International Experiences with Railway Contracts – Some Food for Thought... Didier Van De Velde (Inno-V & Delft University of Technology)

Frokostmøte UrbanetAnalyse Oslo, 9 September 2019

International experiences with railway contracts – Some food for thought... Didier van de Velde (inno-V & Delft University of Technology)

9 September 2019

Summarising the options chosen elsewhere Wide variety of competition regimes

Estimated situation (2018)

Open access with entry

Open access no entry

No open access

Competitive tendering

? ?

9 September 2019

Reform of RU and market opening Licences Safety Infrastructure Interoperability

Directive 91/440 • Independence of RU from States • Unbundling accounts RU/IM • Restoring sound finances • Market opening to international groupings and Directive 95/18 Directive 95/19 Directive 96/48 • Conditions for granting licences • User-charges and allocation of • Interoperability of trans- international freight to rail companies infrastructure capacities European HSR

Directive 2001/12 Directive 2001/13 Directive 2001/14 Directive 2001/16 • Conditions for granting licences • User-charges and allocation of • Interoperability of trans- • Reinforcement of account unbundling (State/IM, to rail companies infrastructure capacities European conventional rail IM/RU) st • Safety certificate • Unbundling accounts freight - passengers 1 RP • Greater opening to international freight

Directive 2004/51 Directive 2004/49 Directive 2004/50 • Definition of safety rules • Harmonization and clarification • Opening of national and international freight of interoperability requirements market nd Regulation 881/2004 2 RP • Setup ERA to co-ordinate safety and interoperability

Directive 2007/58 Directive 2007/59 • Certification of train drivers • Allocation of capacity and access charges • Opening of international passenger transport rd Regulation 1371/2007 3 RP • Rail passengers’ rights and obligations

Directive 2008/110 Directive 2008/57 • Update of safety rules • Update of interoperability Directive 2012/34 requirements • Recast 1st railway package

Directive 2016/2370 Directive 2016/798 Regulation 2016/796 • Opening national passenger transport • Update on safety rules • Setup EU Agency for Railway • Governance of railway infrastructure Directive 2016/797 • Update of interoperability Regulation 2016/2338 th requirements • Opening national passenger transport 4 RP

Directive 2016/2337 • Accounting rules

9 September 2019

European legislation railway sector The origins and the credo

§ The Swedish separation in 1988 • All infrastructures equal • Marginal social cost pricing § The original aims of the EU railway policy (1991) • Healthy financial management of RU • Improve competitiveness with international road freight § The current “EC-credo” (put simply) (≠ EC-requirements!) • Railways are inefficient and not sufficiently customer-focused • Competition will help to improve this situation • Open access and competitive tendering should [can?] be used • But then all operators should have equal access to infrastructure • The only [preferred?] way to realise this fairly, is full infrastructure separation

9 September 2019

European legislation railway sector The 4th Railway Package

§ Market Pillar § Open access international • Tendering of railway contracts • Already implemented (Public Service Obligations) § − But direct award still permitted (under Open access domestic conditions) • 1 Jan 2019 (timetable 2021 = Dec • Open access (OA) 2020) − But restriction such as not to endanger • But can be limited if substantial Public Service Obligations contacts influence on existing PSC • "Impartiality" of infrastructure manager § Public service contracts (PSC) • 3 Dec 2019: 1370/2007 fully § Technical Pillar applicable • Certification (ERA) valid throughout − PSC required, but Art. 5.6 allows Direct the EU Award (DA) of rail PSC (up to 2023- 2033!) • Interoperability of European Rail − Gradual opening of PSC (DA for max. 10 Traffic Management System (ERTMS) years PSC, or competitive tendering (CT) • Reducing large number of remaining national rules • 24 Dec 2023: Art. 5.6 disappears − Norm for PSC is CT − DA allowed under “performance exemption” § “The EC does not ask for more...”

9 September 2019

SBB DB JR (6) A wide variety of Infrastructuur Vervoer DB Fern open access arrangements DB Netz Big (15) open access SOB Big BLS Regionaal Small (100+) aanbesteed Which direction to take for the Small Small ”Privaten” future of rail governance? Japan Zwitserland Duitsland

Deep alliance TOC aanbesteed

Framework TOC alliance aanbesteed Network Rail TOC aanbesteed

TOC aanbesteed open access More vertical integration and competition by emulation? integration vertical More Groot-Brittannië

ProRail NS Infrabel NMBS onderhands gegund

B&M

Regionaal aanbesteed

België vanaf 2014 S0: Status Quo

More competition for the track or on the track?

