Initial attribution of “Neutral Zone” incidents will be on a TRUST Section or Route Section-specific basis. For each section, one incident per directly affected operator is to be created at a periodicity to be agreed with each operator, using delay code TT (FT for Freight operators) and the Network Rail Manager code for the management area in which the section sits. The Responsible Manager code is the operator covered by the incident. The Delay Code must be used for this and no other purpose.

The attribution to a responsible manager code is purely for systems purposes. It should not be regarded as an operator delay code and delays attributed to the TT/FT delay code remain an industry opportunity if successfully tackled.

4.3.5.2 Use of Neutral Zone incidents It is important that the Neutral Zone delay code is only used:

• Provided other possible causes of train delay have been investigated, considered and exhausted as agreed reasonable by both parties; • Provided normal reactionary delay principles are applied.

It is feasible that a train may be delayed by several leaf-fall incidents, each of a low order of minutes but with a larger cumulative impact. If that same train is then delayed further by an incident such as a points failure, that defect may be the largest single incident contributing to the total lateness, although the cumulative effect of leaf-fall remains the majority cause of delay. Under normal attribution principles, this largest single incident would be used to determine the attribution of reactionary delay i.e. reactionary delays to other services would be attributed to the points failure. However, leaf-fall is widely accepted as a generic delay cause representing a challenge to the entire industry, in much the same way as unexplained delay, and as such should be dealt with in a similar fashion to cumulative unexplained delay. Therefore, attribution of reactionary delay, where leaf-fall is the majority delay cause (but the largest single incident causing delay is not leaf-fall), should be to the majority delay cause, the provision of DAG 4.1.23 notwithstanding.

If leaf-fall is determined to be the highest cause of delay, then reactions should be attributed to the principle leaf-fall incident (i.e. the one that has the largest number of delay minutes allocated to it that contributes to the lateness at that point). For further guidance, see section 4.3.8.

Where two or more leaf-fall incidents have the same effect then reactionary delay must be split equally between them. Subsequent ‘reaction to the reaction’ should follow DAG 4.1.23

4.3.6 Delays in TRUST sections not on jointly agreed Neutral Zones lists. The notes below relate to the annotated reference points in flow-charts 4.3.6.1 and 4.3.6.2.

Note 1 The jointly agreed Neutral Zone list can be updated on the day in question and thus a poor performing section can be agreed to be included real time.

Note 2 Autumn ‘reasonable time–loss’ will be either pre agreed for that section or in line with average time losses in that section, that day.

Note 3 Mitigation by the TOC includes but should not be limited to on-train sanders, WSP, driving in accordance with the policy as outlined in the autumn working arrangements.

Note 4 For a driver’s report to be considered valid, the following criteria must be adhered to:

1. Was the report received as expeditiously as possible, given prevailing reporting methods at the location affected? 2. Was the report sufficiently specific to allow for appropriate site investigation and corrective action to be taken?

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If a site is correctly reported and subsequent drivers are being advised of the reported conditions pending examination, no requirement to report poor conditions is incumbent upon those subsequent drivers. Attribution of delays so caused will be determined by the findings of the investigation.

Note 5 If a valid report is received, it will be necessary to determine whether the examination was carried out in an appropriate manner. The test of appropriateness is whether given the circumstances the report was acted upon and examination carried out in a reasonable and timely fashion dependent upon circumstances including (without limitation):

1. Location 2. Potential impact on safety 3. Potential impact on performance 4. Number of low adhesion reports for this site 5. Number of low adhesion reports to be acted upon 6. Train service density

In the event that the response to the report of exceptional rail head condition (ERHC) and low rail adhesion (LRA) and/or the examination proves unsatisfactory, it should be considered invalid and should be coded QI as shown.

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4.3.6.1 Autumn attribution: joint process: Chart 1

Otherwise unexplained delay

Have all Code to relevant Is section included on necessary Has a report citing Coded to TO/ prime cause as per No Yes jointly agreed list No No mitigations been adhesion as the cause of FO DAG 4.3.7 (see note 1)? applied? delay been received?

Yes Yes

Is site booked to Subsequent Did driver report Coded OE/ Was it adequately No Yes receive railhead report received ERHC/LRA OQ** treated? at the time of delay as treatment? citing adhesion expeditiously as as the cause of possible? delay (see note 4) No

No Yes Agreed TOC/FOC Yes Coded M*/ mitigations in place (see No T*/F* Was time loss note 3)? Code TT/FT Yes reasonable (see note 2)?

Yes No

Agreed minutes to TT/FT. Excess minutes to TG/FC Did the Driver report ERHC/LRA at the time of the delay as expeditiously as possible as per note 4? No

Has site examination Coded QI No Yes been carried out? Was time loss (see note 5) reasonable?

Yes No

Yes

Coded to TW/ Coded to MP Is section included FG Was railhead Was time loss on Code TT/FT Yes Yes No contamination reasonable? jointly agreed list found? (see note 1)?

No Yes No

Agreed minutes to Coded MP TT/FT. Excess Has suitable mitigation minutes to TG/FC been implemented at the site? Yes No

Code to relevant QH prime cause as per DAG 4.3.7

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4.3.6.2 Station over runs during autumn period: Chart 2

Station Over Run

Is the over run at an ERHC site as published in the Sectional No Appendix and or in the autumn Yes working arrangements?

Has the driver cited Final attribution to be based railhead conditions as Yes on investigation and cause the cause of the over run No identified to the controlling signaller as per note 4?

Coded TG T***/FC F*** Has a site examination been carried out? Yes No (see note 5)

Coded QI/Q*** Has leaf fall Yes contamination been found?

No

Has suitable mitigation been implemented at the site?

No Yes

Has there been a Coded M*/M*** not MP Yes unit/loco problem?

Code to relevant prime Coded to QH/ cause as per DAG QQ** No 4.3.7

Is driving technique Coded TG/T***/FC/F*** Yes the cause?

No

Coded MP/M***

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4.3.7 Additional coding guidance

4.3.7.1 Guidance in respect of Network Rail attributable incidents No. Circumstances Delay Code Incident Attribution

a. Failure to operate the agreed railhead See DAG See DAG 4.26 treatment programme 4.26 b. Failure to maintain vegetation within network JP Network Rail (IQ**) boundaries in accordance with prevailing Network Rail standards, including where signals or track side signs are obscured by vegetation and where trains strike branches - not due to the weather.

c Late start or delays to Railhead Conditioning OS Network Rail (OQ**) Train (RHC) including any reactionary delay to other trains' d Contamination present but agreed vegetation QH Network Rail (QQ**) measures completed e Failure to carry out railhead examination after QI Network Rail (QQ**) ERHC and/or LRA railhead report (as per charts 4.3.6.1 and 4.3.6.2) f Cautioning of trains when contamination is QI Network Rail (QQ**) present g Special working implemented for leaf fall track QJ Network Rail (QQ**) circuit operation

4.3.7.2. Guidance in respect of operator -attributable incidents No. Circumstances Delay Code Incident Attribution a Failure of on train adhesion equipment (e.g. M* as operator of train WSP, sanders) appropriate (M##*) for vehicle type b Signal passed at danger or station over shoot at TG/FC Final attribution to an ERHC site due to contamination (as be based on published in the sectional appendix or Autumn investigation and working arrangements (AWA) cause identified c Minutes in excess of agreed ‘reasonable time- TW/FG operator of train loss’ in agreed Neutral Zone or location (T##*/F##*)

4.3.7.3 Guidance in respect of adhesion difficulties that arise outside autumn period (Note that site examination may indicate that certain of these circumstances apply within the Autumn period also)

No Circumstances Delay Codes Incident Attribution Where there is a greases on the railhead due to incorrect working of a flange greaser and/or Infrastructure a IZ the Infrastructure Maintainer is asked to clear Maintainer (IQ**) the railhead M* as Train operator Where contamination of the railhead is due to appropriate b causing problem spillage of substances from a train to vehicle (M##*) type Where water or ice is found upon the running Train operator c MP railhead (Conductor Rail icing, see DAG 4.37 (M##*) Where oil, grease or other substances, except d water or ice, whose source cannot be OZ Network Rail (OQ**) identified, is found on railhead

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4.3.7.4 Manual Treatment In the event of manual treatment being utilised as part of a booked programme, the consequences of failing to adhere to that programme should be attributed in accordance with the principles of DAG 4.26, i.e. attributed to Network Rail as appropriate. Where manual treatment is required in reaction to evidence of contamination, attribution of delay resulting from the application should be to the base cause, i.e. to the reason for the contamination being present.

4.3.7.5 Principles of Railhead treatment attribution (to be taken to include all forms of treatment utilised by the Network Rail routes • In the event of railhead treatment services not gaining access to the line on time or at all i.e. cancelled. However caused, initial attribution of delays caused by the impact of the failure to treat the railhead should be to Network Rail. • If a railhead treatment service is unable to complete its programme due to problems with the unit or treatment equipment, initial attribution of delays caused by the impact of the failure to apply railhead treatment should be to Network Rail. • If the railhead treatment train is rendered unable to complete its programme because of an incident or incidents, the responsibility of an operator or contractor, the delays to the treatment train service and reaction thereto should be attributed to that incident as per normal reactionary delay principles for any train • Delays due to failure to complete the railhead treatment programme should be attributed in accordance with DAG 4.26 (see also DAG 4.3.7.4). • It is acknowledged that Train operators act as contractors to Network Rail, to supply maintenance or train crew services in respect of railhead treatment services, and that delay due to any failure under this contract may be reflected via the commercial settlement of autumn attribution. This guidance does not preclude the subsequent re- attribution of such incidents if required by a commercial agreement, but as any such policy would not be nationally applicable it is outside the document’s terms of reference. 4.3.8 Additional Guidance On The Attribution Of Reactionary Delays Incurred Related To Leaf-Fall And Adhesion Attribution. During the period that the principles set out in section 4.3 apply, special arrangements apply for attribution of reactionary delays. It is recognised that a train may be delayed by several leaf-fall incidents, each of a relatively low order of minutes but with an overall larger cumulative impact. In such cases, attribution of reactionary delay, where leaf-fall is the majority delay cause (but not the largest single incident causing delay), should be to the majority delay cause. For example, if a train is delayed a total of 16 minutes to several FT/TT incidents, and a further 12 minutes to a points failure, reactionary delay would be attributed to leaf-fall, being the majority delay cause.

Example 1 – reactionary delay to a single leaf-fall incident. Where a train is delayed by a leaf-fall incident, then reactionary delays caused or incurred by that train will be attributed to that leaf-fall incident, as per standard reactionary delay principles.

Example 2 – reactionary delay attribution to multiple leaf-fall incidents. Where a train has been delayed by multiple leaf-fall incidents, attribution of reactionary delay is to that incident causing the majority delay, i.e. if one incident contains 7 minutes and another incident 5 minutes, then the reactionary delay will be attributed to the 7 minute incident

Example 3 - reactionary delay attribution to two or more leaf-fall incidents of the same magnitude Where a train is delayed by different leaf-fall incidents, all of which have the same number of minutes attributed, at the point of reactionary delay occurring, attribution should be split between the TOC leaf-fall incidents for the operator of the train that causes the reactionary delay.

Example 4 – reactionary delay attribution when leaf-fall is the largest overall delay cause Where a train is delayed, for example, 16 minutes due to 4 separate leaf-fall incidents and 12 minutes due to a Points failure, and then causes reactionary delay, at that point the reactionary delay should be attributed to the greater of the TOC-specific leaf-fall incidents for the operator that causes the reactionary delay.

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4.4 ANIMAL INCURSION, STRIKES AND INFESTATION 4.4.1 The term ‘infestation’ used in this section, represents animal behaviour which on the balance of probability, commenced prior to the last planned infrastructure maintenance inspection; or two months before the date of infrastructure failure; whichever is sooner.

4.4.1.1 If the incident is the result of damage due to repeated and chronic animal behaviour (infestation as opposed to incursion or strike), code to I*/J* Delay Code for the equipment failure type.

4.4.1.2 In the event of damage caused to the infrastructure by an animal, where the animal is present (alive or dead), and removal results in rectification with no remedial works, use delay code X8.

4.4.1.3 In the event of an incident involving an animal, where the animal is present (alive or dead), and infrastructure damage has been caused by that interface, with post-removal rectification works required, code to I*/J* code for the equipment failure type.

4.4.1.4 If the incident is the result of a sudden impact and the animal is not present at the point of failure, use delay code I8.

4.4.2 In the flowchart 4.4.3 the answer to the question as to whether the bird is the same size or smaller than a pheasant is to be determined by the average weight of the species of the bird involved, irrespective of the number of birds involved in the incident

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4.4.3 Animal Strikes

Train Delayed by an Incident Connected with Animal Strikes

Did the Animal gain access Did the Animal gain Is the Animal a Bird? No via or through a Fence, Gate or Cattle No access via a Platform? Grid?

Yes

Yes No

Has impact occurred at the point of interface between the electrical Did the Animal gain access Did the Animal originate supply Infrastructure and the Train? due to Damaged or Missing Fence, from the train or from Railway (i.e. Pan Head Carbon Gate or Cattle Grid? Infrastructure (Non-Network Rail) or Conductor Shoe)

Yes No

No Attribute the Incident to Delay Code VZ or FZ as Applicable Yes Was the Gate left Open? Is the Bird the same size or smaller than a Pheasant or similar species? Yes

No Yes

Yes Has the Gate or Fence been Vandalised?

No Is the Train involved run by a Yes Was the Gate a Public Passenger Operator? Access Gate?

No Yes

No Attribute the Incident to Delay Code V8 Birds Not the Responsibility of Network Rail No Yes

No

Yes Is the Train involved a Diesel Train?

No Yes

Attribute the Incident to Delay Attribute the Incident to Delay Attribute the Incident to Delay Attribute the Incident to Attribute the Incident to Code X8 Code I8 Code X8 Delay Code M3 Fleet Delay Code MQ Animal or Bird the Responsibility Animal Strike/Incursion within Animal Strike/Incursion not within Responsibility Fleet Responsibility of Network Rail the control of Network Rail the control of Network Rail

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4.5 BRIDGE STRIKES 4.5.1 For the purposes of delay attribution, a Bridge Strike is defined as an incident in which a road vehicle or its load, or a waterborne vessel or its load, impacts with the fabric of a Bridge:

An incident in which a rail vehicle or its load collides with a bridge and is not a Bridge Strike but is an incident to be recorded under 4.8 or 4.9, as applicable.

4.5.2 A bridge strike shall be coded XP and all delays caused by a bridge strike shall be allocated to Network Rail. This coding shall be used prior to and after an examination of the bridge by a Bridge Strike Nominee when:

• trains are stopped in accordance with the Rule Book • a Signal Box Special Instruction is in place permitting trains to continue to run over or under the bridge; • trains continue to run in accordance with the Operating Instruction for a late reported Bridge Strike or in accordance with an Operating Instruction for Bridge Strikes by light vehicles.

4.6 CANCELLATION OF FREIGHT SERVICES

4.6.1 Unless a freight train is clearly cancelled as a result of an Incident attributable to Network Rail, it will be the responsibility of the Freight Operator to advise the reason to the Network Rail Route Control responsible for the immediate vicinity of the point of cancellation. If no such information is available, then the code FL is to be used.

4.7 DUPLICATE DELAYS

4.7.1 Due to the possibility of TRUST’s handling of out of sequence train timing reports, a single instance of ‘Minutes Delay’ may appear twice either with the same or different coding and attribution. Delay Code PJ should be used for attribution of the duplicate minutes.

4.8 PLANNED AND EMERGENCY POSSESSIONS

4.8.1 This section covers delays resulting from the need to divert trains, operate Single Line Working or other special method of working trains (including during signalling disconnections) due to a pre-planned possession or other blockage of one or more tracks and for which there is no Recovery Time or amendment of train schedules.

4.8.2 Where guidance in this section specifies the use of a P* delay code, reactionary delay as a result of attribution to this incident should be allocated to a separate incident, coded QP. In the event that a possession cause reactionary delay in an area controlled by a different Area Production Manager (or equivalent) to that where the possession is located, the QP incident to which those delays are attributed should have a Network Rail manager code matched with that of the P-code possession incident. In the event that more than one P- coded possession is responsible, the Network Rail Manager code should match that of the P-coded possession contributing the largest number of delay minutes at the point of reactionary delay. If two or more possessions contribute an equal number of minutes, DAG section 4.1.23 applies. The description of the QP-coded incident must include a reference to the incident number of the P-coded possession.

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4.8.3 Where Guidance in this section specifies the use of a P* delay code, reactionary delay as a result of attribution to this incident should be allocated to a separate incident, coded QP. In the event that a possession causes reactionary delay in an area controlled by a different Area Production Manager (or equivalent) to that where the possession is located, the QP incident to which those delays are attributed should have a Network Rail Manager code matched with that of the P-code possession incident. In the event that more than one P- coded possession is responsible, the Network Rail Manager code should match that of the P-coded possession contributing the largest number of delay minutes at the point of reactionary delay. If two or more possessions contribute an equal number of minutes, DAG section 4.1.23 applies. The Description of the QP-coded incident must include a reference to the Incident number of the P-coded possession. 4.8.4 Emergency Possessions When diversions or single line working are necessary due to an emergency possession or unplanned blockage of the route any ‘Minutes Delay’ are attributed to the appropriate incident as per Section 4.16. This ensures that the appropriate I*/J*/Q*/X* Code is used to reflect the actual reason for Possession. 4.8.5 Possession Overruns Where a possession is likely to, or has overrun (and a delay is likely to be caused owing to a late hand back), an incident should be created for each such event. The details to be recorded must include the identification of the nature of works being undertaken, the estimated time of overrun, line(s) affected, and details identifying from whom the information was received. The incident should then be attributed to Delay Code I5. For the purposes of attribution in accordance with this section, it should be noted that the term “Overrun” also includes the completion of any associated S and T work after the possession has been given up, in the event of such remedial works being required. It also includes the giving up of any OLE isolation.

4.8.6 Delay resulting from T2, T12 or GZAM possessions taken for the purpose of track inspections or patrolling should be allocated to an incident attributed with Delay Code I6. Where delay is caused by the agreed duration of a possession or block being exceeded the delay should be allocated to an incident attributed with Delay Code I5 and treated as a possession overrun. However, if the overrun has been the result of the inspection finding a defect requiring attention then the resulting delay should be allocated to an incident that reflects the nature of the defect found. T2, T12 and other blocks taken to rectify faults and defects should be allocated to an incident attributed a Delay Code that reflects the need for the possession as per Section 4.16. 4.8.7 Multiple Worksite possessions The TRUST Responsible Manager for ‘Minutes Delay’ in the event of an overrun is the Possession Manager as listed in the WON. The Possession Manager should identify the TRUST Responsible Manager responsible for the worksite overrun and arrange for the incident to be re-attributed as necessary. If a single TRUST Responsible manager cannot be identified then delay minutes should remain attributed to the Possession Manager. 4.8.8 Single Worksite Possession The Trust Responsible Manager for ‘Minutes Delay’ in the event of an overrun is the Possession Manager.

4.8.9 In either of the circumstances above, where delay is identified as being caused by an agent acting for the Possession Manager the delay should be attributed to the Possession Manager Note: -. When identifying the owner of the worksite that has caused the overrun, if the cause of the problem is of a FOC or on-track machine provider nature Section 4.9 should be consulted.

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4.8.10 Infrastructure Trains Where an infrastructure train is delayed entering a possession “waiting acceptance” purely because the site is not ready to accept the train (as opposed to infrastructure failure or train failure for example), or where an infrastructure train is delayed leaving a possession for reasons which are the responsibility of the Possession Manager, but the possession does NOT overrun, then the delay should be allocated to an incident coded I7 and attributed in accordance with DAG Section 4.9.

4.8.11 Waiting To Pass Booked Trains During Possessions If ‘Minutes Delay’ are incurred by trains running in their booked path on approach to the possession site but are delayed waiting for the possession to be (partly) given up as per published arrangements for the possession, the Incident to be coded I6 and attributed to Network Rail.

4.8.12 If the train is running significantly late, the ‘Minutes Delay’ to be allocated to the principal Incident causing the train to be late on the approach to the possession site.

4.8.13 Likely Circumstances:

No. Circumstances Delay Code Incident Attribution

a. Train Operator(s) and Network Rail agree not PF Not the responsibility of to retime trains for pre-planned Possessions any organisation (PQ**) between the Recording Points where the work is taking place, and sufficient Recovery Time exists to avoid delays to other services b. Train Operator(s) and Network Rail agree not QB Network Rail (QQ**) to retime WTT trains for pre-planned

Possessions between the Recording Points or where Network Rail fail to make necessary re- timings.

• the work is taking place but delays (Excess minutes only) exceed maximum Recovery Time per train; or • no recovery time exists to avoid delays to other services. c. Train Operator(s) and Network Rail agree not JB Separate incident for to retime trains for pre-planned TSRs but in such trains attributed to doing so delay other trains not included in the Network Rail (IQ**). This agreement. includes any trains operated by Operator(s) party to the agreement, but which would not otherwise have been delayed or for which adequate Recovery Time is not available.

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No. Circumstances Delay Code Incident Attribution

d. Train Operator(s) and Network Rail agree not QP Separate incident for to retime trains for pre-planned Possessions such trains attributed to but in doing so delay other trains not included Network Rail (QQ**). in the agreement This includes any trains operated by Operator(s) party to the agreement, but which would not otherwise have been delayed or for which adequate Recovery Time is not available. e. Overrun of Possession, not due to the failure I5 As Per Section 4.16 of an Engineers Train or On-Track Machine f. Overrun of Possession, due to the failure of ** As Per Section 4.9 an Engineers Train or On-Track Machine

g. Where possession over-run is due to a late QM Network Rail (QQA*) start caused by problem with the train plan

h. T2 or T12 taken to repair a defect I*/J* As Per Section 4.16 As applicable i. Track patrol possession not published in the I6 Network Rail WON organisation managing the possession (IQ**) j. Track patrol published in the WON I6 Network Rail organisation managing If published any P* code allowance should be the possession (IQ**) utilised k. Waiting for a block to be given up to pass a I5 Network Rail booked train during the planned times of the organisation causing the

block. (excluding track patrol blocks) overrun (IQ**) If published any P* code allowance should be utilised l. Trains weaving fast to slow etc due to a track I6 Network Rail patrol organisation managing

the possession (IQ**) If published any P* code allowance should be utilised m. Cover speed imposed due to a track patrol I6 Network Rail organisation managing If published any P* code allowance should be the possession (IQ**) utilised n. Overrun of patrol beyond the agreed times I5 Network Rail where reason is unknown organisation managing the possession which overruns (IQ**) (Excess minutes only) o. Overrun the result of a defect found I*/J* As Per Section 4.16 As (Excess minutes only) applicable

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4.9 ENGINEERS ON-TRACK EQUIPMENT AND ENGINEERING HAULAGE TRAIN FAILURE OR OTHER PROBLEM

No. Circumstances Delay Code Incident Attribution

a. Self-propelled on track equipment (“yellow MV Contractor under whose plant”) failure or defect and late start from Access Agreement the any stabling point/Yard. move is being made (MR**) b. Engineers’ train failure or defect including late F*/M* Train Operator. (for start from any yard or stabling point example: (DBS),*DBI(FLHH), *PEI(GBRf) , *XHI (DRS) and *RGI (Colas) c. “Yellow Plant” or Engineers’ train awaiting I7 Attributed to the prime access to possession site. cause of why the possession was taken late. (IQ**) d. “Yellow Plant” or Engineers Train late coming I7 (or I5 if an The Contractor out of possession/ work site due to work in overrun responsible for the work possession/work site late. (Possession results) site where the problem Overrun) arose (IQ**). e. Engineers’ train late coming out of possession F*/M* Freight train operator site due to waiting traincrew, vehicle fault or (F##*/M##*). /A* other train operator problem

f. Yellow Plant late coming out of possession MV Yellow Plant operator site due to waiting traincrew, vehicle fault or (M##*) other train operator problem Note: If “Yellow Plant” or an engineer’s train is late from any siding or yard or stabling point awaiting a possession to be taken, then attribution is to the prime cause as to why the possession is taken late.

4.10 FATALITIES AND INJURIES 4.10.1 The terms “fatality” and “injury” as used in this section, include persons having been struck by a train.

4.10.2 Likely situations No. Circumstances Delay Code Incident Attribution a Fatality or injury on Network Rail infrastructure Network Rail including the track in stations or in the vicinity of a (XQ**) station except in cases where both access of XC passengers to/from trains and the passage of trains ADRC at the time they are scheduled to stop is prevented Determination 27 (see next text box below). b Fatality or injury on Network Rail Infrastructure Joint including the track in stations or in the vicinity of a responsibility - station which prevents Both the passage of a train separate incident at the time it is scheduled to stop and the access of to be created for passengers to/from that train. Note that this applies each Operator only to templat4e passenger operators, some of VC directly affected whose trains stop at that station. (DH**)

(See 4.10.3)

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No. Circumstances Delay Code Incident Attribution

c Fatality or injury on non-Network Rail operated FOC - separate infrastructure affecting trains of non-passenger incident to be Operator AZ/FC created for each affected (A##*/V##*) d Fatality or injury on a station platform caused by a VC/FC Train Operator of train (with non trespass at the point of contact) the train involved (F##*/V##*) e Fatality or injury on a train, or as a result of falling VC Train Operator of from a train train on which the person was travelling (V##*)

4.10.3 Where access to trains and or track is prevented, see DAG section 4.1.4 to 4.1.18 for guidance on attribution of Joint Responsibility incidents.

4.10.4 Circumstances may arise where Joint Responsibility criteria are met for only a limited period within the overall duration of the incident; for example, the police may initially close the line and the station, but then allow one to be re-opened, while keeping the other closed. In certain circumstance multiple incidents may be required as defined in 4.10.2.

4.10.5 Note that, in the event of Joint Responsibility being applicable in accordance with the guidance above, an incident should be created for each operator incurring at least one direct delay in respect of any train booked to call at the station affected during the period of closure. Any subsequent direct delays in respect of trains booked to stop incurred by that operator should be attributed to this incident. Subsequent directly affected trains not booked to call should be attributed to Network Rail.

4.10.6 The above section notwithstanding, normal arrangements apply in respect of the attribution of reactionary delay (see paragraph 4.1.2).

4.10.7 Initial attribution in accordance with the guidance above should be reviewed by performance and or account teams to ensure that all parties have taken reasonable steps to avoid and/or mitigate the effects of the incident. Any failure to mitigate delay must be attributed to the responsible party in accordance with DAG paragraph 4.1.2.1

4.11 FIRES (INCLUDING FALSE ALARMS)

4.11.1 Likely situations: No. Circumstances Delay Code Incident Attribution

a. Lineside fire on Network Rail operated I9 Network Rail Infrastructure, except where caused by a traction (IQ**). unit, cable or other infrastructure defect. b. Lineside fire caused by infrastructure equipment Appropriate As per Section defect I*/J* Code 4.16 c. Lineside fire caused by traction unit Appropriate Train Operator of M* Code train causing fire (M##*) d. External fire to Railway Infrastructure causing XL Network Rail delay to trains but not preventing access of (XQ**) passengers to and from a train at a station. (including those that spread to railway infrastructure) Page 40 of 109 Delay Attribution Guide April 2015

No. Circumstances Delay Code Incident Attribution

e. Fire (including false alarms) in station buildings or Not vandalism Train Operator – on platform where trains may pass through and RH separate incident though scheduled to stop do not do so: for each operator serving that station at the Caused by time of the vandalism incident (R##*) VF Train Operators– separate incident for each operator serving that station at the time of the incident (V##*) f. Fire (including false alarms) in station buildings or Not vandalism Network Rail on platform which prevents the passage of a train OJ (OQ**) at the time it is scheduled to stop but not the .. access of passengers to or from that train

Affecting operators, none of whose regular trains Caused by Network Rail are booked to call at the station. vandalism (XQ**) XB g. Fire (including false alarms) in station buildings or Not vandalism Joint on platform which prevents the passage of a train RH Responsibility – at the time it is scheduled to stop and the access of separate incident passengers to or from that train. for each operator serving that Caused by station at the vandalism VF time of the incident (D##*)

Joint Responsibility – separate incident for each operator serving that station at the time of the incident (D##*) h. Fire in Network Rail buildings other than stations: Network Rail • Caused by vandalism XV (XQ**) • Not caused by vandalism OV Network Rail (OQ**) i. Fire (including false alarms) on platforms or in AK FOC Trains (A##*) station buildings affecting FOC Trains booked to call at stations j. Fire in off Network freight yard or terminal AK Freight including private sidings Operator(s) – separate incident for each affected (A##*)

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No. Circumstances Delay Code Incident Attribution

k. Passenger Operator(s) – Fire in Fleet depot: separate incident for each affected • Caused by vandalism VF (VH##*) Separate incident • Not caused by vandalism NC for each Train Operator affected l. Fire on passenger train

• Caused by vandalism VF Operator of train involved (V##*) • Not caused by vandalism MY Operator of train involved (M##*) m. Fire on freight train MY Operator of train involved (M##*)

4.11.2 Where access to trains or track is prevented see DAG section 4.1.3 to 4.1.18 inclusive for guidance on attribution of Joint Responsibility Incidents.

4.11.3 Circumstances may arise where Joint Responsibility criteria are met for only a limited period within the overall duration of the incident; for example, the police may initially close the line and the station, but then allow one to be re-opened, while keeping the other closed. In such circumstances multiple incidents may be required as defined in 4.10.2.

4.11.4 Note that, in the event of Joint Responsibility being applicable in accordance with the guidance, an incident should be created for each operator incurring at least one direct delay in respect of any train booked to call at the station affected during the period of closure. Any subsequent direct delays in respect of trains booked to stop incurred by that operator should be attributed to this incident. Subsequent directly affected trains not booked to call should be attributed to Network Rail.

4.11.5 The above section notwithstanding, normal arrangements apply in respect of the attribution of reactionary delay (see paragraph 4.1.2).

4.11.6 In all the circumstances in 4.11.1 above, the term station should be taken to include Network Rail Managed Stations.

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4.11.7 Flowchart identifying attribution of various types of fire (including alarm activations)

Was the fire Was fire Did the fire START HERE Code M*/F* No due to No caused by a Yes originate on or Train delay caused vandalism? traction unit? from a train? by a fire As per Code I9 section 4.16 Yes Yes No Yes No Code FZ (frt) / VF (pass) Code M* Did the fire originate from NR Was fire caused by an Was fire due to infrastructure assets Yes No other than infrastructure vandalism? buildings? defect?

Yes No Yes

Code XB Did the fire Code NC Was the fire Did the fire Does the building originate from a NR Was fire due to (frt) /VF Yes due to Yes originate in a No Yes No contain signalling building other than a vandalism? (pass) vandalism? depot? station? equipment?

No Yes No No Code NC Code XV Code OV

Did the fire originate from Code AK Yes FOC operated In regard to the flow chart the word Fire should also be read as infrastructure other than fire alarms, including false alarms. depots? Throughout this flow chart the term ‘station’ can also refer to the platform at which the train is booked to call No

Did the fire originate Was the train Was the Code XL No from or affect a Yes booked to stop at No fire due to Yes Code XB station? the station? vandalism?

Yes No

Code VF/D##* Is the train Code VF/V##* (Separate incident operated by a Yes Code AK Code OJ (Separate incident for each operator FOC? for each operator serving that serving that station) station) No No Yes Yes

Code RH/D##* Code RH/R##* (Separate incident Was the Was station closed Were passengers Was the (Separate for each operator No fire due to Yes to both passengers No denied access Yes fire due to No incident for each serving that vandalism? and trains? to trains? vandalism? operator serving station) that station)

Circumstances may require the creation of more than one incident in connection with the fire – as described in Section 4.11.3

4.11.7.1 For the purpose of this flowchart Network Rail Managed Stations are to be treated as a station and not a Network Rail controlled building.

