[insert sponsor’s name] ccos vehicle change proposal · 2017-10-19 · [insert sponsor’s name]...

Name of Access Beneficiary Address 1 Address 2 Address 3 Postcode

Insert name of RfL(I) Network Performance and Strategy Manager Address 1 Address 2 Address 3 Postcode Our reference: [Insert date] Dear [name] [Insert Sponsor’s name] CCOS Vehicle Change proposal: [(Class)] [(Description of CCOS Vehicle Change)]

This CCOS Vehicle Change proposal is issued to RfL(I) in accordance with Condition F2.1(a) of the CCOS Network Code and constitutes a formal proposal for a CCOS Vehicle Change under that Condition. This CCOS Vehicle Change proposal is being copied to the Access Beneficiaries set out below which [insert Sponsor's name] considers may be affected by the implementation of the proposed CCOS Vehicle Change. [Insert Sponsor’s name] wishes to implement the CCOS Vehicle Change described above. This notice outlines the details of the proposed CCOS Vehicle Change as required under Condition F2.2. The proposed CCOS Vehicle Change seeks to [insert 2-3 lines maximum giving a brief outline of the scheme]. A detailed specification of the scheme is set out in Appendix A to this letter, including details of the parts of the CCOS and associated railway assets likely to be affected. The CCOS Vehicle Change is being proposed by [Insert Sponsor’s name] because [state summary of why the change is proposed] as detailed in Appendix A. In accordance with Condition F2.1 [Insert Sponsor’s name] hereby gives permission for RfL(I) to consult with the persons specified in Condition F2.1(a) (as specified in this letter and such other Access Beneficiaries as RfL(I) considers may be affected by the implementation of the proposed CCOS Vehicle Change). [Insert Sponsor’s name] requests that RfL(I) completes the consultation process no longer than 90 days from the date of RfL(I)'s notice under Condition F2.5.1(b) or an RfL(I)/Access Beneficiary notice under Condition F2.3.2. [Insert Sponsor’s name] requires RfL(I) to comply with Condition[s] F2 [and F3] to consult upon and respond to this CCOS CCOS VC – Standard Form (a) Initiation of CCOS Vehicle Change proposal to RfL(I)

Vehicle Change proposal as necessary and provide a response to [Insert Sponsor’s name]. Please let me know if you require any further details to enable RfL(I) to begin formal consultation of this proposal for CCOS Vehicle Change. Yours sincerely Sender’s name Title, [Access Beneficiary] Copied to: [distribution list of Access Beneficiaries which may be affected by the implementation of the proposed CCOS Vehicle Change, together with the ORR]

Appendix A [Appendix to be used for detailed scheme specification and Vehicle specification. Include, if necessary, more detail than provided in the main letter on reasons why the CCOS Vehicle Change is proposed and how it will alter the rolling stock.] Information should be broken up into headed sections and should include, but not be confined to, the following headings: Technical Acceptance [Details confirming that the train itself meets the necessary technical standards (Engineering Acceptance) and confirmation of the NRAB acceptance certificate, and that the interface between the train and other vehicles, infrastructure, people or railway systems is safe (Route Acceptance).] Reasons for proposed CCOS Vehicle Change [Include (if necessary) more detail than provided in the main letter on reasons why the CCOS Vehicle Change is proposed.] Specification of Vehicle [To include a detailed description of the CCOS Vehicle Change detailing the proposed physical changes to the rolling stock (including any Vehicles not already included in the Specified Equipment) and a plan showing the parts of the CCOS and associated railway assets likely to be affected, if applicable.] Details of where new rolling stock will operate [Including where it currently runs/where it will run and details of current speeds and weights followed by proposed speeds and weights.] Details of CCOS and associated works required to facilitate CCOS Vehicle Change [Include details of any CCOS Network Change or any related changes that are being undertaken to facilitate the CCOS Vehicle Change, if they are substantial and significant to understanding the scope of the proposed scheme.] [Variation to original notice] [To include all necessary technical details of the additional CCOS Vehicle Changes from the original notice.] Proposed timescales [Include proposed timetable for implementing the proposed CCOS Vehicle Change, including start and end dates.] Costs and compensation [To include Sponsor’s proposals (if any) for division of costs, including any proposals for calculation or payment of compensation to RfL(I) or any Access Party.] Additional terms and conditions [Include any additional terms and conditions to apply to the CCOS Vehicle Change.]

Proposed Variation Procedure [Include any proposed variation procedure.] Compatibility Review Forum [Specify whether the Sponsor intends to convene a Compatibility Review Forum] Relationship with other vehicle changes [Include details of whether: (1) a vehicle change which is the same as the proposed CCOS Vehicle Change has already been accepted, implemented and successfully tested on another railway network (such as the Network Rail network); or (2) it is being made at or around the same time as the same vehicle change is being made on another railway network (such as the Network Rail network) and, if accepted, the CCOS Vehicle Change will be accepted, implemented and tested on that other railway network prior to it being implemented and tested on Specified Equipment operating on the CCOS.] Any other material facts [Include any other additional material facts that cannot be encompassed by the above headings, to describe the effect intended or expected on the operation of the CCOS or on trains operated on the CCOS to enable RfL(I) and any person specified in Condition F2.1(a) to assess the likely effect of the proposed CCOS Vehicle Change on its business and its performance of any obligations or the exercise of any discretions which it has in relation to railway services.]


