Submission to Sale of Access Rights authority panel

Please complete the document in full providing as much relevant detailas possible as this will help the panel to assess your application quickly and accurately when it meets. If you would like any assistance with completing a submission paper or would appreciate an informal peer review before formal submitting it please contact the Regulatory Reform Team.

Date of SoAR Panel / Proposer’s Name
Proposal Name / [New Access Right/ Increased Access Rights/ Reduced Access rights] on [TOC/FOC Service] / Application Type / [Section 17/18/22/22a]
Type of Access Rights / [Firm/Contingent] [Quantum Only/ Specified] [Multiple different rights]
Network Rail lead Route / [Your Route or “Freight/Open Access/ Charter”] / Supplemental Agreement Number
Network Rail other Route, if applicable / [List all other affected routes including freight where applicable] / Previous related SoAR Papers / [If a submission or position paper has been submitted previously, state the date and any issues identified by the Panel.]
Relevant Route Strategies or Plans / [e.g. RUS’s]
End Date of Current Track Access Contract / [Current TAC Expiry Date] / Annual benefit/ loss to Network Rail / £xxxx.xx
[This is the same number as at the bottom of the table in Section 10]
End date of current franchise (if applicable) / [Current Franchise Expiry Date]
Start date of the rights you want to sell: / [PCD / SCD 20xx or other date?] / Lead RMD/FNPO consent for submission of paper (signature required): / [This must be completed before submission or it will be rejected by the Panel Secretary upon submission]
End date of the rights you want to sell: / [PCD / SCD 20xx or other date?]

Confirmation of Route Consultation

Please indicate the affected routes where applicable, confirming that the route has been consulted and is supportive of this proposal:

Route / [X] / Summary of view given
Anglia
LNE & EM
LNW
Scotland
South East
Wales
Wessex
Western
FNPO

(You may be required to provide evidence, such as emails, that confirm route contacts have been contacted and have responded accordingly).

Executive Summary

1) What is driving the proposed sale of access rights?
[Please set out why the proposed access rights should be sold. Is Network Rail funded for these changes? Are the changes requested a franchise commitment and are they consistent with the LTPP?]
2) Explain the proposed rights you wish to sell in addition to describing the associated train services.
[Briefly articulate what rights you are proposing to sell and provide a map in Annex 1]
3) Demonstrate the sale has been approved by TCRAG? If not, what date will TCRAG consider the proposal?
[State date of TCRAG and highlight any key risks considered and outcomes of TCRAG’s deliberations.]
4) What is the overall performance impact of the additional rights?
[The Panel will want to be satisfied that sufficient analysis has been done on the impact on performance of the proposals. In particular, any adverse impacts on the route/network/operator. Contact Route Performance Manager or Head of Performance for guidance]
5) What, if any, trade offs you have considered in proposing the sale (e.g. relationship between quantum sold and route performance)?
[e.g. Is there are trade-off between more frequent services versus a drop in performance?
6) Demonstrate how the proposed sale aligns with any existing or known future proposed use of the network, e.g. strategic or franchise plans. Is this proposal within the baseline plan for the Control Period or is it a new/additional item?
[Refer to one or more of – Route Utilisation Study/Route Study/Franchise Plans/Local Transport Plans. Are there any Track Access Options (e.g. Crossrail) for the capacity you wish to sell? Contact Principal Strategic Planners for guidance.]


Performance

Demonstrate that you have considered all the performance management aspects of the proposed sale.

Name of geographic area/route section against which performance is measured.
Current beneficiary TOC PPM MAA or FOC FDM MAA actual
Current year beneficiary TOC PPM MAA target or FOC FDM MAA target
Beneficiary TOC PPM MAA CP5 exit target or FOC FDM MAA CP5 exit target
Where other operators operate in the same geographic area/route section – TOC/FOC Current year PPM MAA/FDM MAA actuals and targets
7) What network train performance analysis/modelling work has been undertaken (e.g. ‘expert judgement’ or RailSys modelling) to assess the impact on performance?
[Describe the analysis undertaken and the impacts identified]
8) Where similar timetable change / access changes have been implemented previously, what was the impact on overall performance?

April 2015 – Version 3 1

Risks and Mitigations

Demonstrate that you have considered all the risks associated with the proposed sale. Complete a line of entry in the table below in respect of each risk identified and the mitigations implemented or to be implemented to remove/reduce that risk.

Risk / Mitigation Implemented / Mitigation to be Implemented
[Performance Risk]
[Safety Risk]
[Financial Risk]
[Reputational Risk]
[Other Risk]
[Other Risk]
9) Are you aware of any competing aspirations for this capacity and if so what are they?
[Are there any customers on your own route, or another route, looking to utilise the same capacity you are proposing to use during the timeframe concerned? Check rights do not conflict with the Strategic Capacity Statement. Contact Regulatory Reform team for guidance.]
10) Explain how access for services proposed in the sale and maintenance access can be safely achieved after the sale?
[Are there any known conflicting maintenance works planned and any analysis carried out regarding the potential risk to NR? If yes, how will they be accommodated? Contact Route Planning Manager or Infrastructure Maintenance Delivery Manager for guidance. ]
11) What impact, in terms of safety, capacity, operational performance and costs, do the additional rights have on stations and depots?
[Will any investigation into infrastructure be required to enable the access rights to be used? If yes, who will pay for it? Contact Station or Depot Portfolio Surveyor for guidance.]

April 2015 – Version 3 1

Finance

Demonstrate that you have considered all the financial aspects of the proposed sale.

Complete the table below and confirm what financial impact the proposed sale has on income and cost. Variable Access Charges should not be included in the table below. [If you need help calculating any of these, contact the Regulatory Reform Team for guidance]
Charge/Cost / Amount / Explanation of Calculation
Volume incentive, pa: / (£)xxxx.xx
Capacity charge, pa: / (£)xxxx.xx
Schedule 8 costs: / (£)xxxx.xx
Schedule 4 costs: / (£)xxxx.xx
Other (please specify): / (£)xxxx.xx
Annual benefit/loss to NR: / (£)[Total of above]

Commercial Justification

12) If the rights sought seek an overall term of more than five years or are more highly sought than quantum, calling pattern, specified equipment what commercial justification has the customer provided, e.g. underlying commercial contracts that are proposed, investment dependent on the new TAC, or risks of not having more specified rights through impacts on end customers/markets and asset/resource utilisation.

April 2015 – Version 3 1

Section 17/22a applications

13) If the application is concerning a section 17/22a, what elements of the application has Network Rail and the customer not agreed?
14) Use this box to detail any further information considered relevant to the submission.
Key Forward Milestones towards Contract Approval and Service Introduction (Examples – not exhaustive)
Confirm proposed sale and terms with customer (as authorised at SoAR) / [Date]
Annex 2 sign-off / [Date]
Conclude internal consultation / [Date]
Commence external consultation / [Date]
Resolve consultation response objections / [Date]
Tripartite pre-app meeting / [Date]
Informal submission / [Date]
ORR approval/invitation to formally submit application / [Date]
AUTHORISED BY SALE OF ACCESS RIGHTS PANEL
Proposed sale is APPROVED/REJECTED in accordance with minuted actions
Signed…………………………………………………………………………………….. (Chair of Panel) Date………………………………………………

April 2015 – Version 3 1

Annex 1 - Map showing current and proposed service

April 2015 – Version 3 1