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4.12 FLEET EQUIPMENT PROBLEMS 4.12.1 Incidents to be given the appropriate M* or N* Code and attributed to Train Operator whose train has suffered a failure or similar problem (M##*). 4.12.2 Passenger Train Operator Delays (including Charter Trains):

No. Circumstances Delay Code Systems

a. Delays associated with faults with the Pantograph, 3rd M1 3rd Rail Rail shoe beam, ADD and PANCHEX activations Pantograph ADD b. Delays associated with faults relating to train borne M0 (zero) OTMR safety systems within the CAB DVD DSD GSM-R NRN RETB ERTMS Technical head or tail light failure Horn Speedo c. Delays associated with faults with train doors and M7 Crew doors associated systems Passenger doors Gangway doors Toilet doors d. Other delays associated with technical faults above M8 Air the solebar conditioning Toilets Cab heaters Internal lighting Window faults (excl. those broken by external causes) Failed passenger facilities e.g. broken seating VCB

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No. Circumstances Delay Code Systems

e. Other delays associated with technical faults below MD Air systems the solebar Traction motors Engines Gearbox Drive train Train electrics and or batteries

f. Delays associated with train borne safety system faults MT AWS TPWS ATP TCA HABD WILD g. Delays associated with Sanders and scrubber faults MR On board sanding equipment Wheel scrubbers h. Delays associated with brake and brake system faults, MN Poor brakes including wheel flats ABS WSP i. Technical delays associated with coupler and coupling MY Coupler system faults, excluding track or driver based issues Coupler buttons Control systems j. Delays associated with the effect of the weather on MW Windscreen the train wipers Leaking Frozen couplers where mitigations have not been applied k. Delays associated with balise activated train borne NA TASS systems TILT m Delays associated with train borne systems where no M9 See section fault is found with the track or the train based 4.25.4 equipment n. Delays associated with Steam train locomotives ME Steam trains

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No. Circumstances Delay Code Systems

o. Delays associated with coaching stock ML Coaches Parcel vehicles

4.12.3 Freight Train Operator Delays No. Circumstances Delay Code Systems a. Faults associated with diesel hauled freight trains MC Diesel freight b. Faults associated with electric hauled freight trains MB Electric freight c. Delays associated with wagons or coaching stock on ML Freight a freight train wagons Coaches d. Delays associated with train borne systems where no M9 See section fault is found with the track or train based 4.25.4 equipment p. Delays associated with on track plant equipment MV Yellow plant Tampers

4.12.4 Likely exceptions No. Circumstances Delay Code Systems a. If there is severe weather affecting most modes of VW Train Operator transport and causes problems to passenger traction (V##*) units or vehicles b. Sandite vehicle and or snow plough, weedkiller, OM Network Rail break-down train failure or problems (OQ**) c. Engineers On-Track machine failure or problems MV Train Operator (except in possessions) under whose Access Agreement the movement is made (M##*/MR**)

4.12.5 NB. Multi-Purpose Vehicles (MPVs) are frequently deployed as Railhead Conditioning (RHC) trains. I the event of such a vehicle suffering mechanical failure while operating in this capacity, coding of the incident must be in accordance with DAG paragraph 4.26.3

4.13 FLEET DEPOT DELAYS (INCLUDING MAJOR MAINTENANCE DEPOTS)

4.13.1 Normally the ‘Minutes Delay’ will be coded with the appropriate F*, M* or T* Code and allocated to an incident attributed to the Operator of the train(s) involved. Separate Incidents are to be created for each Operator directly affected with Responsible Manager Code F##*, M##* or T##*, as appropriate.

4.13.2 Likely exceptions: No. Circumstances Delay Code Incident Attribution

a. Infrastructure defect or problem on Network Rail I*/J*/X* as See section operated infrastructure outside the depot appropriate relating to particular type of problem

b. Right time departure delayed waiting passage of late YF or YG as Main Incident(s) Page 46 of 109 Delay Attribution Guide April 2015

No. Circumstances Delay Code Incident Attribution running train(s) appropriate causing other train(s) to be late at that point c. Right time departure delayed waiting passage of early OB Network Rail running train (OQ**)

4.13.3 It will be the responsibility of the Freight Operator of the train delayed in any off - Network location to provide the necessary information to Network Rail to accurately allocate the ‘Minutes Delay’ to an Incident. Often this will be by use of the Late Start Reason Code in the TOPS/SDR Departure input. Any incident attributed on the basis of such input must state the data source in the freeform text. When a Y* code is used the Operator must advise Network Rail the reporting number of the delayed inward working. The TRUST Delay Attribution staff must ensure that this reactionary delay is attributed to the prime incident. If no information is provided, then the Delay Minutes will be allocated to an Incident coded MZ attributable to that Operator.

4.14 FLOODING 4.14.1 Where flooding occurs affecting Network Rail infrastructure an incident should be raised coded (JK/IQ**).

4.14.2 Where widespread flooding occurs, disrupting other forms of transport, such as closure of a number of major roads, or where trains are delayed as the result of the Route Flood Prevention Procedure, the incident should be coded to (X2, XQ**).

4.14.3 In addition if the railway line is the lowest point in the surrounding area, other forms of transport may not be affected as they may be on higher ground therefore it may be legitimate to use code X2. If there are no other forms of transport in the area and the railway is flooded then it may be legitimate to use code X2.

4.14.4 Likely examples: No. Circumstances Delay Code Incident Attribution

a. Flooding caused by drainage being inadequately JK Network Rail maintained. (IQ**) b. Flooding on Network Rail infrastructure significantly X2 Network Rail disrupting other forms of transport or the result of (XQ**) delays associated with the Route Flood Prevention Procedures. c. Flooding on Network Rail infrastructure resulting from XM Network Rail burst water pipes, which are outside the responsibility (XQ**) of the Network Rail d. Flooding of station buildings and structures affecting RW Train the access and egress of passengers to and from the Operator – train that are not the result of weather. separate incident to be created for each involved affected (R##*) e. Localised flooding originating from FOC infrastructure AZ Train affecting the operation of an off Network freight yard Operator – or terminal separate Page 47 of 109 Delay Attribution Guide April 2015

No. Circumstances Delay Code Incident Attribution incident to be created for each involved FOC operating in or out of the off Network yard or terminal

f. TOC/FOC directive preventing rolling stock from MW Operator of travelling through standing water (at a level where the the train rule book allows movement of trains) concerned (M##*) g. Flooding of station buildings and structures the result VZ Train of floodwater from adjacent land not part of the Operator – network affecting the access and egress of passengers separate to and from the train. incident to be created for each involved affected (V##*)

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4.15 OFF - NETWORK FREIGHT TERMINAL OR YARD OR OTHER NON-NETWORK RAIL OPERATED INFRASTRUCTURE DELAYS 4.15.1 Normally the ‘Minutes Delay’ will be coded with the appropriate A*, F*, M*, O* or T* Code and allocated to an incident attributed to the Operator of the train(s) involved, Responsible Manager Code A##*, F##*, M##*, O##* or T##* as appropriate. For Fleet Depots see paragraph 4.13.1.

4.15.2 Likely exceptions: No. Circumstances Delay Code Incident Attribution

a. Infrastructure defect or problem on Network Rail I*/J*/X* as See section operated infrastructure outside the off Network appropriate relating to terminal or yard particular type of problem b. Right time departure delayed waiting passage of late YF or YG as Principal running train(s) appropriate Incident(s) causing other train(s) to be late at that point c. Right time departure delayed waiting passage of early OB Network running train Rail (OQ**) d. Late departure caused by late arrival of inward loco or Y* as Principal traincrew or waiting connecting inward rail borne appropriate Incident traffic causing inward train to be late

4.15.3 It will be the responsibility of the Freight Operator in any off Network location to provide the necessary information to Network Rail to accurately allocate the ‘Minutes Delay’ to an Incident. Often this will be by use of the Late Start Reason Code in the TOPS/SDR Departure input. Any incident attributed on the basis of such input must state the data source in the freeform text. When a Y* code is used the Operator must advise Network Rail the reporting number of the delayed inward working. The TRUST Delay Attribution in putter must ensure that this reactionary delay is attributed to the prime incident. If no information is provided, then the Delay Minutes will be allocated to an Incident coded FW or TZ, as appropriate and attributable to that Train Operator.

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4.16 INFRASTRUCTURE EQUIPMENT FAILURE 4.16.1 To be given the appropriate I*/J* Code and attributed to the Network Rail responsible for faulting and maintenance at the location concerned. This includes: • Failures caused by litter affecting infrastructure equipment • Failures associated with trackside telephones, including SPTs at level crossings.

4.16.2 Likely exceptions: Incident No. Circumstances Delay Code Attribution Train Operator(s) – separate Infrastructure failure on non-Network Rail running incident to be a. lines causing trains to be delayed – including LUL TX / AX created to each infrastructure but excluding Channel Tunnel / Europe. operator involved (T##* / A##*)

Cable Failure caused by Vandalism: Network Rail Where the failure is due to cable vandalism / theft XR (XQ**) b. Where it is identified that the failure is due to vandalism / theft (other than to cables) XB Network Rail (XQ**) Road related incidents 1 Network Rail c. Damage to level crossing equipment caused by road XD (XQ**) traffic Road related incidents 2 As per section d. See 4.5 Road vehicle striking bridge 4.5 Road related incidents 3 Damage to infrastructure other than bridges or level Network Rail e. XN crossings caused by road vehicles not involved in (XQ**) railway work Road related incidents 4 Network Rail f. Track Circuit failures near level crossings caused by XN (XQ**) road salt Bridges and Structures 1 Structural problems on bridges (excluding lifting/ Network Rail g. JD swing bridges and bridge strikes), tunnels, viaducts (IQ**) and buildings Bridges and Structures 2 Network Rail h. JD Swing bridge failure (IQ**) Bridges and Structures 3 Where it is identified that problems with Network Rail i. embankments, cuttings, subsidence or sea defences IV (IQ**) are not as a result of insufficient vegetation or vermin control or drainage maintenance Bridges and Structures 4 Network Rail j Structural problems with platforms impeding the safe JD (IQ**) passage of trains Power supply failure caused by loss of supply from an Network Rail k XK external supplier. (XQ**) Network Rail l. Failure of TPWS on-track equipment IJ (IQ**) As per section m. Wires down or other OLE problems See 4.38 4.38 See Section As per Section n. Animal Strikes/Incursion 4.4 4.4 Staff error e.g. items left foul of line, inadvertent signal Network Rail o. JL replacement, detonator placement errors (IQ**)

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4.16.3 Track Circuit Failures a) Broken Rails There may be occasions when an apparent track circuit failure turns out to be an indication of a broken rail. In these circumstances the delay should be attributed (or changed) to IR.

b) Insulated Block Joint Failures (IBJ) In some cases, failure of an insulated block joint (IBJ) i.e. the insulation between two track circuits may cause a track circuit failure. • If the insulation on the IBJ fails or is faulty but does not cause a track fault, the delays should be coded as a track circuit failure – IC. • If the IBJ fault lies with the joint itself, then the delays should be coded as a track fault, irrespective of whether the track circuit also fails – IS • If the IBJ fault does not cause the track circuit to fail but does result in trains being delayed, e.g. through cautioning of trains due to a dipped joint, the delay should be coded IS.

Train Held due to Track Circuit Failure (as per DAG 4.16.3b)

Attribute to an Incident with Delay Code IS IBJ Insulation No ‘Track defects (other than rail defects Failed? i.e. fish plates, wet beds etc)’

Yes

Attribute to an Incident with Delay Code IC ‘Track circuit failure’

c) Leaf Fall Contamination

Where a track circuit failure is caused by leaf fall contamination, the delays should be coded QJ. 4.16.4 Track and Rail Defects The code IS should be used for track defects such as broken fishplates, bolts, where packing is required, ESRs imposed, broken joints.

The code IR should be used where the rail is broken. The code IS should only be used where a suspected track defect is reported but no fault is found. 4.16.5 Cable Faults, Power Supply and Distribution Failures

The following diagrams illustrate how to differentiate and attribute incidents to

 power supply and distribution systems for signalling assets (generally 650V but sometimes 400V or 230V) and telecoms assets (400/230V) that are under the responsibility of the Electrification and Plant engineers  signalling functional power supplies (110V or below) that are under the responsibility of the Signalling and Telecoms engineers  cable faults (lineside cables for signalling ); and  the lineside assets that are powered (track circuits, point machines, signals, etc), where the failure is of the “tail cables” connecting these assets to lineside location cabinets Note: The section does not apply to overhead line / third rail power supply (often referred to as “traction power supply”) failures which are covered in Section 4.16.11 Electrification.

The figure below illustrates the four types of equipment described above and shows the interface between the power supply and distribution system and the signalling system that it supports.

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External Supply Power supply and distribution equipment (XK) Signalling power transformer (e.g. distribution cables (650, 400 or 230V) Principal (IH) 650/110V) (IH) (IH) Supply Point ( PSP ) (IH) (IH) Power Power Power Distribution Distribution Distribution (IH) ( FSP ) (IH) ( FSP ) (IH) ( FSP ) (IH)

Signalling Signalling Signalling Signaling (II) Functional Functional Functional Relay Room (II) Power supplies II) Power supplies (II) Power supplies Signalling control (IE) (IE) (IE) lineside cables

Lineside location case Lineside location case

Signalling functional power supplies and control cabling IA, IB or IC as appropriate (110V stepped down to various voltages)

Tail Cables

Points Signals Train Detection Other

The figure below shows a schematic of delay codes that represent the main categories of failure for power supply and distribution equipment associated with the signalling system.

PSP

External Supplier Failure of external power supply “XK”

NR Standby Failure of Network Rail derived power Derived Supply supply or standby power supply “IH” Supply

Lineside power distribution Failure of power distribution system “IH”

If the fault arises following the loss or momentary loss (blip) of the external incoming power supply from the external supplier (usually a Distribution Network Operator such as UK Power Networks, Western Power Distribution, etc) then:-

a) where a standby power supply (usually a diesel generator) and/or an Uninterruptable Power Supply (“UPS”) is installed and fails to activate correctly or as designed to maintain the supply, then code IH should be used. (Note: generators are not designed to be instantaneous and some signal reversions and black signals are expected to occur while they start up (in the absence of a UPS); these initial delays should be coded to XK);

b) otherwise code XK should be used (as per paragraph 4.16.2).

If a fault is due to the failure of Network Rail standby supply equipment and this is as a result of damage due to the external power supply, for example by a voltage surge, then this should also be coded to XK.

If the fault is due to a failure of the Network Rail derived power supply (due to a failure in the ‘traction power supply’ system) or standby power supply, which are located at the Principal Supply Point (“PSP”) shown above then the incident should be coded IH.

If the fault is on the lineside power distribution system which comprises signalling power distribution cables and Functional Supply Points (“FSPs” - which are generally the 650V, 400V or 230V switchgear, fuses and transformers within lineside location cases) as shown above then the incident should also be coded IH.

The figure below shows how to differentiate and attribute delays that are due to signalling functional power supplies, lineside signalling control cable faults, and asset tail cables. Page 52 of 109 Delay Attribution Guide April 2015

Failure of signalling functional power supply equipment “IE” Relay Room Failure of lineside signalling cables “II” Lineside Location Cases Failure of signalling asset’s tail cable – “IA”, “ IB” , “ IC” , etc . Equipment e . g. Signals , Track Circuits , Point Machines

If the signalling functional power supply equipment at a relay room or lineside location case causes a delay then this should be allocated to code IE. The equipment involved will generally be operating at 110V or less. A fault with a lineside multi-core cable that is part of the signalling system or a lineside 110-v supply cable should be coded II – lineside signalling cable fault. These are generally between relay rooms to location cases and location case to location case. (Note: Code II should not be used for signalling power distribution cable faults).

Tail cable failures: if the fault lies between the lineside location case and equipment such as a signal, track circuit, or point machine, it is a tail cable failure. This should be coded according to the piece of equipment it feeds. Therefore, for example, if it is a track circuit tail cable it should be coded IC.

The figure below shows how to differentiate and attribute delays that are due to external power supply failures to key lineside telecoms equipment rooms for cab secure radio, GSM-R (Global System for Mobile communications – Railways), and the telecommunications network backbone, FTN (Fixed Telecommunication Network).

External Supplier Failure of external power supply “XK”

Power distribution Failure of power distribution system “IH”

Telecoms FTN / GSMR Failure of telecoms systems FTN “JC” or Node GSM-R “J0”

If a fault on the incoming supply to a telecoms FTN/GSM-R site causes delays then these should be coded “XK”.

If the fault is on the power distribution equipment then these should be coded ‘IH’.

If the fault is on the actual GSM-R or FTN telecommunications equipment in the lineside equipment room then it should be coded “J0” or “JC” respectively.

4.16.6 Telecommunication Links The code IK is used for failures of communication links between telecoms or signalling equipment. Such failures can be the reason that signalling functions such as TDM/SSI, Train Describer (TD) and Block Circuits (BLO) are not operational. 4.16.7 Telecom Equipment Failures The code IK is used for failures to telephony equipment (not communication links). This code should be used to describe failures of the following equipment:

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• Signal Box Telephone Concentrator System (CON) • Signal Post Telephones (SPT) • Level Crossing Telephones, both NR and BT lines (LCT) • RETB Emergency Telephones • Ground Frame Telephones • Points Telephones • General lineside Telephones (TEL) • Driver Only Operation (P) Closed Circuit Television (CCTV)

4.16.8 Radio Failures (Legacy Communications)

The code I0 (zero) is used for delays due to failures of legacy radio communication equipment, NRN radio equipment (off train), CSR/SMA equipment (off train), RETB radio equipment. 4.16.9 Electrical Control Rooms The code J0 (zero) is used for delays due to failure of IVRS communication systems, including the failure of associated mobile communication devices issued to traincrew.

GSM-R faults are covered in Section 4.42 4.16.10 Token Equipment Failure The code IL is used for a token failure or RETB terminal failure. Failure of an RETB radio link should be coded as 4.16.7. Failures of the standby dial-up system should be coded in line with 4.16.6. Where No Fault is Found see section 4.25 4.16.11 Electrification Code I1 should be used for a failure of the overhead line equipment or the third rail equipment.

Code I2 should be used where trips on OHLE (not pantographs) occur and no known reason can be found.

Code I3 obstruction of the overhead wires or third rail should be allocated to the reason for the item being there, i.e. weather, ,vandalism, trespass or items which have been thrown or have fallen from a train. If the reason for the obstruction is not known, code I3 should be used.

Code I4 should be used when there are problems associated with motorised and manual switches, incoming breakers, track feeder breakers and isolation irregularities.

Code JP should be used where the OCB trip is caused by vegetation within the 5 metre confines of the flail strip, including when attached to a structure. 4.16.12 Infrastructure failures on FOC or privately owned infrastructure Code AX is to be used, with one incident for each affected operator. 4.16.13 Failure of Network Rail maintained DOO Monitors

The code J2 should be used for the failure of DOO monitors that are maintained by Network Rail.

4.16.14 ETCS and or ERTMS Equipment Failure The code J7 is used for failures of ETCS or ERTMS equipment (excluding communications link and ETCS Balise(See section 4.40). This equipment includes Interlocking and Radio Block Centre (RBC)

4.16.15 Accepted Design Limitations Accepted Design Limitations (ADLs) is a generic title applied to network related operational constraints that have the capacity to cause delay because equipment is unable to cater for particular circumstance, despite not being in “failure mode”

a. If the ADL causes an infrastructure failure, use the appropriate I*/J* delay code for the equipment failure type.

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b. If the ADL causes no failure, but still causes delay, further investigation will be required.

c. If the ADL is included in the Special Box Instructions or similar, the signaller is able to mitigate the ADL effects and does not do so use delay code OC.

d. If the ADL is included in the Special Box Instructions or similar, the signaller is unable to mitigate the ADL effects and does not otherwise cause delay, use the appropriate I*/J* delay code for the equipment type as if it did fail and attribute to the maintenance organisation.

e. If the ADL is not included in the Special Box Instructions or similar, use the appropriate I*/J* delay code for the equipment type as if it did fail and attribute to the maintenance organisation.

f. If, via the RT3973 process, train planning have had the opportunity to reflect the impact of the ADL in the train plan and the train plan doesn’t reflect it and no other delay cause exist, use delay code QA/QM and allocate to the Train Planning Centre.

4.17 LATE START FROM ORIGIN 4.17.1 When a train starts late due to the late arrival of the inward locomotive and / or stock and both the train and the incoming locomotive and/or stock is operated by the same Train Operator, the appropriate YG and YI Code is to be used and allocated to the cause of delay (other than an P-coded TSR) which has contributed most to the lateness at destination. Care must be taken to include all relevant details, including the responsible train reporting number.

4.17.2 When a train starts late due to the late arrival of incoming locomotive and/or stock operated by a different Train Operator, the late start shall be treated as a separate incident and attributed to the operator of the outgoing train that has departed late

4.17.3 As all parties are expected to mitigate the effects of any delay wherever possible, the late start should be less than the lateness on arrival of the inward working. Where the late start exceeds the lateness on arrival of the inward working, and the excess lateness is not due to regulating for another train, a separate incident should be created to explain the additional delay. Late running trains should normally be turned round in less time than that booked. In each case a view must be taken on how much of the late start was due to the late arrival of the inward working and how much was caused by a separate occurrence at the origin station. The ‘Minutes Delay’ should be split accordingly.

4.17.4 If a train starts late due to train crew see section 4.36

4.17.5 Where a train has a departure delay because the schedule has been subject to a stock change and is deemed not to be a primary delay, the late start is only considered to be a reactionary delay where the stock change is a direct result of service recovery or contingency planning. Reactionary delay is allocated to the incident that caused the stock change.

4.18 LOADING PROBLEMS 4.18.1 Use code AG attributing to Operator of train concerned (A##*). This includes trains overloaded etc., leaving a Possession or worksite.

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4.18.2 Exception: No. Circumstances Delay Code Incident Attribution

a. Train conveying dangerous goods FA Operator of train involved (F##*)

4.19 MARSHALLING OF TRAIN INCORRECT 4.19.1 For passenger trains use Code TZ and for freight trains use Code AZ, attributing to Operator of train involved (M##* or T##*, as appropriate)

4.19.2 Exceptions: No. Circumstances Delay Code Incident Attribution

a. Train conveying dangerous goods FA Operator of train involved (F##*) b. Train incorrectly marshalled due to late arrival of YI Principal part of consist Incident causing late inward arrival c. Train incorrectly marshalled due to signaller allowing OC Network portions into platforms or any sidings in wrong order Rail (OQ**) other than due to late running

4.20 MISHAPS AND MAJOR SAFETY INCIDENTS 4.20.1 If an incident occurs on Network Rail infrastructure, for which the outcome of a Formal Inquiry, as convened in accordance with Group Standard G0/0T0004, is required to establish responsibility and this could lie with at least one Train Operator, then it is to be coded FU or TU, as appropriate. Examples of such incidents are derailments and collisions where the cause may not be immediately clear. If two or more Train Operators are responsible, a separate Incident is to be created for the trains of each, with Responsible Manager (F##* or T##*). If Network Rail and other Train Operators agree that they did not contribute to its cause then a separate Incident for trains of those Operators to be created, coded OI, and attributed to Network Rail (OQ**). The formal investigation conclusion as to cause may enable the attribution to be resolved and will allow the Incident(s) to be recoded as appropriate. In all other cases the Incident to be coded as per 4.20.2 and/or 4.20.3.

4.20.2 Given the disruptive nature of many major incidents and that the need to convene a Formal Inquiry may not be immediately apparent, it may not be practical to apply paragraph 4.20.1 immediately. In these circumstances the code that best describes the problem should be used wherever possible and attributed accordingly. Where the exact cause is not obvious, the appropriate code AZ/FZ/IZ/MY/MZ/OZ/RY/RZ/TY/TZ is to be used.

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4.20.3 Particular codes: No. Circumstances Delay Code Incident Attribution

a. Dangerous Goods Incident/Irregularity FA Train Operator (F##*) b. Overloaded wagons, slipped load or similar AG Train Operator (A##*) c. Confirmed Hot Axle Box MR Train Operator (M##*) d. Hot Axle Box detection - no fault found or IN Network wrong detection Rail (IQ**) e. Displaced conductor rail I1/FU/TU As appropriate to cause (IQ**, F##* or T##*) f. Overhead wires down See 4.38 As per Section 4.38 g. Fires or fire alarms See 4.11 As per Section 4.11 h. Injury to passenger (accidental) TE Train Operator (T##*) i. Assault on passenger VB Train Operator (V##*) j. Injury to member of staff in Railway FZ/FC/IZ/MZ/ Employee’s Industry organisation OC/RZ/TG/ or the one TH or TK to which they are contracting if not Network Rail/TOC/ /FOC/ Network Rail/ k. Door Open incident on passenger train TL Train Operator (T##*) l. Door open incident on non-passenger train FZ Train Operator (F##*) m. Level crossing incidents involving damage ID Network Rail (IQ**) n. Misuse of level crossing XD Network Rail (XQ**)

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No. Circumstances Delay Code Incident Attribution

o. Bridge Strike XP As per Section 4.5 p. Fatality or injury caused by being hit by a See 4.10 As per train Section 4.10 q. Vandalism, trespass and theft See 4.36 As per Section 4.36 r. Signal Passed at Danger due to Appropriate I*/J* Code Network infrastructure failure Rail (IQ**) s. Signal Passed at Danger due to Train AZ/FC/FZ/MY/MZ/RY/RZ/ Train Operator causes TG/TH Operator t. Signal Passed at Danger due to signaller’s OC Network error Rail (OQ**) u. Signal Passed at Danger due to leaf fall QH/FC/TG As Per contamination Section 4.3 v. Network Rail Network closed due to XZ Network emergency on adjacent airfield/airport. Rail (XQ**)

4.21 ‘MINUTES DELAY’ NOT APPARENTLY DUE TO NETWORK RAIL 4.21.1 If following investigations with its own staff Network Rail has reasonable grounds to believe that the ‘Minutes Delay’ were not its responsibility and the Operator is unable to immediately provide information, then use code TO for passenger trains and FO for freight trains and attribute to the Train Operator. A separate Incident must be created for each instance which must indicate what Network Rail sources of information have been used and which post(s) in the Operator’s organisation were approached for information, where applicable. Such TRUST Incidents must not be created without sufficient investigation using Network Rail’s own sources of information.

4.21.2 These incidents may be re-attributed on the basis of further investigation by the Train Operator.

4.21.3 Any loss in time in running should take into consideration the circumstances given in section 4.33.

4.21.4 Excluding the circumstances set out in, and the application of, DAG 4.21.1 and 4.21.4 and also 4.33.3, when Network Rail have not investigated a delay correctly (and timescales restrict the correct re-attribution) the associated delays, including reactionary, should be attributed to Network Rail as mis-investigated with delay code ON used.

4.22 TRUST BERTH ERRORS 4.22.1 TRUST Berth errors occur due to anomalies in TRUST automatic reporting, whereby a train might appear to lose time as the result of an inaccurate report, only to recover it immediately. In certain circumstances, these anomalies may be sufficiently pronounced to cause the generation of a Delay Alert. Such anomalous reports should be corrected in accordance with the relevant standard. However, if the times are not revised, the delay alerts generated should be attributed to an incident coded PT. Incorrect TRUST timings should be corrected in accordance with the relevant standard.

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4.23 REGULATION AND SIGNALLING OF TRAINS 4.23.1 Where a train has been held at a regulating point for another train and for no other reason, out-with the agreed Regulating Instructions for that location, the ‘Minutes Delay’ should be coded OB (or OD if this is by direction of the Route Control) and attributed to Network Rail (OQ**). This also applies if a train is delayed following a slower running train that has been allowed to proceed against the Regulating Instructions between two regulating points and for no other reason.

4.23.2 If a train is delayed at or between successive regulating points as a result of correct application of the Regulating Instructions and for no other reason, then the appropriate Y* code is to be used for the ‘Minutes Delay’ and these should be attributed to the principal TRUST Incident of the most late train that caused the need to regulate at the point where the Reactionary Delay occurred. Should the principal TRUST Incident be some form of P* coded Speed Restriction or Possession then the delay is to be allocated to a separate Incident in accordance with section 4.8.3

4.23.3 In the event of a train being incorrectly regulated or routed as a result of a signaller correctly applying an incorrectly-produced Train Service Simplifier, the ‘Minutes Delay’ should be attributed to Network Rail and coded OQ/OQ**. This coding shall apply irrespective of who created the simplifier, with the exception of simplifiers produced by Operational Planning which should be coded to (QA/QM / QQ**).

4.23.4 In the event of a train being incorrectly routed, the attribution of delay is dependent on the route set, and the actions of the driver affected. If the driver does not take the incorrect route, or if the route is an agreed booked diversionary route for that service which would not result in missed station calls if taken, all delay should be attributed to the signaller, coded OC/OQ**.

4.23.5 In the event of the route being set for an incorrect route that is not a booked diversionary route, or would involve a missed station for which prior advice of diversion had not been received, the driver is expected to advise the signaller at the junction signal controlling the junction, or if not possible to stop in time safely, at or before the next signal. In the event of the driver not stopping and contacting the signalman at the appropriate point, a second incident should be created coded TG/TH** or FP/F*** and any delays divided equally between the two incidents.

4.24 SAFETY PROBLEMS REPORTED BY STAFF OR PUBLIC 4.24.1 All Railway Industry staff have a duty to report Safety problems that will or appear to affect the safe operations of trains or the infrastructure. On occasions similar reports are received from members of the public. This section reflects the responsibilities of organisations to ensure that such reports are acted upon and investigation may reveal that the problem may no longer be apparent.

4.24.2 Likely circumstances: No. Circumstances Delay Code Incident Attribution

a. Network Rail confirm defect after report As per Section 4.16 As per of poor ride quality Section 4.16 b. Following report of poor ride quality IT Network Rail Network Rail unable to find an apparent (IQ**) cause c. Network Rail confirm signalling As per section 4.16 As per problems causing change of signal section 4.16 aspects or other reported signalling anomaly d. Signaller accidentally puts signal to OC Network Rail danger (OQ**) Page 59 of 109 Delay Attribution Guide April 2015

No. Circumstances Delay Code Incident Attribution

e. Signal put back to danger to stop train Appropriate Code As due to a safety of the line incident appropriate to code f. Should no cause be apparent for a IA Network Rail change of signal aspect or other (IQ**) reported signalling anomaly g. Infrastructure Maintainer/Network Rail JX Network Rail staff confirm presence of reported (IQ**) or obstruction Infrastructur e Maintainer(I Q**) as below h. Network Rail and Train Operator agree JX Network Rail that a train has struck an unidentified (IQ**) obstruction on the line and Network (see also Rail were required to attend (not paragraph vandalism) 4.35.1) i. Network Rail and Train Operator agree JX Network Rail that a train has struck an unidentified (IQ#*) obstruction on the line and Network (see also Rail were not required to attend (not paragraph vandalism) 4.35.1) j. The Train Operator’s staff confirm that Appropriate M* Code Operator of there is a defect with the traction or train rolling stock concerned (M##*) k. The tail lamp or headlamp is out or the FM or TJ as appropriate to Operator of train shows both headlamps or marker type of train train lights and tail lamps or lights at the concerned same end of train or intermediate lamps (F##* or or lights. T##*) l. The Train Operator staff are unable to FZ, M9 or TZ as Operator of find the reported train-related safety appropriate to type of train problem. train concerned (F##*, M##* or T##*). m. Network Rail staff are unable to find the J4 or as appropriate to Network Rail reported infrastructure related safety reported problem (IQ**) problem.

4.24.3 While signallers are completing the RT3185 or RT3187 forms, the delays to the train involved and any reactionary delays should be attributed to the incident that made the use of the form necessary. Trains delayed as a result of being overlooked whilst completing this process should be attributed as a new incident to the signaller.

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4.25 GUIDANCE WHERE NO FAULT FOUND (TECHNICAL EQUIPMENT) This Section is only applicable where parties have agreed that all reasonable efforts had been made to investigate the cause of delay resulting from the perceived failure of equipment in Table 4.25.4 (including the use of OTMR, voice recordings, and other technical data). If there is no agreement that all reasonable efforts have been undertaken this would not constitute No Fault Found. The guidance given in this section is not a substitute for a lack of investigation. Where parties have agreed that all reasonable efforts to investigate have been undertaken, the following principles shall apply.”