See distribution list Address 1 Address 2 Address 3 Postcode Our reference: [Insert date] Dear [name] [Insert Sponsor’s name] CCOS Vehicle Change proposal: [(Class)] [(Description of CCOS Vehicle Change)]

[Insert Sponsor’s name] has issued to RfL(I) a proposal for CCOS Vehicle Change in accordance with Condition F2.1(a) of the CCOS Network Code. This notice constitutes formal notification under Condition F2.1(b) that [Insert Sponsor name] wishes to implement a CCOS Vehicle Change. [Insert Sponsor’s name] has given RfL(I) permission to consult with you so as to properly inform affected industry parties of the proposed CCOS Vehicle Change and to enable you to assess the consequences of the proposed CCOS Vehicle Change, to the extent provided under Condition F2.5, subject to [Insert Sponsor’s name] reasonable confidentiality requirements. This notice is also being distributed to Transport for London and Rail for London Limited, as the organisations responsible for procuring certain railway services within London (including on the CCOS). Yours sincerely Sender’s name Title, [Access Beneficiary name] copied to: Rail for London (Infrastructure) Limited

CCOS VC Standard Form (b) - Sponsor’s CCOS Vehicle Change Proposal - Notification to Consultees

Distribution List Access Beneficiaries potentially affected by the CCOS Vehicle Change Rail for London Limited Office of Rail and Road Transport for London

See distribution list [Date]

Our Ref: [•]

Dear Sir/ Madam

CCOS Vehicle Change Notice [Insert Sponsor’s name] Proposed CCOS Vehicle Change: [(Class of Train)] [(Description of CCOS Vehicle Change)]

This CCOS Vehicle Change notice is issued in accordance with Condition F2.5.1(b) of the CCOS Network Code and constitutes a formal proposal for a CCOS Vehicle Change by RfL(I) on behalf of [Insert Sponsor’s name] under Condition F2. [Insert Sponsor’s name] wishes to implement the CCOS Vehicle Change described above and has, pursuant to Condition F2.1(c), given permission to RfL(I) to consult on its behalf with the parties shown on the attached distribution list. Conditions F2.5.1(b) and F2.5.1(c) enable all affected Access Beneficiaries to consider the CCOS Vehicle Change and bring to RfL(I)'s attention any matters that concern them regarding the proposed CCOS Vehicle Change. Access Beneficiaries may also assess the impact of the proposed CCOS Vehicle Change on their business and inform RfL(I) what the costs, direct losses and expenses (including loss of revenue) and benefits of implementing the CCOS Vehicle Change are likely to be (if any). This CCOS Vehicle Change notice outlines [Insert Sponsor’s name] proposal to [insert an outline of the CCOS Vehicle Change (and any associated Network Change requirements if relevant)]. A detailed specification of the changes to the class [insert class] operated by [Insert Sponsor’s name] is set out in Appendix A.

CCOS VC Standard Form (c) – CCOS Vehicle Change notice to consultees

[Insert Sponsor’s name] is proposing the CCOS Vehicle Change because [state reasons why the CCOS Vehicle Change is proposed] as detailed in Appendix A. RfL(I) has detailed in Appendix B, so far as practicable, its estimate of the likely impact of the CCOS Vehicle Change on the operation and performance of the CCOS and its own proposals in relation to various matters relating to the proposed CCOS Vehicle Change as required under F2.5.1(b). RfL(I) must respond to this proposed CCOS Vehicle Change by [insert date by when response is required] as required under F2.5.1(b)(i). RfL(I) is seeking comments from you and the persons listed in the attached distribution list to establish whether or not you are content for the CCOS Vehicle Change to be implemented. We invite you to consider the proposed CCOS Vehicle Change and forward your comments to us by [insert date between 7 and 10 days before the Relevant Response Date]. If a formal response is not received by this date, you will be deemed to have accepted the proposal (including any offer of compensation) and to have no issues to raise with regard to the proposed CCOS Vehicle Change. Please respond to this notice using the appropriate Standard Form (e), (f) or (g), each of which can be found on RfL(I)’s website. Access Beneficiaries who may be materially affected by the CCOS Vehicle Change should, if compensation is being claimed, provide evidence of the impact of the proposed CCOS Vehicle Change on their business and inform RfL(I) what the costs, direct losses (including loss of revenue), expenses (minus the benefits) of implementing the CCOS Vehicle Change are likely to be, in line with Conditions F3.2 and F3.3, other than any such costs, direct losses (including loss of revenue) and expenses which are attributable to [insert Sponsor name] improving its ability to compete with other operators of railway assets. Such response should be of sufficient detail to enable RfL(I) to provide a comprehensive response to [insert Sponsor name] on your behalf as required under Condition F3. Respondents should clearly indicate if they consider that all or part of their response is information falling within Condition A3.1.2 of the CCOS Network Code. Wherever practically possible, please send all responses electronically to [insert e-mail address of RfL(I) Network Performance and Strategy Manager]. Please also send a signed hard copy of your response to the address shown at the top of this letter. Please let me know if you require any further details to enable you to respond formally to this notice. If you feel that only [Insert Sponsor’s name] will be able to answer your queries, please contact: [Name of contact Access Beneficiary Address 1 Address 2

Town/City Postcode Tel E-mail] I would appreciate a copy of any correspondence entered into. I look forward to receiving your response to enable the progression of this proposal of CCOS Vehicle Change. Yours faithfully Sender’s name Network Performance and Strategy Manager Rail for London (Infrastructure) Limited

Appendix A [Appendix to be used for detailed scheme specification and Vehicle specification. Include, if necessary, more detail than provided in the main letter on reasons why the CCOS Vehicle Change is proposed and how it will alter the rolling stock.] [Information should be broken up into headed sections and should include, but not be confined to, the following headings:] The following information has been provided by [insert Sponsor’s name]: Technical Acceptance [Details confirming that the train itself meets the necessary technical standards (Engineering Acceptance) and confirmation of the NRAB acceptance certificate, and that the interface between the train and other vehicles, infrastructure, people or railway systems is safe (Route Acceptance).] Reasons for proposed CCOS Vehicle Change [Include (if necessary) more detail than provided in the main letter on reasons why the CCOS Vehicle Change is proposed.] Specification of Vehicle [To include a detailed description of the CCOS Vehicle Change detailing the proposed physical changes to the rolling stock and a plan showing the parts of the CCOS and associated railway assets likely to be affected, if applicable.] Details of where new rolling stock will operate [Including where it currently runs/where it will run and details of current speeds and weights followed by proposed speeds and weights.] Details of CCOS and associated works required to facilitate CCOS Vehicle Change [Include details of any CCOS Network Change or any related changes that are being undertaken to facilitate the CCOS Vehicle Change, if they are substantial and significant to understanding the scope of the proposed scheme.] Proposed timescales [Include proposed timetable for implementing the proposed CCOS Vehicle Change, including start and end dates.] Division of costs & compensation proposals [Extract wording from the notice supplied by the Sponsor to RfL(I) under Condition F2] Additional terms and conditions [Include any additional terms and conditions to apply to the CCOS Vehicle Change as specified in the Sponsor’s proposal notice to RfL(I)] Proposed Variation Procedure [Include any proposed variation procedure.]

