Periodic review 2013 (PR13) success criteria

Here you can view the objectives and criteria which we will use to evaluate the success of the periodic review 2013 (PR13), the multi-billion pound plan for improving Britain's railways between 2014 and 2019. 

Progress on all metrics will be reported in our annual report.

Objective / outcome:

  1. PR13 protects the interests of customers and taxpayers
  2. PR13 facilitates a clear focus on what matters to passengers, freight customers and taxpayers
  3. PR13 encourages a more disaggregated approach
  4. PR13 facilitates alignment of incentives
  5. PR13 facilitates greater contestability

Objective / outcome: PR13 protects the interests of customers and taxpayers

Success criteria Metric How will it be measured? What will success be, and when will this be measured? What corporate objective / s does it support?
Network Rail delivers or exceeds all outputs safely and sustainably Public Performance Measure (PPM) Network Rail will report against all output measures in its Annual Return and Delivery Plan update. We will review these in our Annual Network Rail Monitor England & Wales
2014 / 2015 - 91.9%
2015 / 2016 - 92.1%
2016 / 2017 - 92.3%
2017 / 2018 - 92.4%
2018 / 2019 - 92.5%

Scotland
2014 / 2015 - 92%
2015 / 2016 - 92%
2016 / 2017 - 92%
2017 / 2018 - 92%
2018 / 2019 - 92.5%

Franchised TOCs
No TOC to exit CP5 below 90% (bar East Coast and Virgin; must not exit CP5 below 88% or CaSL above 4.4% and 2.9% respectively)
Rolling annual JPIP targets
First Great Western high speed service must not exit CP5 below 88%
Support a better service for customers - this metric will facilitate improved punctuality for passengers on all train services
Cancellations and Significant Lateness (CaSL) Network Rail will report against all output measures in its Annual Return and Delivery Plan update. We will review these in our Annual Network Rail Monitor England & Wales
2014 / 2015 - 2.2%
2015 / 2016 - 2.2%
2016 / 2017 - 2.2%
2017 / 2018 - 2.2%
2018 / 2019 - 2.2%

Franchised TOCs
East Coast and Virgin must not exit CP5 with CaSL above 4.4% and 2.9% respectively
Rolling annual JPIP targets
Support a better service for customers - this metric will facilitate a reduction in passengers' experiencing cancellations and significant lateness
Freight Delivery Metric (FDM) Network Rail will report against all output measures in its Annual Return and Delivery Plan update. We will review these in our Annual Network Rail Monitor National
2014 / 2015 - 92.5%
2015 / 2016 - 92.5%
2016 / 2017 - 92.5%
2017 / 2018 - 92.5%
2018 / 2019 - 92.5%
Support a better service for customers - this metric will facilitate improved punctuality for freight customers
Enhancement projects milestones and delivery of ring-fenced funds Network Rail will report against all output measures in its Annual Return and Delivery Plan update. We will review these in our Annual Network Rail Monitor Enhancement project outputs are detailed in Network Rail's CP5 enhancement delivery plan

Support a better service for customers - improved infrastructure is an enabler of passenger satisfaction and freight customer satisfaction

Secure value for money from the railway - efficient enhancement expenditure 

Development milestones for early stage projects Network Rail will report against all output measures in its Annual Return and Delivery Plan update. We will review these in our Annual Network Rail Monitor Enhancement project outputs are detailed in Network Rail's CP5 enhancement delivery plan. In this case delivery plan will set out when GRIP3 needs to be achieved.

Support a better service for customers - improved infrastructure is an enabler of passenger satisfaction

Secure value for money from the railway - efficient enhancement expenditure 

Health and safety Network Rail will report against all output measures in its Annual Return and Delivery Plan update. We will review these in our Annual Network Rail Monitor A plan to maximise the reduction in risk of accidents at level crossings, using a £99m ring-fenced fund

Drive for a safer railway - reducing risk at one of the biggest causes of accidents

Secure value for money from the railway - efficient ring-fenced fund expenditure

Network availability Network Rail will report against all output measures in its Annual Return and Delivery Plan update. We will review these in our Annual Network Rail Monitor National
PDI-P CP5 exit - 0.58
PDI-F CP5 exit - 0.73
Support a better service for customers - this metric will facilitate a reduction in passenger and freight customer disruption
Network capability Network Rail will report against all output measures in its Annual Return and Delivery Plan update. We will review these in our Annual Network Rail Monitor

National
Base requirement at start of CP5 in terms of track mileage and layout, linespeed, gauge, route availability and electrification type

Enhancement programme will increase capability

Support a better service for customers - this metric will maximise the capability of the network
Station Stewardship Measure (SSM) Network Rail will report against all output measures in its Annual Return and Delivery Plan update. We will review these in our Annual Network Rail Monitor

England and Wales
Outputs for category A-F stations are outlined in Table 3.6 of the final determination