4.25.1 Where the equipment is solely infrastructure based and no fault is found with the train; the incident is attributed to Network Rail (use delay code IN) 4.25.2 Where the equipment is not solely infrastructure based and no fault is found with either the train or the infrastructure based equipment the incident shall be attributed to the Operator (use delay code F*, N*, M* or T*). 4.25.3 These principles are subject to review in the following circumstances. 4.25.3.1 Where a train fails to acknowledge more than one piece of infrastructure based equipment of the same type, it should be deemed that the fault is with the train based equipment. 4.25.3.2 Where a train fails to read a piece of infrastructure based equipment but then reads subsequent equipment and it cannot be determined if the fault is train based or infrastructure based, it should be deemed unless otherwise proven, that the fault is with the train based equipment. Where two or more separate trains fail to read the same equipment in similar circumstance, it should be deemed that the fault is with the infrastructure based equipment. This principle of two or more separate trains should also be applied in the same way to two separate train-based radios. 4.25.4 Network Rail Responsibility Operator Responsibility HABD ADD On Board HABD ATP PIBS AWS RETB CSR SDO System IVRS ERTMS TASS PANCHEX Failure to Couple TPWS WHEELCHEX GSM-R WILD NRN

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4.26 RAILHEAD CONDITIONING TRAINS 4.26.1 Note that, in the context of this guide, “Railhead Conditioning” (RHC) trains incorporates Sandites, MPVs and de-icing services.

4.26.2 Network Rail is responsible for the operation of RHC trains on the network to assist with adhesion in the autumn period. Although Network Rail contracts this work to Train Operators or other suppliers, it is Network Rail who is normally responsible for delays associated with RHC train operation.

4.26.3 Likely situations: No. Circumstances Delay Code Incident Attribution

a. Delays caused by a failure to operate the OE Network Rail Rail head treatment trains or to place the (OQ**) Rail head treatment trains where or when programmed b. Delays caused by inadequate pathing for QA Network Rail a RHC train (WTT) (QQA*)

c. Delays caused by inadequate pathing for QM Network Rail a RHC train (STP) (QQA*) d. Delays caused by inadequate pathing for QN Network Rail a RHC train (VSTP) (QQ**) e. Delays caused by incorrect regulation of a OB Network Rail RHC train. (OQ**) f. Delays caused by a technical failure OM Network Rail associated with a RHC train (OQ**) g. Delays caused by a RHC train taking an OS Network Rail unusually long time in a section or at a (OQ**) location. h. Late start of a RHC from depot OS (OQ**)

4.27 SECURITY ALERTS

4.27.1 Likely situations No. Circumstances Delay Code Incident Attribution a. Suspect package or other security alert XI Network Rail actually on Network Rail Infrastructure, (XQ**)

including Network Rail buildings other than stations. b. Any security alert adjacent to and XI Network Rail affecting trains running on Network Rail (XQ**) Infrastructure but not causing a station to be evacuated, including railway property not owned or operated by Network Rail c. Security alert at or affecting a station, VI Template including alerts on non-railway property, Operator - where trains are allowed to pass through separate but not stop Incident for each affected (V##*)

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No. Circumstances Delay Code Incident Attribution d. Security alert at or affecting a station, VI Joint including alerts on non-railway property, Responsibility which prevents the passage of a train at - separate the time it is scheduled to stop and the Incident for access of passengers to/from that train. each affected Operator serving that station during the duration of the incident (DH**) (see paragraph 4.27.3 below) e. Security alert affecting trains of Train XI Network Rail Operators, none of whose regular (XQ**)

services call there (including non-

passenger operators) f. Security alert at a station affecting Royal AZ Royal Mail - Mail Postal or charter trains booked to separate call there Incident to be created (A##*) g. Security alert in passenger fleet depot VI Train affecting trains in the depot Operator - separate Incident for each Operator affected (V##*) h. Security alert in off Network freight depot MZ FOC- Separate affecting trains in the depot Incident for each affected (M##*) i. Security alert affecting non-Passenger AZ FOC- Separate trains running on infrastructure not Incident for operated by Network Rail (other than each affected Fleet Depots affecting trains running (A##*) on/to/from that infrastructure) j. Suspect package or other security alert in VI Operator of a passenger, freight or postal train train (RZ/FZ for concerned Charter/Freight) (V##* or F##* /R##*)

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4.27.2 Where access to trains or track is prevented, see DAG section 4.1.4 to 4.11.8 inclusive for guidance on attribution of joint responsibility incidents.

4.27.3 Circumstances may arise where Joint Responsibility criteria are met for only a limited period within the overall duration of the incident; for example, the police may initially close the line and the station, but then allow one to be re-opened, while keeping the other closed. In such circumstances multiple incidents may be required as defined in 4.27.1.

4.27.4 Note that, in the event of Joint Responsibility being applicable in accordance with the guidance above, an incident should be created for each operator incurring at least one direct delay in respect of any train booked to call at the station affected during the period of closure. Any subsequent direct delays in respect of trains booked to stop incurred by that operator should be attributed to this incident. Subsequent directly affected trains not booked to call should be attributed to Network Rail.

4.27.5 The above section notwithstanding, normal arrangements apply in respect of the attribution of reactionary delay (see paragraph 4.1.2).

4.27.6 In all the circumstances in 4.27.1 above, the term station should be taken to include Network Rail Network Rail Managed Stations .

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4.27.7 Flowchart identifying attribution of various types of security alert

Start Did security alert originate on Network Rail infrastructure, including Network Rail Were operators Did the alert operated yards or other booked to call XI result in the No railway Yes Yes at that station No (non calling evacuation of a property, including property directly operators) station? not No affected? owned / operated by Network No Rail?

Did the alert Did the alert Yes occur within a result in the VI/RZ/FZ Yes passenger, denial of track freight or postal access? train? Yes Were trains booked to VI/DH##* call, permitted to pass No XI/XQ** No (1 incident per through but did not affected operator) stop? Did the alert VI occur within a (Trains delayed Yes passenger fleet only in the depot) depot? No Yes MZ Did the alert (Trains delayed occur within a Yes only freight fleet in the depot) depot? VI/VH** (I incident per No affected operator) Did the alert AZ occur on non (Trains delayed only Network Rail No off Network Rail operated infrastructure) infrastructure?

4.27.7.1 For the purposes of this flowchart Network Rail Managed Stations are to be treated as a station and not Network Rail property

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4.28 STATION OPERATING DELAYS 4.28.1 Normally, station delays are attributable to the operator of the trains concerned.

4.28.2 Likely situations: No. Circumstances Delay Code Incident Attribution

a. Waiting traincrew TG/TH/TI/YJ or As per Section YN 4.36 b. Non-malicious injury to passenger TE Operator of train involved (T##*) c. Seat reservation problems TF Operator of train involved (T##*) d. Train catering staff including trolley TK Operator of operators delaying train train involved (T##*) e. Waiting passenger connections within YL Prime the TOC/Network Rail Connection incident Policy, except where the principle causing train incident causing delay to the incoming to be late at train is a FOC owned incident. that point f. Waiting passenger connections within YL Prime the TOC/Network Rail Connection Incident Policy, where the prime incident causing causing delay to the incoming train is a FOC incoming owned incident train to be late at that point, - if the connecting service is hourly or more frequent, then separate incidents to are to be created and attributed to Network Rail (OW/OQ**) g. Waiting passenger connections RK/TM Operator of authorised by TOC but out-with train being TOC/Network Rail Connection Policy held (T##*) h. Waiting passenger connection - not RI Operator of authorised train being held(R##*) i. Overtime caused by passengers joining RB Operator of or alighting train involved (R##*) j. Overtime caused by exceptional R7 Operator of passenger loadings due to special train involved events e.g. sport fixtures (R##*)

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No. Circumstances Delay Code Incident Attribution

k. Overtime caused by disabled persons RC/RQ Operator of joining or alighting train involved (R##*) l. Overtime caused by loading or RR/RS Operator of unloading of bicycles train involved (R##*) m. Delay due to a shunter RD Operator of train involved (R##*) O Overtime due to station staffing R3 Train problems Operator - separate incident to be created for each affected (R##*) p. Overtime due to late TRTS being given R2 Operator of by station staff train involved (R##*) q. Overtime to passenger train caused by RE Train failure of lifts or escalators Operator - separate Incident to be created for each involved affected (R##*) r. Overtime to passenger train caused by RV Train failure of customer information systems Operator - separate Incident to be created for each involved affected (R##*) s. Failure of internal power supply to RZ Train station structures or systems. Operator - separate Incident to be created for each involved affected (R##*) t. Failure of external power supply to VZ Train station structures or systems that does Operator - not affect the power supply for the separate operation of trains. Incident to be created for each involved affected (V##*)

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No. Circumstances Delay Code Incident Attribution

u. Overtime to Royal Mail Postal train AZ Royal Mail caused by failure of lifts or escalators, (A##*) including re-platforming as a result of such failure. v. Fire or fire alarm at station See 4.11 As per section 4.11 w. Waiting for authorised Special Stop RL Operator of Orders to be issued train involved (R##*) x. Waiting issue of unauthorised Special RJ Operator of Stop Orders train involved (R##*)) y. Disorder/drunks/assaults/theft/vagrant VA Train s and serious crimes at station Operator - separate Incident to be created for each Operator involved (V##*) z. Ticket irregularities VE Train Operator involved (V##*) aa. Fatality or injury caused by being hit by See 4.10 As per section a train at station 4.10 ab. Police searching train (not security alert) VG Train Operator involved (V##*) ac. Security alert See 4.27 As per section 4.27 ad. Passenger fallen between platform and RY/RZ Operator of train whilst boarding/alighting from that train involved train (R****) ae. Passenger dropped object whilst RP Operator of boarding/alighting from train and train train involved delayed at TOC request (R##*) af. Passenger dropped object whilst not in JX Network Rail the process of boarding /alighting that (R##*) is an obstruction of the line and prevents the movement of a train to/from the affected platform ag. Signaller prevents passage of train after OC Network Rail request to recover item where item is (OQ**) not considered an obstruction of the line.

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No. Circumstances Delay Code Incident Attribution

ah. Failure of /defect with CD.RA IA Network Rail equipment IQ** Except when agreed operator mitigation not implemented ai. Failure of/ defect with CD/RA R1 operator of equipment train involved Where agreed (R***) operator mitigation not implemented aj. Sunlight on CD/RA equipment XU Network Rail R##* Except where agreed operator mitigation not implemented ak. Sunlight on CD/RA equipment R1 Operator of train involved Where agreed (R##*) operator mitigation not implemented

Note: scenarios ‘ah’ to ‘ak’ are only applicable where the route is set prior to the CD/RA procedure and all pursuant to standard reactionary delay principles.

4.28.3 Changes to Section 7 have resulted in a considerable net increase in TOC R* delay codes. Certain station operating events now require different delay codes to be used in respect of particular circumstances. In respect of these, it is the responsibility of the TOC to advise Network Rail which code should be used. If no information is provided to the person attributing should select the code which best describes the incident on the basis of available information (see Section 7, section 7R). No expansion or amendment of Network Rail’s investigative responsibilities is inferred.

4.28.4 All the foregoing circumstances are equally applicable to Network Rail Managed Stations. Network Rail is only liable for delays in its capacity as infrastructure controller, not as provider of station facilities.

4.28.5 Where a train is not in its booked platform and as a result causes a Reactionary Delay that would not have occurred if it were in its booked platform (subject to occurrences of any further incident causing delay), Reactionary Delay is allocated to the incident that caused the train to be in the wrong platform.

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4.28.6 Guidance for the allocation of delays caused by an incident at a station.

Flowchart identifying the correct Allocation of a Delay to a Train resulting from an Incident in Connection with a Station

Allocate the Delay to the Train Operator Train Delayed by an Incident Connected Incident that caused the train to lose time with a Station passing through the station

Yes

Has the train passed through Is the Train Booked to Call at the Is the Train Booked to Pass the Station that is Connected Station that is Connected with the No Through the Station that is Yes with the Incident without incurring Incident? Connected with the Incident? delay caused by a Network Rail Incident?

Yes No No

Allocate the Delay to the appropriate Has the train passed through Network Rail Incident the Station connected with the Incident Yes (see Section 4.10, 4.11, 4.27, 4.36 without stopping? and 4.39)

No No

Was the incident the result of a Could Passengers Access the Train via failure to provide station facilities the Platform if the Train Called at the Yes or TOC resources? Station Connected with the Incident?

No Yes

Allocate the Delay to the Was the incident the result of a incident attributed to the failure to provide station facilities or Yes operator of the train involved TOC resources? (see Section 4.28)

Allocate the Delay to the appropriate Train Operator Joint No Responsibility Incident (D##*)

Throughout this flow chart the term ‘station’ can also refer to the platform at which the train is booked to call.

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4.29 TEMPORARY (INCLUDING EMERGENCY SPEED RESTRICTIONS)

4.29.1 The correct coding of such Incidents (excluding Emergency Speed Restrictions) must be advised in advance to the Route Performance and Control organisations to allow the setting up of TSR Network Delay Incidents within TRUST DA on publication of the Weekly Operating Notice. This must include the average time loss for each class of train, the Incident Delay Code and the Responsible Manager Code. The Operational Planning Managers and Route Asset Managers organisations must ensure that a suitable system is in place for such information to be available. Any TSR identified as a Planned Incident must comply with the stipulations of Schedule 8.

4.29.2 Emergency Speed Restrictions should be set up as an ordinary Network Delay with the upper delay threshold set at the maximum typical time loss for each class of train. In addition, the likelihood of additional delay awaiting the erection of speed boards should also be taken into account when determining the appropriate threshold. The Incident created must then be subsequently amended to reflect train delay once this work has been done.

4.29.3 Likely situations: No. Circumstances Delay Code Incident Attribution

a. Planned TSR in connection with PA Not the maintenance, renewal or other work responsibility of covered by sufficient time allowed for any industry party temporary speed restrictions and other (PQ**) engineering work (box time) in the working timetable b. Planned TSR for maintenance, renewals or JA Network Rail other work not covered by sufficient time (IQ**)/Track allowed for temporary speed restrictions Renewal and other engineering work (box time) in Contractor (IQA*) the working timetable c. Where a TSR (possibly more restrictive JG Network Rail than that planned) has been imposed due (IQ**)/Track to possession work not being completed Renewal Contractor (IQA*) d. Condition of Track TSR within the PB Not the Engineering Access Statement (EAS) responsibility of any industry party (PQ**) e. Condition of Track TSR not within the JS Network Rail Engineering Access Statement (EAS) (IQ**) f. Condition of Track TSR not within the JS Network Rail Engineering Access Statement (EAS) due to (IQ**)/Track the agreed renewal date being exceeded Renewal Contractor (IQA*) g. Condition of Bridge TSR within the PB Not the Engineering Access Statement (EAS) responsibility of any industry party (PQ**) h. Condition of Bridge TSR not within the JD Network Rail Engineering Access Statement (EAS) (IQ**)

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No. Circumstances Delay Code Incident Attribution

i. Condition of Earthworks TSR within the PB Not the Engineering Access Statement (EAS) not responsibility of due to inadequate drainage maintenance any industry party (PQ**) j. Condition of Earthworks TSR not within IV Network Rail the Engineering Access Statement (EAS) (IQ**) due to inadequate work by Network Rail k. Emergency Speed Restriction due to I*/J* Code reflecting As appropriate to infrastructure problem reason for restriction cause of problem l. Emergency Speed Restriction following a See Mishap Section As per Section 4.20 derailment m. Temporary or Emergency speed restriction JS Network Rail imposed as a result of rolling contact (IQ**) fatigue.

Note: The term Within the Engineering Access Statement (EAS) used above should be interpreted to mean that there is sufficient unused recovery time in the timetable and in the case of Condition of Track/Earthworks/Structures the reason for the speed restriction is declared in the Engineering Access Statement (EAS) and the Timetable Planning Rules.

4.30 THE SPECIAL TRAIN 4.30.1 If any train delay results from the running of The Special Train then it is to be coded OZ and allocated to an Incident with Responsible Manager Code OQAX.

4.31 TIMETABLE AND RESOURCE PLANNING ERRORS 4.31.1 This section reflects the requirement on Network Rail to produce validated train paths and schedules for non-VSTP services, usually any service requested by the Operator at least two days before that on which it is due to depart from origin.

4.31.2 All schedule errors contained within TRUST should be coded as follows (irrespective of operator access request, as all schedules should be validated by Network Rail before uploading). Likely circumstances:

Note: If the delay cause is due to the Operator’s documentation not corresponding with the uploaded schedule(s) always provided that Network Rail’s response to the relevant access request by that operator was made within the timescales laid down in Part D of the Network Code then codes FH for freight operators and TA for passenger operators should be used.

No. Circumstance Delay Code Incident Attribution a Schedule error/ clash caused by a WTT/LTP QA Network Rail service QQA* b Schedule error/ clash caused by an QM Network Rail STP/VAR service QQA* c Schedule error/ clash within VSTP (where QN Network Rail no validated WTT/STP timings have been QQ** used) d Schedule error/ clash within VSTP (where QA/QM (WTT or STP Network Rail the service is running in the same validated dependent) QQA* WTT/STP timings) e Operator and Network Rail agree not to QB Network Rail retime trains for pre-planned Possessions QQA* between the recording points or where Network Rail fail to make necessary re- timings

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No. Circumstance Delay Code Incident Attribution f Delay due to RT3973 conditions being QA/QM (WTT or STP Network Rail requested by the Operator but the dependent) QQA* schedule does not allow for the restrictions g Delay due to RT3973 not being requested FH/TA Train Operator by the Operator (F##*) (T##*)

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4.31.3 Guidance for the attribution of incidents due to planning errors

Primary delay occurs due to a clash of schedules

Is it a simplifier error?

Yes

No

Was the schedule Is the clash the result Has the simplifier amended by Train of an amended been produced by QM Yes Yes Planning? applicable timetable Train Planning? QA/QM service?

No

OQ No No

Has the schedule clash occurred at the point where Is at least one train QN Yes the VSTP schedule timing used Yes running under VSTP was the same as the validated conditions? VSTP service?

No No

Are the VSTP schedule Are both schedules timings used at the QA/ as appropriate WTT schedules? same time as the STP?

No

Yes No

QA

QM as at least one of the moves is a STP or VAR

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4.31.4 Where a VSTP service has been agreed and input, and that train only incurs minor delays (less than 5 minutes), these delays may be attributed to a separate incident coded PN/PQ**. In the event of any reactionary delays being caused to non-VSTP services, the incident must be re- coded in accordance with paragraph 4.31.2.

4.31.5 Trains not cancelled in TRUST but which are planned to be cancelled should be allocated to incidents with delay code PE/PG, as appropriate, and Responsible Manager Code PQ**. The code PD is automatically applied to any schedule planned cancelled in TPS and should not be used in any other circumstances.

4.31.6 A train cancelled via TPS and coded PD must not be reinstated in the system by any party. If the train is required to run this should be requested as a new train via the Very Short Term Planning procedure.

4.32 TRACKSIDE SIGNS INCLUDING TSR/ESR BOARD DEFECTIVE/BLOWN DOWN 4.32.1 Delays resulting from missing, damaged, defective or obscured trackside signs should be coded IQ and attributed to Network Rail (IQ**)

4.33 TRAINS INCURRING SEVERAL SMALL DELAYS 4.33.1 This section covers trains that have incurred several small delays below the normal explanation threshold but then suffer or cause a Reactionary Delay of at least as many minutes as the threshold (3 minutes or more for most Operators).

4.33.2 If the train has been regulated correctly and it is known why it has lost time (e.g. several successive TSRs or running with lower powered or speed locomotive or unit) then a separate Incident should be created with a Delay Code describing the cause and attributed as per the appropriate section of this Guide. The Reactionary Delay should then be attributed to the Incident. In addition, the previous delays may also be allocated to the incident When the below threshold delays are due to P-coded TSRs, the reactionary delay should be coded JB/IQ**, as per paragraph 2.6.7. Where possible, delays below the threshold should be attributed.

4.33.3 If the cause of the previous ‘Minutes Delay’ is not known and the train has been regulated correctly a separate Incident Coded ZZ with Responsible Manager Code ZQ**is to be created. However, if the circumstances of paragraph 4.21.1 apply then a separate Incident is to be created as per that section. In either case the Reactionary Delay, appropriately coded, to be allocated to the Incident created.

4.33.4 If the train was incorrectly regulated, then the ‘Minutes Delay’ to be coded as per Section 4.23.

4.34 TRUST OUTAGES 4.34.1 All delays where Network Rail is unable to investigate and/or record cause as a result of TRUST System failures, including SMART site failures, shall be coded OP/OQ**. This coding shall apply in all circumstances, including those where a fault number has been issued. Note that all parties are required to provide information necessary to identify causes of delay as given in section 1.3.1.

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4.35 VANDALISM, THEFT AND TRESPASS Explanatory Note: Trespass is also to be taken to include threats of suicide.

4.35.1 Likely situations: No. Circumstances Delay Code Incident Attribution

a. Infrastructure failure due to cable vandalism XR Network Rail or theft (XQ**) b. Where it is identified: XB Network Rail (XQ**) • that an infrastructure failure is due to vandalism or theft (other than to cables); or • Objects have been placed deliberately on Network Rail infrastructure, including in points; or • that fencing is adequately maintained; or • Objects that have been thrown or fired at trains or the track on Network Rail infrastructure, whether from outside railway premises or from railway premises including stations, and adjacent property such as car parks; or • Objects being thrown or fired from Network Rail infrastructure at trains or onto track on non-Network Rail Infrastructure (including LUL) c. Objects are thrown / fired at trains or onto VB/AZ as appropriate Train Operator – track on non-Network Rail infrastructure from separate incident outside railway premises to be created for each operator affected (V##*/A##*) d. Theft, trespass or vandalism affecting trains VB/AZ as appropriate Train Operator – including damage to fleet equipment Separate incident originating from non Network Rail to be created for infrastructure, except, objects being thrown each operator or fired. affected (V##*/A##*) e. Objects that are thrown or fired at trains or MU Depot owner Network Rail infrastructure from depots (MR**) f. Objects that are thrown or fired from trains VB Train Operator of the train concerned (V##*) g. Trespass on Network Rail infrastructure XA Network Rail where access to the infrastructure has been (XQ**) other than from a train h. Trespass on Network Rail infrastructure VA Train Operator of where access is gained by persons exiting train concerned trains without permission (V##*)

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No. Circumstances Delay Code Incident Attribution

i. Fatality or injury caused by being hit by a train See 4.10 As per section 4.10 j. Persons having alighted on Network Rail AZ (A##*) infrastructure having travelled on freight trains – where they boarded within a freight terminal, non Network Rail infrastructure (or outside the country i.e. Channel Tunnel) k. Trespass on Network Rail infrastructure XA Network Rail where access is not due to inadequate (XQ**) maintenance of fencing by Network Rail or ADRC where access is gained via a station (2nd Determination 27 Incident) m. Threat of trespass from station / footbridge XA Network Rail resulting in cautioning of trains (XQ**) n. Persons falling or jumping from platform onto XA Network Rail Network Rail infrastructure or sitting with (XQ**) their legs over platform edge

4.35.2 The attribution of any delay resulting from a train coming to a sudden, unexplained halt will be decided solely upon the evidence supplied pertaining to that particular incident. Where access to trains or track is prevented, see DAG section 4.1.8 to 4.1.18 inclusive for guidance on attribution of joint responsibility incidents.

4.36 WAITING TRAINCREW 4.36.1 Delays caused by train crew late booking on-duty for whatever reason is the responsibility of the Train Operator.

4.36.2 Normally the ‘Minutes Delay’ should be coded FE for freight trains or TG/TH for passenger trains and attributed to the Operator.

4.36.3 Exceptions: No. Circumstances Delay Code Incident Attribution

a. If the Train Operator confirms that the train YJ Attributed to crew were working a late inward service and principal TRUST both incoming and outgoing services are the Incident causing responsibility of the same operator. inward train to be late b. If a train running significantly late is further YN Attributed to delayed waiting train crew and the Train principal TRUST Operator confirms that the booked crew have Incident causing not waited or events where the train crew train to be late Resources Managers have had to provide train crew (or “step up”) to mitigate delays. c. If a Train Operator confirms that, prior to YJ Attributed to working their train, the relevant train crew principal TRUST were travelling as a passenger on a late Incident causing the running service, provided they had booked on train the train crew duty prior to travelling on it. were travelling on to be late.

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4.36.4 If a train had to wait for train crew from a significantly late inward working train, then delay may result while the driver and or (senior) conductor takes their delayed booked physical needs break (PNB), but still the lateness on departure should be no greater than the inward working.

4.37 WEATHER EFFECTS 4.37.1 If the weather is severe then Passenger Train Operators can exclude such events for passenger’s charter purposes. It should be noted that to be classed as severe at least one of the criteria below should have been met: - • the relevant authorities have advised the public not to travel • a severe weather warning has been issued by the Met Office relevant to the type of delay and the area in which the delays are occurring. • other modes of transport have been affected e.g. o motorway traffic being disrupted o airports being affected o local roads being affected o ferry sailings having been disrupted o Route controls have declared a RED alert in accordance with National Control Instructions and Extreme Weather Action Team (EWAT) has been initiated. o The effect of the weather is unavoidable through maintenance of fleet and/or infrastructure equipment.

In all cases the weather needs to have been the cause of the issue and outside the control of the parties involved. I.e. no reasonable or viable economic mitigation was possible against the impact of the weather.

4.37.2 If the weather does not meet the criteria of 4.37.1 use delay codes I*, J*or, M* as applicable in 4.37.4

4.37.3 For details relating to the impact of weather DAG 4.37.5 is split into sections each dealing with a particular weather type, these sections are:-

Wind 4.37.5a Flooding 4.37.5b Heat 4.37.5c Snow/Ice/Frost 4.37.5d Visibility – Sun 4.37.5e Visibility – General 4.37.5f

4.37.4 Likely situations: No. Circumstances Delay Code Incident Attribution

a. Weather causing an infrastructure failure when I*, J* Code as Network Rail the equipment was being expected to work appropriate (IQ**) within the design parameters. b. Weather causing an infrastructure failure, where X* code as appropriate Network Rail agreement is reached that equipment is being for type of weather (XQ#*) expected to perform outside the design parameters c. Non severe weather causing passenger depot MU Train operating problems or any type of weather Operator(s) affecting non-passenger Fleet depots. involved. Separate Incident to be created for each Operator affected (M##*)

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No. Circumstances Delay Code Incident Attribution

d. Non severe weather causing problems to MW Train individual passenger Fleet equipment types or Operator(s) any weather affecting non-passenger Fleet involved. equipment Separate Incident to be created for each Operator affected (M##*) e. Wires down, including damage to OHLE XW Network Rail equipment, due to high winds (XQ**) f. High winds or temperatures requiring imposition X4 Network Rail of blanket speed restrictions in accordance with (XQ**) Group Standards or other instructions g. Ice on the conductor rail or OLE regardless of OG Network Rail weather severity (unless due to failure of de- (OQ**) icing train) h. Ice on conductor rail due to failure to run the de- OE Network Rail icing train (OQ**) i. Miscellaneous obstructions on the line due to XW Network Rail the effects of the wind, including trees, plastic (XQ**) bags and balloons. j. Miscellaneous obstructions on the line due to X2 Network Rail the effects of flooding, including trees. (XQ**) k. Severe weather affecting passenger depot VW Train operation (see 4.37.1) e.g. operating outside of Operator. its design parameters Separate Incident to be created for each affected (V##) l. Severe weather affecting passenger Fleet VW Train equipment (see 4.37.1) Operator. Separate Incident to be created for each affected (V##) m. Snow affecting operation of Network Rail IW Network Rail infrastructure, but not necessary to introduce a (IQ**) winter Key Route Strategy n. Snow affecting operation of Network Rail XT Network Rail infrastructure and it is necessary to introduce (XQ**) winter key route strategy. o. Sun shining upon signal aspects, rendering XU Network Rail drivers unable to clearly see aspects (XQ**) p. Trains delayed due to operating under ‘fog or X1 Network Rail falling snow’ regulations for semaphore (XQ**) signalling q. Weather affecting station buildings, which VZ Joint prevents the passage of a train at the time it is responsibility scheduled to stop and the access of passengers (D##*) to or from that train separate incident for each operator affected.

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No. Circumstances Delay Code Incident Attribution

r. Lightning strike on NR assets where no J6 Network Rail protection work against the effect of a strike has (IQ**) been undertaken s. Lightning strike against a NR asset that has had X3 Network Rail work undertaken to mitigate the effects of the (XQ**) strike t. Icicles hanging from Network Rail structures XT Network Rail (Including tunnels) where severe weather criteria (XQ**) have been met – including as a result damage to a train or its load has occurred. u. Buckled rail caused by high temperatures. IR Network Rail (IQ**) v. TOC/FOC directive preventing rolling stock from VW/MW Operator of travelling through standing water (at a level the train where group standards allow movement of concerned trains) (V##*/M##*)

w. Weather impacting on LUL or other non Network VZ Operator of Rail running lines importing delay which impacts the train on passenger trains concerned (V##*) y Where drivers of passenger rolling stock confirm VR operator of that delay is a result of adherence to company the train driving standards or policies during adverse concerned weather conditions, where severe weather (V##*) criteria has been met and delay is not fleet related z Visibility issues that have been caused by snow XT Network Rail covering or physically obscuring signal aspects or (XQ**) track signs aa The Driver’s report confirms delay in a X1 Network Rail semaphore signalled area by the lack of visibility (XQ**) of the signals. ab Delays were caused by sun shining on to the TG/FZ operator of driver’s cab where the driver has not taken all the train preventative measures e.g. using company concerned issued sun glasses (T##*/F##*) ac Where drivers of freight services confirm that FG operator of delay is a result of adherence to company driving the train standards or policies during adverse weather concerned conditions (F##*)

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4.37.5a Delay code guidance for dealing with the impact of wind

What is being affected by the wind?

Blanket speed restriction imposed Obstruction of the Infrastructure A track sign was Depot A station Fleet in accordance with line and or OHLE Defect blown over Group Standards

IQ X4 Were the trains Was severe Was severe affected booked Was severe weather criteria weather criteria to stop at the weather criteria Yes met? No met? time of the met? Is the Yes No Yes No Yes No obstruction due incident? XW No VW to trees and or XW I/J code VW MU XW (MW MW vegetation? Was joint VZ/V##* No Freight) criteria met? Yes Yes Could the issue Was the tree or VZ/D##* have been vegetation XW No prevented No growing outside Yes XW through the Network Rail maintenance? boundary? Yes

Was severe JP No weather criteria met?

Yes XW

In all cases, if it is not known if severe weather criteria has been met, the default delay code should be the relevant I*/J*/M* for the party affected.

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4.37.5b Delay code guidance for dealing with the impact of flooding

Was flooding No See DAG 4.14 weather related ?

Yes

What was affected ?

Structures Obstructions Track is flooded Bridges /Seawalls / Fleet Station (Landslip /Debris ) Tunnels

Was there any Was delay caused Is obstruction Has weather failure in the on NR Yes JK caused by a highlighted a Yes maintenance No infrastructure ? landslip ? defect ? regime ? Were affected trains booked to stop at the No X 2 No X 2 M * time of the incident ? JK Yes No Yes No Yes Yes Were severe Was landslip weather criteria Yes X2 avoidable through No Is an incident on the met ? maintenance ? Were severe Were passengers NR network Was there a failure X2 weather criteria No MW prevented from No X 2 stopping the train Yes in maintenance ? met ? accessing the platform ? running ? No Yes QD No No IV Yes Yes

VW Is a TOC /FOC Were severe (MW freight ) directive preventing weather criteria Were train passing the train running ? met ? through without Yes VZ / V ## * Was flooding confined stopping ? No to the track within a Yes station ? No X2 JK Yes No No VZ / D ## * Yes Yes X 2 Were severe Are NR stopping Yes weather criteria No JK trains running ? met ?

Were severe No Yes weather criteria No MU met ? Are TOC /FOC No Was there a failure VW /MW Yes preventing trains Trains being No JK in maintenance ? Yes from running ? cautioned VW ( MW freight ) In all cases if it is not known if severe weather criteria have been met the default delay code should be the relevant I */ M * for the party affected .

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4.37.5c Delay code guidance for dealing with the impact of heat

What is being affected by the heat?

Blanket speed TSR/ESR Depot Station Fleet Infrastructure defect restriction imposed imposed in accordance with group standards

Is delay due to a Yes Was defect on NR Were severe weather Were severe weather X4 Yes VW No MW buckled rail? infrastructure? criteria met? criteria met? Yes Were affected trains No booked to stop at the No Relevant I/J time of the incident? Yes No code No XH VW Yes (MW freight) MU Has the maximum CRT Yes Was defect in a for the track been Yes No Depot? reached? Were joint criteria VZ/V##* No JH met? No Is there a track Yes IS defect? TX/AX/VX Yes

VZ/D##* No

Is the CRT the result of on-going renewals Yes JG work?