Compatibility Review Forum [Specify whether the Sponsor intends to convene a Compatibility Review Forum.] Relationship with other vehicle changes [Include details of whether: (1) a vehicle change which is the same as the proposed CCOS Vehicle Change has already been accepted and successfully tested on another railway network (such as the Network Rail network); or (2) it is being made at or around the same time as the same vehicle change is being made on another railway network (such as the Network Rail network) and, if accepted, the CCOS Vehicle Change will be accepted, implemented and tested on that other railway network prior to it being successfully implemented and tested on Specified Equipment operating on the CCOS]

Appendix B The following are RfL(I)’s proposals in respect of the proposed CCOS Vehicle Change: RfL(I)’s Assessment of the impact of the proposed CCOS Vehicle Change [Include details of the likely impact proposed CCOS Vehicle Change will have on the operation and performance of the CCOS including the operation of trains on the CCOS (note: this is binding on RfL(I) unless stated to the contrary)] RfL(I)’s proposals to facilitate CCOS Vehicle Change [Include the following details: Arrangements and proposed terms for the CCOS Vehicle Change; arrangements for determining and paying compensation in respect of the CCOS Vehicle Change; and details of any timetable changes and/or changes to any Access Agreement] Proposed timescales [Include proposed timetable for implementing the proposed CCOS Vehicle Change, including start and end dates] RfL(I)’s proposals for the division of costs and compensation [Include division of costs for carrying out CCOS Vehicle Change and any additional terms and conditions] Additional Terms and Conditions [If RfL(I) has no additional/ varying proposals, the following wording can be used: “RfL(I) has no further proposals which vary from those outlined in Appendix A”. Consider use, if appropriate, of: “If, following confirmation from RfL(I) that this CCOS Vehicle Change has become an Established CCOS Vehicle Change (as defined in Part F of the CCOS Network Code), and the Sponsor wishes to make modifications to the terms or conditions (including as to the specification of the works to be done, their timing, the manner of their implementation, the costs to be incurred and their sharing, and the division of risk) on which the Established CCOS Vehicle Change is to be carried out the following variation procedure will be used: RfL(I) shall ensure the specific variation (or variations) is formally communicated to all parties to this notice (the original consultation notice) for consideration. The parties to the consultation shall consider the variation (or variations) in accordance with the procedures set out in Conditions F2 and F3 allowing for the changes in detail, that must follow as a result of the procedure applying only to the proposed variation. It shall not be necessary for RfL(I), on behalf of [insert Sponsor’s name], to re-issue the entire CCOS Vehicle Change notice for consultation.] Any other material facts [Include any other additional material facts that cannot be encompassed by the above headings, describe the effect intended or expected on the operation of the CCOS or on trains operated on the CCOS to enable RfL(I) and any person specified in Condition F2.1(a) to assess the likely effect of the proposed CCOS Vehicle

Change on its business and its performance of any obligations or the exercise of any discretions which it has in relation to railway services.]

[To be printed on RfL(I) headed notepaper]

[Contact Name Sponsoring Access Beneficiary Address 1 Address 2 Town/City Postcode] [Date]

Our Ref: [•]

Dear [Insert contact name] RfL(I) preliminary response to proposed CCOS Vehicle Change [(Class)] [(Description of CCOS Vehicle Change)] With reference to: (i) the notice of proposal for CCOS Vehicle Change sent by [Insert Sponsor’s

name] on [Insert date] to RfL(I); (ii) the CCOS Vehicle Change notice issued by RfL(I) on [Insert Sponsor’s name]

behalf in relation to the proposed CCOS Vehicle Change to the [Insert class and nature of CCOS Vehicle Change]; and

(iii) the subsequent request that RfL(I) provides a preliminary response under

Condition F2.6, this letter constitutes our preliminary response. [For responses under F2.6.1(a) insert a preliminary estimate of those costs, direct losses and expenses (including loss of revenue) referred to in Condition F3.2 which may be incurred by RfL(I). This shall be binding on RfL(I) unless indicated otherwise.] [For responses under Condition F2.6.1(b) insert a preliminary written response in respect of the proposed CCOS Vehicle Change. This shall be binding on RfL(I) unless indicated otherwise, and shall include reasons if negative]. Yours sincerely,

CCOS VC Standard Form (d) RfL(I) preliminary response to CCOS Vehicle Change

Sender’s name Network Performance and Strategy Manager Rail for London (Infrastructure) Limited


Insert name of RfL(I) Network Performance and Strategy Manager Address 1 Address 2 Address 3 Postcode RfL(I) reference: [•] Our reference: [Insert date] Dear [name] [Insert Access Beneficiary's name] Acceptance of Proposed CCOS Vehicle Change: [(Class)] [(Description of CCOS Vehicle Change)] With reference to the CCOS Vehicle Change notice issued by RfL(I) on behalf of [Insert Sponsor’s name] on [insert date] in relation to the proposed change to [insert description of CCOS Vehicle Change], this letter constitutes [Insert Access Beneficiary’s name] formal acceptance of this proposed CCOS Vehicle Change. [Insert responding Access Beneficiary name] requires that RfL(I) communicates the comments below in its own response to [Insert Sponsor’s name] under Condition F3. [Insert Access Beneficiary name] considers that in relation to the proposed CCOS Vehicle Change [Insert Access Beneficiary name] should be entitled to compensation for the consequences of the implementation of the CCOS Vehicle Change. [The following text may be used (if required) as an alternative to the response above: [Insert Access Beneficiary name] considers that the proposed CCOS Vehicle Change will have no material effect on the operation of our trains on the CCOS and the CCOS Vehicle Change may be implemented without the need for compensation to [Insert name of Access Beneficiary].]