9 September 2019

Numerous type of arrangements under “unbundling”

Version'7.1' Build' Own' Maintain' Operate' Version'7.0' Build' Own' Maintain' Operate' Build Own Maintain Operate Build Own Maintain Operate Drivers' Drivers'

Locomo7ve' Locomo7ve' Trac7on'stock' Locomo7ve' Locomo7ve' Trac7on'stock' Trac7on'service' Trac7on'service' building' ownership' availability' building' ownership' availability' Drivers Drivers Carriage' Carriage'stock' Transport' Carriage' Carriage'stock' Transport' Carriage'building' Carriage'service' Train'service' Carriage'building' Carriage'service' Train'service' ownership' availability' control' ownership' availability' control' Tractiebedrijf Locomotive Locomotive Traction stock Conductors'DB'Mobility'Logis7cs'AG' Conductors' Traction service Locomotive Locomotive Traction stock building ownership availability Traction service NS' bouwer Train'catering' Train'catering' - Materieelleasing-

building ownership availability ' bouwer -

Depot' Depot' Rolling'stock' Parking,' Transport' Depot' Depot' Rolling'stock' Parking,' Transport' Carriage bedrijf Carriage stock Transport building' ownership' maintenance' cleaning,'etc.' service' building' ownership' maintenance' cleaning,'etc.' service' Carriage building Carriage service Train service Carriage Carriage stock Transport NedTrain' ownership availability control Carriage building Carriage service Train service Sales,' RealH7me' Sales,'informa7on' RealH7me' informa7on'and' ownership availability control Informa7on' and'support' Informa7on' support' Vervoerder Mateireel Holding'model Sta7on' Sta7on'service' Sta7on' Sta7on'service' Sta7on'retail' Sta7on'retail'

maintenance' (for'consumer)' Ver7cal'separa7on' maintenance' (for'consumer)' Materieel Conductors Example:'DB'(Germany)' Conductors spoorweg Sta7on' Sta7on' Sta7on' Sta7on'service' Sta7on' Sta7on' Sta7on' Sta7on'service' building' ownership' availability' (for'RU)' building' ownership' availability' (for'RU)' Example:'NS'(The'Netherlands)'

Track' Infrastructure' Maintenance'Track' Infrastructure' Energy' Traﬃc'control' Energy' Traﬃc'control' Catering- maintenance' DB'Netze' service'(path)' companies'maintenance' service'(path)' Train catering Train catering ProRail' bedrijf Track' Track' Track'ownership' Track'availability' Track'service' Track'ownership' Track'availability' Track'service' building' building'

Track'equipment' Track'equipment' Track'equipment' Track'equipment' Depot DepotMaterieelonderhoudsRolling stock - Parking,Neven - Transport building' ownership' building' ownership'

Depot Depot Rolling stock Parking, Transport gesplitste building ownership maintenance cleaning, etc. service

spoorweg diensten building ownership maintenance cleaning, etc. service bedrijf

Build Own Maintain Operate Verticaal geïntegreerde spoorwegonderneming Version'7.0' Build' Own' Maintain' Operate' Sales, information Real-time and support Information Sales, information Real-time Drivers SNCF Mobilités Drivers' and support (SNCF Voyageurs)

Information bouwer - bouwer

Locomotive Locomotive Traction stock volledig Traction service Locomo7ve' Locomo7ve' Trac7on'stock' - Trac7on'service' building ownership availability building' ownership' availability' Station Station service StationWinkelbedrijven retail Carriage Carriage stock Transport maintenance (for consumer) Station Station service Carriage building Carriage service Train service Carriage' Carriage'stock' Transport' Station retail ownership availability control Carriage'building' Carriage'service' Train'service' maintenance (for consumer) ownership' availability' control' Stations- SJ' Conductors Conductors' Station Stationeigenaar Station Station service Geïntegreerde building ownership Stationsdienstverleneravailability (for RU) Station Station Station Station service Train catering Train'catering' building ownership availability (for RU) Infrastructuur- Infrastructuur Depot Depot Rolling stock Parking, Transport Depot' Depot' Rolling'stock' Parking,' Transport' building ownership maintenance cleaning, etc. service building' ownership' maintenance' cleaning,'etc.' service' beheerder Infrastructuuur TrackOnderhouds - Energie- Infrastructure Euromaint' Energy Traffic control Sales, information Real-time maintenance service (path) Track Infrastructure Sales,'informa7on' RealH7me' bedrijf leverancier and support Energy Traffic control Information and'support' Informa7on'