No

JL In all cases if it is not known if severe weather criteria has been met the default delay code should be the relevant I*/M* for the party effected.

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4.37.5d Delay code guidance for dealing with the impact of snow, ice or frost

What is being affected by the snow/frost or ice?

NR Track/conductor rails (or 3rd party Signalling Structures Depot Station Fleet supply) (Inc Tunnels) Points OHLE/

IW Were severe Is it due to a running brake test and/or a Were severe weather criteria Yes VW VW fleet imposed weather criteria No IW met? (MW What is being restriction in Yes Track/ Conductor Rails met? freight) affected accordance with the Points No Yes Rule Book? MU OHLE XT No Is failure snow/ fleet issue No IB Were effected trains frost related? booked to stop at XT No the time of the Were severe VW incident? weather criteria Yes (MW Yes met? freight)

Are point Yes No JT heaters fitted

Were joint VZ/ No VZ/V##* No No Yes criteria met? V##*

Are point Yes heaters No IP working? VZ/D##* MW Has ice mode Has the Has the Was it due to ice been Yes treatment train treatment train OE No on the Yes Yes implemented but No OG run as run as X9 conductor rail not selected on booked? booked? the train? Yes No No Yes MP OE TG/FC Has ice been confirmed on MW No the OHLE equipment? Yes OG

N.B. In the case of infrastructure assets (with the exception of OLE and 3rd rail) where key route weather strategy has been implemented and the asset is working within design parameters but overwhelmed then code XT/X9 as appropriate should be used. In all cases if it is not know if severe weather criteria has been met the default delay code should be the relevant I*/M* for the party effected.

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4.37.5e Delay code guidance for dealing with the impact of visibility caused by the sun.

Delay occurs after report of impaired visibility issue with the sun

What was the sun shining on to?

The train The signaller’s The cab The signal aspect dispatch panel windscreen equipment

OZ Who owns the Equipment? Is the fleet equipment Relevant M* for fleet No Have all reasonable (Signal associated equip = working correctly? type IZ No preventative measures been NR) NR taken?

TOC/FOC Yes Have all reasonable preventative measures Yes been taken? VZ/AX No Have all reasonable XU preventative measures been No TG/FC taken? IZ Yes

XU Yes

TW/FG/VZ

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4.37.5f Delay code guidance for dealing with the impact of visibility caused by fog, snow or rain

Delays caused by impaired visibility due to the weather

Yes

Was the issue caused See section 4.37.6e No by rain, fog or snow? of the DAG

Yes

Has Network Rail imposed an operating Yes X1 restriction on the network?

No

Has snow caused a physical obstruction on Yes XT the Network Rail asset?

No

Were severe Is the visibility VR/FG Yes weather criteria Yes issue within a met? station?

No No

TW/FG Has delay occurred in a semaphore Yes X1 signal area?

No

Has the driver reduced speed Were severe in accordance with the Rule Yes weather criteria Yes VR/FG Book? met?

No No

TW/FG TW/FG

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4.37.6 During extreme cold and or snow conditions there are several operating restrictions, standards and rules that cause the speed of trains to be reduced and can cause consequent delay. The DAG differentiation is dependent on whether the requirement for the restriction is due to a Network/infrastructure asset or instruction or whether the requirement is due to train operation or fleet activity or instruction. Attributors should consider the impact of each separate restriction during adverse weather as a sectional delay may be due to application of more than one instruction or restriction.

Some examples of different types of restriction that may occur during a period of snow or extreme cold weather are:

a) The Rule Book advises a maximum of 100mph or 10mph below line speed in snow. This is a restriction to train operation due to a perceived risk in the reduction of braking capability due to frozen brakes and is thus fleet related. Code to VW (MW freight).

b) Reduction in speed due to the difficulty in sighting signals (The Rule Book – This is a restriction to train operations coded to TOCs/FOCs in colour light signalling areas TW/VR, (TOCs), FG(Freight) as there is no viable mitigation and no network restriction. In semaphore signalled areas Network Rail are allocated responsibility (code X1) as they are deemed best placed to mitigate impact through the replacement with more modern signalling technology.

c) Reduction in speed due to difficulty sighting other line, line side structures or assets e.g.(stations, level crossings, TSR boards) due to falling snow TW/VR(TOCs), FG(Freight)

d) Reduction in speed due to sighting (other line, line side structures or assets (stations, level crossings TSR boards) due to snow obscuring the asset, XW.

e) Completion of additional running brake tests in extreme cold/snow (Rule Book instruction) - This is a restriction due to risk to train operations from poor railhead condition and reduced braking capability or frozen brakes. This should be coded VW (TOCs), MW (FOCs) depending on the severity of weather conditions.

f) Speed restriction imposed by a TOC(s) to protect fleet from snow or ice damage. This is a train operator responsibility (code VW) or (MW for FOCs).

g) Speed Restriction imposed by Network Rail to protect an infrastructure asset or maintain safe network operations is a Network Rail responsibility utilising the relevant code for the restriction/asset type.

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4.38 WIRES DOWN AND OTHER OLE PROBLEMS 4.38.1 Normally any OLE associated problems should be coded I1 initially and attributed to the Network Rail (IQ**) until better information is available.

4.38.2 Likely situations: No. Circumstances Delay Code Incident Attribution

a. Wires down due to high winds XW Network Rail (XQ**) b. OHLE trip (cause not known) I2 Network Rail (IQ**) c. Miscellaneous items on the OHLE, other than vandalism I3 Network Rail (IQ**) d. OHLE power reduction I4 Network Rail (IQ**) e. Locomotive ADD activation M2 Operator of train concerned (M##*) f. Vandalism XB Network Rail (XQ**) g. Incident subject to formal inquiry OI Network Rail (OQ**)

4.39 FAILURE OF TASS BALISE SYSTEM. 4.39.1 Where trains are introduced that have the ability to tilt they are fitted with a Tilt Authorisation and Speed Supervision (TASS) system to meet the primary requirements of GE/RT8012 (Controlling the Speed of Tilting Trains Through Curves) and GE/RT8019 (Tilting Trains: Controlling Tilt Systems to Maintain Clearances). There are systems on the trackside – a Balise, and on the train – the onboard TASS system. In the event of failure of either system then delay coding should be:

No. Circumstances Delay Code Incident Attribution

a. If the onboard TASS system fails NA Passenger Operator (M##*) b. If the TASS Balise (trackside equipment fails). IM Network Rail (IQ**)

4.39.2 Where no fault is found see section 4.25

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4.40 FAILURE OF ETCS/ERTMS Balise System 4.40.1 When operating on an ETCS/ ERTMS enabled line, trains that are fitted with the on-board ETCS/ ERTMS rely on the system being able to draw a level of information, such as positional referencing and line topography, from track mounted balises. In the event of a failure of the balise system, causation coding should be: No. Circumstance Delay Code Incident Attribution a. If the train-borne ETCS/ ERTMS system fails ND Train Operator (M##*) b. If the ETCS/ ERTMS track-mounted balise fails IM Network Rail(IQ**)

4.40.2 Where no fault is found see section 4.25

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4.41 Operational GSM-R Railway Emergency Call (RECs) Under normal circumstances all delays will be coded to the Prime cause for the reason for the REC. However, if the prime cause and/or the initiating train cannot be identified the delay will initially be coded J0 (ZERO) (1). In these circumstances the delays maybe recoded when further information becomes available.

Delay Caused by All additional delays as a result of calls a REC that are routed to the wrong signaller should be coded J0/IQ**

Attribute to Prime Cause Is there a prime Yes as per the relevant section incident? of the DAG

No

Is the source of the No J0/IQ** activation known?

Yes

Was the REC activated from a rail No OC/OQ** vehicle?

Yes

Allocate delays to an Was the rail vehicle incident attributed Yes on the network? M* F* T* as per Section 4.41.1

No

Either Or

Train delay on the Network not waiting Train delay waiting acceptance to/from acceptance to/from off Network locations off Network locations to be allocated to are to be allocated to an incident the one incident per train operator directly responsibility of the train operator delayed. identified as the source of the REC.

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4.41.1. Likely Circumstances No. Circumstance Delay Code Incident Attribution a) A Radio Emergency Code (REC) is initiated Code as per DAG and an operational event is alleged or identified (Including Safety of the line, reported in good faith.

b) A REC is initiated, unable to identify a Network Rail (IQ**) in responsible party and/or no GSM-R J0 (ZERO) these circumstances Technician report supplied the delays maybe recoded to the responsible party when further information becomes available.

c) REC initiated by a non track access contract XZ Network Rail(XQ**) (TAC) party from off Network

d) A REC is initiated in error from a train cab TG/FC/TH/TZ Operator of train that is on the Network by a member of involved (T##*/F##*) operational staff authorised to be there, or where it has not been possible to identify the person initiating REC

e) A REC is initiated in error from a train cab MU Operator of train that is on the Network by a member of train involved (M##*) maintenance staff or cleaner

f) A REC is initiated off Network in error from MU/TG/FC/TH/TZ as Operator of train a train cab delaying trains on the Network applicable to staff involved (M##*) (F##*) involved (T##*) g) A REC is initiated off Network in error from MU Separate incident per a train cab, preventing trains from accessing operator (M##*) the Network and/or the off Network location, including where it has not been possible to identify the person initiating REC

h) A REC is initiated from a train cab by a VA Operator of train person not authorised to be there and no (RZ/FZ for concerned V##* operational event is identified Charter/Freight) (R/F##*) i) A REC is initiated in error by the Signaller OC Network Rail (OQ**)

j) A REC is initiated in error by a member of JL Network Rail (IQ**) Network Rail maintenance staff

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4.42 Operational GSM-R Systems – Faults or Failures

4.42.1 Flowchart Identifying Faults/Failures

Delay occurs as a result of a GSM-R reported fault

Is the fault a known JO(zero)/IQ** Yes software issue?

No

Has a driver TG/T##/FC Yes error been identified?

No

Has a signaller error OC/OQ** Yes been identified?

No

Has more than No one train been affected?

Yes

Has a train Has an on train fault M*/M##* Yes hardware fault been Yes been identified identified?

No No

Has a train software fault Yes J0/IQ** been identified?

No

M9/M##*

Note: If No Fault Found refer to 4.25

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4.42.2. Likely Circumstances:

No. Circumstance Delay Code Incident Attribution a) GSM-R fault is reported with infrastructure or J0 (Zero) Network Rail (IQ**) signal centre based equipment and cause identified b) GSM-R hardware fault is reported on a train M0 (zero) Operator of train and cause identified including, involved (M##*) • Cab radio will not switch on or boot up • Cab radio locks up or freezes and cannot be used –normally accompanied by a fault message and code such as ‘Radio failure 0x’ where ‘x’ is a number between 1 and 7. Or ‘Cab Radio fault’ and ‘Control Panel Failure’ • Calls cannot be made as the cab radio aerial is defective c) GSM-R fault is reported to Network Rail IO Network Rail (IQ**) Infrastructure control d) GSM-R fault is reported on a train but no fault M9 Operator of train can be found involved (M##*) e) Driver fails to de-register radio TG/FC Operator of train involved (T/F##*) f) Driver error identified including entering TG/FC Operator of train wrong registration code involved (T##*) g) Call is picked up by the wrong mast and is J0 (Zero) Network Rail (IQ**) for wrongly routed additional delays caused h) Cab based GSM-R equipment vandalised VA/FZ Operator of train involved (V##*/F##*) i) Infrastructure or signal centre based GSM-R XB Network Rail (XQ**) equipment vandalised j) Infrastructure maintenance staff error JL Network Rail (IQ**) k) Registration failure due to Signaller failing to OC Network Rail (OQ**) enter train reporting number in Train Describer , train reporting number is entered in wrong berth or incorrect train reporting number entered l) ARS fails to enter train reporting number in OH Network Rail (OQ**) train describer, train reporting number is entered in wrong berth or incorrect train reporting number entered m) Registration failures where Driver receives a J0 (Zero) Network Rail (IQ**) In registration failure message and no technician these circumstances the report available and no other responsibility delays may be recoded identified at this time to the responsible party - unable to register at start of journey when further - loss of network (unless can be traced information becomes to aerial fault). available. call failures/connectivity failures - GSM-R technical registration failure o) GSM-R signal on a train is lost in section, no M9 Operator of train cause is identified and no other trains affected involved (M##*/F##*)

p) GSM-R Cab Radio software fault J0(zero) Network Rail (IQ**)

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4.43 ATTRIBUTION OF DELAY INCIDENTS CAUSED BY TPWS INTERVENTION OR FAILURE 4.43.1 Where TPWS activation is reported by a train driver any associated delay should be allocated to an incident as follows:

No. Circumstance Delay Code Incident Attribution

a. TPWS Over Speed or Train Stop intervention. TG Train Operator FC (T##*) (F##*)

b. Driver adhering to company professional TW Train Operator driving standards or policy. FG (T##*) (F##*)

c. TPWS on-train system failure MT Train Operator (M##*) (F##*) d. TPWS on-track equipment incorrectly IJ Network Rail installed/positioned. (IQ**)

4.43.2 Where no fault is found see Section 4.25.

4.43.3 Where a Delay Incident is caused by the TPWS system detecting it has a fault and holding the protecting signal at red any associated delay should be allocated to an incident attributed with the Delay Code IJ.

4.44 NETWORK YARDS AND TERMINALS 4.44.1 Where a freight yard or terminal is wholly or partly on Network Rail operated infrastructure, the responsibility for delays may differ from those locations that are off Network Rail infrastructure.

4.44.2 Likely circumstances:

No. Circumstances Delay Code Incident Attribution

a. Infrastructure defect on Network Rail I*/J*/X* as As per Section 4.16 operated infrastructure within the appropriate yard/terminal. b. Late start from Network Rail operated A*/F*/M* as Train Operator yard/terminal due to incident relating to appropriate (A##*/F##*/M##*) the vehicles, crew, loading or other freight operator cause. c. Waiting acceptance into Network Rail Y* Principle Incident causing the operated yard/terminal due to late late running of either train as departure of other train from that location. per Section 4.23.2.

d. Delay to a train waiting acceptance into, or Y* Principle Incident causing the departing from, one Network Rail operated late running of either train as yard/terminal due to late departure, or late per Section 4.23.2. arrival, of another train at another Network Rail operated yard/terminal which shares a common connection.

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SECTION 5: ACCESS TO TRUST MAINFRAME INCIDENT INFORMATION

5.1 INTRODUCTION 5.1.1 This section is intended as ‘user manual’ for anyone wishing to access recent TRUST Incident information held on the mainframe. It assumes knowledge of other TRUST enquiries and procedures.

5.1.2 For reasons of commercial confidentiality, there are restrictions on access to this information and these are detailed in Section 6.

5.2 TRUST INCIDENT ENQUIRY COMMANDS 5.2.1 The number of enquiries has intentionally been kept to a minimum and there are essentially only two commands:

o TRJF - Listing of Incidents deemed to be the responsibility of a particular Responsible Manager; o TRJG - Individual Incident enquiry.

5.2.2 Both commands are made from a standard blank TOPSCICS screen.

5.3 TRJF ENQUIRIES 5.3.1 Enquiries take the form:

TRJF RRRR T S DD ZZZ MMMMM DD/MM/YY or TRJF RRRR S/R DD ZZZ MMMMM DD/MM/YY where RRRR s a Responsible Manager Code (Mandatory) either 4 character or generic; e.g.*BC*or ABC*

T is the Incident Type (Optional): O - Open, C - Closed S is either the one character Acceptance status (Optional) : A - Accepted (i.e. validated) D - Disputed W - Waiting Acceptance (i.e. waiting validation)

or S/R Incident Status and Reason (Optional), the values are:

A/A Accepted by User A/B Accepted by Default A/C Accepted by System D/D Disputed; Delay Code D/M Disputed; Manager Code D/P Dispute; Partial Acceptance W/W Waiting Acceptance; Normal W/R Waiting Acceptance; Additional Delays

DD Delay Code (Optional) can be generic, e.g.. X* ZZZ Zone Code Generic codes can be entered, e.g. L** MMMMM Impact (minutes) 1-5 numeric characters (leading zeros not required) DD/MM/YY Creation Date

If the last three fields are left blank then Open and Closed Incidents in any Acceptance status with any delay code will be listed.

5.3.2 The output takes the form of a list of Incidents, one line for each Incident which matches the enquiry options. Each line shows the Incident Type, Status, impact (i.e. total number of Delay Attribution Guide April 2015 Page 95 of 109

hours/minutes attributed to the Incident) and an indication if the Incident contains network delays or cancellations.

The entire list can be output to the printer by using the F10 key.

5.3.3 By typing an ‘S’ to the left of a particular Incident and then ‘SEND’, a display of that Incident will be available. This is the same as the output from the appropriate TRJG enquiry.

5.3.4 Typing a ‘P’ (Summary) or ‘F’ (Full) to the left of an Incident will produce Summary or Detailed prints of the selected Incidents. More than one Incident at a time can be selected for printing.

5.4 TRJG ENQUIRIES 5.4.1 Enquiries take the form:

TRJG NNNNNN

where NNNNNN is the six character Incident Number (leading zeros can be ignored, where appropriate).

5.4.2 The output is the full Incident information consisting of an initial screen which can then be supplemented by pressing the appropriate option number and accessing further information on screens covering:

(1) Network Rail free-format text (2) Trains affected (3) Accept/Dispute log (4) Network Delays

If an incident has affected over fifty trains, a default prompt to enter a starting date will be displayed. Either the required starting date should be entered, or enter ALL to display the complete list.

5.4.3 For those users making a TRJE train enquiry, the summary incident information for a particular delay can be obtained by placing an ‘A’ against the appropriate attributed delay shown below the train running information.

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SECTION 6: TRUST INCIDENT SECURITY ARRANGEMENTS

6.1 INTRODUCTION 6.1.1 Restricted access arrangements are required for Incident information on the mainframe for commercial confidentiality purposes. All the security arrangements are driven by the NCI # sign-on of the user, the first two letters of which will accord with the Business Code of the organisation he or she belongs to.

6.2 ACCESS TO TRJF 6.2.1 Users working for the following organisations can make a TRJF enquiry for a given Responsible Manager:

• Network Rail; • The Responsible Manager’s (i.e. the middle two characters of the Responsible Manager Code must coincide with the first two after ‘#’ in the sign-on).

6.3 BROWSE ACCESS TO TRJG 6.3.1 Users working for the following organisations can browse the details of a given incident.

• Network Rail; • The Responsible Manager’s (see 6.2.1); • Any Train Operator who has at least one train delay or cancellation attributed to the incident. The list of trains affected should be restricted to those of that operator via the Train Service Code.

6.3.2 These restrictions apply irrespective of whether the user goes to the TRJG output direct, or via TRJF.

6.4 INCIDENT STATUS 6.4.1 Only authorised users in the Responsible Manager’s organisation can change the Acceptance Status (i.e. Accept or Dispute).

6.5 CHANGES TO RESPONSIBLE MANAGER AND DELAY CODES 6.5.1 The last character of the Responsible Manager Code can be altered on the mainframe to allow re-attribution within that organisation. The following users are permitted to do this:

• Those working for the Responsible Manager organisation provided Network Rail is in agreement if the Incident would move to another contract; • Network Rail staff. • Mainframe changes can only be made within 7 days to delay code or responsible manager code by the Responsible Manager’s organisation.

6.5.2 TOC and FOC staff are also permitted to amend Delay Code and Responsible Manager Code information to the extent that the Business code is not altered. Such amendment facilities cannot be used to amend an incident in any manner that would alter the status of the incident with regard to the Incentivised Performance Regime. It cannot be used to change an incident to a P-code, or Delay Codes TT / FT, or Joint Responsibility, for example. Usual Delay/Manager code matching parameters apply.

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SECTION 7 - APPENDIX A – DELAY CODES SECTION 7A - FREIGHT TERMINAL OPERATING CAUSES SECTION 7F - FREIGHT OPERATING CAUSES SECTION 7I - INFRASTRUCTURE CAUSES SECTION 7J - FURTHER INFRASTRUCTURE CAUSES SECTION 7M - MECHANICAL OR FLEET ENGINEER CAUSES SECTION 7N –OTHER MECHANICAL OR FLEET ENGINEER CAUSES SECTION 7O - NETWORK RAIL OPERATING CAUSES SECTION 7P - PLANNED OR EXCLUDED DELAYS OR CANCELLATIONS SECTION 7Q - NETWORK RAIL NON-OPERATING CAUSES SECTION 7R - STATION OPERATING COMPANY CAUSES SECTION 7T - PASSENGER OPERATING CAUSES SECTION 7V - PASSENGER’S CHARTER EXCLUDABLE – TOC RESPONSIBILITY SECTION 7X - PASSENGER’S CHARTER EXCLUDABLE - NETWORK RAIL SECTION 7Y - REACTIONARY DELAYS SECTION 7Z - UNEXPLAINED DELAYS AND CANCELLATIONS

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SECTION 7A - FREIGHT TERMINAL OPERATING COMPANY CAUSES Abbreviated Departmental Cause Code: FTO

These codes are to be used for delays caused by operators using Freight Terminal including the customers of Freight Operating Companies and by the Operators of RES terminals (including passenger stations). Incidents are attributable to the company running the train, and not the operator of the yard.

For delays that are not specific to terminal operations see F-codes. CODE CAUSE ABBREVIATION AA Waiting acceptance into off Network Terminal or Yard ACCEPTANCE AC Waiting train preparation or completion of TOPS list/RT3973 TRAIN PREP Off Network Terminal or Yard staff shortage including AD WTG STAFF reactionary congestion caused by the shortage AE Congestion in off Network Terminal or Yard CONGESTION AG Adjusting Loaded wagons LOAD INCDT Customer or off Network yard equipment breakdown/reduced AH BREAKDOWN capacity AJ Waiting Customer’s traffic including documentation TRAFFIC Fire in off Network freight yard or terminal (including private AK INF FIRE sidings, and stations – where it affects FOC services) AX Failure of FOC-owned infrastructure FOC INFRA Other Freight Operating Company. Cause to be specified, AZ FTO OTHER including mishaps in off Network terminals or yards SECTION 7F - FREIGHT OPERATING COMPANY CAUSES Abbreviated Departmental Cause Code: FOC These codes are for delays caused by Freight Operating Companies/Res except for T&RS problems (M- codes) and those due to Terminal Operations (A-codes). Incidents are attributable to the company running the train. CODE CAUSE ABBREVIATION FA Dangerous goods incident DGI INCDT FC Freight train driver FCDRIVER FE Train crew not available NO T/CREW Driver adhering to company professional driving standards or FG PRO DVR policy FH Planning error including loco diagram DIAG ERROR Delay in running due to the incorrect operation of the on- FI ETCS INPUT board ETCS/ ERTMS equipment – i.e. wrong input by driver. FJ Train held at FOC request RETIME REQ FK Train diverted or re-routed at FOC request DIVERT REQ FL Train cancelled at FOC request CANCEL REQ FM Tail lamp or head lamp out or incorrectly shown TAIL LAMP FN Late presentation from Europe LATE CHUNL Delay in running believed to be due to the Train Operator, but FO FOC UNEX no information available from that Operator Incorrect route taken or route wrongly challenged by driver, FP FTO MISRTE including SPADs Delay due to ETCS/ ERTMS on-board overriding driver FS ETCS OVRD command FT Freight Operator autumn-attribution Neutral Zone delays LF NEUTRAL FU Formal Inquiry Incident - possible Operator responsibility JOINT INQ FW Late start or yard overtime not explained by Train Operator LATE START FX Freight train running at lower than planned classification LOW CLASS Other FOC causes incl. FOC control directive, cause to be FZ FOC OTHER specified, including mishaps.

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SECTION 7I - INFRASTRUCTURE CAUSES Abbreviated Departmental Cause Code: INF Codes for delays caused by signalling, trackwork and electrification defects or failures. CODE CAUSE ABBREVIATION

IA Signal failure SIGNAL FLR IB Points failure POINTS FLR IC Track circuit failure TC FAILURE ID Level crossing failure incl. barrow/foot crossings and crossing LEVEL XING treadles IE Signalling functional power supply failure SIG FUNC PWR IF Train Describer/Panel/ARS/SSI/TDM/Remote Control failure PANEL/TDM/FLR IG Block failure BLOCK FLR IH Power supply and distribution system failure PWR SUP DIS II Signalling lineside cable fault SIG CABL FLR IJ AWS/ATP/TPWS/Train Stop/On-track equipment failure AWS/ATP IK Telecom equipment failure PHONE/SPT IL Token equipment failure TOKEN FLR IM Infrastructure Balise Failure BALISE IN HABD/Panchex/WILD/Wheelchex HABD FAULT IP Points failure caused by snow or frost where heaters are fitted PNT HEATER but found to be not operative or defective IQ Trackside sign blown down/light out etc TRACK SIGN IR Broken/cracked/twisted/buckled/flawed rail RAIL FLAW IS Track defects (other than rail defects i.e. fish plates, wet beds TRACK FLT etc) IT Bumps reported - cause not known BUMP RPRTD IV Earthslip/subsidence/breached sea defences not the result of EARTHSLIP severe weather IW Non severe- Snow/Ice/Frost affecting infrastructure equipment COLD IZ Other infrastructure causes INF OTHER I0 Telecom equipment failures legacy (inc. NRN/CSR/RETB link) RADIO FLR I1 Overhead line/third rail defect OHL/3 RAIL I2 AC/DC trip AC/DC TRIP I3 Obstruction on OHL, cause of which is not known ON OHL I4 OHL/third rail power supply failure/reduction SUPPLY FLR I5 Possession over-run from planned work OVERRUN I6 Track Patrolling TRK PATROL I7 Engineer's train late or failed in possession ENGNRS TRN I8 Animal Strike or Incursion within the control of Network Rail ANIMAL I9 Fires starting on Network Rail Infrastructure NR FIRE

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SECTION 7J - FURTHER INFRASTRUCTURE CAUSES Abbreviated Departmental Cause Code: INF These codes are for delays caused by other signalling, trackwork and electrical supply equipment failures and defects not covered by the I-codes

CODE CAUSE ABBREVIATION

JA TSR speeds for Track-work outside the Rules of the Route TSR O-ROTR JB Reactionary Delay to ‘P’ coded TSR PLND TSR JD Bridges/tunnels/buildings (other than bridge strikes) STRUCTURES JG ESR/TSR due to cancelled possession or work not completed ESR/TSR JH Critical Rail Temperature speeds, (other than buckled rails) HEAT SPEED JK Flooding not due to exceptional weather FLOODING JL Network Rail or other infrastructure staff error STAFF Failure to maintain vegetation within network boundaries in JP accordance with prevailing Network Rail standards, including VEG STD where signals are obscured and a train strikes branches. JS Condition of Track TSR outside the Timetable Planning Rules COTTSR ORR Points failure caused by snow or frost where heaters are not JT NO PNT HTR fitted. Miscellaneous items (including trees) causing obstructions, JX not the result of trespass, vandalism, weather or MISC OBS fallen/thrown from trains J0 (zero) Telecom radio failures IVRS/GSM-R GSM-R FLR Network Rail train dispatch equipment failure excluding J2 TRTS FLR telecoms equipment J3 Axle Counter Failure AXLE FLR J4 Safety Issue No Fault Found INF NFF J6 Lightning strike against unprotected assets LIGHTNING ETCS/ ERTMS Equipment Failure (excluding communications J7 ETCS FLR link and balises) Damage to infrastructure caused by on-track machine whilst J8 ONTRK DMG operating in a possession Preventative Maintenance to the infrastructure in response to J9 RCM ALERT a Remote Condition Monitoring Alert

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SECTION 7M - MECHANICAL / FLEET ENGINEER CAUSES

Abbreviated Departmental Cause Code: T+RS (Traction and Rolling Stock) CODE CAUSE ABBREVIATION MB Electric loco failure, defect, attention. ELEC LOCO MC Diesel loco failure, defect, attention. DIESL LOCO MD Other technical failures below the solebar BELOW SB ME Steam locomotive failure/defect/attention STEAM LOCO International/Channel Tunnel locomotive MF CHUNL LOCO failure/defect/attention ML Wagons, coaches and parcel vehicle faults WAGONS Brake and brake systems faults; including wheel flats where MN BRAKES no other cause had been identified MP Rail and or wheel interface, adhesion problems ADHESION MR Sanders and scrubber faults WHEELS Planned underpowered or shortformed service and or vehicle, MS ALLOC STCK incl. exam set swaps MT Confirmed train borne safety system faults SS TB MU Depot operating problem DEPOT MV Engineer’s on-track equipment failure outside possession ON-TRACK MW Weather – effect on T&RS equipment WEATHER MY Coupler and Coupler system faults COUPLER Confirmed Pantograph ADD, shoe beam or assoc .system M1 PANTO/SHOE faults Incl. positive PANCHEX activations M2 Automatic Dropper Device activation ADD M7 Door and Door system faults DOORS M8 Other technical failures above the Solebar ABOVE SB M9 Reported fleet equipment defect - no fault found NFF M0 (ZERO) Confirmed Train cab based safety system fault CAB SYS

SECTION 7N –OTHER MECHANICAL OR FLEET ENGINEER CAUSES Abbreviated Departmental Cause Code: T+RS(Traction and Rolling Stock) CODE CAUSE ABBREVIATION

NA On-train TASS/TILT failure TASS/TILT

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SECTION 7O - NETWORK RAIL OPERATING CAUSES Abbreviated Departmental Cause Code: PROD CODE CAUSE ABBREVIATION

OB Delayed by signaller not applying applicable regulating policy REGULATION OC Signaller, including wrong routing and wrong ETCS/ ERTMS SIGNALLER instruction OD Delayed as a result of Route Control directive NR CONTROL OE Failure to lay Sandite or operate Railhead Conditioning train as RHC PROG programmed OG Ice on conductor rail/OLE ICE OH ARS software problem (excluding scheduling error and technical ARS failures) OI Formal Inquiry Incident - other operators JOINT INQ OJ Fire in station building or on platform, affecting operators not STN FIRE booked to call at that station OK Delay caused by Operating staff oversight, error or absence OPTG STAFF (excluding signallers and Control) OL Signal Box not open during booked hours BOX CLOSED OM Technical failure associated with a Railhead Conditioning train RHC FLR ON Delays not properly investigated by Network Rail MIS-INVEST OP Failure of TRUST or SMART system TRUST FLR OQ Incorrect Simplifier SIMP ERR OS Late start or delays to Railhead Conditioning Train (RHC) RHC LATE including any reactionary delay to other trains

OU Delays un-investigated UN-INVEST OV Fire or evacuation due to fire alarm of Network Rail buildings NR FIRE other than stations not due to vandalism OW Connections held where the prime incident causing delay to the FOC CONN incoming train is a FOC owned incident and service is more frequent than hourly OZ Other Network Rail Operating causes OPTG OTHER

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SECTION 7P - PLANNED OR EXCLUDED DELAYS OR CANCELLATIONS Abbreviated Departmental Cause Code: PLND

These codes are to be used for time lost due to Temporary Speed Restrictions within Rules of Route and for planned train cancellations or delay and or cancellations otherwise excluded from the Track Access Performance Regime. Reactionary delays (Y*) must not be used against P coded incidents.