CCOS VC Standard Form (e) Access Beneficiary's acceptance of proposed CCOS Vehicle Change

[Following wording to be used if first option above is used: To the extent that the information provided in the CCOS Vehicle Change notice has enabled us to assess the likely effect of the proposed CCOS Vehicle Change, a statement of the amount of compensation required (calculated in accordance with the requirements of Condition F3) and the means by which the compensation should be paid is shown in Appendix A to this letter. Also included are security and/or assurance of payment provisions which we wish [insert Sponsor name] to provide* [* delete this sentence if not applicable].] [Following wording to be used if appropriate] [Insert Access Beneficiary name] wishes RfL(I) to treat this response as information falling within Condition A3.1.2 of the CCOS Network Code. As such we will supply a version of this response, with information likely to materially compromise or otherwise prejudice our commercial interests redacted, for publication on the RfL(I) website under Condition A3.1.1.] Yours sincerely, Name Title & Company name


Appendix A [delete if not required] Note: Condition F3.2 states that the amount of compensation shall be an amount equal to the amount of the costs, direct losses and expenses (including loss of revenue) which can be reasonably be expected to be incurred by RfL(I) or other Access Beneficiaries as a consequence of the implementation of the proposed CCOS Vehicle Change other than such costs, losses or expenses which are attributable to the Sponsor improving its ability to compete with other operators of railway assets. Under Condition F3.3, in determining the amount of compensation, the following must be considered:

(a) the benefit (if any) to be obtained or likely in the future to be obtained by RfL(I) or any other operator of trains as a result of the proposed CCOS Vehicle Change; and

(b) the ability or likely future ability of RfL(I) or any other operator of trains to recoup any costs, losses and expenses from third parties including passengers and customers.

Having taken into account the above, [Insert Access Beneficiary’s name] claim for compensation arising from this proposed CCOS Vehicle Change is set out below:



Insert name of RfL(I) Network Performance and Strategy Manager Address 1 Address 2 Address 3 Postcode RfL(I) reference: [•] Our reference: [Insert date] Dear [name] [Insert Access Beneficiary name] rejection of proposed CCOS Vehicle Change: [(Class)] [(Description of CCOS Vehicle Change)] With reference to the CCOS Vehicle Change notice issued by RfL(I) on behalf of [Insert Sponsor’s name] on [insert date] in relation to the proposed change to [insert description of CCOS Vehicle Change], this letter constitutes [Insert Access Beneficiary’s name] formal rejection of this proposed CCOS Vehicle Change. [Insert responding Access Beneficiary name] requires that RfL(I) communicates the comments below in its own response to [Insert Sponsor’s name] under Condition F3. [Insert Access Beneficiary name] considers that the proposed CCOS Vehicle Change satisfies the condition[s] outlined in [delete those options not applicable and retain the applicable response(s)]

• Condition F3.1(a)(i) in that it would necessarily result in RfL(I) breaching [Insert Access Beneficiary’s name] Access Agreement. As such [Insert Access Beneficiary name] objects formally to the CCOS Vehicle Change being made;

• Condition F3.1(a)(ii) in that [Insert Sponsor’s name] has failed to comply with its obligations under Condition F2. As such [Insert Access Beneficiary name] objects formally to the CCOS Vehicle Change being made;

• Condition F3.1(a)(iii) in that, if implemented, the CCOS Vehicle Change would result in a material adverse effect on the operation of our trains on the CCOS which cannot adequately be compensated for under

CCOS VC Standard Form (f) – CCOS Vehicle Change rejection response from Access Beneficiaries

Condition F3. As such [Insert Access Beneficiary name] objects formally to the CCOS Vehicle Change being made.

Our reasons for the above response are as follows: [Insert reasons for the response] [Insert any additional comments relevant to the Sponsor taking this proposal forward e.g. probability of Access Beneficiary accepting the CCOS Vehicle Change if certain changes are made/ more information to assess CCOS Vehicle Change is provided etc. If an Access Beneficiary has, by way of completing this form, rejected the CCOS Vehicle Change but wishes to reserve the right to claim compensation under Part F of the CCOS Network Code for the CCOS Vehicle Change if it goes ahead, it should say so here.] [Following wording to be used if appropriate] [Insert Access Beneficiary name] wishes RfL(I) to treat this response as information falling within Condition A3.1.2 of the CCOS Network Code. As such we will supply a version of this response, with information likely to materially compromise or otherwise prejudice our commercial interests redacted, for publication on the RfL(I) website under Condition A3.1.1.] Yours sincerely, Name Title/ Company

CCOS VC Standard Form (f) – CCOS Vehicle Change rejection response from Access Beneficiaries

Name of consultee Address 1 Address 2 Address 3 Postcode

Insert name of RfL(I) Network Performance and Strategy Manager Address 1 Address 2 Address 3 Postcode RfL(I) reference: [•] Our reference: [Insert date] Dear [name] Comments on proposed CCOS Vehicle Change: [(Sponsor/Class)] [(Description of CCOS Vehicle Change)] With reference to the CCOS Vehicle Change notice issued by RfL(I) on behalf of [Insert Sponsor’s name] on [insert date] in relation to the proposed CCOS Vehicle Change to [insert description of CCOS Vehicle Change], [insert name of organisation] wishes to make the following comments: [Insert comments] [Following wording to be used if appropriate] [Insert consultee name] wishes RfL(I) to treat this response as information falling within Condition A3.1.2 of the CCOS Network Code. As such we will supply a version of this response, with information likely to materially compromise or otherwise prejudice our commercial interests redacted, for publication on the RfL(I) website under Condition A3.1.1.] Yours sincerely Name Title/ Company