maintenance service (path) Hypothetische

Station Station service Station retail Sta7on' Sta7on'service' maintenance (for consumer) Sta7on'retail' Ver7cal'separa7on' "Holding" (?) "Holding" model SNCF maintenance' (for'consumer)' Track Example:'SJ'(Sweden)' Example: SNCF (France) Gares et Connexions Jernhusen' Track ownership Track availability Track service Station Station Station Station service Track Sta7on' Sta7on' Sta7on' Sta7on'service' building Track ownership Track availability Track service building ownership availability (for RU) building building' ownership' availability' (for'RU)' Traﬁkverket' Track Infrastructure Infrastructuur-provider Energy Traffic control Track' Infrastructure' Maintenance companies Maintenance Energy' Traﬃc'control' maintenance service (path) Infranordmaintenance' ' service'(path)' TrackSeinen equipment Track equipment Track building ownership Track equipment Track equipment Track ownership Track availability Track service Track' building Track'ownership' Track'availability' Track'service' buildingSeinen ownership building'

Track equipment Track equipment Track'equipment' Track'equipment' building ownership SNCF Réseau building' ownership'

Version'7.0' Build' Own' Maintain' Operate' Build Own Maintain Operate

Drivers Drivers' '

Locomotive Locomotive Traction stock Locomo7ve' Locomo7ve' Trac7on'stock' Traction service Trac7on'service' building' ownership' availability' building ownership availability

Carriage Carriage stock Transport Carriage' Carriage'stock' Transport' Carriage building Carriage service Train service Carriage'building' Carriage'service' Train'service' ownership' availability' control' ownership availability control

Conductors Conductors' TOC (Franchise)

Train catering Train'catering' SBB' DEEP ALLIANCE DEEP

Depot Depot ROSCO Rolling stock Parking, Transport Depot' Depot' Rolling'stock' Parking,' Transport' building' ownership' maintenance' cleaning,'etc.' service' building ownership maintenance cleaning, etc. service Rolling stock manufacturer Sales, information Real-time Sales,'informa7on' RealH7me' and support No separation and'support' Informa7on' Information Full unbundling Station Station service Sta7on' Sta7on'service' Station retail Sta7on'retail' maintenance' (for'consumer)' maintenance (for consumer)

Station Station Station Station service

Example:'SBB'(Switzerland)' Sta7on' Sta7on' Sta7on' Sta7on'service' building' ownership' availability' (for'RU)' building ownership availability (for RU)

Track Infrastructure Track' Infrastructure' Energy Traffic control Energy' Traﬃc'control' maintenance' service'(path)' maintenance Network Railservice (path)

Track Track' Track ownership Track availability Track service Track'ownership' Track'availability' Track'service' building' building 'Schweiz' BAV'

Ver7cal'integra7on'with'separa7on'of'essen7al'func7ons Track equipment Track equipment Track'equipment' Track'equipment' building' ownership' building ownership Vertical separation Example: British Rail Britain)(Great Trasse Existing cases

Simple typology of separation • Accounting • Informational (chinese walls) • Organisational (holding) • Institutional (separate companies)

For more details, zie: Van de Velde, D.M. (2015), "European Railway Reforms: Unbundling and the Need for Coordination", In: Rail economics, policy and regulation in Europe (Eds.: Finger, M., T. Holvad and P. Messulam), 52-88, Edward Elgar.

9 September 2019

Build Own Maintain Operate

Drivers Unbundling in the value chain Traction company Locomotive Locomotive Traction stock • Separation means interfaces between Traction service building ownership availability Rolling stock leasing organisations

Carriage company Carriage stock Transport Carriage building • SeparationCarriage service Trainis servicenot only “vertical” ownership availability control Rolling stock manufacturrer • In principle: MarketTransport mechanism operator Conductors instead of management hierarchy to resolve Incentive misalignment Catering Traincompany catering

Depot Depot Rolling stockRolling stock Parking,Side Transport building ownershipmaintenance maintenancecompany cleaning,services etc. service

Sales, information Real-time and support Information

Station Station service Station retail maintenance Shops(for consumer) buildingcompanies Station

Station Stationowner Station Station service building ownership Stationavailability service provider(for RU) Infrastructure manager TrackMaintenance Energy Infrastructure Energy Traffic control The hypothetical fully unbundled railway unbundled fully hypothetical The maintenancecompany provider service (path) Infrastructure