CODE CAUSE ABBREVIATION

PA TSR within Timetable Planning Rules PLANND TSR PB Condition of asset TSR within Engineering Access Statement PLANND COT (EAS) PD TPS cancellation (Not to be input in TSI/TRUST) TPS CANC PE Cancelled due to planned engineering work ENGNRG WRK PF Planned engineering work - diversion/SLW not timetabled DIVRSN/SLW (within Timetable Planning Rules PG Planned cancellation by Train Operator including Bank Holiday PLAND CANC schedules PJ Cancellation of a duplicate or erroneous schedule or associated DUPLICATE duplicate delay PL Exclusion agreed between Network Rail and Train Operator AGREED EXC PN Minor delays to VSTP service caused by regulation and or time VSTP DELAY lost in running. PT TRUST Berth Offset Errors OFFSET ERR PZ Other contractual exclusion OTH EXC

SECTION 7Q - NETWORK RAIL NON-OPERATING CAUSES Abbreviated Departmental Cause Code: COMM CODE CAUSE ABBREVIATION

QA WTT Schedule and or LTP process including erroneous WTT SCHED simplifiers. QB Planned engineering work - diversion/SLW not timetabled DIVRSN/SLW (outside the Timetable Planning Rules.) QH Adhesion problems due to leaf contamination LEAF SLIP QI Cautioning due to railhead leaf contamination RLHD CONT QJ Special working for leaf-fall track circuit operation LEAVES T/C QM Train Schedule/STP process including erroneous simplifiers STP SCHED QN VSTP schedule / VSTP process (TSI created schedule) TSI SCHED QP Reactionary Delay to “P” coded Possession PLND LOP QT Delay accepted by Network Rail as part of a commercial TAKEBACK agreement where no substantive delay reason is identified

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SECTION 7R - STATION OPERATING COMPANY CAUSES Abbreviated Departmental Cause Code: STN

These codes are for delays due to station activities. Incidents are attributable to the company running the train, and not the operator of the station. CODE CAUSE ABBREVIATION

RB Passengers joining/alighting PASSENGERS RC Assisting a disabled person joining/alighting, pre-booked DISAB 1 RD Attaching/detaching/shunter/watering ATT/DETACH RE Lift/escalator defect/failure LIFT/ESC RH Station evacuated due to fire alarm FIRE ALARM RI Waiting connections - not authorised by TOC Control UNAUTH CON RJ Special Stop Orders - not authorised by TOC Control UNAUTH SSO RK Waiting connections - authorised by TOC Control AUTH CON RL Special Stop Orders - authorised by TOC Control AUTH SSO RM Waiting connections from other transport modes XTNL CONN RN Passengers “forcing” connections between trains outside PASS CONN connectional allowances RO Passengers taken ill on platform PASS ILL RP Passengers dropping items on track (not vandalism) PASS DROP RQ Assisting a disabled person joining/alighting, un-booked DISAB 2 RR Loading reserved bicycles presented late BIKE 1 RS Loading unreserved bicycles BIKE 2 RT Loading excessive luggage LUGGAGE 1 RU Locating lost luggage LUGGAGE 2 RV Customer Information System failure PASS INFO RW Station flooding (including issues with drains) not the result of STN FLOOD weather, where the water has not emanated from Network Rail maintained infrastructure/network RY Mishap - Station Operator cause STN MISHAP RZ Other Station Operator causes STN OTHER R1 Incorrect train dispatch by station staff DISPATCH R2 Late TRTS given by station staff LATE TRTS R3 Station staff unavailable - missing or uncovered STAFF MSN R4 Station staff split responsibility - unable to cover all duties STAFF DUTY R5 Station staff error - e.g. wrong announcements, misdirection STAFF ERR R6 Overtime at stations normally unstaffed. UNSTAFFED R7 Station delays due to special events e.g. sports fixtures SPORTS

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SECTION 7T - PASSENGER OPERATING COMPANY CAUSES Abbreviated Departmental Cause Code: TOC These codes are to be used for delay caused by on-train activities except for T&RS problems (M-codes).

CODE CAUSE ABBREVIATION

TA Traincrew/loco/stock/unit diagram error DIAG ERROR TB Train cancelled or delayed at Train Operator’s request TOC REQST TC Booked Traincrew used for additional/other service CREW USED TD Booked loco/stock/unit used for additional/other service STOCK USED TE Injury to passenger on train PASS INJRY TF Seat reservation problems SEAT RESVN TG Driver DRIVER TH (Senior) Conductor/Train Manager (SNR) COND TI Traincrew rostering problem ROSTERING TJ Tail lamp or headlamp out TAIL LAMP TK Train catering staff (including Contractors) CATERING TL Door open / not properly secured incident DOOR OPEN TM Connection authorised by TOC but outwith connection policy AUTH CONN TN Late presentation from the continent LATE CHUNL TO Delay believed to be due to Operator, but no information TOC UNEX available from Operator TP Special Stop Orders AUTH SSO TR Train Operating Company Directive TOC DIRECT TS Delay due to ETCS/ ERTMS on-board overriding driver command ETCS OVRD TT Autumn-attribution Neutral Zone delays (See Supplementary LF NEUTRAL Autumn Attribution Guidance) TU Formal Inquiry Incident - possible Operator responsibility JOINT INQ TW Driver adhering to company professional driving standards or PRO DVR policy TX Delays incurred on non-Network Rail running lines including LUL CAUSES London Underground causes (except T&RS) TY Mishap-Train Operating Company cause TOC MISHAP TZ Other Passenger Train Operating Company causes TOC OTHER T1 Delay at unstaffed station to DOO train DOO STN T2 Delay at unstaffed station to non-DOO train NONDOO STN T3 Waiting connections from other transport modes XTNL CONN T4 Loading Supplies (including catering) SUPPLIES

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SECTION 7V - PASSENGER’S CHARTER EXCLUDABLE – TOC RESPONSIBILITY Abbreviated Departmental Cause Codes: EXT These codes cover causes allowable as Passenger's Charter exclusions where applicable, but normally attributable to Passenger Train Operators under the Track Access Performance Regime.

CODE CAUSE ABBREVIATION

VA Disorder, drunks or trespass DISORDER VB Vandalism and or theft VANDALS VC Fatalities and or injuries sustained whilst on a platform as the FATALITIES result of being struck by a train or falling from a train VD Passenger taken ill on train ILL PASS VE Ticket irregularities or refusals to pay TICKET IRR VF Fire caused by vandalism VDL FIRE VG Police searching train POLICE-TRN VH Communication cord or emergency train alarm operated COM CORD VI Security alert affecting stations and depots SEC ALERT VR Driver adhering to company professional driving standards or PRO DVR policies during severe weather conditions that are not fleet related VW Severe weather affecting passenger fleet equipment including WEATHER following company standards/policies or Rule Book instructions VX Passenger charter excludable events occurring on the LUL or LUL CAUSES other non NR running lines VZ Other passenger or external causes the responsibility of TOC EXT OTHER V8 Train striking other birds OTH BIRDS

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SECTION 7X - PASSENGER’S CHARTER EXCLUDABLE - NETWORK RAIL Abbreviated Departmental Cause Codes: EXT These codes cover causes allowable as Passenger’s Charter exclusions where applicable, but normally attributable to Network Rail under access contract performance regimes.

CODE CAUSE ABBREVIATION

XA Trespass TRESPASS XB Vandalism or theft (including the placing of objects on the line) VANDALS XC Fatalities or injuries caused by being hit by train FATALITIES XD Level Crossing Incidents including misuse XING INCDT XF Police searching the line POLICE-RLY XH Severe heat affecting infrastructure the responsibility of SEV HEAT Network Rail (excluding Heat related speed restrictions) XI Security alert affecting Network Rail Network SEC ALERT XK External Power Supply Failure Network Rail Infrastructure EXTL POWER XL Fire external to railway infrastructure EXTL FIRES XM Gas/water mains/overhead power lines GAS/WATER XN Road related - excl bridge strikes/level crossing incident ROAD INCDT XO External trees, building or objects encroaching onto Network Rail EXT OBJECT infrastructure (not due to weather or vandalism) XP Bridge Strike BDG STRIKE XQ Swing bridge open for river or canal traffic BDGE OPEN XR Cable vandalism or theft CABLE CUT XT Severe cold weather affecting infrastructure the responsibility of SEV COLD Network Rail XU Sunlight on signal SUN OBSCUR XV Fire or evacuation due to fire alarm of Network Rail buildings NR FIRE other than stations due to vandalism XW High winds affecting infrastructure the responsibility of Network WIND Rail including objects on the line due to the effect of weather XZ Other external causes the responsibility of Network Rail EXT OTHER X1 Visibility in semaphore signalled areas, or special working for fog SPL REGS and falling snow implemented by Network Rail – in all signalling areas X2 Severe flooding beyond that which could be mitigated on SEV FLOOD Network Rail infrastructure X3 Lightning Strike – damage to protected systems. LGHTNG X4 Blanket speed restriction for extreme heat or high wind in BLNK REST accordance with the Group Standards X8 Animal Strike or incursion not within the control of Network Rail EXT ANIMAL X9 Points failure caused by severe snow where heaters are working SEV SNOW as designed

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SECTION 7Y - REACTIONARY DELAYS Abbreviated Departmental Cause Code: REAC These codes relate to knock-on effects of late running trains. TRUST will ask the staff to identify the incident causing the original delay to the (other) train involved.

CODE CAUSE ABBREVIATION

YA Lost path - regulated for train running less late REG-ONTIME YB Lost path - regulated for another late running train REG-LATE YC Lost path - following train running less late FOL-ONTIME YD Lost path - following another later running train FOL-LATE YE Waiting to/from single line TO S/LINE YG Regulated in accordance with Regulation Policy REG INSTRC YI Late arrival of booked inward stock INWD STOCK YJ Late arrival of booked Traincrew INWD CREW YL Waiting passenger connections within connections policy, AUTHSD CON contingency plan or otherwise agreed by NR/TOC YM Special stop orders within the contingency plan or agreed by AUTHSD SSO NR/TOC YN Service Recovery- booked train crew, not available FIND CREW YO Waiting platform/station congestion/platform change PLATFORM YP Delays due to diversions from booked route or line DIVERSION YQ Passenger overcrowding caused by a train being of short- SHRT FRMD formation YR Tactical cancellation for service recovery not caused by late SR CNCL running YU Service Recovery- booked rolling stock, not available UNIT SWAPS YT Reactionary delay to a train that is not leaving the network, by a NON NR INF train that is leaving the network YX Passenger overcrowding caused by delay or cancellation of OVER CRWD another train

SECTION 7Z - UNEXPLAINED DELAYS / CANCELLATIONS Abbreviated Departmental Cause Code: UNEX CODE CAUSE ABBREVIATION

ZW Unattributed Cancellations UNATR CAN ZX Unexplained late start UNEX L/S ZY Unexplained Station overtime UNEX O/T ZZ Unexplained loss in running UNEX L/R

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Delay attribution guide (DAG) index. April 2015 Subject Clause Specific Codes 3rd rail failure / defect 4.16.11 I1 3rd rail obstruction - unknown reason 4.16.11 I3 3rd rail power supply failure / reduction IDA22 I4 3rd Rail shoe beam faults (passenger trains) 4.12.2.a M1 3rd rail switches,breakers,feeders,irregularities 4.16.11 I4 3rd rail trips vegetation 4.16.11 JP ABS : Brake and Brake system faults including wheel flats (on train) 4.12.2.h MN Absolute block failure 7i IG AC/DC trip 4.38.2.b I2 Acceptance yard/siding - early running, off Network 4.2.2.d OB Acceptance yard/siding - Network Rail infrastructure defect 4.2.2.a I*/J*/X* Acceptance yard/siding - no information 4.2.2.c AA Acceptance yard/siding - Reactionary 4.2.2.e Y* Acceptance yard/siding (include adjacent) - Incident off Network 4.2.2.b A*/F*/M* Acceptance yard/siding, off Network Freight terminals/Yards 4.2.1 Accepted design limitations (ADL) 4.16.15 ACI GSM-R ARS incorrect Rep No / berth 4.42.2.l OH ADD activations (passenger trains) 4.12.2.a M1 ADD Automatic dropper device - No fault found (operator) 4.25.4 M2 ADD Automatic dropper device on OHLE electric traction. 4.38.2.e M2 Adhesion autumn 4.3 Adhesion autumn leaf fall reactionary delays additional guidance 4.3.8 Adhesion contamination of railhead after spillage from train 4.3.7.3.b M* Adhesion equipment failure, on train. Autumn 4.3.7.2.a M* Adhesion NOT autumn grease from flanger or railhead needs cleaning 4.3.7.3.a IZ Adhesion problems due to leaf fall contamination 4.3.7.1.d QH Adjusting loaded wagons / loading incident 7a AG ADL Accepted design limitations 4.16.15 ADL box instructions signaller unable to mitigate 4.16.15.d I*/J* ADL causes an infrastructure failure 4.16.15.a I*/J* ADL causes no failure, but still causes delay. For further investigation 4.16.15.b ADL in box instructions signaller can mitigate 4.16.15.c OC ADL is NOT included in box instructions 4.16.15.e I*/J* ADL train schedule not taken into consideration 4.16.15.f QA/QM Air borne 'machinery' landing on infrastructure not weather/vandalism 7x XO Air Conditioning Technical faults above solebar (on train) (passenger) 4.12.2.d M8 Air Systems technical faults below solebar (on train) (passenger) 4.12.2.e MD Airport emergency 4.20.3.v XZ Animal behaviour damage due to chronic repeated infestation 4.4.1.1 I*/J* Animal damage to infrastructure after removal requires work 4.4.1.3 I*/J* Animal damage to infrastructure removal rectifies without work 4.4.1.2 X8 Animal infestation 4.4.1 Animal strike - Flow chart 4.4.3 I8/FZ/M*/V8/VZ/X7 Animal strike or incursion not within Network Rail control 7x X8 Animal strike or incursion within control of Network Rail 7i I8 Animal sudden impact, animal not present at failure point 4.4.1.4 I8 Assault on passenger 4.20.3.i VB Assaults (station) 4.28.2.y VA Asset overwhelmed weather 4.37.5.d XT ATP - No fault found (operator) 4.25.4 M9 ATP or AWS failure - lineside equipment 7i IJ ATP train borne safety system faults (passenger trains) 4.12.2.f MT Attaching vehicles, station operating 7r RD Attribution examples 2.6.17 Attribution guide - the need for 1.1 Automatic route setting (ARS) software (excluding schedule error) 7o OH Automatic route setting failure (ARS) 7i IF Automatic route setting GSM-R ACI incorrect Rep No / berth 4.42.2.l OH Autumn 4.3 Autumn actions to mitigation. 4.3.4.3 Autumn adhesion equipment failure, on train 4.3.7.2.a M*

Compiled by Chris Scharf DAG index April 2015 1 NR LNW PIC 085 53197 Subject Clause Specific Codes Autumn application of attribution process 4.3.3 Autumn attribution neutral zone 7t TT Autumn attribution. Joint process Chart 1 4.3.6.1 Autumn cautioning trains when contamination present 4.3.7.1.f QI Autumn concept of neutral zone 4.3.5 Autumn contamination but agreed vegetation measures completed 4.3.7.1.d QH Autumn delays not on jointly agreed neutral zone list. 4.3.6 Autumn failure to operate the agreed railhead treatment program 4.3.7.1.a See 4.26 Autumn jointly agreed neutral zones 4.3.4.1 Autumn leaf fall reactionary delays additional guidance 4.3.8 Autumn minutes in excess of agreed reasonable time loss in section 4.3.7.2.c TW/FG Autumn neutral zone incidents, use of 4.3.5.2 Autumn principles 4.3.4 Autumn railhead conditioning train delays (RHC) including reactionary 4.3.7.1.c OS Autumn railhead examination failure to carry out after ERHC/LRA 4.3.7.1.e QI See 4.3.61/62 Autumn railhead manual treatment (4.26) 4.3.7.4 Autumn railhead treatment : Principles 4.3.7.5 Autumn railhead treatment not applied at planned locations 4.3.7.1.e QI Autumn reasonable level of time loss neutral zone 4.3.4.2 Autumn review of neutral zone 4.3.4.4 Autumn setting up neutral zone incidents. 4.3.5.1 Autumn SPAD/station overshoot at ERHC published site 4.3.7.2.b TG/FP Autumn special working for leaf fall track circuit operation 4.3.7.1.g QJ Autumn station overruns. Chart 2 4.3.6.2 AWS No fault found (operator) 4.25.4 M9 AWS or ATP failure - lineside equipment 7i IJ AWS train borne safety system faults (passenger trains) 4.12.2.f MT Axle counter failure 7j J3 Balise (ETCS/ERTMS) 4.40 IM/M0 (zero) Balise (TASS) 4.39.1 NA/IM Balise activated train borne systems (passenger trains) 4.12.2.k NA Bank holiday planned cancellation (3.2.8) 4.31.5 PE/PG Barrow crossing failure 7i ID Baseband data link problems IDA22 IF Basis of attribution 3.1 Batteries technical faults below solebar (on train) (passenger trains) 4.12.2.e MD Below threshold delays - introduction (4.23) 4.33.1 Below threshold delays - statement of good practice Page 3 viii Below threshold delays (sub threshold) 2.5.4 Below threshold reaction P code incident (4.23) 4.33.2 JB Berth error (SMART) off set errors 4.22 PT Bicycles loading/unloading. Not reserved. 4.28.2.l RS Bicycles loading/unloading. Presented late. Reserved 4.28.2.l RR Bird strike (4.4.2) 4.4 M*/I8/X8/FZ/VZ/V8 Birds definition of size relating to pheasant 4.4.2 Birds striking - other (smaller birds) 7v V8 Blanket speed restriction for extreme heat, wind (Group standards) 4.37.4.f X4 Block failure 7i IG Blown fuse 110v or 650v 4.16.5 IH Boards defective / blown down 4.32 IQ Booked loco / stock / unit used for additional/other service 7t TD Booked train crew not available service recovery (reactionary) 7y YN Booked train crew used for additional/other services 7t TC Booking on duty - train crew 4.36.1/2 FE/TG/TH/TI Bowmac dropped IDA22 IS Box instructions ADL is not included 4.16.15.e I*/J* Box instructions ADL signaller can mitigate 4.16.15.c OC Box instructions ADL signaller unable to mitigate 4.16.15.d I*/J* Brake and Brake system faults including wheel flats (on train) 4.12.2.h MN Brake tests (running) weather 4.37.6.e VW/MW Branches overhead striking not due to weather 4.3.7.1.b JP Breached sea defence not weather 4.16.2.i IV Bridge strike. Road or waterborne vehicles 4.5 XP Compiled by Chris Scharf DAG index April 2015 2 NR LNW PIC 085 53197 Subject Clause Specific Codes Bridges structural 4.16.2.g JD Broken rail 4.16.3.a IR Broken windows technical faults above solebar(on train)(not external) 4.12.2.d M8 Buckled rails - including high temperature 4.37.4.u IR Buildings (structural problems) 4.16.2.g JD Buildings encroaching NR infrastructure not weather or vandalism. 7x XO Bumps - cause unknown. 7i IT Burred Rail (unless on a IBJ then IC) IDA22 IR Cab heaters Technical faults above solebar (on train) (passenger) 4.12.2.d M8 Cab secure radio (CSR) - No fault found (operator) 4.25.4 M9 Cab secure radio (CSR) (off train) / telecom equipment failures,legacy 4.16.8 I0 (zero) Cable damage caused by on track machine IDA22 JL Cable failure - Vandalism 4.16.2.b XR/XB Cable fault, lineside signalling. 7i II Cable faults 4.16.5 IA/IB/IC/IE/II/IH/XK/X4 Cable vandalism / Theft 4.35.1.a XR Cancellation of a duplicate or erroneous schedule 7p PJ Cancellations - Unattributed 7z ZW Cancelled at train operators request - Passenger 7t TB Cancelled due to planned engineering work 4.31.5 PE Cancelled freight 4.6 FL Cancelled possession 7j JN Categories of TRUST delay code and their default attribution 3.2 Catering staff (including trolleys) 4.28.2.d TK Catering, loading supplies 7t T4 Cautioning due to leaf fall contamination 4.3.7.1.f QI Cautioning for potential external interfaces such as cranes 7x XO Cautioning of trains when contamination present. Autumn 4.3.7.1.f QI CCTV DOO passenger 4.16.7 IK CCTV system fault on crossing. IDA22 IK Chair bolt broken or obstructing switch movement IDA22 IS Change of aspects (COA) - No apparent cause 4.24.2.f IA Channel Tunnel - late ex Europe (freight) 7f FN Channel Tunnel - late ex Europe (passenger) 7t TN Channel Tunnel/International locomotive failure/defect/attention 7m MF Classification freight train running at lower than planned 7f FX Close Door (CD) / right away (RA) defect 4.28.2.ah IA Close Door (CD) / right away (RA) defect,operator mitigation not made 4.28.2.ai R1 Close Door (CD) / right away (RA) sunlight on equipment 4.28.2.aj XU Close Door (CD) /right away(RA)sunlight operator mitigation not made 4.28.2.ak R1 Coaching stock delays (passenger trains) 4.12.2.o ML Coaching stock on a freight train fault 4.12.3.c ML Coding guidance 1.1.2 Cold weather several operating restrictions 4.37.6 Cold weather severe passenger charter excludable 4.37.1 V*/X* Commencement board for TSR defective / down 4.32 IQ Commercial agreement with no substantive delay reason 7q QT Communication cord / emergency train alarm pulled 7v VH Communication links between telecoms or signalling equipment 4.16.6 IK Concentrator System (CON) signalbox 4.16.7 IK Concept of neutral zone autumn. 4.3.5 Concert passengers joining/alighting. Special event 4.28.2.j R7 Condition of bridge temporary speed restriction (COB TSR) 4.29.3.g/h JD/PB Condition of track temporary speed restriction. (COT TSR) 4.29.3.d/e PB/JS Conductor (guard) 7t TH Conductor rail - displaced 4.20.3.e I1/FU/TU Congestion yard / terminal, off Network 7a AE Connections - not authorised 4.28.2.h RI Connections - Passengers forcing connections 7r RN Connections - TOC authorised but outside policy 4.28.2.g RK/TM Connections - within policy (FOC). Hourly or less frequency 4.28.2.f YL Connections - within policy (FOC). More than hourly frequency 4.28.2.f OW Connections - within policy, (non FOC) 4.28.2.e YL