Scotland
2014 / 2015 - 2.33
2015 / 2016 - 2.33
2016 / 2017 - 2.33
2017 / 2018 - 2.32
2018 / 2019 - 2.32 

Support a better service for customers - this metric will maintain station condition across Britain
Asset Management Excellence Model Network Rail will report against all output measures in its Annual Return and Delivery Plan update. We will review these in our Annual Network Rail Monitor January 2018
Asset Management Strategy and planning - 72%
Asset Management Decision-Making - 72%
Lifecycle Delivery Activities - 72%
Asset Knowledge Enablers - 72%
Organisation and People Enablers - 72%
Risk and Review - 72%

Drive for a safer railway - asset management excellence could lead to fewer asset failures and safer infrastructure

Support a better service for customers - asset management excellence could lead to better performance 

Asset data quality Network Rail will report against all output measures in its Annual Return and Delivery Plan update. We will review these in our Annual Network Rail Monitor April 2017
Track - A2
Signalling - A2
Telecomms - A2
Electrical power - A2
Buildings - A2
Structures - A2
Earthworks - A2
Support a better service for customers - good asset data quality is a prerequisite for excellent asset management, which could improve performance
ORBIS milestones Network Rail will report against all output measures in its Annual Return and Delivery Plan update. We will review these in our Annual Network Rail Monitor LADS roll-out
May 2014

SDS data spec
Jan 2015

SDS roll-out
Sept 2015

E&PDS data spec
Apr 2015

E&PDS roll-out
Dec 2015

Ellipse data spec
June 2014

Ellipse roll out
June 2016

GEOGIS decommissioned
Dec 2016

Handheld
Aug 2014
Support a better service for customers - ORBIS is a prerequisite for excellent asset management, which could improve performance
Network Rail delivers its obligations at the most efficient levels possible, comparable with the best railways in the world by the end of the control period Efficiency on support, operations, maintenance and renewals (SOM&R) Network Rail will report its annual financial performance in its Regulatory Accounts. We will review these in our Annual Efficiency and Finance Assessment

Total efficiency - 19% by 31 March 2019

Support efficiency - 25% by 31 March 2019

Operations efficiency - 17% by 31 March 2019

Maintenance efficiency - 16% by 31 March 2019

Renewals efficiency - 20% by 31 March 2019

Annual efficiency assumptions are in table 4.3 of the final determination 

Secure value for money from the railway - directly measures efficiency
System operator capability Network Rail will report against all enablers in its Annual Return and Delivery Plan update. We will review these in our Annual Network Rail Monitor Network Rail's capability as a system operator (i.e. in managing its capacity) improves, as indicated by the system operator enabler / improvement plans

Support a better service for customers - good system operation will improve performance

Secure value for money from the railway - good system operation will support efficiency

Promote an increasingly dynamic and sustainable sector - good system operation will aid optimal long term investment 

Our assessment of Network Rail's total financial performance We will assess Network Rail's total financial performance as part of our annual efficiency and finance assessment

Financial performance consistent with or better than our PR13 determination assumptions. We will report on progress annually 

Secure value for money from the railway - directly measures financial performance

Objective / outcome: PR13 facilitates a clear focus on what matters to passengers, freight customers and taxpayers

Success criteria Metric How will it be measured? What will success be, and when will this be measured? What corporate objective / s does it support?
PR13 improves value for money, including ring-fenced funds National Passenger Survey (NPS) Passenger Focus report NPS results biannually Sustained improvement in satisfaction with punctuality and reliability Support a better service for customers - the NPS directly measures passenger satisfaction
Operator and passenger involvement, e.g. in major enhancements Network Rail are proposing a methodology in their delivery plan This will be determined by Network Rail's proposed methodology, but it must include data to show an increase in passenger and operator involvement in all major projects Support a better service for customers - passengers will have a greater opportunity to directly influence enhancements
More and greater disaggregated data (including route level data and schedule 4 and 8 information) in public domain (e.g. ORR Data Portal, Network Rail website) Monitoring of our transparency programme Achieving the list of publication/data agreed by the board.
Increased numbers of registered users of ORR data
 
The extent to which we can persuade Network Rail to follow the steer given in our response to their transparency consultation to move more quickly
 
Measures of our effectiveness in educating the public more about how the railway works and how it is financed

Support a better service for customers - providing customers with the information they need to make decisions

Be a high-performing regulator - moving ORR towards transparency best practice

Objective / outcome: PR13 encourages a more disaggregated approach

Success criteria

Metric

How will it be measured?

What will success be, and when will this be measured?

What corporate objective / s does it support?

