Annex 4: Performance scheme
1 Background and purpose
This annex describes a benefit scheme in accordance with Section 6-6 of the Railway Regulations, cf. Section 12 of the Railway Regulations. The benefit scheme is based on the fact that there is a mutual obligation between Bane NOR SF (Bane NOR) as infrastructure manager on the railway network and the railway undertaking that conducts traffic activities (passenger transport and/or freight transport) on this infrastructure to deliver/use allocated route paths without causing delays and/or cancellations.
In the event of a breach of this obligation by one of the Contracting Parties caused by circumstances described in more detail in this annex, the Contracting Party causing the delay/cancellation shall pay compensation within the limits set out in this annex. In the event of delays/cancellations caused by the infrastructure manager, the compensation accrues to the railway undertaking(s) affected by the delay/cancellation. In the event of a delay/cancellation caused by a railway undertaking, the compensation accrues to the infrastructure manager.
2 Main content of the defined benefit scheme and definitions
The main content of the benefit scheme is that both delays and cancellations trigger a claim for compensation or tax liability for the railway undertakings, depending on who/what is the cause of the irregularities.
A delay under this defined benefit scheme is considered to exist when:
Delay and lack of punctuality are often perceived as synonymous terms, but are defined differently here:
- The trains are punctual when they arrive at the final station within a margin of 5:59 minutes for freight trains/long-distance trains and 3:59 minutes for other passenger trains in relation to the timetable. Punctuality is also measured at Oslo S, even if the train does not end there.
Punctuality measures the percentage of trains that are punctual. - Delays under the defined benefit scheme are measured in hours and minutes and according to the following principle:
- A delay exists when a passenger train or freight train passes specified measuring points (main signal or block signal) including the exit station, and arrives at the end station 4 minutes or more after the scheduled passage.
- Every time the train passes measuring points, the progress is measured against the timetable. If the delay has increased - «delta» - greater than 4 minutes beyond the last lowest delay, it is registered with a cause code in TIOS.
- Any run-in in relation to previous delays will not be credited.
- Delays that occur for a train after a partial cancellation will be calculated from zero and not from the last lowest delay.
A recommendation under this defined benefit scheme is considered to exist when:
- A route cannot be driven as planned, in whole or in part. This means that the scheme includes both full and partial settings.
- The benefit scheme covers cancellations of both passenger trains and freight trains.
Cancellations due to action cards are included in the benefit scheme. The compensation or tax liability is settled per calendar month based on the number of hours of delay and the number of cancellations; See point 5.
3 Root cause registration and division of responsibilities
Bane NOR operates the registration system "Traffic Information and Follow-up System" (TIOS). In this system, planned and actual train times are stored as well as the reason for delays/cancellations. In this system, the reason for delays/cancellations is broken down by reason categories/codes according to the following table:
3.1 Cause codes TIOS*
| Infrastructure | Railway undertakings | External factors |
|---|---|---|
| Code 1 – Course | Code 81 – Vehicle defects | Code 91 – Delay from abroad |
| Code 2 – Interlocking systems and signalling systems | Code 82 – Vehicles late from the stalling track | Code 92 – External conditions |
| Code 3 – Electric power/catenary | Code 83 – Lack of personnel | Code 93 – Accident, collision |
| Code 4 – Telecommunications, transmission, ERTMS and remote control | Code 84 – Station stay | Code 94 – Adverse Event |
| Code 5 – Planned maintenance infrastructure | Code 85 – Plan prerequisites not met | |
| Code 7 – Traffic management (Infrastructure's share) | Code 6 – Vehicles with faulty barriers to tracks/block section | |
| Code 7 – Traffic management (Railway undertaking's share) |
*The TIOS codes can be mapped against the division in Annex II of the Railway Regulations
The individual cause code essentially includes:
3.2 Detailed code list with explanations "Infrastructure"
| Code No. and Name | Explanations |
|---|---|
| Code 1 – Course | The line, rail breaks, sun fling, frost heave. Slow driving according to FIDO. Slippery rails, snow/ice/leaf fall, wood on the line, vegetation obstructs visibility. Smooth platform. Stormwater due to clogged culvert (not flooding). Planned work did not finish on time. Repair work after acute incidents (landslides, derailments, etc.) and slow driving after work. |