Track But, can the price mechanism take care of Track ownership Track availability Track service building all coordination needs at the various Infrastructure provider Track equipment Track equipment interfaces? buildingSignals ownership

Build Own Maintain Operate

Drivers

Locomotive Locomotive Traction stock Traction service building ownership availability The train Carriage Carriage stock Transport Carriage building Carriage service Train service ownership availability Running the train control Train Conductors

Train catering Need for coordination? Real- Depot Depot Rolling stock Parking, time Transport building ownershipTrain maintenancemaintenance cleaning, etc. service opera-

Sales, information Promotion, sales and Real-tionstime andSales support information Informationand

Initiative control Station Station service Station retail Meansmaintenance of coordination?(for consumer) ManagingStation the station Station The stationStation Station Station service building ownership availability (for RU)

Track Infrastructure Energy Traffic control maintenance service (path)

Track Track ownership Track availability Track service building Operating the track system Thurso Track Transport Service for the customer Georgemas Junction Wick The track Helmsdale Great Britain Track equipment Track equipment Lairg building ownership Tain

Invergordon Garve Dingwall

Nairn Forres Elgin Keith Achnasheen Inverness Strathcarron Huntly Plockton Stromeferry Kyle of Lochalsh Inverurie April 2016 Aviemore

ScotRail Dyce Kingussie Spean Aberdeen Glenfinnan Bridge CrossCountry Airport services: Heathrow Express, Stansted Express, Gatwick Express Mallaig Virgin Trains East Coast Limited service* Fort Blair Atholl Stonehaven William ScotRail Not all lines shown in London area Rannoch Montrose denoted by area within grey line Pitlochry Arbroath Tyndrum London Underground Circle Line Oban Perth Dalmally Crianlarich Glasgow Underground Gleneagles Dundee Dunblane Leuchars Airport interchange Arrochar & Tarbet Stirling Ferry interchange Alloa Larbert Kirkcaldy Railair coach link with Heathrow Airport Dunfermline Garelochhead ScotRail Inverkeithing Falkirk Balloch Grahamston EDINBURGH Helensburgh Upper Polmont Waverley North Berwick Train Open Helensburgh Central Milngavie Lenzie Falkirk Bathgate Dunbar Operating Access Dumbarton Central High Companies Operators Thurso Maryhill Haymarket Springburn Cumbernauld Georgemas Junction Wick Westerton Berwick-upon-Tweed Train operating companies in roman Helmsdale Great Britain Partick Airdrie Galashiels Open access operators in italic Lairg Queen Street Coatbridge Port Paisley GLASGOWGreat KirknewtonBritainTweedbank Tain Glasgow Gilmour St Invergordon Central Shotts CrossCountry Chathill Garve Gourock Whifflet Not all stations shown Dingwall Wemyss Bay Virgin Trains Paisley Newton East Coast Nairn Forres Elgin Keith Holytown Achnasheen Inverness Canal Strathcarron Largs Huntly Motherwell Plockton Stewarton Alnmouth Stromeferry Kyle of Lochalsh Inverurie April 2016 Kilwinning Carstairs Aviemore Ardrossan Neilston Hamilton Carluke Troon East TransPennine ScotRail Kilmarnock Kilbride Express Dyce Prestwick International Airport Larkhall Kingussie Virgin Trains Lanark Morpeth Spean Aberdeen Ayr West Coast Glenfinnan Bridge CrossCountry Airport services: Heathrow Express, Stansted Express, Gatwick Express Mallaig Northern Virgin Trains Limited service* Girvan ScotRail East Coast Fort Blair Atholl Stonehaven Dumfries Lockerbie Grand William ScotRail Central Not all lines shown in London area Stranraer Rannoch Montrose Annan denoted by area within grey line Carlisle NEWCASTLE www.projectmapping.co.uk Pitlochry Arbroath Sunderland Tyndrum London Underground Circle Line Oban Perth Dalmally Crianlarich Glasgow Underground Workington