CCOS VC Standard Form (g) – Non Access Party response to CCOS Vehicle Change


See distribution list [date] Our Ref: [ ] Dear Sir/ Madam CCOS Vehicle Change – Variation Notice Proposed Variation to CCOS Vehicle Change: [(Class of Train/Sponsor)] [(Description of CCOS Vehicle Change)]

With reference to the CCOS Vehicle Change notice issued by RfL(I) on behalf of [Insert Sponsor’s name] on [insert date] and the Establishment of proposed CCOS Vehicle Change notice issued on [insert date], this Variation Notice constitutes a formal notification of a variation to the above Established CCOS Vehicle Change. [Insert Sponsor’s name] wishes to consult relevant industry parties on this variation to the above CCOS Vehicle Change. Condition F2.5.1 (c) allows all affected Access Beneficiaries to consider this proposed variation and bring to RfL(I)'s attention any matters that concern them. Access Beneficiaries may also assess the impact of the proposed variation on their business and inform RfL(I) what the costs, direct losses, expenses (including loss of revenue) and benefits of implementing the variation are likely to be (if any). This CCOS Vehicle Change Variation Notice outlines [insert Sponsor’s name] proposal to [insert an outline of the original CCOS Vehicle Change and the proposed variation (and any associated CCOS Network Change requirements if relevant)]. A detailed specification of the changes to the class [insert class] operated by [Insert Sponsor’s name] is set out in Appendix A. [Insert Sponsor’s name] is proposing the variation because [state reasons why the variation is proposed]. RfL(I) has detailed, so far as practicable, its estimate of the likely impact of the variation on the operation and performance of the CCOS in Appendix B as required under Condition F2.5.1(b)(ii) and its own proposals in relation to various matters relating to the proposed CCOS Vehicle Change as required under Condition F2.5.1(b). RfL(I) must respond to this proposed variation by [insert date by when response is required] [(as required under Condition F2.5.1(b)) or (as specified in the original CCOS Vehicle Change notice) [delete as appropriate]]. RfL(I) is seeking comments from you and the persons listed in the attached distribution list to establish whether or not you are content for the variation to be implemented. We invite you to consider the proposed variation to the Established CCOS Vehicle Change and forward your comments to us by [insert date between 7 and 10 days before the Relevant Response Date]. If a formal response is not received by this date, you will be

CCOS VC Standard Form hCCOS VC SF (h) formal CCOS Vehicle Change variation notice

deemed to have accepted the proposal (including any offer of compensation) and to have no issues to raise with regard to the proposed variation. Please respond using the appropriate Standard Form (e), (f) or (g), each of which can be found on RfL(I)’s website. Access Beneficiaries who may be materially affected by the variation should, if compensation is being claimed, provide evidence of the impact of the proposed variation on their business and inform RfL(I) what the costs, direct losses (including loss of revenue), expenses (minus the benefits) of implementing the variation are likely to be, other than any such costs which are attributable to [insert Sponsor name] improving its ability to compete with other operators of railway assets, in line with Conditions F3.2 and F3.3. Such response should be of sufficient detail to enable RfL(I) to provide a comprehensive response to [insert Sponsor name] on your behalf. Respondents should clearly indicate if they consider that all or part of their response is information falling within Condition A3.1.2 of the CCOS Network Code. Wherever practically possible, please send all responses electronically to [insert e-mail address of RfL(I) Network Performance and Strategy Manager]. Please also send a signed hard copy of your response (excluding any appendices if these have already been emailed) to the address shown at the top of this letter. Please let me know if you require any further details to enable you to respond formally to this notice. If you feel that only [insert Sponsor’s name] will be able to answer your queries, please contact: [Name of contact Access Beneficiary Address 1 Address 2 Town/City Postcode Tel E-mail] I would appreciate a copy of any correspondence entered into. I look forward to receiving your response to enable the progression of this proposal to vary an Established CCOS Vehicle Change. Yours faithfully Sender’s name Network Performance and Strategy Manager Rail for London (Infrastructure) Limited

Distribution List Access Beneficiaries potentially affected by the Variation to the CCOS Vehicle Change Rail for London Limited Office of Rail and Road Transport for London

Appendix A [Appendix to be used for details of the variation itself, including relevant supporting details from the original scheme specification and Vehicle specification. Include, if necessary, more detail than provided in the main letter on reasons why the variation is proposed and how it will alter the rolling stock.] [Information should be broken up into headed sections and may include, but should not be confined to, the following headings:] The following information has been provided by [Insert Sponsor’s name]: Technical Acceptance [Details confirming that the train itself meets the necessary technical standards (Engineering Acceptance) and confirmation of the NRAB acceptance certificate, and that the interface between the train and other vehicles, infrastructure, people or railway systems is safe (Route Acceptance).] Reasons for proposed variation to the CCOS Vehicle Change [Include (if necessary) more detail than provided in the main letter on reasons why the variation to the CCOS Vehicle Change is proposed.] Specification of Vehicle [To include a detailed description of the variation to the CCOS Vehicle Change detailing the proposed physical changes to the rolling stock (including any Vehicles not already included in the Specified Equipment) and a plan showing the parts of the CCOS and associated railway assets likely to be affected, if applicable.] Details of where new rolling stock will operate [Including any variation to the information contained in the original notice as to where it currently runs/where it will run and details of current speeds and weights followed by proposed speeds and weights.] Details of CCOS and associated works required to facilitate the variation to the CCOS Vehicle Change [Include details of any CCOS Network Change or any related changes that are being undertaken to facilitate the variation to the CCOS Vehicle Change, if they are substantial and significant to understanding the scope of the overall scheme.] Proposed timescales [Include any variations to the proposed timetable for implementing the Established CCOS Vehicle Change, including start and end dates, which results from the proposed variation.] Compatibility Review Forum [Specify whether, as a consequence of the proposed variation, the Sponsor's intentions of convening a Compatibility Review Forum have changed.] Relationship with other vehicle changes [Include details confirming whether the Sponsor's proposals on vehicle change acceptance on another railway network have changed since the original proposal