| Code 2 – Interlocking systems and signalling systems | "The traffic controller cannot set a signal". Faults on line block, bulb control, switching/remote control system, ATC ballise, road protection system, landslide warning system. Switches not in control. Accidental passing of a signal at a stop due to a technical error ("signal drop"). Groove field coating incl. salt coating. Faults in emergency power systems. |
| Code 3 – Electric power/catenary | Demolished/damaged catenary. Three over CLT systems. Faulty KL components. Fault in the converter station to KL. (de-energized/reduced capacity). Causing train no. is indicated in cases of damage to KL. |
| Code 4 – Telecommunications, Transmission Faults, ERTMS and Remote Control | Telecommunications and transmission faults leading to operational disruptions. Fault of the GSM-R system. Fault with speaker/guide. Faulty FIDO communication. ERTMS faults. |
| Code 5 – Planned maintenance infrastructure | Trains planned to be cancelled due to planned work on the section in question. Delays resulting from having to wait for alternative transport. Single-track operation due to planned work. Planned work is maintenance and construction work that is planned and announced to the railway undertakings in advance. |
3.3 Detailed code list with explanations «Railway undertaking»
| Code No. and Name | Explanations |
|---|---|
| Code 81 – Vehicle defects | Any vehicle malfunction that results in stopping or reduced driving speed. Load displacement on freight trains. Faults in the on-board equipment of FIDO FIDOBane NOR's electronic system for distribution of routes and other announcements or in the event of a fault in the on-board equipment of ERTMS. |
| Code 82 – Vehicles late from the stalling track | Used when departure is delayed because the train is not set up in time from the operating yard/locomotive shed/stabling track etc. |
| Code 83 – Lack of personnel | Delay caused by any form of staff shortage at the railway undertaking, including personnel changes along the way. |
| Code 84 – Station stay | Scheduled layover time at the station/stop is exceeded due to travellers/freight/changing or the need to use a wheelchair lift along the way. The railway company is asking for the train to be held back due to transfer passengers from other delayed trains. The delay is registered on arrival at the next station. |
| Code 85 – Plan prerequisites not met | The train runs at reduced capacity. The train does not maintain the set speed. Practice driving. Additional train stops ordered by the railway undertaking. Trains cancelled due to market reasons or lack of vehicles. The railway undertaking's staff are using the FIDO system incorrectly. |
3.4 Code List for Consequential Delays
| Code No. and Name | Explanations |
|---|---|
| Code 6 – Vehicles with faulty barriers to tracks/block section |
Used for delays that occur for one train when another, broken train/train with faults blocks the line. Also useful if single-track operation has to be implemented because of this. To be used even if a broken train/train with a fault in the vehicle has started running again. When the line is ready for traffic, but the traffic controller chooses to hold back an oncoming train while waiting for a crossing, this train must have Code 7 (Traffic management). Faulty trains/trains must have Code 81 (Defects in vehicles). |
| Code 7 – Traffic management | Overall assessments made by traffic controllers regarding the order/choice of crossing point, construction/system errors in the timetable. Reasons in relation to traffic management: Signal is set too late, train cannot be reported to a serviced station, traffic jams, congested track, fault in the assistance system FJS (Automat/ATL/TLS). Bane NOR's staff use the FIDO system incorrectly. |
3.5 Detailed code list with explanations "Extraneous conditions"
| Code number and name | Explanations |
|---|---|
| Code 91 – Delay from abroad | Train delayed/cancelled from Sweden. Trains have to be held back on the Norwegian side due to problems in Sweden. |
| Code 92 – External conditions | Storms, floods, landslides that make the line impassable, as well as in the event of a risk of this. Large snowfalls during the time when snow preparedness has not been established. |
| Code 93 – Accident, collision | In the event of a collision with a person, vehicle, animal or other object on the line or station. Operational accidents, derailments and switching accidents. |
| Code 94 – Adverse Event | Near-misses, e.g. illegal traffic on tracks, reports of animals along the line. Trains are waiting for police/ambulance/customs officers. Fire in connection with the line/station. Unintentional passage of signal in stop (Real passing). |
4 Reason categories/codes included in the defined benefit scheme
The defined benefit scheme is limited to the causal categories "Infrastructure" and "Railway undertakings". Code 85 under Railway undertakings is not included in the scheme for cancellations, but for delays. Cancellations related to code 5 are covered by a separate scheme that applies to alternative transport and are therefore not included in the defined benefit scheme.