Compiled by Chris Scharf DAG index April 2015 3 NR LNW PIC 085 53197 Subject Clause Specific Codes Connections from other transport modes 7r/t RM / T3 Contamination of railhead after spillage from train 4.3.7.3.b M* Contamination present but agreed vegetation measures completed 4.3.7.1.d QH Contamination present cautioning of trains. Autumn 4.3.7.1.f QI Context of guide 1.2 Contractual exclusion 7p PZ Control (Network Rail) directive 7o OD Control Freight Operating Company (FOC) directive 7f FZ Control relay in interlocking NR or LR IDA22 IF Control systems faults excluding track or driver based 4.12.2.i MY Control train operating company (TOC) directive 7t TR Coupler and coupler system faults excluding track or driver based 4.12.2.i MY Coupler buttons system faults excluding track or driver based 4.12.2.i MY Couplings - No fault found (failure to couple) (operator) 4.25.4 M* Cover speed - track patrol 4.8.13.m I6 Cracked rail 7i IR Crew doors delays associated with faults on doors 4.12.2.c M7 Crew doors delays associated with faults on doors 4.12.2.c M7 Crime (station) 4.28.2.y VA Critical Rail temperature speeds (CRT) (other than buckled rails) 7j JH Cross boundary delays - VSTP 2.6.16 QN Cross boundary delays - wrong regulation 2.6.15 OB Cumulative Sub threshold delays (4.33) 4.1.23 Customer equipment breakdown / reduced capacity, off Network 7a AH Customer information system failures (CIS) 4.28.2.r RV Cuttings 4.16.2.i IV Dangerous goods - marshalling 4.19.2.a FA Dangerous goods - overloaded 4.18.2.a FA Dangerous goods incident / irregularity 4.20.3.a FA Data link problems IDA22 IF DC/AC trip 4.38.2.b I2 Defect traction / stock (Safety) 4.24.2.j M* Defective channel Tunnel/International locomotive 7m MF Definitions 2.7 De-icer (RHC) 4.26 OB/OE/OS/QA/QM/QN Delay attribution process - diagrammatic form 1.1.3 Delay investigation not made correctly (mis-investigation) 4.21.4 ON Delayed a train operators request - Passenger 7t TB Delays un-investigated 7o OU Depot (passenger) severe weather 4.37.4.k VW Depot delays 4.13 I*/J*/X*/YG/OB Depot operating problem / non severe weather 4.37.4.c MU Derived delays (sub threshold) 2.5.4 Derived power supply, failure of traction power supply 4.16.5.b IH Despatch of train equipment failure, Network Rail, not Telecoms 7j J2 Detaching vehicles, station operating 7r RD Diesel hauled freight train faults 4.12.3.a MC Different operator - late start 4.17.2 Directive by train operating company 7t TR Disabled passengers joining / alighting. Booked 4.28.2.k RC Disabled passengers joining / alighting. Not booked 4.28.2.k RQ Disorder (station) 4.28.2.y VA Dispatch - Incorrect by station staff 7r R1 Distribution supply chain / distribution point (Electricity) 4.16.5 IA/IB/IC/IE/II/IH/XK/X4 Diversions from booked route or line, delayed by (reactionary) 7y YP Divert engineering work planned not timetabled out of ROR/EAS 7q QB Divert planned engineering work not timetabled within ROR/EAS 7p PF Diverted at FOC request. Freight 7f FK DOO monitors (Network Rail maintained) 4.16.13 J2 DOO train at unstaffed station 7t T1 Door delays associated with faults on doors and associated systems 4.12.2.c M7 Door open on non passenger train 4.20.3.l FZ Door open on passenger train 4.20.3.k TL Compiled by Chris Scharf DAG index April 2015 4 NR LNW PIC 085 53197 Subject Clause Specific Codes Drive train technical faults below solebar (on train) (passenger trains) 4.12.2.e MD Driver (freight operator) 7f FC Driver (passenger operator) 7t TG Driver adhering to company professional driving standards or policy 7f FG Driver adhering to company professional driving standards or policy 7t TW Driver adhering to company professional driving standards. Weather 4.37.4.y VR Driver GSM-R error including entering wrong registration code 4.42.2.f TG/FC Driver GSM-R fails to de register radio 4.42.2.e TG/FC Driver TPWS adhering to company professional driving standards 4.43.1.b TG/TW Dropped bowmac IDA22 IS Drunks (station) 4.28.2.y VA Dry slide chairs IDA22 IB DSD train borne fault safety system within the cab (passenger) 4.12.2.b M0 (zero) Duplicate delays (excess minutes) 4.7 PJ DVD train borne fault safety system within the cab (passenger) 4.12.2.b M0 (zero) Earth slip / subsidence / breached sea defences not weather 7i IV Earthworks temporary speed restriction (TSR) 4.29.3.i/j IV/PB Electric hauled freight train faults 4.12.3.b MB Electric train OHLE ADD 4.38.2.e M2 Electrical control room (ECR) (IVRS) 4.16.9 J0 (zero) Electrical distribution supply chain 4.16.5 IA/IB/IC/IE/II/IH/XK/X4 Electricity board (national grid) 4.16.5 IA/IB/IC/IE/II/IH/XK/X4 Electrics technical faults below solebar (on train) (passenger trains) 4.12.2.e MD Electrification 4.16.11 I1 Embankments 4.16.2.i IV Emergency possessions 4.8.4 I*/J*/Q*/X* Emergency speed restriction (ESR) derailment 4.29.3.l See 4.20 Emergency speed restriction (ESR) rolling contact fatigue / GCC 4.29.3.m JS Emergency speed restriction (ESR) work not completed 4.29.3.c JG Emergency speed restriction infrastructure problem (ESR) 4.29.3.k I*/J* Emergency train alarm pulled (communication cord) 7v VH Encroaching objects NR infrastructure not weather or vandalism. 7x XO Engineering access statement temporary speed restrictions (TSR) 4.29 Engineering train late / failed in possession 7i I7 Engineering trains 4.9 MV/I7/I5 Engineering trains incentivised performance scheme (4.9) 4.1.19 Engineering work/divert SLW planned not timetabled out of ROR/EAS 7q QB Engineering work/divert SLW planned not timetabled within ROR/EAS 7p PF Engineers on track equipment 4.9 MV/I7/I5 Engineers OTM failure or problem 4.12.4.c MV Engines technical faults below solebar (on train) (passenger trains) 4.12.2.e MD Equipment breakdown/reduced capacity customer or yard,off Network 7a AH ERHC Railhead examination failure to carry out (4.3.6.1/6.2) 4.3.7.1.e QI Erroneous or duplicate schedule cancellation 7p PJ ERTMS - No fault found (operator) 4.25.4 M* ERTMS / ETCS incorrect operation of on board equipment 7f FI ERTMS / ETCS Signaller wrong instructions 7o OC ERTMS / ETCS track mounted balise system fails 4.40.1.b IM ERTMS / ETCS train borne system fails 4.40.1.a M0 (zero) ERTMS failure (excluding communications links and balises) 4.16.14 J7 ERTMS on board over riding driver command 7t TS ERTMS train borne fault safety system within the cab (passenger) 4.12.2.b M0 (zero) Escalator failure - station 4.28.2.q RE ETCS / ERTMS Signaller wrong instructions 7o OC ETCS / ERTMS track mounted balise system fails 4.40.1.b IM ETCS / ERTMS train borne system fails 4.40.1.a M0 (zero) ETCS / ETRMS incorrect operation of on board equipment 7f FI ETCS / ETRMS no fault found (4.25) 4.40.2 ETCS failure (excluding communications link and balises) 4.16.14 J7 ETCS on board over riding driver command 7t TS Evacuation due to fire alarm NR buildings not stations due to Vandals 7x XV Evacuation Network Rail buildings other than stations, not vandal 7o OV EWAT initiated by route controls. Red alert 4.37.1 V*/X* Compiled by Chris Scharf DAG index April 2015 5 NR LNW PIC 085 53197 Subject Clause Specific Codes Examination of Railhead failure to carry out after ERHC/LRA 4.3.7.1.e QI See 4.3.61/62 Examples of attribution 2.6.17 Exceptional loads (RT3973) (schedules) 4.31.2.f/g QA/QM/FH/TA Excess minutes, duplicate delay. 4.7 PJ Exclude from performance regime 3.2.8. P* Excluding contractually 3.2.7 P* Exclusion agreed between Network Rail and Operator 7p PL External / passenger other, responsibility of TOC 7v VZ External causes (other) responsibility of Network Rail 7x XZ External passenger charter excludable criteria 3.2.6 V*/X* External passenger charter excludable criteria - weather 4.37.1 V*/X* External power supply failure - station. 4.28.2.t VZ External supplier power failure 4.16.2.k XK External trees, buildings, objects encroaching NR infrastructure. 7x XO External vegetation not maintained NR boundaries per standards 4.3.7.1.b JP Extreme heat / wind, blanket Speed per group standards 4.37.4.f X4 Failure of ETCS/ERTMS balise system 4.40 IM/M0 (zero) Failure of FOC owned infrastructure 4.16.12 AX Failure of TASS balise system 4.39 NA/IM Failure to mitigate (4.1.20) 4.1.12 Falling from a train onto platform fatalities / injuries 7v VC Falling snow and fog regulations, semaphore signalling 4.37.4.p X1 False alarms. Fire. 4.11.1.e-i AK/OJ/RH/VF/XB Fatalities - including struck by train 4.10.2 XC/VC/AZ/FZ Fencing adequately maintained 4.35.1.b XB Fire - alarm Network Rail buildings other than stations, not vandal 7o OV Fire - due to fire alarm NR buildings not stations due to Vandals 7x XV Fire - External not prevent passenger access to/from train at station 4.11.1.d XL Fire - Fleet depot 4.11.1.k VF/MU Fire - Flowchart. Identifying attribution of various types of fire / alarms 4.11.7 AK/M*/MU/OJ/OV/RH/VF/XB/XL Fire - Freight yard / Terminal / Private Yard (off Network) 4.11.1.j AK Fire - Line side on Network Rail infrastructure. 4.11.1.a I9 Fire - Major stations, definition (4.11.7.1) 4.11.6 Fire - Network Rail buildings other than stations. Not vandal 4.11.1.h OV Fire - Network Rail buildings other than stations. Vandal 4.11.1.h XV Fire - On freight train 4.11.1.m VF/M* Fire - On passenger train 4.11.1.l M*/VF Fire - Station Buildings/platform .Affecting FOC trains booked to stop 4.11.1.i AK Fire - Station Buildings/platform failed to stop. Not vandal 4.11.1.e RH Fire - Station Buildings/platform failed to stop. Vandal 4.11.1.e VF Fire - Station Buildings/platform No train, passenger OK. Not vandal 4.11.1.f OJ Fire - Station Buildings/platform No train, passenger OK.vandal 4.11.1.f XB Fire - Station Buildings/platform Regular trains not call. Not vandal 4.11.1.f OJ Fire - Station Buildings/platform Regular trains not call. Vandal 4.11.1.f XB Fire - Station Buildings/platform.No train,stops passengers. Vandal 4.11.1.g XB Fire - Station Buildings/platform.No train,stops passengers.Not vandal 4.11.1.g OJ Fire - Station False alarms. 4.11.1.e RH/VF Fire - Traction 4.11.1.c M* Fish plate defective 7i IS Flanger grease causing adhesion problems 4.3.7.3.a IZ Flawed rail 7i IR Fleet depot delays 4.13 I*/J*/X*/YG/OB Fleet problems weather non severe 4.37.4.d MW Fleet problems weather severe 4.37.4.l VW Fleet restriction snow or Ice 4.37.6.f VW/MW Flooding - Affecting other forms of transport 4.14.4.b X2 Flooding - burst pipes out of Network Rails control 4.14.4.c XM Flooding - Drainage inadequately maintained 4.14.4.a JK Flooding - Flow chart (weather) 4.37.5.b Flooding - Freight yard, off Network 4.14.4.e AZ Flooding - not due to exceptional weather 7j JK Flooding - Obstructions on line, including trees 4.37.4.j X2 Flooding - Station access passengers 4.14.4.g VZ Compiled by Chris Scharf DAG index April 2015 6 NR LNW PIC 085 53197 Subject Clause Specific Codes Flooding - Station buildings 4.14.4.d RW Flooding - TOC/FOC restriction directive affecting traction 4.14.4.f MW Fog and falling snow regulations, semaphore signalling 4.37.4.p X1 Fog Semaphore signals visibility due to weather (4.37.6.f) 4.37.4.aa X1 Foot crossing failure 7i ID Forced connections by passengers 7r RN Formal inquiry incident - other operators 7o OI Formal inquiry incident - possible operator responsibility 7f FU Formal inquiry incident - possible operator responsibility 7t TU Formal inquiry including OHLE Incident 4.38.2.g OI Formation requiring lift and pack IDA22 IS Forms - signaller completion of RT3185/7 - trains overlooked 4.24.3 OC Freight adjusting loaded wagons / loading incident 7a AG Freight diesel hauled train faults 4.12.3.a MC Freight electric hauled train faults 4.12.3.b MB Freight operating company cause to be specified / marshalling. 7a AZ Freight operator - unexplained, believed to be due to operator 4.21 FO Freight planning error including loco diagram 7f FH Freight terminal / yards or none Network Rail operated. Off Network 4.15 Freight train driver 7f FC Freight train held at FOC request (Freight) 7f FJ Freight train running at lower than planned classification 7f FX Freight train wagons or coaches fault 4.12.3.c ML Frost - flow chart (weather) 4.37.5.d Frost / Snow / Ice non severe affecting infrastructure equipment 7i IW Frost / Snow defective point heaters points failure 7i IP Frozen couplers mitigation not applied weather affecting the train 4.12.2.j MW Functional supply points (FSP) 4.16.5.b IH Fuse blown 110v or 650v 4.16.5 IH Gangway doors delays associated with faults on doors & associated 4.12.2.c M7 Gas / Water mains / Overhead power lines (national grid) 7x XM Gauge Corner Cracking (GCC) / RCF emergency speed restriction 4.29.3.m JS Gearbox technical faults below solebar (on train) (passenger trains) 4.12.2.e MD Good practice statement Page 3 Grease, oil or substance on railhead source can not be identified 4.3.7.3.d OZ Ground frame telephones 4.16.7 IK GSM-R - No fault found (operator) (4.42) 4.25.4 M* GSM-R ARS ACI incorrect Rep No / berth 4.42.2.l OH GSM-R cab based equipment vandalised 4.42.2.h VA / FZ GSM-R cab radio software fault 4.42.2.p J0 (zero) GSM-R call picked up by wrong mast and wrongly routed 4.42.2.g J0 (zero) GSM-R driver error including entering wrong registration code 4.42.2.f TG/FC GSM-R driver fails to de register radio 4.42.2.e TG/FC GSM-R fault on NR infrastructure, no fault identified 4.42.2.c IO GSM-R fault on train, no fault found. 4.42.2.d M9 GSM-R fault with infrastructure or signalling based equipment 4.42.2.a J0 (zero) GSM-R hardware fault on train, cause identified 4.42.2.b M0 (zero) GSM-R infrastructure maintenance staff error 4.42.2.j JL GSM-R infrastructure or signal centre based equipment vandalised 4.42.2.i XB GSM-R Operational system faults/failures. Flow chart 4.42.1 TG/FZ/J0/MD/M8/M9 GSM-R Railway emergency call (REC) 4.41 GSM-R REC error from cab by authorised person on Network 4.41.1.d TG/FC/TH/TZ GSM-R REC error from cab by train maintenance staff on Network 4.41.1.e MU GSM-R REC error from cab off Network 4.41.1.f MU/TG/FC/TH/TZ GSM-R REC error from cab off Network, preventing access to Network 4.41.1.g MU GSM-R REC from cab by unauthorised person,no operational event 4.41.1.h VA/RZ/FZ GSM-R REC initiated by a none TAC party from off Network 4.41.1.c XZ GSM-R REC initiated by Network Rail maintenance staff in error 4.41.1.j JL GSM-R REC initiated by signaller in error 4.41.1.i OC GSM-R REC operational event, safety reported in good faith. 4.41.1.a GSM-R REC unable to identify responsible part, no technician report 4.41.1.b J0 (zero) GSM-R registration failure signaller entering wrong Rep No/berth 4.42.2.k OC GSM-R registration failures, no technical or responsibility identified 4.42.2.m J0 (zero) Compiled by Chris Scharf DAG index April 2015 7 NR LNW PIC 085 53197 Subject Clause Specific Codes GSM-R signal on train lost,no cause identified,no other trains affected 4.42.2.o M9 GSM-R technical registration failure 4.42.2m J0 (zero) GSM-R telecommunications equipment in line side equipment room 4.16.5.b J0/IK GSM-R train borne fault safety system within the cab (passenger) 4.12.2.b M0 (zero) Guard (conductor) 7t TH Guidance on coding incidents and contractual responsibilities 4 Guidance where no fault found (technical equipment) 4.25 GZAM Green zone access manager possessions (4.16) 4.8.6 Headlight out or showing wrongly 4.24.2.k TJ/FM Heat - flow chart (weather) 4.37.5.c Heat blanket restriction per group standards 4.37.4.f X4 Heat severe affecting infrastructure NR responsibility, not speeds 7x XH Heavy axle weight restrictions (RT3973) (schedules) 4.31.2.f/g QA/QM/FH/TA Held on FOC request (freight) 7f FJ High temperature buckled rails 4.37.4.u IR High winds - Flow chart (weather) 4.37.5.a High winds affecting NR infrastructure including objects blown on line 7x XW Horn train borne fault safety system within the cab (passenger) 4.12.2.b M0 (zero) Hot axle box (HABD) - No fault found (NR) 4.25.4 IN Hot axle box (HABD) (on board) No fault found (operator) 4.25.4 MT Hot axle box (HABD) confirmed activation / positive on train 4.20.3.c MT Hot axle box (HABD) no fault found / wrong detection (4.25) 4.20.3.d IN Hot axle box (HABD) train borne safety system faults(passenger train) 4.12.2.f MT Ice - flow chart (weather) 4.37.5.d Ice / Snow / Frost non severe affecting infrastructure equipment 7i IW Ice on OHLE or conductor rail due to failure to run de-icing train 4.37.4.h OE Ice on OHLE or conductor rail unless due to failure of de-icing train 4.37.4.g OG Ice or water on running railhead (4.30) 4.3.7.3.c MP Icicles hanging from N.R. infrastructure, train damage/severe weather 4.37.4.t XT Ill passenger on platform 7r RO Ill passenger on train 7v VD Incident within a Network Yard/terminal delays entering/leaving 4.2.2.f Incidents 2.6 Incidents arising out of other access agreements 4.1.18 Incidents at stations. Flow chart 4.28.6 Incorrect marshalling (not dangerous goods) 4.19 AZ Incorrect routing - agreed diversionary route 4.23.4 OC Incorrect routing - Driver not stopping / taking route 4.23.5 OC and TG/FP Incorrect train dispatch by station staff 7r R1 Index of various scenarios 4.1.28 Infestation animals 4.4.1 Infestation Damage due to repeated chronic animal behaviour 4.4.1.1 I*/J* Infrastructure - non Network Rail 4.16.2.a AX/TX Infrastructure based equipment no fault found (Network Rail) (4.20.3.d) 4.25.1 IN Infrastructure cause, other 7i IZ Infrastructure defect Network Yard / terminal (4.16) 4.44.2.a I*/J*/X* Infrastructure equipment failure 4.16 Infrastructure failure ADL 4.16.15.a I*/J* Infrastructure failure weather - Equipment outside design 4.37.4.b X* Infrastructure failure weather - Equipment within design 4.37.4.a I*/J* Infrastructure privately owned 4.16.12 AX Infrastructure staff error 7j JL Infrastructure trains arriving or leaving possessions 4.8.10 I7 Infrastructure vandalism / theft 4.35.1 Injury - including fatalities stuck by a train 4.10.2 XC/VC/AZ/FZ Injury sustained when on platform struck / falling from train 7v VC Injury to member of staff 4.20.3.j FZ/FC/IZ/MD/OC/RZ/TG/TH/TK Injury to passenger (accidental) 4.20.3.h TE Inquiry formal 7o OI Inquiry formal incident - possible operator responsibility 7f FU Inquiry possible operator responsibility 7t TU Insulated block joint (IBJ) cautioning dipped joint 4.16.3.b IS Insulated block joint (IBJ) defect causing track fault but not a TCF IDA22 IS Compiled by Chris Scharf DAG index April 2015 8 NR LNW PIC 085 53197 Subject Clause Specific Codes Insulated block joint (IBJ) defect TCF and track fault i.e. dipped joint IDA22 IS Insulated block joint (IBJ) Does NOT cause a track fault 4.16.3.b IC Insulated block joint (IBJ) fault within joint 4.16.3.b IS Internal lighting technical faults above solebar (on train) (passenger) 4.12.2.d M8 International/Channel Tunnel locomotive failure/defect/attention 7m MF Investigation of a delay not made correctly (mis-investigation) 4.21.4 ON Inward booked train crew (reactionary) 7y YJ Inward stock / unit late arrival (booked) (reactionary) 7y YI Items (Miscellaneous) on OHLE other than vandalism 4.38.2.c I3 Items cause obstruction,include trees not vandal,weather or from train 7j JX IVRS - Interactive Voice Radio System 4.16.9 J0 (zero) IVRS - No fault found (NR) 4.25.4 IN Joint responsibility incidents (template schedule 8 operators) 4.1.27 Joint responsibility incidents including exceptions 4.1.3 Joint responsibility vandalism / theft / trespass 4.35.2 Jointly agreed neutral zones - autumn 4.3.4.1 Key route strategy, weather 4.37.4.m/n IW/XT Landslide / slip 4.16.2.i IV Late arrival of booked inward stock / unit (reactionary) 7y YI Late arrival of booked train crew (reactionary) 7y YJ Late from Europe (freight) 7f FN Late from Europe (passenger) 7t TN Late running - possession 4.8.12 Late running train booked crew service recovery (reactionary) 7y YN Late start - different operator 4.17.2 Late start - late inwards 4.17.1 Y* Late start - mitigation 4.17.3 Late start - Stock change 4.17.5 Late start - Train crew (4.36) 4.17.4 Late start from origin (not train crew) 4.17 Late start Network Yard Crewe,vehicles,loading or FOC issue 4.44.2.b A*/F*/M* Late start unexplained 7z ZX LDT module failure IDA22 IF Leaf fall 4.3 Leaf fall Contamination 4.16.3 c QJ Leaf fall contamination, Adhesion problems 4.3.7.1.d QH Leaf fall contamination, cautioning 4.3.7.1.f QI Leaf fall operation Special working implemented for track circuits 4.3.7.1.g QJ Leaking effect of weather delays associated with the train (passenger) 4.12.2.j MW Level crossing - misuse 4.20.3.n XD Level crossing CCTV system fault. IDA22 IK Level crossing failure,barrow,Foot crossings, treadles and damage 4.20.3.m ID Level crossing road related incidents, external 4.16.2.c XD Level crossing salt from road. 4.16.2.f XN Level crossing telephones (both NR and BT lines) (LCT) 4.16.7 IK Lift failure - station 4.28.2.q RE Lifting bridge failure 4.16.2.h JD Lighting (internal) technical faults above solebar (on train) (passenger) 4.12.2.d M8 Lightning strike on Network Rail assets no protection 4.37.4.r J6 Lightning strike on Network Rail assets with protection 4.37.4.s X3 Line search by Police 7x XF Line side location cabinet 4.16.5 IA/IB/IC/IE/II/IH/XK/X4 Line side telephones 4.16.7 IK Lineside cable fault signalling. 7i II Link in Loc causing TC to fail IDA22 IC Link or defect in the TPR or elsewhere in the indication circuit IDA22 IF Loading excessive luggage 7r RT Loading mails / parcels (station) 4.28.2.v AZ Loading problems (freight) (not dangerous goods) including adjusting 4.18.1 AG Loading supplies including catering 7t T4 Location cabinet 4.16.5 IA/IB/IC/IE/II/IH/XK/X4 Locomotive used for additional / other service (passenger) 7t TD Loss in running unexplained 4.33 ZZ Compiled by Chris Scharf DAG index April 2015 9 NR LNW PIC 085 53197 Subject Clause Specific Codes Lost luggage 7r RU Lost path followed train running less late (reactionary) 7y YC Lost path following another later running train (reactionary) 7y YD Lost path regulated for another late running train (reactionary) 7y YB Lost path regulated for train running less late (reactionary) 7y YA Lower priority train, regulation 7o OB LRA railhead examination failure to carry out (4.3.6.1/6.2) 4.3.7.1.e QI Luggage - excessive loading. 7r RT Luggage - lost 7r RU LUL delays on non Network Rail lines (Not T&RS) 7t TX LUL passenger charter excludable events 7v VW Mails loading / unloading (station) 4.28.2.v AZ Maintenance depots 4.13 I*/J*/X*/YG/OB Maintenance of vegetation per standards Network Rail boundaries 4.3.7.1.b JP Maintenance staff error GSM-R infrastructure 4.42.2.j JL Major stations - Fire, definition (4.11.7.1) 4.11.6 Major stations - Network Rail operated 4.28.4 Major stations (definition) - Security alert (4.27.7.1) 4.27.6 Manual treatment of railhead autumn (4.26) 4.3.7.4 Marker light out or showing wrongly 4.24.2.k FM/TJ Marshalling - incorrect (not dangerous goods) 4.19 AZ Marshalling - late arrival part of train 4.19.2.b YI Marshalling - signaller wrong order/platform 4.19.c OC Masonry encroaching NR infrastructure not weather or vandalism. 7x XO Measuring and recording the cause of delay 2.5 Military train conveying troops, schedule not in TRUST 4.30 OZ Minor VSTP delays, less than 5 mins and not reactionary 4.31.4 PN Minutes delay not apparently due to Network Rail (4.33) 4.21 FO/TO Miscellaneous items on OHLE other than vandalism 4.38.2.c I3 Misdirected passengers, station staff error 7r R5 Mishaps - Station operators 7r RY Mishaps - Train operating cause 7t TY Mishaps and major safety incidents 4.20 FU/OI/TU Mishaps freight 7f FZ Mishaps in terminals or yards. Off Network 7a AZ Mishaps, other infrastructure clause 7i IZ Mis-investigation of a delay 4.21.4 ON Misuse of level crossing 4.20.3.n XD Mitigation - Autumn 4.3.4.3 Mitigation - refusal of reasonable request (4.1.12) 4.1.20 Mitigation failure to do (4.1.12) 4.1.21 Module on points failure IDA22 IF Multi purpose vehicles (MPV) (RHC) 4.26 OB/OE/OS/QA/QM/QN Multicore cable failure (one or more cores defective) telecoms cable IDA22 II Multiple worksite possessions 4.8.7 National grid including power failures 4.16.5 IA/IB/IC/IE/II/IH/XK/X4 Network code 1.2 Network delay 2.5.3 Network Rail Control directive 7o OD Network Rail maintenance staff REC GSM-R initiated in error 4.41.1.j JL Network Rail major station delays 4.28.4 Network Rail manager codes 2.6.7 Network Rail manager codes - attribution examples 2.6.17 Network Rail operating cause 7o OZ Network Rail staff error 7j JL Network Yard / terminal delays entering/leaving incident within 4.2.2.f Network Yard / terminal Infrastructure defect (4.16) 4.44.2.a I*/J*/X* Network Yard / terminal waiting acceptance - late running 4.44.2.c/d Y* Network Yard late start Crewe,vehicles,loading or FOC issue 4.44.2.b A*/F*/M* Neutral zone autumn attribution 4.3.4.1 Neutral zone concept. Autumn 4.3.5 Neutral zone incidents Use of. Autumn 4.3.5.2 Neutral zone incidents. Setting up. Autumn 4.3.5.1 Compiled by Chris Scharf DAG index April 2015 10 NR LNW PIC 085 53197 Subject Clause Specific Codes Neutral zone list. Autumn, delays not on jointly agreed list 4.3.6 Neutral zone reasonable level of time loss autumn 4.3.4.2 Neutral zone review. Autumn 4.3.4.4 No fault found infrastructure based equipment(Network Rail) (4.20.3.d) 4.25.1 IN No fault found NRN 4.25.4 M* No fault found Safety incident - Network Rail staff unable to find 4.24.2.m J4 No fault found technical equipment guidance 4.25 No fault found train borne equipment (operator) 4.25.2 F*/N*/M*/T* No fault found train borne systems (4.25.4) (freight trains) 4.12.3.d M9 No fault found train borne systems (4.25.4) (passenger trains) 4.12.2.m M9 No fault identified GSM-R on NR infrastructure 4.42.2.c IO Non Network Rail lines passenger charter excludable 7v VW Non Network Rail running lines such as LUL (not T&RS) 7t TX Non severe Snow / Ice / Frost affecting infrastructure equipment 7i IW Non-malicious injury to passenger 4.28.2.b TE Not leaving Network by train Leaving Network (reactionary) 7y YT NRN - No fault found (operator) 4.25.4 M* NRN (off train) / telecom equipment failures, legacy 4.16.8 I0 (zero) NRN train borne fault safety system within the cab (passenger) 4.12.2.b M0 (zero) Objects encroaching NR infrastructure not weather or vandalism. 7x XO Objects placed deliberately on Network Rail infrastructure (incl points) 4.35.1.b XB Objects thrown / fired at trains 4.35.1.b/c XB/VB/AZ Objects thrown / fired from trains 4.35.1.f VB Objects thrown / fired onto Network Rail from depots 4.35.1.e MU Obstruction (safety) 4.24.2.g JX Obstruction hit by train, not vandalism 4.24.2.h/i JX Obstruction in points / to OHLE - Confirmed vandalism IDA22 XB Obstruction in points inc sand / coal / litter / ballast - not vandal IDA22 JX Obstruction including trees not vandal, weather or from train 7j JX Obstruction on line due to flooding, including trees 4.37.4.j X2 Obstruction on line due to wind, including trees 4.37.4.i XW Obstruction on OHLE inc trees,not vandal,weather or thrown from train IDA22 I3 OCB OHLE trip (cause not known), including obstruction 4.38.2.b I2 Off Network Freight terminals/Yards, Waiting acceptance yard/Siding 4.2.1 Off Network GSM-R REC 4.41.1.c XZ Off Network infrastructure yards 4.15 Off Network not leaving Network by train Leaving Network reactionary) 7y YT Off Network REC GSM-R error from cab 4.41.1.f MU/TG/FC/TH/TZ Off Network REC GSM-R error from cab,preventing access to Network 4.41.1.g MU OHLE ADD Electric traction. Automatic dropper device 4.38.2.e M2 OHLE failure including Bond / defect 4.16.11 I1 OHLE Incident subject to formal enquiry 4.38.2.g OI OHLE items on, Miscellaneous, other than vandalism 4.38.2.c I3 OHLE obstruction - unknown reason 4.16.11 I3 OHLE power reduction. 4.38.2.d I4 OHLE switches,breakers,feeders,irregularities 4.16.11 I4 OHLE trip (cause not known) (OCB) 4.38.2.b I2 OHLE trips - NOT Pantograph. Unknown reason 4.16.11 I2 OHLE trips vegetation 4.16.11 JP OHLE vandalism 4.38.2.f XB Oil, grease or substance on railhead source can not be identified 4.3.7.3.d OZ On Network REC GSM-R error from cab by authorised person 4.41.1.d TG/FC/TH/TZ On Network REC GSM-R error from cab by train maintenance staff 4.41.1.e MU On track equipment failure 7i IJ On track Machine (OTM) 4.9 MV/I7/I5 On track Machine(OTM)damaging infrastructure in a possession 7j J8 On track plant (OTM) (yellow machine) fleet problem 4.12.3.p MV/I7/I5 Operating cause Network Rail 7o OZ Operating staff oversight, error or absence (not signaller/control) 7o OK Operational event, safety reported in good faith. (GSM-R) (REC) 4.41.1.a Operational GSM-R Railway emergency call (REC) 4.41 Operational GSM-R system faults/failures 4.42 TG/FZ/J0/MD/M8/M9 Operational GSM-R system faults/failures. Flow chart 4.42.1 TG/FZ/J0/MD/M8/M9 Compiled by Chris Scharf DAG index April 2015 11 NR LNW PIC 085 53197 Subject Clause Specific Codes Operator terminal / yards or None Network Rail operated. Off Network 4.15 Operator unexplained (passenger) 7t TO Origin late start (not train crew) 4.17 Other external causes responsibility of Network Rail 7x XZ Other forms of transport - weather, not meeting external criteria 4.37.2 I*/J*/M* Other freight operating company cause to be specified 7a AZ Other infrastructure cause 7i IZ Other passenger / external causes responsibility of TOC 7v VZ Other passenger train operating cause 7t TZ Other station 7r RZ OTMR train borne fault safety system within the cab (passenger) 4.12.2.b M0 (zero) Over speed TPWS or train stop intervention 4.43.1.a FC/TG Overcrowding - an operators train cancelled/delayed 3.1.5 Overcrowding (reactionary) other services cancelled. 7y YX Overcrowding (reactionary) short-formed train 7y YQ Overhanging branches / vegetation, trains striking not weather 4.3.7.1.b JP Overhead power lines (national Grid) / Gas / Water mains 7x XM Overloaded (freight) (not dangerous goods) 4.18.1 AG Overruns - defect found (4.16) 4.8.13.o I*/J* Overruns possession 4.8.5 I5 Overruns possession 4.8.13 I5/QM Overruns station during autumn. Chart 2 4.3.6.2 Overruns track patrol 4.8.13.n I5 Overtime station normally unstaffed 7r R6 Overwhelmed asset weather 4.37.5.d XT Pads and biscuits IDA22 IS PANCHEX - No fault found (NR) or wrong detection 4.25.4 IN PANCHEX activations (passenger trains) 4.12.2.a M1 Pandrol clip loose causing obstruction / points damage / short circuit IDA22 IS Panel failure 7i IF Pantograph faults (passenger trains) 4.12.2.a M1 Parcels loading / unloading (station) 4.28.2.v AZ Parcels vehicle delays 4.12.2.o ML Passenger / external other, responsibility of TOC 7v VZ Passenger assault 4.20.3.i VB Passenger charter excludable criteria 3.2.6 V*/X* Passenger charter excludable criteria - weather 4.37.1 V*/X* Passenger charter excludable events on LUL or non NR lines 7v VW Passenger communication pulled 7v VH Passenger doors delays associated with faults on doors & associated 4.12.2.c M7 Passenger drop item signaller delays train to remove, not obstruction 4.28.2.ag OC Passenger dropped object causing obstruction but not on/off train. 4.28.2.af JX Passenger dropped object whilst boarding/alighting. Held by TOC 4.28.2.ae RP Passenger excessive luggage 7r RT Passenger facilities failed Technical faults above solebar (on train) 4.12.2.d M8 Passenger fallen between train and platform whilst boarding/alighting 4.28.2.ad RY/RZ Passenger forcing connections 7r RN Passenger injury (accidental) 4.20.3.h TE Passenger injury (non malicious) 4.28.2.b TE Passenger joining / alighting. Station overtime 4.28.2.i RB Passenger joining/alighting. Special event 4.28.2.j R7 Passenger lost luggage 7r RU Passenger operator driver 7t TG Passenger overcrowding (reactionary) 7y YX Passenger overcrowding (reactionary) short formed train 7y YQ Passenger overcrowding an operators cancelled/delayed 3.1.5 Passenger taken ill on platform 7r RO Passenger taken ill on train 7v VD Passenger train operating cause - Other 7t TZ Passing booked trains possessions 4.8.11 I6 Passing booked trains, possession 4.8.13.k I5/P* Patrolling, including when published P code not utilised. 4.8.13.i/j/l I6 Physical needs break (PNB) train crew - further delay 4.36.4 Compiled by Chris Scharf DAG index April 2015 12 NR LNW PIC 085 53197 Subject Clause Specific Codes PIBS - No fault found (operator) 4.25.4 M* Placing objects deliberately on Network Rail infrastructure (incl points) 4.35.1.b XB Planned and emergency possessions 4.8 Planned cancellation bank holiday (3.2.8) 4.31.5 PE/PG Planned cancellation by train Operator (3.2.8) 4.31.5 PG Planned cancellation duplicate or erroneous schedule 7p PJ Planned cancellation engineering work (3.2.8) 4.31.5 PE Planned cancellations 4.31.5/6 PD Planned cancellations - not cancelled. (3.2.8) 4.31.5 PE/PG Planned cancellations reinstating - not permitted 4.31.6 PD Planned engineering work/divert.SLW not timetabled out of ROR/EAS 7p PF Planned engineering work/divert.SLW not timetabled out of ROR/EAS 7q QB Planned P codes 3.2.8 Planned possession (reactionary) not retimed 4.8.13.d QP Planned possessions 4.8.13 PF/QB Planned possessions reactionary 4.8.2 QP Planned temporary speed restrictions (TSR) 4.29.3.a/b PA/JA Planned TSR (P coded) reaction to 4.8.13.c JB Planning error flow chart (schedules) 4.31.3 OQ/QA/QM/QN Planning error including loco diagram (freight) 7f FH Platform change / waiting platform / station congestion (reactionary) 7y YO Platform changes 4.28.5 Platform fatalities / injuries struck / fallen from train 7v VC Platform persons falling / jumping / dangling legs 4.35.1.n XA Platform structural problem which impeding the safe passage of trains 4.16.2.j JD Point failure caused by severe snow heaters working as designed 7x X9 Point heaters defective - Snow / Frost 7i IP Point heaters not fitted points failure 7j JT Point heaters severe snow. Points failed.Heaters working as designed. 7x X9 Point module failure IDA22 IF Point TFM module failure IDA22 IF Points failure 7i IB Points failure - staff error IDA22 JL Points failure caused by snow / frost - heaters not fitted 7j JT Points failure snow / Frost defective point heaters 7i IP Points obstruction - Confirmed vandalism IDA22 XB Points obstruction inc sand / coal / litter / ballast - not vandal IDA22 JX Points relay in loc (affecting points only) IDA22 IB Points telephones 4.16.7 IK Police searching the line 7x XF Police searching train (not security) 4.28.2.ab VG Poor Brakes (on train) (passenger trains) 4.12.2.h MN Poor ride quality - no apparent cause 4.24.2.b IT Poor ride quality (4.16.4) 4.24.2.a IS Possession cancelled 7j JN Possession overrun - defect found (4.16) 4.8.13.o I*/J* Possession overrun track patrol 4.8.13.n I5 Possession overruns 4.8.5 I5 Possession planned (reaction) not retimed 4.8.13.d QP Possession work not completed TSR/ESR 4.29.3.c JG Possession, passing booked trains 4.8.13.k I5/P* Possessions - agree TOC/NR not to retime or NR fails to retime 4.31.2.e QB Possessions - Infrastructure trains arriving or departing. 4.8.10 I7 Possessions - on track machine damage to infrastructure 7j J8 Possessions (planned/emergency) 4.8 P*/QP/I*/J* Possessions On track machine / engineering haulage. 4.9 MV/I7/I5 Possessions with a single worksite 4.8.8 Possessions with multiple worksites 4.8.7 Power distribution System, functional supply points (FSP) 4.16.5.b IH Power failure, signalling functional 7i IE Power reduction OHLE 4.38.2.d I4 Power supply failure - external supplier. 4.16.2.k XK Power supply failure - station 4.28.2.s RZ Compiled by Chris Scharf DAG index April 2015 13 NR LNW PIC 085 53197 Subject Clause Specific Codes Power supply failure - station. Affecting mail/parcels 4.28.2.u AZ Power supply failure - station. External 4.28.2.t VZ Power supply failures 4.16.5 IA/IB/IC/IE/II/IH/XK/X4 Preparation - waiting trains list 7a AC Preventative maintenance response, remote condition monitoring alert 7j J9 Primary delay 2.7.1 Prime cause delay 3.1.4 Principal supply points (PSB) 4.16.5.b IH Privately owned infrastructure 4.16.12 AX Provision of information 1.3 Public alleges level crossing failure, NFF IDA22 J4 Radio failures (legacy) 4.16.8 I0 (zero) Rail defects 4.16.4 IR/IS/IT Railhead conditioning train (RHC) 4.26 OB/OE/OS/QA/QM/QN Railhead conditioning train (RHC) schedule pathing 4.26.3.b-d QA/QM/QN Railhead conditioning train (RHC) train late start 4.26.3.h OS Railhead conditioning train (RHC)long time in section other train delay 4.26.3.g OS Railhead conditioning train delays (RHC) including reactionary 4.3.7.1.c OS Railhead contamination of railhead after spillage from train 4.3.7.3.b M* Railhead examination failure to carry out after ERHC/LRA (4.3.61/62) 4.3.7.1.e QI Railhead manual treatment autumn (4.26) 4.3.7.4 Railhead needs cleaning 4.3.7.3.a IZ Railhead oil, grease or substance source can not be identified 4.3.7.3.d OZ Railhead treatment : Principles 4.3.7.5 Railhead treatment not applied at planned locations (4.26.4) 4.3.7.1.e QI Railhead treatment program failure to operate. Autumn 4.3.7.1.a See 4.26 Railhead water or Ice on running railhead (4.30) 4.3.7.3.c MP Railway emergency Call (REC) (GSM-R) 4.41 Re platforming / platform change 4.28.5 Reaction to planned possession not retimed 4.8.13.d QP Reaction to planned TSR 4.8.13.c JB Reactionary delay 2.7.2 Y* Reactionary delay - splitting two delays same effect 4.1.22 Y* Reactionary delays - additional guidelines 4.1.24 Y* Reactionary delays - splitting 4.1.26 Y* Reactionary to planned possessions 4.8.2 QP Reasonable time loss in section autumn minutes in excess of agreed 4.3.7.2.c FG/TW REC GSM-R error from cab by authorised person on Network 4.41.1.d TG/FC/TH/TZ REC GSM-R error from cab by train maintenance staff on Network 4.41.1.e MU REC GSM-R error from cab by unidentified person on Network 4.41.1.d TG/FC/TH/TZ REC GSM-R error from cab Off Network 4.41.1.f MU/TG/FC/TH/TZ REC GSM-R error from cab Off Network, by unidentified person 4.41.1.g MU REC GSM-R error from cab Off Network,preventing access to Network 4.41.1.g MU REC GSM-R from cab by unauthorised person,no operational event 4.41.1.h VA/RZ/FZ REC GSM-R initiated by Network Rail maintenance staff in error 4.41.1.j JL REC GSM-R initiated by signaller in error 4.41.1.i OC REC initiated by a none TAC party from off Network (GSM-R) 4.41.1.c XZ REC operational event, safety reported in good faith. (GSM-R) 4.41.1.a REC unable to identify responsible part, no technician report (GSM-R) 4.41.1.b J0 (zero) Recording of reliability events 2.4 RED alert declared by route controls EWAT initiated 4.37.1 V*/X* Reduction of speed Weather 4.37.6 Refusing to pay (Ticket irregularities) 4.28.2.z VE Regaining lost time - subsequent delay 4.1.25 Registration failures GSM-R,no technical or responsibility identified 4.42.2.m J0 (zero) Regulated following a train running less late (reactionary) 7y YC Regulated following another later running train (reactionary) 7y YD Regulated for another late running train - lost path (reactionary) 7y YB Regulated for train running less late - lost path (reactionary) 7y YA Regulated in accordance with regulation policy (reactionary) 7y YG Regulated to/from single line (reactionary) 7y YE Regulation and signalling of trains 4.23 OB/OD/Y*/OQ Regulation policy, regulated in accordance with (reactionary) 7y YG Compiled by Chris Scharf DAG index April 2015 14 NR LNW PIC 085 53197 Subject Clause Specific Codes Reinstating planned cancellations - not permitted 4.31.6 PD Relay room 4.16.5 IA/IB/IC/IE/II/IH/XK/X4 Reliability events 1.4 Remote Condition monitoring alert-preventative maintenance response 7j J9 Remote control failure 7i IF Renewal date exceeded temporary speed restriction (TSR) 4.29.3.f JS Repeat or indication circuit back to SB IDA22 IF Reservation (seat) problems 4.28.2.c TF Responsible manager codes 2.6.4 RETB - Emergency telephones 4.16.7 IK RETB - No fault found (operator) 4.25.4 M9 RETB telecom equipment failure, legacy 4.16.8 I0 (zero) RETB terminal failure (4.25) 4.16.10 IL RETB train borne fault safety system within the cab (passenger) 4.12.2.b M0 (zero) Revisions to the delay attribution guide 1.6 Right away (RA) / Close Door (CD) defect 4.28.2.ah IA Right away (RA) / Close Door (CD) sunlight on equipment 4.28.2.aj XU Right away (RA) / Close Door(CD) defect,operator mitigation not made 4.28.2.ai R1 Right away (RA)/Close Door(CD)sunlight operator mitigation not made 4.28.2.ak R1 Road connections 7r/t RM / T3 Road related incidents 4.16.2.c XD Road related incidents NOT LC or bridge 4.16.2.e XN Road vehicles hitting bridges (bridge Strike) 4.5 XP Rolling contact fatigue (RCF) / GCC emergency speed restriction 4.29.3.m JS Rostering Train crew problem 7t TI Rough ride - no apparent cause 4.24.2.b IT Rough ride (4.16) 4.24.2.a IS Routing incorrect - agreed diversionary route 4.23.4 OC Routing incorrect - Driver not stopping / taking route 4.23.5 OC and TG/FP Royal train, schedule not in TRUST 4.30 OZ RT3185/7 Forms - signaller completion of - trains overlooked 4.24.3 OC RT3973 schedule ADL not taken into consideration 4.16.15.f QA/QM RT3973 schedule error, timings requested by operator 4.31.2.f QA/QM RT3973 schedule, timings NOT requested by operator 4.31.2.g TA/FH RT3973 waiting train preperation or completion of TOPS list. 7a AC Rules of the Route temporary speed restriction (EAS/ROR TSR) 4.29 Running brake tests weather 4.37.6.e VW/MW S&C crossing defect IDA22 IR Safety defect track/stock 4.24.2.j M* Safety incident - Network Rail staff unable to find 4.24.2.m J4 Safety incident - operators staff unable to find 4.24.2.l FZ/M9/TZ Safety incidents and mishaps 4.20 TU/OI/FU Safety problems reported by staff or public 4.24 Safety reported in good faith. (GSM-R) (REC) 4.41.1.a Salt from road near LC 4.16.2.f XN Sanders faults (on train) (passenger trains) 4.12.2.g MR Sandite train (RHC) 4.26 OB/OE/OS/QA/QM/QN Sandite vehicle break down train failure or problem 4.12.4.b OM Schedule ADL not taken into consideration 4.16.15.f QA/QM Schedule error - WTT/LTP trains including simplifiers. 4.31.2.a QA Schedule error flow chart (planning) 4.31.3 OQ/QA/QM/QN Schedule error RT3973 requested by operator 4.31.2.f QA/QM Schedule error RT3973 timings NOT requested by operator 4.31.2.g FH/TA Schedule error STP/VAR (variation) service including simplifiers 4.31.2.b QM Schedule error VSTP - unvalidated timings used 4.31.2.c QN Schedule error VSTP - where train is using validated WTT/STP times 4.31.2.d QA/QM Schedule errors 4.31 FH/QA/QM/QN/TA Schedule not retimed for possession or NR/TOC agree not to retime 4.31.2.e QB Scrubbers faults (on train) (passenger trains) 4.12.2.g MR Sea defences 4.16.2.i IV Searching train. Police not security 4.28.2.ac VG Seat reservation problems 4.28.2.c TF Seating broken Technical faults above solebar (on train) (passenger) 4.12.2.d M8 Compiled by Chris Scharf DAG index April 2015 15 NR LNW PIC 085 53197 Subject Clause Specific Codes Security alert - flowchart 4.27.7 Security alert - joint responsibility 4.27.3 Security alert - Major stations (definition) (4.27.7.1) 4.27.6 Security alert (4.27) 4.28.2.ac Security alert adjacent to Network Rail infrastructure 4.27.1.b XI Security alert affecting a station where trains can pass 4.27.1.c VI Security alert affecting a station where trains can stop 4.27.1.d VI Security alert affecting operators who do not stop at station 4.27.1.e XI Security alert in fleet depot 4.27.1.g VI Security alert in freight depot, off Network 4.27.1.h MD Security alert non Network Rail, not passenger trains 4.27.1.i AZ Security alert on a train 4.27.1.j VI/RZ/FZ Security alert stations affecting mail, parcels, charters 4.27.1.f AZ Selective door operation (SDO) - No fault found (operator) 4.25.4 M7 Semaphore signalling, fog and falling snow regulations 4.37.4.p X1 Semaphore signals visibility due to weather (4.37.6.f) 4.37.4.aa X1 Senior conductor 7t TH Service recovery booked stock not available (reactionary) 7y YU Service recovery, tactical cancellation not caused by late running 7y YR Severe cold weather affecting infrastructure responsibility of NR 7x XT Severe flooding - Obstructions on line, including trees 4.37.4.j X2 Severe heat affecting infrastructure NR responsibility, not speeds 7x XH Severe weather passenger charter excludable 4.37.1 V*/X* Severe weather passenger depots 4.37.4.k VW Short-formed train (reactionary) 7y YQ Shunter - at station 4.28.2.m RD Sighting weather restrictions 4.37.6.b-d Signal box concentrator system (CON) 4.16.7 IK Signal box not open during booked hours 7o OL Signal box simplifier locally produced (4.23.3 / 4.31.3) 7o OQ Signal failure 7i IA Signal passed at danger (SPAD) infrastructure failure 4.20.3.r I*/J* Signal passed at danger (SPAD) signaller error 4.20.3.t OC Signal passed at danger (SPAD) Train operator cause 4.20.3.s AZ/FC/FZ/MY/RY/TG/TH Signal Post telephone (SPT) 4.16.7 IK Signal TFM module failure IDA22 IF Signaller accidentally put signal to danger 4.24.2.d OC Signaller ADL is NOT included in box instructions 4.16.15.e I*/J* Signaller can mitigate ADL in box instructions 4.16.15.c OC Signaller completion of forms RT3185/7 - trains overlooked 4.24.3 OC Signaller GSM-R registration failure entering wrong Rep No/berth 4.42.2.k OC Signaller put signal back to danger safety reason 4.24.2.e Signaller REC GSM-R initiated in error 4.41.1.i OC Signaller regulation 7o OB Signaller stops trains to recover item which is not obstruction 4.28.2.ag OC Signaller unable to mitigate ADL box instructions 4.16.15.d I*/J* Signaller wrong ETCS/ERTMS instructions 7o OC Signaller wrong routing (4.23.5) 7o OC Signalling and regulation of trains 4.23 OB/OD/Y*/OQ Signalling anomaly 4.24.2.f IA Signalling functional power supply failure 7i IE Signalling lineside cable fault 7i II Signals obscured due to vegetation 4.3.7.1.b JP Signals or signs obscured by snow 4.37.4.z XT Signs defective / blown down 4.32 IQ Signs obscured due to vegetation 4.3.7.1.b JP Signs or signals obscured by snow 4.37.4.z XT Simplifiers - Signaller / station (4.31.3) 4.23.3 OQ/QA/QM Simplifiers locally produced (NOT Ops/Train Planning) (4.23.3/4.31.3) 7o OQ Single worksite possessions 4.8.8 Slower vehicles - stock swap/change 7m MS SLW engineering work planned not timetabled out of ROR/EAS 7q QB SLW planned engineering work not timetabled within ROR/EAS 7p PF Compiled by Chris Scharf DAG index April 2015 16 NR LNW PIC 085 53197 Subject Clause Specific Codes SMART off set error 4.22 PT SMART site / system failure. 4.34.1 OP Snow - flow chart (weather) 4.37.5.d Snow / Frost - Points failure heaters not fitted 7j JT Snow / Frost defective point heaters Points failure 7i IP Snow affecting infrastructure, key route strategy in place. 4.37.4.n XT Snow affecting infrastructure, key route strategy NOT in place 4.37.4.m IW Snow obscuring signals or signs 4.37.4.z XT Snow plough break down train failure or problem 4.12.4.b OM Snow several operating restrictions 4.37.6 Snow, severe. Points failure. Heaters working as designed. 7x X9 Solid State Interlocking failure (SSI) 7i IF SPAD or station overshoot at ERHC published contamination site 4.3.7.2.b TG/FC Special event passengers joining / alighting / station overtime 4.28.2.j R7 Special stop orders (SSO) 7t TP Special stop orders (SSO) unauthorised. Waiting issue 4.28.2.x RJ Special stop orders (SSO) waiting for authorisation 4.28.2.x RL Special stop orders within contingency/agreed NR/TOC (reactionary) 7y YM Special train. Royal / military) 4.30 OZ Special working fog and falling snow regulations 4.37.4.p X1 Special working implemented for leaf fall track circuit operation 4.3.7.1.g QJ Speed reduction due to weather 4.37.6 Speed restrictions weather potential frozen brakes 4.37.6.a MW/VW Speedo train borne fault safety system within the cab (passenger) 4.12.2.b M0 (zero) Sports event passengers joining/alighting. Special event 4.28.2.j R7 SSI interlocking failure IDA22 IF SSI transmition system fault within Telecoms Network IDA22 IK Staff error (infrastructure) 4.16.2.o JL Staff error Network Rail (not signaller or control) 7o OK Staff injury 4.20.3.j FZ/FC/IZ/MD/OC/RZ/TG/TH/TK Staff shortage terminal / yard, off Network 7a AD Staffing problems at station. Missing or uncovered 4.28.2.o R3 Standby supply equipment failure - external power supply 4.16.5.b XK Standing water, TOC/FOC directive not allowed to pass. 4.37.4.v MW/VW Star model - diagram 3.1.3 Station - Mishap 7r RY Station buildings, weather affecting stopping trains 4.37.4.q VZ Station congestion / platform change / waiting Platform (reactionary) 7y YO Station customer information system failures 4.28.2.r RV Station delay / overtime passenger overcrowding (reactionary) 7y YX Station evacuated due to Fire Alarm 7r RH Station flooding, including drain, not weather or from Network Rail 7r RW Station incidents. Flow chart 4.28.6 Station late TRTS given by station staff 4.28.2.p R2 Station operating delays 4.28 Station operating delays use of codes 4.28.3 Station or SPAD overshoot at ERHC published contamination site 4.3.7.2.b FC/TG Station other 7r RZ Station overruns during autumn. Chart 2 4.3.6.2 Station overtime normally unstaffed 7r R6 Station overtime passengers joining / alighting. 4.28.2.i RB Station overtime short-formed train (reactionary) 7y YQ Station overtime Special event 4.28.2.j R7 Station overtime, unexplained 7z ZY Station passenger drop object whilst getting on/off train held by TOC 4.28.2.ae RP Station passenger dropped object causing obstruction not on/off train 4.28.2.af JX Station passenger failed between train and platform getting on/off train 4.28.2.ad RZ/RY Station power supply failure 4.28.2.s RZ Station power supply failure Affecting mail/parcels 4.28.2.u AZ Station power supply failure. External 4.28.2.t VZ Station signaller stops trains to recover item not an obstruction. 4.28.2.ag OC Station staff error - wrong anouncements,missdirection 7r R5 Station staff split responsibility - unable to cover all duties 7r R4 Compiled by Chris Scharf DAG index April 2015 17 NR LNW PIC 085 53197 Subject Clause Specific Codes Station staffing problems. Missing or uncovered 4.28.2.o R3 Station unstaffed - DOO train 7t T1 Station unstaffed - non DOO train 7t T2 Steam train locomotives (passenger trains) 4.12.2.n ME Stock change/swap 7m MS Stock used for additional / other service (passenger) 7t TD Stock, service recovery booked stock not available (reactionary) 7y YU Strathclyde Manning Agreement (SMA) (CSR) (off train) 4.16.8 I0 (zero) Stretcher defect PW/Hand points/from SB or GF IDA22 IB Striking overhead branches or vegetation not due to weather 4.3.7.1.b JP Structural problem with platforms impeding the safe passage of trains 4.16.2.j JD Structures problem on bridges, tunnels, viaducts and buildings 4.16.2.g JD Sub threshold delays (cumulative / succession) (4.33) 4.1.23 Subsidence 4.16.2.i IV Suicide, see fatalities 4.10 Suicide, threats of. Trespass 4.35 XA Suicides - including stuck by a train 4.10.2 XC/VC/AZ/FZ Sun - Visibility (flow chart) (4.37.4) 4.37.5.e OZ/IZ/XU/VZ/AX/VR/FZ/TG/M* Sun on right away (RA) / Close Door (CD) 4.28.2.aj XU Sun on right away (RA) / Close Door(CD)operator mitigation not made 4.28.2.ak R1 Sun on signal aspect (4.37.4.o) 4.37.5.e IZ/XU Sun on signaller panel 4.37.5.e OZ Sun on the cab windscreen (4.37.4.ab) 4.37.5.e M*/FG/FZ/TG//TW Sun on train despatch equipment (4.28.2.ajk) 4.37.5.e VZ/AZ/IZ/XU Sun shining onto cab where driver not taken preventative action 4.37.4.ab TG/FZ Sun shinning on signal aspect, driver unable to clearly see aspect 4.37.4.o XU Supplies, Loading including catering 7t T4 Surge, voltage external power supply 4.16.5.b XK Suspect package - Network Rail infrastructure 4.27.1.a XI Suspect package on train 4.27.1.j FZ/RZ/VI Swing bridge failure 4.16.2.h JD Swing bridge open for river of canal traffic 7x XQ Switch creep IDA22 IS Switches failed SO53 test IDA22 IR Symptom of prime cause delay 3.1.4 T piece missing (IBJ rail joint) IDA22 IC T2 / T12 possessions (4.16) 4.8.6 I5/I6 Tactical cancelation for service recovery not caused by late running 7y YR Tail cable fault IDA22 IC Tail cable fault (between Loc and equipment) IDA22 IB Tail lamp out or showing wrongly 4.24.2.k FM/TJ Tail light train borne fault safety system within the cab (passenger) 4.12.2.b M0 (zero) Take back, no substantive delay reason 7q QT TASS Balise activated train borne systems (passenger trains) 4.12.2.k NA TASS balise trackside failure 4.39.1.b IM TASS No fault found (4.25) 4.39.2 TASS No fault found (operator) 4.25.4 NA TASS on board system fails 4.39.1.a NA TCA train borne safety system faults (passenger trains) 4.12.2.f MT TDM failure 7i IF Technical faults above solebar (on train) (passenger trains) 4.12.2.d M8 Technical faults below solebar (on train) (passenger trains) 4.12.2.e MD Technical faults below solebar (on train) (passenger trains) 4.12.2.e MD Technical head train borne fault safety system within the cab 4.12.2.b M0 (zero) Telecom equipment failure, transmission sys & cable failure 4.16.7 IK Telecom equipment failures, legacy NRN/CSR/RETB link 7i I0 (zero) Telecom radio failures IVRS 4.16.9 J0 (zero) Telecommunication links with signalling equipment TDM/SSI/TD/BLO 4.16.6 IK Telecoms incoming supply FTN/GSM-R 4.16.5.b XK Telephones - Concentrator,SPT,LC,RETB,GF,Pts,line side 4.16.7 IK Temperature / wind blanket speed restrictions 4.37.4.f X4 Temporary speed restriction (TSR) condition of Earthworks 4.29.3.i/j PB/IV Temporary speed restriction (TSR) indicators defective / down 4.32 IQ