was provided. This means either: (1) a vehicle change which is the same as the proposed varied CCOS Vehicle Change has already been accepted and successfully tested on another railway network (such as the Network Rail network); or (2) the CCOS Vehicle Change (as is being varied) is being made at or around the same time as the same vehicle change is being made on another railway network (such as the Network Rail network) and, if accepted, the CCOS Vehicle Change (as varied) will be accepted, implemented and tested on that other railway network prior to it being successfully implemented and tested on Specified Equipment operating on the CCOS.] Additional terms and conditions [Include any additional terms and conditions to apply to the variation to the CCOS Vehicle Change as specified in the Sponsor’s proposal notice to RfL(I).] Any other material facts [Include any other additional material facts that cannot be encompassed by the above headings, describe the effect intended or expected on the operation of the CCOS or on trains operated on the CCOS to enable RfL(I) and any person specified in Condition F2.1(a) to assess the likely effect of the proposed variation on its business and its performance of any obligations or the exercise of any discretions which it has in relation to railway services.]

Appendix B The following are RfL(I)’s proposals in respect of the proposed variation to the Established CCOS Vehicle Change: RfL(I)’s Assessment of the impact of the proposed variation [Include details of the likely impact proposed variation to the CCOS Vehicle Change will have on the operation and performance of the CCOS including the operation of trains on the CCOS (note: this is binding on RfL(I) unless stated to the contrary).] RfL(I)’s proposals to facilitate CCOS Vehicle Change [Include the following details: Arrangements and proposed terms for CCOS Vehicle Change; arrangements for determining and paying compensation in respect of the variation to the CCOS Vehicle Change; and details of any timetable changes and/or changes to any Access Agreement.] Proposed timescales [Include proposed timetable for implementing the proposed variation as part of the overall CCOS Vehicle Change, including start and end dates.] RfL(I)’s proposals for the division of costs and compensation [Include division of costs for carrying out the variation and any additional terms and conditions] Additional Terms and Conditions [If RfL(I) has no additional/ varying proposals, the following wording can be used: “RfL(I) has no further proposals which vary from those outlined in Appendix A”.] Description of differences in proposals [Explain any differences between Sponsor’s own proposals.]


Our Ref: [•] Dear Sir/ Madam

RfL(I) rejection of proposed CCOS Vehicle Change [(Access Beneficiary/ Class of Train)] [(Description of CCOS Vehicle Change)] With reference to the CCOS Vehicle Change notice issued by RfL(I) on behalf of [Insert sponsor’s name] on [insert date] in relation to the proposed change to [insert description of CCOS Vehicle Change], this letter constitutes RfL(I)'s formal response under Condition F3 of the CCOS Network Code. In light of RfL(I)’s own assessment of the proposed CCOS Vehicle Change and the feedback received from Access Beneficiaries consulted during the formal consultation, RfL(I) considers that the proposed CCOS Vehicle Change satisfies the condition[(s)] outlined in [delete those options not applicable and retain the applicable response(s)]

• Condition F3.1(a)(i) in that it would necessarily result in RfL(I) breaching an Access Agreement or access option with another Access Beneficiary. As such RfL(I) objects formally to the CCOS Vehicle Change being made;

• Condition F3.1(a)(ii) in that [insert Sponsor name] has failed in a material respect to comply with its obligations under Condition F2.2 (despite being given a reasonable opportunity to remedy that failure). As such RfL(I) objects formally to the CCOS Vehicle Change being made;

• Condition F3.1(a)(iii) in that, if implemented, it would result in a material adverse effect on [the maintenance or operation of the CCOS] [or] [the operation of one or more trains on the CCOS] [delete if not applicable] which cannot adequately be compensated for under Condition F3. As such RfL(I) objects formally to the CCOS Vehicle Change being made.

Our reasons for the above response are as follows:

[Contact name Sponsoring Access Beneficiary Address 1 Address 2 Town/City Postcode] [date]

CCOS VC Standard Form (i) RfL(I) rejection of CCOS Vehicle Change proposal

[Insert reasons for the response from both RfL(I) and other affected access beneficiaries as appropriate] [Insert any additional comments relevant to taking this proposal forward e.g. probability of RfL(I)/ other access beneficiaries accepting the CCOS Vehicle Change if certain changes are made etc. If RfL(I) has, by way of completing this form, rejected the CCOS Vehicle Change either on its own behalf and/or on behalf of an Access Beneficiary, and a rejecting party wishes to reserve the right to claim compensation for the CCOS Vehicle Change under Condition F3.1(c) or Condition F3.1(d) if it goes ahead, this should be made clear here.] Yours faithfully Sender’s name Network Performance and Strategy Manager Rail for London (Infrastructure) Limited Copied to: Distribution List


[Name of Sponsor contact Sponsor name Address 1 Address 2 Town/City Postcode] [date] Our Ref: [ ] Dear [insert name of Sponsoring Access Beneficiary's contact] RfL(I) acceptance of proposed CCOS Vehicle Change [(Access Beneficiary/ Class of Train)] [(Description of CCOS Vehicle Change)] With reference to the CCOS Vehicle Change notice issued by RfL(I) on behalf of [Insert Access Beneficiary's name] on [insert date] in relation to the proposed change to [insert description of CCOS Vehicle Change], this letter constitutes RfL(I)'s formal response under Condition F3 of the CCOS Network Code. RfL(I) considers that in relation to the proposed CCOS Vehicle Change [delete the option(s) not applicable]:

• RfL(I) should be entitled to compensation from [Insert Sponsor’s name] for the consequences of the implementation of the CCOS Vehicle Change; [and]

• having received notice from [insert name of any operator(s) of railway assets] that [it/they] considers [it/they] should be entitled to compensation from [Insert Sponsor’s name] for the consequences of the implementation of the CCOS Vehicle Change;

[The following text may be used (if required and appropriate) as an alternative to the response(s) above: • RfL(I) believes, and has not been advised to the contrary by any Access

Beneficiary, that the proposed CCOS Vehicle Change will have no material effect on the maintenance or operation of the CCOS or operation of trains on the CCOS and the CCOS Vehicle Change may be implemented without the need for compensation.