Codes 6 and 7 represent the consequences of other primary causes related to the infrastructure manager and railway undertaking. Code 7 must not be used for cancellations and is therefore not included in the scheme. The category "External circumstances" in its entirety is not covered by the defined benefit scheme. All codes under this causal category therefore fall outside the scheme. The delimitation also means that delays that cross-border trains have accumulated outside Norway are excluded.
A train can get multiple cause codes on a single journey. Many people drive long distances, and it is not uncommon for them to encounter several incidents along the way, all of which may be partly to blame for the train being delayed. This benefit scheme is based on the assumption that a settlement is made of the accumulated delay that the train has accumulated on the route, divided into the cause codes assigned during the completion of the train journey.
The infrastructure manager shall also be considered responsible in the event that a delay/cancellation has been registered, but the cause code is missing (No cause code).
In the event of an allegation of incorrect registration, the procedure described in this Annex section 8 shall be followed.
5 Calculation methodology and rates
5.1 Delays
Based on the registration in TIOS, the number of hours of delay is calculated for the various cause codes and for all parties included in the scheme. The consequential delays under both codes 6 and 7 that are charged to the railway undertakings, regardless of which party has caused them, are paid by the infrastructure manager. As this will include conditions that also have their primary cause with a railway undertaking, they will have to pay a higher rate for the primary causes than the infrastructure manager.
The scheme must be easy to operationalise and program, while at the same time providing the right signal to the actors. The calculations are based on a linear model:
Current rates are announced in the Network Statement.
5.2 Settings
Based on the registration in TIOS, the number of settings is calculated for the various cause codes and for all parties included in the scheme. The consequential settings under code 6 that are charged to the railway undertakings, regardless of which party has caused them, are paid by the infrastructure manager. As this will include conditions that also have their primary cause with a railway undertaking, they will have to pay a higher rate for the primary causes than the infrastructure manager.
The scheme must be easy to operationalise and program, while at the same time providing the right signal to the actors. A similar linear model as for delays is used:
Current rates are announced in the Network Statement.
5.3 Maximum values
Reference is also made to Section 6-6 of the Railway Regulations. The regulations require that the scheme "shall not jeopardise the financial viability of a service". Economic viability is based on ability to pay/financial strength and not profitability. This consideration is taken into account here by relating maximum values to the invoiced track price (including capacity price and mark-up). The following maximum values have been set that apply to all parties:
Delays
- Train company/applicant: maximum 75% of the invoiced amount per month related to the smallest package.
- For infrastructure manager: maximum 75% of billed amount per month associated with the smallest package.
Settings
- For train company/applicant: maximum 75% of the invoiced amount per month related to the smallest package.
- For infrastructure manager: maximum 100% of the billed amount per month associated with the smallest package.
5.4 Bonus scheme for freight trains
A bonus scheme has been introduced for the freight industry to reward services that exceed previous periods with regard to delays in the train companies' codes. See the Network Statement for more information about the bonus scheme.
5.5 Annual price regulation
The above-mentioned krone rates are adjusted annually based on the same method as the infrastructure prices, cf. Part 5 of the Network Statement.
6 Authority to suspend the defined benefit scheme
The defined benefit scheme is only effective under normal operating conditions. In situations with significant operational deviations, the infrastructure manager may unilaterally suspend the defined benefit scheme. This will be particularly relevant (but not limited to) situations covered by cause code 92, but also in the case of, for example, terrorist threats/incidents, bomb threats, extensive vandalism or police measures to the extent that such circumstances are not captured by cause code 94.
7 Administration and case processing
7.1.
The infrastructure manager is obliged to register all delays/cancellations in TIOS, and shall, no later than three working days after the calendar day on which the operation of the train route began/was planned to begin, register the reason for the delay/cancellation with the reason category/code in the system. The infrastructure manager must quality check the data within the same deadline. Delays/cancellations without a cause code are counted under the infrastructure manager's financial responsibility in the same way as other delays/cancellations under the infrastructure manager's financial responsibility.
7.2.