Haltwhistle Hexham Hartlepool Gleneagles Dundee Dunblane Durham Stockton Leuchars Airport interchange Penrith Middlesbrough Arrochar & Tarbet Stirling Ferry interchange Whitehaven Appleby Alloa Kirkcaldy Bishop Auckland Saltburn Larbert Railair coach link with Heathrow Airport North Lakes Dunfermline Garelochhead ScotRail Inverkeithing Eaglescliffe Falkirk Darlington Balloch Grahamston EDINBURGH Northern Whitby Helensburgh Upper Polmont Waverley North Berwick Train Open Helensburgh Central Milngavie Lenzie Falkirk Bathgate Dunbar Operating Access Battersby Dumbarton Central High Companies Operators Kirkby Stephen Maryhill Cumbernauld Haymarket Windermere Westerton Springburn Berwick-upon-Tweed CrossCountry TransPennine Train operating companies in roman Scarborough Partick Airdrie Galashiels Open access operators in italic Express Queen Street Coatbridge Port Paisley GLASGOW Kirknewton Tweedbank Kendal Glasgow Gilmour St Central Shotts CrossCountry Chathill Gourock Whifflet Virgin Trains Not all stations shown Wemyss Bay Paisley Newton East Coast Filey Canal Holytown Oxenholme Largs Motherwell Stewarton Alnmouth Lake District Kilwinning Carstairs Northallerton Ardrossan Neilston Hamilton Carluke Northern Troon East TransPennine Barrow-in-Furness Malton Kilbride Express Prestwick International Airport Kilmarnock Larkhall Bridlington Virgin Trains Settle Ayr Lanark Morpeth Ulverston Carnforth Thirsk West Coast Ilkley Girvan ScotRail Northern Dumfries Lockerbie Grand Hellifield Knaresborough Stranraer Central Morecambe Annan www.projectmapping.co.uk Driffield Carlisle NEWCASTLE Heysham Port Lancaster Sundays Skipton Guiseley York Northern Sunderland only Church Workington Haltwhistle Hexham Hartlepool Durham Stockton Clitheroe Harrogate Fenton Middlesbrough Virgin Trains Whitehaven Penrith Appleby Keighley North Lakes Bishop Auckland Saltburn Whalley Colne Shipley East Coast Beverley Darlington Eaglescliffe TransPennine First Northern Whitby Nelson Bradford Battersby Express Forster Square Hull Trains Windermere Kirkby Stephen CrossCountry TransPennine Express Scarborough Hebden Bradford LEEDS Selby Gilberdyke Brough Kendal Preston Blackburn Burnley Bridge Interchange Filey North Oxenholme Lake District Northallerton Hull Barrow-in-Furness Northern Malton Halifax Dewsbury Castleford Bridlington Blackpool Kirkham & Todmorden Ulverston Settle Thirsk Carnforth Ilkley Wesham Grand Hellifield South Morecambe Knaresborough Central Wakefield Westgate Wakefield Kirkgate Driffield Heysham Port Lancaster Sundays Skipton Guiseley York Northern Northern Barton- only Church Rochdale New Holland Clitheroe Harrogate Fenton on-Humber Virgin Trains Southport Huddersfield Pontefract Goole Whalley Colne Keighley Shipley East Coast Beverley Bolton TransPennine Bradford First Express Nelson Forster Square Hull Trains TransPennine Hebden Bradford LEEDS Selby Gilberdyke Brough Salford Preston Blackburn Burnley Bridge Express North Interchange Ormskirk Stalybridge Grimsby Hull Crescent Penistone Blackpool Kirkham & Todmorden Halifax Dewsbury Castleford Merseyrail Town Wesham Grand Doncaster Barnetby South Central Wakefield Westgate Wakefield Kirkgate Northern Barton- Adwick Rochdale on-Humber New Holland Wigan Victoria Barnsley Southport Huddersfield Goole Kirkby Cleethorpes Bolton Pontefract New Brighton Salford TransPennine MANCHESTER Ormskirk Stalybridge Express Hadfield Scunthorpe Crescent Penistone Grimsby LIVERPOOL Habrough Merseyrail Doncaster Barnetby Town Piccadilly Saturdays Wigan Victoria Barnsley Adwick Moorfields Lime Street Market Rasen New Brighton Kirkby MANCHESTER Cleethorpes Guide Conisbrough only LIVERPOOL Hadfield Scunthorpe Habrough Birkenhead Piccadilly Saturdays Earlestown Bridge Glossop Swinton Moorfields Lime Street Guide Conisbrough only Market