Compiled by Chris Scharf DAG index April 2015 18 NR LNW PIC 085 53197 Subject Clause Specific Codes Temporary speed restriction (TSR) work not completed 4.29.3.c JG Temporary speed restriction (TSR),outside Rules of route (ROR/EAS) 7j JA Temporary speed restriction condition of bridge (TSR COB) 4.29.3.g/h PB/JD Temporary speed restriction condition of track (TSR COT) 4.29.3.d/e JS/PB Temporary speed restrictions (including emergency) (TSR) 4.29 Terminal congestion, off Network 7a AE Terminal waiting traffic including documentation 7a AJ Terminal yard staff shortage, off Network 7a AD TFM module failure IDA22 IF The delay attribution board 1.5 The Special train. 4.30 OZ Theft - Cable 4.35.1.a XR Theft (station) 4.28.2.y VA Theft infrastructure (not cables) 4.35.1.b XB Theft infrastructure on non Network Rail infrastructure 4.35.1.d VB/AZ Theft unexplained train coming to halt 4.35.5 Third rail failure / defect 4.16.11 I1 Third rail obstruction - unknown reason 4.16.11 I3 Third rail power supply failure / reduction IDA22 I4 Third rail shoe beam faults (passenger trains) 4.12.2.a M1 Third rail switches,breakers,feeders,irregularities 4.16.11 I4 Third rail trips vegetation 4.16.11 JP Threat of trespass from station / footbridge 4.35.1.m XA Ticket irregularities 4.28.2.z VE TILT Balise activated train borne systems (passenger trains) 4.12.2.k NA Tilting trains 4.39.1 NA/IM Time loss, reasonable level of. Neutral zone autumn 4.3.4.2 Timetable and resource planning errors 4.31 QA/QM/FH/TA Toilet doors delays associated with faults on doors and associated 4.12.2.c M7 Toilets technical faults above solebar (on train) (passenger trains) 4.12.2.d M8 Token equipment failure 7i IL TOPS train list waiting or completion of list. 7a AC TPS cancellation 4.31.5/6 PD TPWS Driver adhering to company professional driving standards 4.43.1.b TW/TG TPWS fault protecting signal at red including lineside equipment 4.43.3 IJ TPWS intervention of failure 4.43 FC/TG/FG/TW/MT/IJ TPWS No fault found (operator) (4.43) 4.25.4 M* TPWS on track equipment failure 4.16.2.l IJ TPWS on track equipment incorrectly installed/positioned 4.43.1.d IJ TPWS on train safety system failure 4.43.1.c MT TPWS over speed or train stop intervention 4.43.1.a TG/FC TPWS train borne safety system faults (passenger trains) 4.12.2.f MT Track circuit failure (TCF) 7i IC Track defect - Not rail defects. Fish Plates, wet bed etc 7i IS Track defects 4.16.4 IR/IS/IT Track out of gauge IDA22 IS Track patrolling 4.8.13.i/j/l I6 Trackside signs including TSR/ESR board defective/down 4.32 IQ Traction motors technical faults below solebar (on train) (passenger) 4.12.2.e MD Traction power Supply failure, principal supply point (PSP) 4.16.5.b IH Traffic - waiting customer including documentation 7a AJ Train based equipment failed-multiple infrastructure based equipment 4.25.3.1 F*/N*/M*/T* Train based equipment list or responsibilities 4.25.4 Train based equipment two or more trains on track equipment faults 4.25.3.2 IN Train borne equipment no fault found (Operator) 4.25.2 F*/N*/M*/T* Train borne safety system faults (passenger trains) 4.12.2.f MT Train borne systems no fault found (4.25.4) (freight trains) 4.12.3.d M9 Train borne systems no fault found (4.25.4) (passenger trains) 4.12.2.m M9 Train crew - booked not available service recovery (reactionary) 7y YN Train crew - waiting 4.36 FE/TG/TH/TI/YJ/YN Train crew (booked) used for additional/other service 7t TC Train crew booking on duty 4.36.1/2 FE/TG/TH/TI Train crew on duty travelling passenger on a late running service 4.36.3.c YJ Compiled by Chris Scharf DAG index April 2015 19 NR LNW PIC 085 53197 Subject Clause Specific Codes Train crew physical needs break (PNB) - further delay 4.36.4 Train crew stepping up significant lateness 4.36.3.b YN Train crew working late inward services (both services same operator) 4.36.3.a YJ Train describer, panel, ARS, SSI failure 7i IF Train despatch equipment failure, Network Rail, not Telecoms 7j J2 Train diverted / rerouted at FOC request (freight) 7f FK Train held at FOC request (freight) 7f FJ Train manager (guard) 7t TH Train operating company directive 7t TR Train operator mishap 7t TY Train operators request cancelled / delayed - Passenger 7t TB Train plan 2.2 Train preparation - train list 7a AC Train schedule errors 4.31 QA/QM/FH/TA Train stop failure 7i IJ Train stop intervention or over speed TPWS 4.43.1.a TG/FC Train striking Birds - other (smaller birds) 7v V8 Train time reports 2.3 Trains incurring several small delays (4.23) 4.33 Trains striking overhanging branches / vegetation, not weather 4.3.7.1.b JP Treadle failure (level crossings) 7i ID Trees / vegetation overhanging, trains striking not weather 4.3.7.1.b JP Trees encroaching NR infrastructure not weather or vandalism. 7x XO Trees falling from outside railway boundaries not weather or vandalism 7x XO Trees on line (obstruction / safety) 4.24.2.g JX Trees on line (wind) 4.37.4.i XW Trespass including threats of suicide 4.35 XA Trespass on Network Rail exit from a train without permission 4.35.1.h VA Trespass on Network Rail from freight trains - ex Network Rail 4.35.1.k XA Trespass on Network Rail from freight trains - ex terminals 4.35.1.j AZ Trespass on Network Rail infrastructure NOT from a trains 4.35.1.g XA Trespass on non Network Rail infrastructure 4.35.1.d AZ/VB Trespass threat of, from station / footbridge 4.35.1.m XA Trespass unexplained train coming to halt 4.35.5 Trip AC/DC 4.38.2.b I2 Trip cock (Train stop failure) 7i IJ Trolley (catering) problems 4.28.2.d TK TRTS failure 7j J2 TRTS late train ready to start by station staff 4.28.2.p R2 TRUST : Train runnning system TOPS 2.1.2 TRUST berth off set errors 4.22 PT TRUST delay code 2.6.3 TRUST outages / failure 4.34 OP TSI created by Network Rail schedule error (VSTP) 7q QN Tunnels (structural problems) 4.16.2.g JD Twisted rail 7i IR Twisted sleeper / timber IDA22 IS Unattributed cancellations 7z ZW Unauthorised person GSM-R REC from cab,no operational event 4.41.1.h VA/RZ/FZ Unexplained believed to be down to freight operator 4.21 FO Unexplained delays (succession) (4.33) 4.1.23 Unexplained late start 7z ZX Unexplained loss in running 4.33 ZZ Unexplained station overtime 7z ZY Unexplained train coming to halt vandalism / theft / trespass 4.35.5 Unexplained, believed to be down to operator, passenger. 4.21 TO Uninterruptable power supply (UPS) 4.16.5.a IH Un-investigated delays 7o OU Unit used for additional / other service (passenger) 7t TD Unknown - Minutes delay not apparently due to Network Rail (4.33) 4.21 TO/FO Unknown - Trains incurring several small delays (4.23) 4.33.3 ZZ Unknown cause bumps 7i IT Unstaffed station - DOO train 7t T1 Compiled by Chris Scharf DAG index April 2015 20 NR LNW PIC 085 53197 Subject Clause Specific Codes Unstaffed station - non DOO train 7t T2 Unstaffed station overtime 7r R6 Updating TRUST incidents 2.6.18 Vagrants (station) 4.28.2.y VA Vandalism - Cable 4.35.1.a XR Vandalism / theft / trespass 4.35 Vandalism GSM-R cab based equipment 4.42.2.h VA / FZ Vandalism GSM-R infrastructure or signal centre based equipment 4.42.2.i XB Vandalism infrastructure (not cables) 4.35.1.b XB Vandalism OHLE 4.38.2.f XB Vandalism on non Network Rail infrastructure 4.35.1.d VB/AZ Vandalism unexplained train coming to halt 4.35.5 VCB Technical faults above solebar (on train) (passenger trains) 4.12.2.d M8 Vegetation not maintained. Obscured signs, signals or striking 4.3.7.1.b JP Vehicles landing on NR infrastructure not weather or vandalism 7x XO Viaducts (structural problems) 4.16.2.g JD Visibility - General (flow chart) (4.37.4) 4.37.5.f X1/XT/VR/FG/TW Visibility - Sun (flow chart) (4.37.4) 4.37.5.e OZ/IZ/XU/VZ/AX/VR/FZ/TG/M* Voltage surge, external power supply 4.16.5.b XK VSTP cross boundary delays 2.6.16 QN VSTP minor delays, less than 5 mins and not reactionary 4.31.4 PN VSTP schedule error on Network Rail TSI created schedule 7q QN Wagons on a freight train fault 4.12.3.c ML Waiting acceptance (possessions) 4.8.10 I7 Waiting acceptance to Network Yard / terminal - late running 4.44.2.c/d Y* Waiting acceptance yard/Siding, off Network Freight terminals/Yards 4.2.1 Waiting connections - Not authorised 4.28.2.h RI Waiting connections - TOC authorised but outside policy 4.28.2.g TM/RK Waiting connections - within policy (non FOC) 4.28.2.e YL Waiting connections - within policy (FOC) 4.28.2.f YL/OW Waiting customer traffic including documentation. 7a AJ Waiting platform / station congestion / platform change (reactionary) 7y YO Waiting to pass booked trains possessions 4.8.11 I6 Waiting to/from single line (reactionary) 7y YE Waiting train crew 4.36 FE/TG/TH/TI/YJ/YN Waiting train preparation or completion of TOPS list/RT3973 7a AC Warning board for TSR defective / down 4.32 IQ Water mains / Gas / Overhead power lines (national grid) 7x XM Water or Ice on running railhead (4.30) 4.3.7.3.c MP Water standing, TOC/FOC directive not allowed to pass. 4.37.4.v VW/MW Waterborne or road vehicles Bridge strike. 4.5 XP Watering train - at station 4.28.2.m RD Weather additional running brake tests 4.37.6.e VW/MW Weather adherence to company driving standards and polices 4.37.4.y VR Weather adherence to company driving standards and polices 4.37.4.ac FG Weather affecting most modes of transport (passenger trains) 4.12.4.a VW Weather asset overwhelmed 4.37.5.d XT Weather below line speed restrictions potential frozen brakes 4.37.6.a MW/VW Weather delays associated with the effect of weather on the train 4.12.2.j MW Weather economic mitigation 4.37.1 V*/X* Weather effects no reasonable or viable economic mitigation. 4.37.1 V*/X* Weather fleet restriction from snow / ice 4.37.6.f VW/MW Weather impact on non Network Rail passenger lines 4.37.4.w VZ Weather infrastructure failure. Equipment outside design 4.37.4.b X* Weather infrastructure failure. Equipment within design 4.37.4.a I*/J* Weather Network Rail speed restriction to protect infrastructure 4.37.6.g Weather non severe depots 4.37.4.c MU Weather non severe fleet problems 4.37.4.d MW Weather other forms of transport, effect on I*,J* and M* codes 4.37.2 I*/J*/M* Weather reduction in speed due to difficulty sighting signals 4.37.6.b TW/VR/FG Weather reduction in speed sighting of structures,stations,boards 4.37.6.c TW/VR/FG Weather reduction in speed sighting snow obscuring assets 4.37.6.d XW Weather semaphore signals visibility (4.37.6.f) 4.37.4.aa X1 Compiled by Chris Scharf DAG index April 2015 21 NR LNW PIC 085 53197 Subject Clause Specific Codes Weather several operating restrictions 4.37.6 Weather severe fleet problems 4.37.4.l VW Weather severe passenger charter excludable 4.37.1 V*/X* Weather severe snow. Points failure. Heaters working as designed. 7x X9 Weather snow obscuring signals or signs 4.37.4.z XT Weather station buildings affecting stopping trains 4.37.4.q VZ Weave engineering work planned not timetabled out of ROR/EAS 7q QB Weave planned engineering work not timetabled within ROR/EAS 7p PF Weed killer break down train failure or problem 4.12.4.b OM Wet bed (track defect) 7i IS Wheel scrubbers faults (on train) (passenger trains) 4.12.2.g MR WHEELCHEX - No fault found (NR) / /wrong detection. 4.25.4 IN WILD No fault found (NR) / wrong detection 4.25.4 IN WILD train borne safety system faults (passenger trains) 4.12.2.f MT Wind - flow chart (weather) 4.37.5.a Wind - obstructions on line, including trees 4.37.4.i XW Wind / temperature blanket speed restrictions per group standards 4.37.4.f X4 Wind screen wipers weather delays associated with the train 4.12.2.j MW Wind wires down / damage to OHLE 4.37.4.e XW Windows faults technical faults above solebar(on train)(not external) 4.12.2.d M8 Wires down / damage to OHLE wind 4.37.4.e XW Wires down and other OHLE problems 4.38 Wires down due to high winds 4.38.2.a XW Worksites (possessions) 4.8.7 Wrong announcements, station staff 7r R5 Wrong detection HABD PANCHEX WILD WHEELCHEX 4,25,4 IN Wrong routing - agreed diversionary route 4.23.4 OC Wrong routing - Driver not stopping / taking route 4.23.5 OC and TG/FP Wrong routing, signaller (4.23.5) 4.23.4 OC WSP : Brake and Brake system faults including wheel flats (on train) 4.12.2.h MN Yard congestion, off Network 7a AE Yard equipment breakdown / reduced capacity, off Network 7a AH Yard staff shortage, off Network 7a AD Yard waiting customer traffic including documentation 7a AJ Yards mishaps including terminals. Off Network 7a AZ Yellow plant (OTM) 4.9 MV/I7/I5

Compiled by Chris Scharf DAG index April 2015 22 NR LNW PIC 085 53197 TRUST codes where an incident may have more than one code to be considered for use. Occurrence A F I J MN O P Q R T V X Y Z DAG clause Animals FZ I8 M* V8 X8 4.4 Adhesion Autumn FT MP OE QH TT 4.3.7 AWS TPWS ATP IJ MT 4.25.4 Bridges / Structure JD XP 4.5, 4.16.2.g Cable II XR 4.16.5 Cancellations FL PG TB Connections OW R* TM Y* 4.28.2 CRT Heat JH X4 4.37.5.c Control directive FZ OD TB Earthslip IV X2 Electric Power AZ IE RZ VZ XK 4.16.5 / 4.28 Enquiry FU OI TU 4.2 ERTMS / ETCS FI IM J7 M0 OC TS 4.4 Fatality AZ FZ VC XC 4.10.2 Fire Infrastructure AK I9 M* OV VF XL 4.11.1 Fire Stn AK I9 OJ RH VF XB 4.11.1 Flooding AZ JK VZ X2 4.37.5.b GSM-R FC IN J0 M9 OH TG VA XB 4.41 / 4.42 HABD IN MT 4.25.4 / 4.20.3.c Injury to staff F* IZ M* OC RZ T* 4.20.3.j Item on track JX OC RB XW 4.28.2 Level Crossing ID XD 4.16.2 Lightning J6 X3 4.37.4 Mishap IZ OI RY TY No fault found J4 M9 4.24.2.m NRN I0 M0 4.16.8 / 4.25.4 OHLE / Pantograph I1 M1 4.16.11 / 4.12.2 OHLE ADD I2 M2 4.38.2.e OHLE item on I3 XW 4.38.2.c OHLE Power I4 XK 4.38.2.d OTM J8 MV 4.9 / 4.12.2.c Planning schedules FH Q* TA 4.31 Points Snow IP JT X9 4.37 Police VG XF 4.28..2.ac Radio on train J0 M0 4.16.8 Safety FZ J4 M9 TZ 4.24.2 Security AZ FZ M* RZ VI XI 4.27.7 Simplifier OQ Q* TA 4.23.3 Sun on equipment AZ FG IZ OZ R1 TG VZ XU 4.37.4/ 4.28.2 Tail lamp FM TJ 4.24.2.k TASS IM NA 4.25 TCF IC XN 4.16.2.f Telephone IK XD 4.20.3.n Track sign IQ XW 4.32 Trees JX XO 4.24.2 Trespass AZ VA XA 4.35 TRTS J2 R2 4.28.2.p TSR asset condition JS PB 4.29.3 TSR Planned JA PA 4.29 Unexplained FO TO ZZ 4.33 Vandal AZ VB XB 4.35 Weather bad FG IW MW VW XW 4.37 Weather sighting FG TW VR X1 4.37.6 Wrong routing FP OC TG 4.23

Compiled by Chris Scharf Code comparison April 2015 23 NR LNW PDQS 085 53197 DAG Glossary. ABS Air Brake System OTMR On train monitoring recorder ACI Automatic code insertion (ARS) PANCHEX A system for measuring train pantographs ADD Automatic drop device (pantograph) PCV Parcels carrying vehicle ADL Accepted design limitations PIBS Platform indicator beacon system ADRC Access dispute resolution committee PIS Passenger information system (CIS) ARS Automatic route setting PNB Personal/physical need break. ATP Automatic train protection PPM Public performance measure AWA Autumn working arrangements PRM Persons with reduced mobility AWS Automatic warning system PSB Power signal box BTP British Transport Police RCF Rolling contact fatigue (GCC) CaSL Cancellations and significant lateness RCM Remote condition monitoring CIS Customer information system (PIS) REC Railway emergency call COA Change of aspect (signals) RETB Radio electronic token block COT Condition of track RHC Railhead conditioning CRS Computer reservation system ROP Rules of the plan.Timetable planning rules CRT Critical rail temperature ROR Rules of the route - now known as EAS CSR Cab secure radio RRV Road Rail Vehicle DA Delay attribution SB Signal box DAB Delay attribution board SCC Signalling control centre DAG Delay attribution guide SDO Selective door operation. DMU Diesel multiple unit SDR Simplified direct reporting DOO Driver only operation SLW Single line working DSD Drivers Safety Device SMART Signal monitoring and reporting to TRUST DVD Drivers Vigilance Device SPT Signal post telephone DVT Driving van trailer STANME Station name used in TOPS EAS Engineering access statement (ROR) STANOX Station number used in TOPS EWAT Extreme weather action team SSI Solid state interlocking EBS Emergency bypass switch SSO Special stop order ECR Electrical control room STP Short term planning (schedule) EMU Electric multiple unit T&RS Traction and rolling stock ERHC Exceptional railhead conditions TAC Track access contract ERTMS European rail traffic management system TASS Tilt authorisation and speed supervision ESR Emergency speed restriction TCA Track Circuit Actuator ETCS European train control system TDA TRUST delay attribution FOC Freight operating company TDM Time division multiplex GCC Gauge corner cracking (RCF) TIN TRUST incident number GSM-R Global system mobile telecoms railways TIPLOC Train planning location GZAM Green zone access manager TIS Traction Interlock switch HABD Hot axle box detector TOC Train operating company HST High speed train TOPS Total operations processing system IBJ Insulated block joint TPS Train planning system IDA NR Internal delay attribution guidance TPWS Train protection warning system IECC Integrated electronic control centre TRTS Train ready to start IVRS Interactive voice radio system TRUST Train running system: TOPS LC Level crossing TSI Train service information LRA Low rail adhesion TSR Temporary speed restriction LTP Long term planning (WTT) TTP Timetable processor (ARS) LUL London underground VAR Variation schedule MPV Multi purpose vehicle VCB Vacuum Circuit Breaker NFF No fault found VSTP Very short term planning. NR Network Rail WHEELCHEX Wheel checking system NRN National radio retwork WILD Wheel impact load detector OCB Open / oil circuit breaker WON Weekly operating notice OHLE Overhead line equipment (25 KV AC) WSP Wheel slide protection OTM On track machine (Yellow plant) WTT Working timetable (LTP)

Compiled by Chris Scharf DAG index April 2015 24 NR LNW PIC 085 53197 Delay Attribution Board Floor 8 1 Eversholt Street London NW1 2DN

Briefing Document for the Delay Attribution Guide April 2015 Edition

Issued By: Delay Attribution Board Floor 8 1Eversholt Street London NW1 2DN Delay Attribution Board Floor 8 1 Eversholt Street London NW1 2DN

The purpose of the Delay Attribution Board is to manage and oversee the effectiveness and accuracy of the delay attribution process within the railway industry.