[Following wording to be used if one or both or the first two options above are used] To the extent that the information provided in the Sponsoring Access Beneficiary's proposal for CCOS Vehicle Change (issued under Condition F2) has enabled RfL(I) and other operators of railway assets consulted to assess the likely effect of the proposed CCOS Vehicle Change, [a statement/ statements] of the amount of compensation required (calculated in accordance with the requirements of Condition F3) and the means by which the compensation should be paid is shown in Appendix A to this letter.

CCOS VC Standard Form (j) – RfL(I) acceptance of CCOS Vehicle Change

Also included are security and/or assurance of payment provisions which [RfL(I) and/or Access Beneficiaries)] wish [Insert Sponsor’s name] to provide* [* delete if not applicable]. Yours sincerely Sender’s name Network Performance and Strategy Manager Rail for London (Infrastructure) Limited

Appendix A

CCOS VC Standard Form (j) – RfL(I) acceptance of CCOS Vehicle Change

[To be printed on RfL(I) headed note paper]

See distribution list

[date]

Our Ref: [●]

Dear Sir/ Madam Proposed Competent Authority CCOS Vehicle Change [(Class)] [(Description of CCOS Vehicle Change)]

This CCOS Vehicle Change notice is issued in accordance with Condition F4 (Changes imposed by Competent Authorities) of the CCOS Network Code and constitutes a formal proposal for a CCOS Vehicle Change under that Condition. [Insert Sponsor’s name] is required to implement the CCOS Vehicle Change described above as a result of [a Change of Law*] [a Direction of a Competent Authority (namely [insert name of CA])*] [* delete whichever is not applicable] [insert relevant Access Beneficiary name] and RfL(I) is obliged under Condition F4 to comply with Conditions F2.1, F2.2 and F2.5 (other than Conditions F2.2(a)(vi) and F2.5.1(b)(iii)(B) and F2.5.1(b)(iii)(D)) in respect of that CCOS Vehicle Change. This includes RfL(I) giving notice of the required CCOS Vehicle Change to the parties shown on the attached distribution list. This notice outlines [insert relevant Access Beneficiary's name] proposal to implement this Competent Authority CCOS Vehicle Change by [insert a brief outline of the scheme]. A detailed specification of the required changes are set out in Appendix A to this letter and include all required changes to the Specified Equipment. This CCOS Vehicle Change has been proposed [state reasons why the CCOS Vehicle Change is proposed (Inc. benefits etc.)]. As outlined in Condition F4.3 each Access Beneficiary or operator of railway assets shall bear its own costs and losses arising from the implementation of the CCOS Vehicle Change and the consequences thereof. RfL(I) is seeking comments from you and the persons listed in the attached distribution list on the proposed CCOS Vehicle Change. We invite you to consider the proposal and forward your comments to us by [insert date – between 7 and 10 days before the response date]. If a formal response is not received by this date, you will be deemed to have no comments to make on the CCOS Vehicle Change itself or on proposals for its implementation. CCOS VC Standard Form - (k) – Competent Authority CCOS Vehicle Change notice

Please respond with comments using Standard Form (l) which can be found on RfL(I)'s website. Wherever practically possible, please send all responses electronically to [insert e-mail address of RfL(I) Network Performance and Strategy Manager]. Please also send a signed hard copy of your response (excluding any appendices if these have already been e-mailed) to the address shown at the top of this letter. Respondents should clearly indicate if they consider that all or part of their response is information falling within Condition A3.1.2 of the CCOS Network Code. Please note that this consultation is conducted without prejudice to the responsibilities of each affected Access Beneficiary under Conditions G1.1 and G1.2 (other than Condition G1.2(e)(iv)) of the CCOS Network Code. Please let me know if you require any further details to enable you to respond formally to this notice. I look forward to receiving your response to enable the progression of this proposal. Yours faithfully [Sender’s name] Network Performance and Strategy Manager Rail for London (Infrastructure) Limited

CCOS VC Standard Form - (k) – Competent Authority CCOS Vehicle Change notice

Appendix A [Appendix to be used for detailed scheme specification and Vehicle specification. Include, if necessary, more detail than provided in the main letter on reasons why the CCOS Vehicle Change is proposed and how it will alter the rolling stock.] [Information should be broken up into headed sections and should include, but not be confined to, the following headings:] The following information has been provided by [insert Sponsor’s name]: Technical Acceptance [Details confirming that the train itself meets the necessary technical standards (Engineering Acceptance) and confirmation of the NRAB acceptance certificate, and that the interface between the train and other vehicles, infrastructure, people or railway systems is safe (Route Acceptance)] Reasons for proposed CCOS Vehicle Change [Include (if necessary) more detail than provided in the main letter on reasons why the CCOS Vehicle Change is proposed] Specification of Vehicle [To include a detailed description of the CCOS Vehicle Change detailing the proposed physical changes to the rolling stock and a plan showing the parts of the CCOS and associated railway assets likely to be affected, if applicable] Details of where new rolling stock will operate [Including where it currently runs/where it will run and details of current speeds and weights followed by proposed speeds and weights] Details of CCOS and associated works required to facilitate CCOS Vehicle Change [Include details of any CCOS Network Change or any related changes that are being undertaken to facilitate the CCOS Vehicle Change, if they are substantial and significant to understanding the scope of the proposed scheme] Proposed timescales [Include proposed timetable for implementing the proposed CCOS Vehicle Change, including start and end dates] Additional terms and conditions [Include any additional terms and conditions to apply to the CCOS Vehicle Change as specified in the Sponsor’s proposal notice to RfL(I)] Proposed Variation procedure [Include any proposed variation procedure] Compatibility Review Forum [Specify whether the Sponsor intends to convene a Compatibility Review Forum]