Rasen West Kirby Birkenhead Earlestown Bridge Glossop Swinton Romiley Gainsborough West Kirby Romiley Gainsborough Bidston Northern Bidston Manchester Meadowhall Northern Meadowhall Liverpool Central Marple Worksop Manchester Llandudno Airport Lincoln Liverpool Central Marple Heswall Liverpool South Parkway Warrington Airport Worksop Runcorn Retford Llandudno Lincoln Colwyn Bay Prestatyn Ellesmere Port Stockport Chinley Sheffield Heswall Liverpool South Parkway Warrington East Mansfield Newark Midlands Holyhead Newark Trains Retford Bangor Llandudno Rhyl Shotton Chester Altrincham Wilmslow Buxton Chesterfield Castle North Runcorn Stockport Chinley Junction Hartford Gate Colwyn Bay Prestatyn Ellesmere Port Sheffield Macclesfield East Skegness East Hope Virgin Trains Midlands Alfreton West Coast Trains Betws-y-Coed Sandbach Mansfield Midlands Congleton Matlock Sheringham Cromer Holyhead Newark Newark Arriva Boston Trains Trains Grand Central North Walsham Bangor Llandudno Rhyl Shotton Altrincham Wilmslow Castle North Blaenau Ffestiniog Wales Kidsgrove Sleaford Chester Buxton Chesterfield Wrexham Crewe Junction Hartford Gate Criccieth General Wrexham Alsager Abellio East Pwllheli Central Stoke- Uttoxeter Derby Nottingham Grantham Greater Macclesfield Skegness Ruabon Kings Lynn Anglia Midlands Porthmadog on-Trent Norwich Brundall Acle Hope Virgin Trains Alfreton Nantwich Spalding Trains East Midlands Wymondham Great Yarmouth West Coast Barmouth Gobowen Whitchurch CrossCountry Parkway First East Betws-y-Coed Sandbach Sheringham Hull Trains Downham Congleton Tywyn Cromer Midlands Market Matlock Machynlleth Welshpool Loughborough Trains Dovey Junction Shrewsbury Stone Attleborough Arriva Boston London Oakham Stamford Ely Reedham Grand Newtown Midland Trains Burton-on- Leicester Thetford Diss Kidsgrove Central North WalshamAberystwyth Trent Melton Wales Sleaford Peterborough March Lowestoft Blaenau Ffestiniog Church Stretton Stafford Virgin Trains Mowbray Wrexham Crewe Wellington West Coast CrossCountry Bury Beccles Criccieth Alsager Cosford General Wrexham Abellio Telford Rugeley Hinckley Market Corby St Edmunds Greater Craven Arms Central Harborough Stowmarket Saxmundham Pwllheli Central Uttoxeter Derby Nottingham Grantham Huntingdon Stoke- Kings Lynn Anglia Walsall Lichfield Virgin Trains Woodbridge Porthmadog Ruabon Knighton East Coast Newmarket on-Trent Norwich Brundall Acle Wolverhampton Westerfield Nantwich Birmingham Snow Hill Tamworth Great Abellio Ipswich Spalding Ludlow Kettering Northern Greater Great Yarmouth Nuneaton Anglia Felixstowe East Midlands Wymondham Llandrindod Stourbridge Town East Cambridge Midlands Sandy Manningtree Barmouth Gobowen Parkway Birmingham Trains Wellingborough Harwich Whitchurch CrossCountry First East Stourbridge Junction International Downham Arriva Chiltern BIRMINGHAM Royston Hull Trains Midlands Trains Builth Road Leominster Railways New Street Coventry London Tywyn Market Wales Moor Midland Hitchin Stansted Machynlleth Welshpool Loughborough Rugby Airport Colchester Thorpe-le-Soken Trains Kidderminster Street Bedford Walton-on-Naze Northampton Sudbury Great Bromsgrove Solihull Warwick Stevenage Dovey Junction Shrewsbury Stone Attleborough Llanwrtyd Wells Ledbury Malvern London Milton Colchester Oakham Stamford Reedham Midland Redditch Thameslink Town London Ely Hereford Keynes Hertford Bishops Braintree Newtown Stratford Luton Stortford Marks Tey Clacton Midland Droitwich -upon-Avon Banbury Welwyn Burton-on- Leicester Thetford Llandovery Spa Leamington Diss Merthyr Spa St Albans Cheshunt Abellio Aberystwyth Trent Worcester Enfield Greater Witham Melton Tydfil Rhymney London Anglia Peterborough March Fishguard Aberdare Worcester Shrub Hill Chiltern Bletchley Potters Overground Church Stretton Clarbeston Road