In order for the railway undertakings to be able to control registered delays/cancellations on the companies' own trains, they must have access to TIOS. The infrastructure manager is obliged to provide such access to its own registered delays/cancellations through a customer portal.
7.3.
If the railway undertaking believes that incorrect cause registration has been carried out, the railway undertaking may require a new cause code. Such a request for reassessment must be submitted no later than six working days after the calendar day on which the train route was started/was planned to begin.
When making such a claim, a standardised form determined by the infrastructure manager shall be used, with information on the date, train route, seat and the cause code specified by the infrastructure manager. The request must also contain information about the cause code that the railway undertaking believes the infrastructure manager should have used, as well as the reasons for this. All fields must be filled in correctly for the request to be processed.
Such a request for reassessment of the non-conformity can only be made in writing on a pre-determined form and cannot be supplemented afterwards. Thus, it is not possible for the railway undertaking to submit a complaint "again", for example if a printing error has been made in the standard form.
7.4.
The infrastructure manager must process the request and no later than the ninth working day after the calendar day on which the train route was started/was planned to begin, provide feedback on whether the request has been accepted or rejected.
7.5.
If the railway undertaking has not requested a reassessment of the cause code, or such a request is submitted too late in relation to the deadline stipulated in section 7.3, the railway undertaking is not entitled to contest the obligation to pay a quality fee.
7.6.
If the railway undertaking does not wish to accept the infrastructure manager's decision pursuant to section 7.4, the dispute concerning the causal coding may, within three working days after this decision has been made, demand that the dispute be settled by a multi-party dispute committee. The table describes the process of determining the cause code and any subsequent processing by the Dispute Committee. Time spans are shown as accumulated days after the event.
| Phase | Time period (working days) | Description |
|---|---|---|
| 1 | 0 | The cause code is currently set by the traffic controller (train conductor or TXP) in Bane NOR. |
| 2 | 1-3 | Bane NOR reviews/quality assures the data basis and corrects errors and sets temporary codes. |
| 3 | 4-6 | The railway undertakings review the data basis and point out what they believe to be incorrect root cause registration through the customer portal. |
| 4 | 7–9 | Bane NOR processes the complaint, makes a preliminary decision on the cause code and sends a response through the customer portal. |
| 5 | 10 a.m. to 11 a.m. | If a dispute arises: Possibility for the railway undertakings to report the matter to the dispute committee: tvisteutvalg@banenor.no. |
| 6 | 12–21 | Processing by the Dispute Committee – maximum 10 working days |
| 7 | >21 |
|
| 8 | Pursuant to Section 11-2 (1) of the Railway Regulations, each of the parties may, regardless of this dispute settlement, appeal the matter to the Norwegian Railway Authority. |
7.7.
When the dispute is initiated, the railway undertaking shall submit a written request and, to the extent necessary, justify its position and submit documentation that is sent directly to the infrastructure manager. Within a short deadline, the Dispute Resolution Committee shall make a decision.
7.8.
The parties will cover their own costs related to the dispute resolution.
8 Settlement
At the end of each month, the infrastructure manager shall make a calculation of the result in terms of delay hours and cancellations for the month in question for the railway undertaking(s) that have been affected by delays/cancellations during the relevant period. In the calculation, total compensation claims in the period for matters caused by the infrastructure manager shall be set off against the tax liability for matters caused by the railway undertaking, so that the settlement shows the net amount receivable or payable for the railway undertaking for the monthly period.
In cases where the railway undertaking has requested a new cause code, and the infrastructure manager has not made a decision on the claim at the end of the month to which the claim applies, the original coding shall be used as a basis for settlement. If the request for a change of the cause code is granted, the matter must be corrected in the following monthly settlement.
The settlement statement must be submitted to the railway undertaking by the 15th of the month following the month to which the calculation applies. The railway undertaking shall receive or pay compensation on a monthly basis in accordance with the settlement statement from the infrastructure manager. The amount due is due for both the railway undertaking and the infrastructure manager for payment 30 days after receipt of the settlement statement.
9 Relationship to liability for damages under ASD
The defined benefit scheme does not restrict the contracting parties' right to claim compensation in accordance with the regulations in section 17 of the AST. However, in the event of a compensation assessment, a deduction must be made krone for krone from the compensation amount with the compensation that the person entitled to compensation may have received for the same circumstance on the basis of the defined benefit scheme.