Relationship with other competent authority vehicle changes [Include details of whether: (1) a competent authority vehicle change which is the same as the proposed CCOS Vehicle Change has already been accepted and successfully tested on another railway network (such as the Network Rail network); or (2) it is being made at or around the same time as the same competent authority vehicle change is being made on another railway network (such as the Network Rail network) and, if accepted, the CCOS Vehicle Change will be accepted, implemented and tested on that other railway network prior to it being successfully implemented and tested on Specified Equipment operating on the CCOS] Any other material facts [Include any other additional material facts that cannot be encompassed by the above headings, describe the effect intended or expected on the operation of the CCOS or on trains operated on the CCOS to enable RfL(I) and any person specified in Condition F2.1(a) to assess the likely effect of the proposed CCOS Vehicle Change on its business and its performance of any obligations or the exercise of any discretions which it has in relation to railway services]


Appendix B The following are RfL(I)'s proposals in respect of the proposed Competent Authority CCOS Vehicle Change: RfL(I)'s Assessment of the impact of the proposed CCOS Vehicle Change [Include details of the likely impact the proposed CCOS Vehicle Change will have on the operation and performance of the CCOS including the operation of trains on the CCOS] RfL(I)'s proposals to facilitate CCOS Vehicle Change [Include the following details: Arrangements and proposed terms for including the operation of trains on the CCOS Vehicle Change; arrangements for determining and paying compensation in respect of the CCOS Vehicle Change; and details of any timetable changes and/or changes to any Access Agreement] Proposed timescales [Include proposed timetable for implementing the proposed CCOS Vehicle Change, including start and end dates] Additional Terms and Conditions [If RfL(I) has no additional/ varying proposals, the following wording can be used: “RfL(I) has no further proposals which vary from those outlined in Appendix A”. Consider use, if appropriate, of: “If, following confirmation from RfL(I) that this CCOS Vehicle Change has become an Established CCOS Vehicle Change (as defined in Part F of the CCOS Network Code), the Sponsor wishes to modify the terms or conditions (including as to the specification of the works to be done, their timing and the manner of their implementation) on which the Established CCOS Vehicle Change is to be carried out, the following variation procedure will be used: RfL(I) shall ensure the specific variation (or variations) is formally communicated to all parties to this notice (the original consultation notice) for consideration. The parties to the consultation shall consider the variation (or variations) in accordance with the procedures set out in Conditions F2 and F3 allowing for the changes in detail that must follow as a result of the procedure applying only to the proposed variation. It shall not be necessary for RfL(I), on behalf of [insert Sponsor’s name], to re-issue the entire CCOS Vehicle Change notice for consultation.] Any other material facts [Include any other additional material facts that cannot be encompassed by the above headings, describe the effect intended or expected on the operation of the CCOS or trains operated on the CCOS to enable RfL(I) and any person specified on Condition F2.1(a) to assess the likely effect of the proposed Competent Authority CCOS Vehicle Change on its business and its performance of any obligations or the exercise of any discretions which is has in relation to railway services]


Name of Access Beneficiary/ Consultee Address 1 Address 2 Address 3 Postcode

Insert name of RfL(I) Network Performance and Strategy Manager Address 1 Address 2 Address 3 Postcode RfL(I) reference: [ ] Our reference: [Insert date] Dear [Name] Comments on proposed F4 Competent Authority CCOS Vehicle Change [(Access Beneficiary/Class)] [(Description of CCOS Vehicle Change)] With reference to the Condition F4 Competent Authority CCOS Vehicle Change notice issued by RfL(I) on [insert date] in relation to the proposed scheme to [insert detail of required CCOS Vehicle Change], [insert name of Access Beneficiary/organisation] wishes to make the following comments: [Insert any comments here] [Following wording to be used if appropriate] [Insert Access Beneficiary/ consultee name] wishes RfL(I) to treat this response as information falling within Condition A3.1.2 of the CCOS Network Code. As such we will supply a version of this response, with information likely to materially compromise or otherwise prejudice our commercial interests redacted, for publication on the RfL(I) website under Condition A3.1.1.] Yours sincerely, Name Title/ Company

CCOS VC standard form (l) – Response to F4 Competent Authority CCOS Vehicle Change


Our Ref: [●] Dear Sir/ Madam Establishment of proposed [F2/F4] [delete as applicable] CCOS Vehicle Change: [(Access Beneficiary/Class)] [(Description of CCOS Vehicle Change)]

The consultation period for the CCOS Vehicle Change described above has now ended and I am pleased to advise that any objection, comment or query received has been satisfactorily resolved. As such the CCOS Vehicle Change has now become an Established CCOS Vehicle Change as defined in Part F of the CCOS Network Code. Should there be any proposed future variations to the Established CCOS Vehicle Change, I will contact you again. Thank you for your co-operation in processing this proposal as required under Part F of the CCOS Network Code. Yours faithfully Sender’s name Network Performance and Strategy Manager Rail for London (Infrastructure) Limited

See distribution list [date]

CCOS VC Standard Form (m) – Establishment of CCOS Vehicle Change


CCOS VC Standard Form (m) – Establishment of CCOS Vehicle Change

[insert sponsor’s name] ccos vehicle change proposal · 2017-10-19 · [insert sponsor’s name]...

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