Ebbw Vale AbergavennyLowestoft Foregate Street Railways Bar Stafford Virgin Trains Mowbray Harbour Llandeilo Treherbert Moreton- Bicester Chingford Chelmsford Southminster Wellington Whitland Cheltenham Spa Evesham in-Marsh Aylesbury Watford Junction Shenfield West Coast Haverfordwest Carmarthen Caerphilly West CrossCountry Coryton Princes Hampstead Wickford BurySummer Pontypridd Arriva Beccles Gloucester Dalston TfL Rail Milford Haven Pontypool Risborough Cosford Rugeley only Radyr Trains Charlbury Romford Rayleigh Telford Hinckley Market Corby PembrokeSt EdmundsTenby Neath Wales Lydney Oxford High Willesden Craven Arms Llanelli Maesteg Wycombe Junction Southend Airport Central Harborough StowmarketCARDIFF Cardiff SaxmundhamChepstow Stroud Marlow St Pancras King’s Stratford Southend Victoria Swansea Port Queen Street Kemble Didcot Bourne End Eurostar Central Parkway Euston Cross Upminster Southend Central Huntingdon Talbot Henley London Walsall Virgin Trains Parkway Woodbridge Overground Marylebone Liverpool Shoeburyness Lichfield Bridgend Severn Severn Bristol c2c East Coast Barry Cardiff Bay Parkway Swindon Slough Paddington Street Knighton Newmarket Newport Tunnel Beach Wolverhampton Rhoose WesterfieldPenarth Junction Reading Charing Fenchurch Street Tilbury Town Cardiff Barry Windsor Island Chippenham Heathrow Victoria Cross Blackfriars Ebbsfleet Great Abellio Ipswich International Bristol Temple Meads Airport Cannon Street Sheerness-on-Sea Birmingham Snow Hill Tamworth Airport Kensington London Bridge Dartford Gravesend Kettering Bath CrossCountry Olympia Ludlow Northern Greater Weston-super-Mare Trowbridge Strood Spa Newbury Richmond Swanley Faversham Nuneaton Anglia Felixstowe Wokingham Clapham Waterloo Margate Llandrindod Stourbridge Town East Frome Junction Westbury Basingstoke Farnborough Woking Bromley Otford Chatham Herne Bay Midlands Sandy Cambridge Bridgwater Streatham South Ramsgate Barnstaple Sutton Birmingham Manningtree CrossCountry Warminster Trains Taunton Castle Southeastern Canterbury Stourbridge Junction Wellingborough Harwich Cary Aldershot Croydon Orpington Deal International Eggesford Epsom Andover Alton Guildford Oxted Maidstone Arriva BIRMINGHAM Tiverton Dorking Sevenoaks Ashford Chiltern Royston Okehampton Parkway Salisbury Winchester Redhill Tonbridge Trains Builth Road Leominster New Street Coventry Crediton Dover Railways London South West Reigate Wales Summer Trains Haslemere Gatwick Paddock Folkestone Hitchin Stansted Sundays only Romsey Airport Central Moor Rugby Midland Thorpe-le-Soken Yeovil Sherborne Eastleigh Three Bridges Wood Airport Colchester Honiton East Tunbridge Kidderminster Bedford Newton Abbot Southern Crawley Wells Street Walton-on-Naze Southampton Airport Parkway Grinstead Rye CHANNEL TUNNEL Northampton Exeter Petersfield Uckfield Sudbury Gunnislake Bere EXETER Crewkerne Horsham Haywards Great Solihull Warwick Alston Central Southampton Heath Llanwrtyd Wells London Bromsgrove Stevenage St Davids Maiden Newton Fareham Southern Eurostar Ledbury Colchester South West Central Malvern Milton Thameslink Exmouth Trains CrossCountry Hastings Midland Redditch Totnes Chichester Worthing Thameslink Bishops Newquay Keyham Town Torquay Hertford BraintreeSummer Bournemouth Hereford Keynes Luton Wareham Lewes Stratford Stortford Saturdays Plymouth Clacton Brockenhurst Havant Barnham Newhaven Continental Droitwich Banbury only LiskeardMarks Tey Dorchester Brighton Eastbourne -upon-Avon Welwyn Bodmin Poole Littlehampton Europe Spa Leamington Parkway Paignton Portsmouth Bognor Seaford Llandovery CrossCountry Regis Merthyr Spa St Albans Cheshunt Abellio Looe Lymington Worcester Enfield GreaterSt Austell Weymouth Ryde London WithamPar Tydfil Rhymney AngliaTruro Fishguard Aberdare Worcester Shrub Hill Chiltern