PR13 increases transparency and access to information, including more route level data

Transparent and accessible information for the public on major projects

Monitoring of Network Rail's website and publication of the Network Rail Monitor

Network Rail will provide a page on its website for every major project. Network Rail will confirm - in their final delivery plan - how they are engaging the public and operators in major projects. We will provide an update on major projects in the Network Rail Monitor

Support a better service for customers - providing accessible information on projects that will enhance the customer experience

Be a high-performing regulator - moving ORR towards transparency best practice

Stakeholder and passenger feedback, including expert panels, National Passenger Survey and passenger and consumer focus groups

Passenger Focus report NPS results biannually

Type of, and feedback from, stakeholder and passenger engagement

Increase in overall passenger satisfaction over CP5

Stakeholders and passengers report a greater engagement experience over the control period

Support a better service for customers - the NPS directly measures passenger satisfaction

PR13 facilitates greater localism

Local authority feedback and long term planning process (LTPP) engagement

LTPP minutes and stakeholder surveys

Sustained attendance and input from local authorities in LTPP deliverables. Positive feedback from local authorities in Network Rail's stakeholder engagement, including the Local Authority conference

Support a better service for customers - local authorities are important customers and this reflects their long term requirements

Promote an increasingly dynamic and sustainable sector - the LTPP is the primary tool for guiding long term investment

Network Rail's CP6 strategic business plan contains improved route-level data (including unit costs) and shows that decisions are being made at route-level with best practice shared across routes

Review of Network Rail's strategic business plan for CP6

We will publish our view on the quality of the business plan and will comment specifically on the quality of the route-level plans

Network Rail's route-level plans will be robust and show that decisions are being taken at a route-level, that good practice is shared across routes and that we are able to benchmark routes' costs against one another

Secure value for money from the railway - improved cost information will better inform our determination efficiency analysis

PR13 supports more disaggregation in the industry (for example through Network Rail devolution) to allow a more comparative approach to regulation and a better understanding of costs, revenues and subsidy across the industry

Decision making decentralised to the routes

Number and type of decisions made at route level

Review of Network Rail's strategic business plan for CP6

We will publish our view on the quality of the business plan and will comment specifically on the quality of the route-level plans

Network Rail has devolved more decisions to route level. Network Rail has devolved more types of decisions to route level, i.e. procurement, policy

Network Rail's route-level plans will be robust and show that decisions are being taken at a route-level that reflect the specific needs of that route

Promote an increasingly dynamic and commercially sustainable sector - devolving decision to route, promoting innovation

Support a better service for customers - decisions will be taken at a more local level with the specific needs of that region's customers in mind

Customer service maturity model

NR will specify a suite of measures in the final DP

NR will propose a trajectory for CP5 in the final DP and measure itself against that

Support a better service for customers - passenger and freight operators are customers of Network Rail

Objective / outcome: PR13 facilitates alignment of incentives

Success criteria

Metric

How will it be measured?

What will success be, and when will this be measured?

What corporate objective / s does it support?

PR13 improves the interfaces between the different players in the industry, for example, by facilitating alliances, efficiency benefit sharing at the route-level and bespoke arrangements where these improve whole industry working, will drive greater value for money for customers and taxpayers

Supply  chain engagement

Network Rail's Annual Customer Supplier Survey

Feedback from RIA

Positive feedback from Network Rail's supply chain, including RIA's Infrastructure Clients Interface Group

Promote an increasingly dynamic and commercially sustainable sector

Financial benefits from and scope of alliances and / or REBS participation

Network Rail's route-level total financial performance (in annual efficiency and finance assessment) and alliance payments in the year

Route-level financial performance consistent with or better than our PR13 determination assumptions. We will report on progress annually

Secure value for money from the railway - directly measures financial performance

Project cost outperformance as a result of aligned incentives with TOCs through gain share commercial agreements

Through the ECAM (Enhancements Cost Adjustment Mechanism) process

Aligned incentives  between Network Rail and operators to reduce project costs

Number of gain share agreements

Lower costs for enhancements projects

Secure value for money from the railway

Increase in cooperative working between Network Rail and train operators / suppliers through alliancing or REBS

Explanation from Network Rail on the number of material alliance agreements in place and qualitative statement on the  impact these have had on  cooperative working

Clear examples of cooperative working between train operators, Network Rail and/or suppliers

Secure value for money from the railway - from efficiency improvements

Support a better service for customers - operators and Network Rail working together to deliver for passengers

Objective / outcome: PR13 facilitates greater contestability

Success criteria

Metric

How will it be measured?

What will success be, and when will this be measured?

What corporate objective / s does it support?

PR13 ensures there is more effective use of market mechanisms in the industry will deliver further efficiencies

Framework for assessing open access applications is reviewed

ORR has carried out this review

Optimal framework identified and used by ORR

Secure value for money from the railway, for users and funders; Promote an increasingly dynamic and commercially sustainable sector.

Level of third party investment

Amount of third party investment via the investment framework

An increase in third party investment from CP4 to CP5

Promote an increasingly dynamic and commercially sustainable sector

Investment framework feedback

Stakeholder engagement, via one to ones, surveys and workshops

Feedback suggests there are fewer barriers to investment and the investment framework is more customer-focused

Promote an increasingly dynamic and commercially sustainable sector