The Board receives Proposals for Amendment to the Delay Attribution Guide or the Performance Data Accuracy Code and has the responsibility for considering whether or not they should be amended. The Board also provides guidance to parties holding a Track Access Contract, on request, to assist in the resolution of disagreements concerning delay attribution.

Establishment and composition of the Board

The Delay Attribution Board consists of a Chairman, a Board Secretary, a Secretariat and 12 Members of whom one is appointed Deputy Chairman. The Members are appointed by the following Bands and Classes: • Six Members from Network Rail • One Member by each of the three Bands of the Franchised Passenger Class • One Member by each of the two Bands of the Non-Passenger Class principally freight train operating companies. • One Member by the Non-Franchised Passenger Class

Operation

The DAB website www.delayattributionboard.co.uk holds information on who sits on the Board; an array of documents that have been published by the Board over the last 11 years.

The Board is scheduled to meet every four weeks.

For the Board to conduct business and be quorate, a minimum of 7 members of which one member must either be the Chairman or the Deputy Chairman and 3 members from train operating companies and 3 members from Network Rail.

Who is the Delay Attribution Board?

Within the Board there is a mix of individuals from train operating companies and within Network Rail in order to make sure that the requirements for the Delay Attribution Board, which are set out in the Network Code are met. Delay Attribution Board Floor 8 1 Eversholt Street London NW1 2DN

Franchised Passenger Class Band 1 DAB representatives Abellio ScotRail Railway Ltd Veronica Bolton First Great Western Ltd West Coast Trains Ltd Northern Rail Ltd Franchised Passenger Class Band 2 Arriva Trains Wales Ltd Christopher W Johnson East Coast Main Line Company Ltd Stagecoach South Western Trains Ltd Abellio Greater Anglia London & South Eastern Railway Southern Railway Ltd XC Trains Ltd Franchised Passenger Class Band 3 East Midlands Trains Ltd Lee Robinson – Govia Thameslink Railway London Overground Rail Operations Ltd London & Birmingham Railway Ltd Govia Thameslink Railway Ltd C2C Rail Ltd The Chiltern Railway Company Ltd Merseyrail Electrics First/Keolis Transpennine Ltd Non-Franchised Passenger Class Eurostar Vacant Grand Central Railway Hull Trains Company Ltd Nexus North Yorkshire Moors Railway The West Coast Company

Non-Passenger Class companies Band 1 DB Schenker Rail (UK) Nigel Oatway - DB Schenker Freightliner Ltd (also Deputy Chairman of the DAB)

Non-Passenger Class companies Band 2 Delay Attribution Board Floor 8 1 Eversholt Street London NW1 2DN

COLAS Rail Ltd Neil Dodd Direct Rail Services GBRf Freightliner Heavy Haul Ltd

Network Rail Alex Kenney Andrew Rowe Peter Craig John Thomlinson Carew Satchwell TBC Non-Voting Members of Delay Attribution Want to know more? Board Chairman: Richard Morris Visit the DAB’s website. Secretary Mark Southon www.delayattributionboard.co.uk or email PA to Board Secretary - Ana-Maria Sanchez [email protected] or [email protected]

Delay Attribution Board Floor 8 1 Eversholt Street London NW1 2DN

Introduction

The aim of this document is to inform users of the main changes that have been incorporated into the April 2015 edition of the Delay Attribution Guide (DAG). Separate briefing documents accompany this briefing.

Rail industry parties submitted proposed changes to the October 2014 DAG and these were circulated for industry consultation during late 2014 and early 2015.

The Office of Rail Regulation approved proposals on:

• 4th December 2014 – Y code changes, • 11th February 2015, Removal of Section 4.1.19 • 26th February 2015 – M code changes.

These amendments take effect on the 1st April 2015. The changes were processed in accordance with the Network Code Condition B2.5 – B2.7 (inclusive).

April 2015’s Delay Attribution Guide sees the removal of 18 M/N delay codes and the removal of 4 reactionary codes as well as the introduction of 2 reactionary codes (Y code). Some M and Y codes have had their description and or use amended please note the separate briefing notes which provide further clarification and examples of use.

There are also a number of minor changes to improve clarification and referencing within the DAG.

Although, it is noted that formally the codes will become effective on the 1st April. Due to system change limitations, they will be live from Sunday 29th March. Briefing note – Mechanical – Fleet Engineer causes

Understanding attribution of Mechanical – Fleet Engineering causes Final – for onward briefing For the attention of all staff who are involved in the Train Delay Attribution Process

Delay Attribution Board Floor 8 1 Eversholt Street London NW1 2DN

Page 1 of 8

INTRODUCTION

Understanding the attribution of mechanical – fleet engineering causes, is critical for performance improvement purposes.

Summary of code changes

Amended codes, meaning and/or their use CODE CAUSE ABBREVIATION Note: MB Electric loco failure, defect, attention. ELEC LOCO Same use MC Diesel loco failure, defect, attention. DIESL LOCO Same use MD Technical failures below the solebar BELOW SB New use ML Wagons, coaches and parcel vehicle faults WAGONS Expanded use Brake and brake systems faults; including wheel flats MN BRAKES Expanded use where no other cause had been identified MP Rail and or wheel interface, adhesion problems ADHESION Same use MR Sanders and scrubber faults WHEELS New use Planned underpowered or shortformed service and MS ALLOC STCK Same use or vehicle, incl. exam set swaps MT Confirmed train borne safety system faults SS TB Expanded use MY Coupler and Coupler system faults COUPLER New use Confirmed Pantograph ADD, shoe beam or assoc. M1 PANTO/SHOE Expanded use system faults Incl. positive PANCHEX activations M7 Door and Door system faults DOORS Expanded use M8 Technical failures above the Solebar ABOVE SB New use M0 Confirmed Train cab based safety system fault CAB SYS Clarified use (ZERO) NA On-train TASS/TILT failure TASS/TILT Same use

Note that mishaps (old MY) must now be attributed to the appropriate M*

Codes MF & M2 remain completely unchanged.

For clarity, definition of SOLEBAR (below floor level) – one of the longitudinal beams running along either side of a railway vehicle on to which the bodywork is mounted.

briefing note - mechanical - fleet engineer causes april 2015 (3) Page 2 of 8

19 codes have been deleted. Note that the table below indicates where they are to map to in future.

Deleted codes & Mapping

Deleted code Abbreviation Mapped to code Abbreviation MA ELEC BRAKE MN BRAKES MG COACH BRAKE MN BRAKES MH COACH DOOR M7 DOORS MI COACH OTHR ML WAGONS MJ PARCEL VEH ML WAGONS MK DVT PCV MD BELOW SB MM EMU TRAC MD BELOW SB MO STOCK LATE MU DEPOT MQ ELEC OTHER MB ELEC LOCO MX DIESL BRKE MN BRAKES MZ TRS OTHER MD BELOW SB M3 DIESL OTH MC DIESL LOCO M4 EMU BRAKE MN BRAKES M5 EMU DOOR M7 DOORS M6 EMU OTHER MD BELOW SB NB TASS NFF NA TASS/TILT NC DEP FIRE MU DEPOT ND ETCS M0(zero) CAB SYS

Note: Where you would normally attribute to MZ, please now attribute to the most relevant delay cause. E.g. – security alert in depot – MU.

briefing note - mechanical - fleet engineer causes april 2015 (3) Page 3 of 8

This note aims to provide guidance on what M/N codes have been deleted, where these codes now map to, and any circumstances where the code would be used to record delay.

Current Circumstances Abbreviation Deleted code code (Mapping) MB Faults associated with ELEC LOCO MQ electric hauled trains MC Faults associated with DIESL LOCO M3 diesel hauled trains MD Other delays associated BELOW SB MK/MM/MZ/M6 with technical faults below the solebar

- Air systems - Traction motors - Engines - Gearbox - Drive train - Train electrics/batteries ME Delays associated with STEAM LOCO - Steam train locomotives MF (UNCHANGED) CHUNL LOCO - ML Delays associated with WAGONS MI/MJ coaching stock - Coaches - Parcel vehicles - Freight wagons

MN Delays associated with BRAKES MA/MG/MX/M4 brake and brake system faults, including wheel flats

- Poor Brakes - ABS - WSP MP Rail and or wheel ADHESION - interface, adhesion problems MR Delays associated with WHEELS - sanders and scrubber faults

- On board sanding equipment - Wheel scrubbers briefing note - mechanical - fleet engineer causes april 2015 (3) Page 4 of 8

Current Circumstances Abbreviation Deleted code code (Mapping) MS Planned underpowered ALLOC STCK - or shortformed service and or vehicle, incl. exam set swaps MT Delays associated with SS TB - train borne safety system faults

- AWS - TPWS - ATP - TCA - HABD - WILD MU Depot operating problem DEPOT MO/NC MV Delays associated with on ON-TRACK - track plant equipment - Yellow plant - Tampers

Engineers On-track machine failure or problems (except in possessions)

MW Delays associated with WEATHER - the effect of weather on the train MY Technical delays COUPLER - associated with coupler and coupling system faults, excluding track or driver based issues

- Coupler - Coupler buttons - Control systems

briefing note - mechanical - fleet engineer causes april 2015 (3) Page 5 of 8

Current Circumstances Abbreviation Deleted code code (Mapping) M0(ZERO) Delays associated with CAB SYS ND faults relating to train borne safety systems within the cab

- OTMR - DVD - DSD - GSM-R - NRN - RETB - ERTMS - Technical head or tail light failure - Horn - Speedo

M1 Delays associated with PANTO/SHOE - faults with Pantograph, 3rd rail shoe beam, ADD and PANCHEX activations

- 3rd Rail - Pantograph - ADD M2 UNCHANGED ADD - M7 Delays associated with DOORS MH/M5 faults with train doors and associated systems

- Crew doors - Passenger doors - Gangway doors - Toilet doors

briefing note - mechanical - fleet engineer causes april 2015 (3) Page 6 of 8

Current Circumstances Abbreviation Deleted code code (Mapping) M8 Other delays associated ABOVE SB - with technical faults above the solebar

- Air conditioning - Toilets - Cab heaters - Internal lighting - Window faults(excl. those broken by external causes) - Failed passenger facilities e.g. broken seating - VCB M9 Delays associated with NFF - train borne systems where no fault is found with track or train based equipment

- See section 4.25 NA Delays associated with TASS/TILT NB balise activated train borne systems

NB: Code M0(zero) may also be used for CSR related faults.

PLEASE MANUALLY UPDATE YOUR DAG WITH THE FOLLOWING CHANGES – These changes will be formally incorporated into the next DAG.

Amend the following M and N delay code references in the sections as listed below:- 4.4.3 Change M3 to MC and change MQ to MB

4.11.1(l (L)) Change MY to MD/M8

4.11.1(m) Change MY to MD/M8

4.11.1(k) Change NC to MU

4.11.1(m) Change MY to MB / MC / ML as appropriate

4.11.7 Change NC to MU

4.13.3 Change MZ to FZ/TZ briefing note - mechanical - fleet engineer causes april 2015 (3) Page 7 of 8

4.20.2 Remove MZ and Change MZ to M* (appropriate to cause)

4.20.3(c) Change MR to MT

4.20.3(j) Change MZ to MU

4.20.3(s) Change MZ / MY to M* (appropriate to cause)

4.27.1(h) Change MZ to M* (appropriate to cause)

4.27.7 Change MZ to M* (appropriate to cause)

4.40.1(a) Change ND to M0 (zero)

briefing note - mechanical - fleet engineer causes april 2015 (3) Page 8 of 8 Briefing note - Reactionary delay attribution

Understanding reactionary delay attribution For the attention of all staff who are involved in the Train Delay Attribution Process

Delay Attribution Board Floor 8 1 Eversholt Street London NW1 2DN

Page 1 of 13

INTRODUCTION ...... 3

Summary of code changes: ...... 3

LOST PATH - REGULATED FOR TRAIN RUNNING LESS LATE ...... 5

LOST PATH – REGULATED FOR ANOTHER LATER RUNNING TRAIN ...... 5

LOST PATH - FOLLOWING TRAIN RUNNING - LESS LATE ...... 5

LOST PATH - FOLLOWING ANOTHER LATER RUNNING TRAIN ...... 5

WAITING TO/FROM SINGLE LINE ...... 6

REGULATED IN ACCORDANCE WITH REGULATION POLICY ...... 6

LATE ARRIVAL OF BOOKED TRAIN-CREW ...... 8

WAITING PASSENGER CONNECTIONS WITHIN CONNECTIONS POLICY, CONTINGENCY PLAN OR OTHERWISE AGREED BY NR/TOC ...... 8

SPECIAL STOP ORDERS WITHIN THE CONTINGENCY PLAN OR AGREED BY NR/TOC ...... 9

SERVICE RECOVERY- BOOKED TRAIN CREW NOT AVAILABLE...... 9

WAITING PLATFORM/STATION CONGESTION /PLATFORM CHANGE ...... 10

DELAYS DUE TO DIVERSIONS FROM BOOKED ROUTE OR LINE ...... 11

PASSENGER OVER-CROWDING CAUSED BY A TRAIN BEING OF SHORT-FORMATION ...... 11

TACTICAL CANCELLATION FOR SERVICE RECOVERY NOT CAUSED BY LATE RUNNING...... 12

REACTIONARY DELAY TO A TRAIN THAT IS NOT LEAVING THE NETWORK, BY A TRAIN THAT IS LEAVING THE NETWORK...... 12

SERVICE RECOVERY - BOOKED ROLLING STOCK IS NOT AVAILABLE...... 12

PASSENGER OVER-CROWDING CAUSED BY A DELAY OR CANCELLATION OF ANOTHER TRAIN ...... 13

Page 2 of 13

Introduction

1.1 Understanding the attribution of reactionary delay is critical for performance improvement purposes. 1.2 Delays outside the guidance of the regulation policy or where excessive lateness is involved may be considered a new prime cause 1.3 The use of the word ‘Signaller’ should be considered as representing ARS/TRC etc 1.4 The use of the word ‘Unit’ should be considered to represent all forms of rolling stock 1.5 The use of “line blockage”, can represent any incident that prevents that passage of trains e.g. Unit failure, flood, Cable theft etc.

Summary of code changes:

CODE CAUSE ABBREVIATION

YA Lost path - regulated for train running less late REG-ONTIME YB Lost path – regulated for another later running train REG-LATE YC Lost path - following train running less late FOL-ONTIME YD Lost path – following another later running train FOL-LATE YE Waiting to/from single line TO S/LINE YG Regulated in accordance with Regulation Policy REG INSTRC YI Late arrival of booked inward stock INWD STOCK YJ Late arrival of booked Traincrew INWD CREW YL Waiting passenger connections within connections AUTHSD CON policy, contingency plan or otherwise agreed by NR/TOC YM Special stop orders within the contingency plan or AUTHSD SSO agreed by NR/TOC YN Service Recovery- booked train crew, not available FIND CREW YP Delays due to diversions from booked route or line DIVERSION YR Tactical cancellation for service recovery not caused SR CNCL by late running YU Service Recovery- booked rolling stock, not available UNIT SWAPS YT Reactionary delay to a train that is not leaving the NON NR INF network, by a train that is leaving the network

Codes YH and YK have been removed – Use YI Code YF has been removed – Use YE

Page 3 of 13

Codes YR and YT are new – Please familiarise yourselves with these codes – examples of when to use the codes are provided within this document.

Note:

There have been no changes to codes YO, YQ & YX.

PLEASE MANUALLY UPDATE YOUR DAG WITH THE FOLLOWING CHANGES – These changes will be formally incorporated into the next DAG.

Amend the following Y code references in the sections as listed below

4.13.2(b) Change YF to YE 4.15.2(b) Change YF to YE 4.15.2(d) Change Y* to YI/YJ

Page 4 of 13

This note aims to provide examples of when these reactionary codes should be applied.

YA Lost path - regulated for REG-ONTIME train running less late

Train A is regulated because of its own lateness, for Train B. The signaller has had to make a decision of preference between the two services and has done so to the less late train. The delay should be attributed to the largest incident on Train A.

Example: 1A23 is running 10 late and 2B10 is 2 late, both are going to arrive at a converging junction at the same time, the Signaller gives preference to Train 2B10 as it is less late.

1A23 YA 2B10, allocated to the largest incident on 1A23

YB Lost path – regulated for REG-LATE another later running train

Train A is the later train and is given preference over Train B. The signaller has had to make a decision of preference between the two services and has done so to the more late train. The delay should be attributed to the largest incident on Train A.

Example: 1A23 is running 10 late and 2B10 is 2 late, both are going to arrive at a converging junction at the same time, the Signaller gives preference to 1A23 as it is an Express.

2B10 YB 1A23, allocated to the largest incident on 1A23

YC Lost path - following train FOL-ONTIME running - less late

Train A is following Train B because Train A is later and has lost its path. In the delay section the Signaller can make no decision. The delay should be attributed to the largest incident on Train A.

Example: 1A23 is running 10 late and 2B10 is 2 late. 1A23 is an Express and catches up to 2B10 on a two track section and follows it until the next junction. The infrastructure precludes any Signaller intervention

1A23 YC 2B10, allocated to the largest incident on 1A23

YD Lost path - following FOL-LATE another later running train

Train A is following Train B because Train B is late and has lost its path. In the delay section the Signaller can make no decision. The delay should be attributed to the largest incident on Train B.

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Example: 1A23 is running 2 late and 2B10 is 10 late. 1A23 is an Express and catches up to 2B10 on a two track section and follows it until the next junction. The infrastructure precludes any Signaller intervention

1A23 code YD - 2B10, allocated to the largest incident on 2B10

YE Waiting to/from single TO S/LINE line

Train A is waiting for Train B to clear a single line section of track. The delay should be attributed to the largest incident on the later train at the point of conflict.

NOTE: This code should not be used where one train follows another train along a single line.

Example 1: 1A23 is running 10 late towards Penistone and 2B10 is 2 late running from Penistone. 1A23 is booked over the single line prior to 2B10; 1A23 must now wait at Barnsley for 2B10.

1A23 YE 2B10, allocated to the largest incident on 1A23

Example 2: 1A23 is running 2 late towards Penistone and 2B10 is 10 late running from Penistone. 1A23 is booked over the single line after 2B10; 1A23 must now wait at Barnsley for 2B10.

1A23 YE 2B10, allocated to the largest incident on 2B10

YG Regulated in accordance REG INSTRUC with regulation policy

Train A is running late, regulation policy /Train running Controller instruction specifies that Train A must be given priority over Train B. The delay is coded to the largest incident on Train A.

Example: 1A23 is running 20 late into Peterborough, 1B10 is held 10 minutes at Peterborough in line with the agreed regulation policy.

1B10 YG 1A23, allocated to the largest incident on 1A23

YI Late arrival of booked INWD STOCK inward stock

Train A arrives into its terminating location late, Train B, its next schedule working departs late due to the Unit not being available at its scheduled departure time. This code is also applicable where Unit’s on a service are booked to divide on route

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NOTE: • This code is applicable when both Unit and Crew are on the same inward and outward services. • The inward and outward services must be operated by the same Operator- DAG 4.17.2 • The late start must not exceed the lateness on arrival of the inward working, with any further regulation or new prime cause incidents attributed accordingly – DAG 4.17.3

Example 1: 1A23 is running 20 late into Euston; 1A24 departs 25 minutes, 20 minutes due to its late inward and 5 minutes due to being regulated for on time 1X26

1A24 YI 1A23 (20), 1A24 YA 1X26 (5), allocated to the largest incident on 1A23

Example 2: 1C23 is formed of two units, at Birmingham the front unit continues to Manchester and the rear unit forms 1H23, a service to Holyhead. 1C23 arrives into Birmingham 10 late, divides off the rear unit to form 1H23 which leaves 10 late. 1C23 departs 14 late, the cause of the additional 4 minutes has no known reason so is coded to the operator of the train concerned to explain.

1H23 YI 1C23 (10), allocated to the largest incident on 1C23

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YJ Late arrival of booked INWD CREW train-crew

Train A arrives into a location of crew relief late, Train B, its next working departs late due to a crew member not being available for their scheduled departure time.

NOTE: • The inward and outward services must be operated by the same Operator- DAG 4.17.2 • The late start must not exceed the lateness on arrival of the inward working, with any further regulation or new prime cause incidents attributed accordingly – DAG 4.17.3 • Is applicable if a train departs late due to traincrew taking their delayed PNB (Including appropriate allowances such as walking time and cab preparation) – DAG 4.36.4

Example: 1A23 arrives 20 late into Euston; 1A24 departs 20 minutes late awaiting the Driver from 1A23, after the Driver has their PNB.

1A24 YJ 1A23

YL Waiting passenger AUTHSD CON connections within connections policy, contingency plan or otherwise agreed by NR/TOC

Train A is running late, Train B is held at an ‘interchange’ location to connect with Train A to maintain a published/agreed connection. Also applicable where Train B is held longer than the published/agreed plan by agreement between Operator and Network Rail controls.

NOTE: • Where the Prime cause incident is FOC owned, 4.28.2.F applies, code OW/O##* • Connections outside the connectional policy and not agreed between NR and TOC TM/T##* to the operator of the train being held

Example 1: 1A23 is running 10 late; 2B10 is held at Lancaster for passengers to maintain their booked connection and is within the bounds of the connectional policy

2B10 YL 1A23, allocated to the largest incident on 1A23

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Example 2: 1A23 is running 120 late; 2B10 is the last train from Lancaster to Morecambe. It is agreed between the train operator and Network Rail controls that 2B10 will be held 25 minutes to create a passenger connection

2B10 YL 1A23, allocated to the largest incident on 1A23

YM Special stop orders within AUTHSD SSO the contingency plan or agreed by NR/TOC

Train A is running late, cancelled or diverted, Train B is instructed to make a Special Stop at a location it is not normally booked to call. The delay should be allocated to the incident that has prevented Train A from calling at its booked time.

Note: Special Stop Orders (SSOs) that are agreed between train Operators, but are not agreed with Network Rail or in line with the agreed industry contingency plans, should be allocated to the Operator of the train making the additional stop.

Example: 2A23 has no Driver so is cancelled at Newcastle, 1A25 is given SSOs for Morpeth and Chathill,

1A25 YM 2A23, allocated to the incident on 2A23 responsible for the cancellation

YN Service Recovery- Booked FIND CREW train crew not available.

Train A is late and the Operator confirms that the booked crew for the next working have not waited or crew have been stepped up to minimise delay. (DAG 4.36.3 b.) Train B departs less late than Train A had the booked crew been utilised. The delay should be allocated to the incident preventing the crew being at their next working at the booked time.

Example 1: 2A23 is running 45 late, so the crew from 2A25 are stepped up for a right time departure on 2A24 (the booked next work of 2A23’s crew), the crew for 2A23 are then stepped up into 2A26 (the booked next working of 2A25’s crew) which departs 10 late.

2A25 YN 2A23, allocated to the largest incident on 2A23

Example 2: 2A23 is cancelled on route due to a line blockage and prevented reaching its destination so is returned to its origin station. 2A24 is the next working of the crew and booked to originate from 2A23’s destination. 2A24 starts late from its origin due to a step up of crew.

2A24 YN 2A23, allocated to the incident on 2A23 responsible for the cancellation.

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YO Waiting platform/station PLATFORM congestion /platform change

Train A is booked to call at a platform/station. At Train A’s planned time of arrival, Train B is occupying the platform. Delays to Train A should be attributed to the incident causing Train B to be occupying the platform outside of its planned schedule.

Note: • Applicable where on time trains are diverted from their own booked platform but cause no delay to them. • Not applicable where a train is diverted exclusively to gain access to an un- booked platform and the delay is caused by the change in route. This should be considered a new prime delay and coded appropriately. Delays that occur during the diversion should be attributed appropriately as per DAG 2.7.6 sentence two. • Applicable where delays occur when a train is diverted awaiting specific station facilities outside of its booked platform but must await another service departing before gaining access.

Example1: 1A23 is 10 late and arrives into platform 1 at Peterborough late, 1A25 is held 5 mins awaiting 1A23 departing the platform

1A25 YO 1A23, allocated to the largest incident on 1A23

Example 2: 2B10 fails in platform 8 at Leeds so is cancelled, 1P10 is diverted to platform 10 but causes no delay, 1A23 is delayed awaiting platform 10

1A23 YO 1P10, allocated to the cancellation incident on 2B10

Example 3: The lifts on platform 1&2 at Preston are out of use, 1B23 is diverted into platform 3 to accommodate passenger needs. 1B23 must wait for 1P23 departing before accessing the platform

1B23 YO 1P23, allocated to the incident for the lift being out of use. This is regardless of 1P23’s lateness as the delay is caused by the requirement to change platforms and would not have occurred had 1B23 stayed in its booked platform.

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YP Delays due to diversions DIVERSION from booked route or line

Train A is booked and timed over a line of route, due to a blockage of the line; it is diverted onto another line of route. Delays to Train A or reaction to Train A should be attributed to the line blockage except where DAG 2.7.6 sentence 3 applies, any new prime cause incident that occurs whilst Train A is diverted.

Note: • If a train fails to call at a booked station due to being diverted the code YR should be used for the FTS/part cancellation if Service Recovery has been applied. • If a train is diverted purely for station purposes the guidance for YO is applicable.

Example 1: 1A23 is diverted from the fast line to the slow line, causing time loss due to requirement to cross the train over and the reduced relative line speeds between fast line and slow line.

1A23 YP 1A23, attributed to the incident causing the line blockage

Example 2: 2A23 is diverted onto the fast line when booked on the slow line, due to its presence on a line it is not booked 1A23 loses time following 2A23

1A23 YP 2A23, attributed to the incident causing the line blockage, regardless of how late 2A23 is, DAG 2.7.6

YQ Passenger over-crowding SHRT FRMD caused by a train being of short-formation

Train A is delayed and runs out of path/ is cancelled, Train B is the next train booked working of Train A, so a Unit is stepped up that has a lower carrying capacity than planned. Train B is delayed loading passengers in excess of the provided lower capacity unit.

Example: 2A23 is booked 12 carriages, but its booked inward 2A22 is running 60 minutes late. A 6 carriage unit is stepped up for a right time start on 2A23, on route the train loses time at stations, the cause is confirmed as loading passengers in excess of the provided capacity .

2A23 YQ 2A22, attributed to the largest incident on 2A22

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YR (NEW) Tactical cancellation for SR CNCL service recovery not caused by late running.

A line blockage occurs and Service Recovery is instigated either by Control intervention or application of pre-agreed contingency plans. Trains that have cancellation/failure to call events as a result of this incident, regardless of their prior lateness should be allocated to the blockage event

YT Reactionary delay to a NON NR INF train that is not leaving the network, by a train that is leaving the network.

Train A is waiting to depart the Network due an incident that has occurred Off Network. Train B is a train that is not booked to leave the Network and is delayed by Train A.

Note: • One incident must be created for each Operator waiting to get off the Network, • Train A is the last train in the queue waiting to get off Network and is always the train ahead of Train B

Example: Due to a point’s failure on Neville Hill TM depot, no trains are able to get onto the Depot, a queue of trains forms. 5A23 (EC), 5E45 (TPE) then 5F67 (NTN), 1B23 is booked on the mainline. 5F67 is the last train in the queue waiting to get Off Network. Each operator gets their own incident for delays to their class 5 service but as 5F67 is the last train in queue of trains waiting to get Off Network before 1B23, 1B23 is therefore reaction to 5F67

1B23 YT 5F67, attributable to 5F67’s Off Network incident

YU Service Recovery - UNIT SWAPS Booked rolling stock is not available.

Train A is late and the Operator steps up a unit for the next working. Train B departs less late than Train A had the booked unit been utilised. The delay should be allocated to the incident preventing the unit being on the next working at the booked time

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