Bletchley Potters OvergroundSt Ives Island Line Ebbw Vale Abergavenny Foregate Street Railways Bar Sandown © 2016 Andrew Smithers Harbour Clarbeston Road Llandeilo Bicester Shanklin Treherbert Moreton- Chingford St Erth Chelmsford Southminster TOCs v34 31/3/16 Whitland in-Marsh Aylesbury Evesham Watford Junction PenzanceShenfield * Usually one or fewer trains per day but more than one a week Haverfordwest Carmarthen Caerphilly Cheltenham Spa West Falmouth Coryton 9 September 2019 Princes Hampstead Wickford Summer Pontypridd Arriva Gloucester Dalston TfL Rail Milford Haven Pontypool Risborough only Radyr Trains Charlbury Romford Rayleigh Pembroke Tenby Neath Wales Lydney Oxford High Willesden Llanelli Maesteg Wycombe Junction Southend Airport CARDIFF Cardiff Chepstow Stroud Marlow St Pancras King’s Stratford Southend Victoria Swansea Port Queen Street Kemble Didcot Bourne End Eurostar Central Parkway Euston Cross Upminster Southend Central Talbot Henley London Parkway Overground Liverpool Shoeburyness Bridgend Bristol Marylebone c2c Barry Severn Severn Swindon Slough Paddington Street Cardiff Bay Newport Tunnel Beach Parkway Rhoose Penarth Junction Reading Charing Fenchurch Street Tilbury Town Cardiff Barry Windsor Island Chippenham Heathrow Victoria Cross Blackfriars Ebbsfleet International Bristol Temple Meads Airport Cannon Street Sheerness-on-Sea Airport Kensington London Bridge Dartford Gravesend Bath CrossCountry Olympia Weston-super-Mare Trowbridge Strood Spa Newbury Richmond Swanley Faversham Wokingham Clapham Waterloo Margate Frome Junction Westbury Basingstoke Farnborough Woking Bromley Otford Chatham Herne Bay Bridgwater Streatham South Ramsgate Barnstaple Sutton CrossCountry Warminster Taunton Castle Southeastern Canterbury Cary Aldershot Croydon Orpington Deal Eggesford Epsom Andover Alton Guildford Oxted Maidstone Tiverton Dorking Sevenoaks Ashford Okehampton Parkway Salisbury Winchester Redhill Tonbridge Crediton Dover South West Reigate Summer Trains Haslemere Gatwick Paddock Folkestone Romsey Airport Sundays only Yeovil Sherborne Three Bridges Wood Central Honiton Eastleigh Tunbridge East Wells Newton Abbot Southampton Airport Parkway Southern Crawley Grinstead Rye Exeter Petersfield Uckfield CHANNEL TUNNEL Gunnislake Bere EXETER Crewkerne Horsham Haywards Alston Central Southampton Heath St Davids Maiden Newton Fareham Southern Eurostar South West Central Exmouth Trains CrossCountry Hastings Totnes Chichester Worthing Thameslink Newquay Keyham Torquay Bournemouth Summer Wareham Saturdays Plymouth Brockenhurst Lewes Newhaven only Liskeard Dorchester Havant Barnham Brighton Continental Bodmin Poole Littlehampton Eastbourne Europe Parkway Paignton Portsmouth Bognor Seaford CrossCountry Regis Looe Lymington St Austell Weymouth Ryde Par St Ives Truro Island Line © D. van de Velde Sandown © 2016 Andrew Smithers 5 St Erth Shanklin TOCs v34 31/3/16

Penzance * Usually one or fewer trains per day but more than one a week Falmouth Frokostmøte UrbanetAnalyse Oslo, 9 September 2019

Key lessons from Great Britain

McNulty report (2011) Government announces 'root and branch' review of rail - GOV.UK 10/10/2018, 22(08

§ High level of fragmentation is important reason for inefficiencies GOV.UK • Lack of effective supply chain management leads to losses in cost- 1. Home (https://www.gov.uk/) 2. Transport (https://www.gov.uk/transport) effectiveness 3. Rail (https://www.gov.uk/transport/rail) 4. Rail franchising (https://www.gov.uk/transport/rail-franchising) • Resulting interfaces hamper whole-system approaches News story • Few effective incentives across wheel/rail interface, despite Government announces 'root and branch' review complex track access charging and performance regimes of rail § Recommends closer alignment at route-level by: Sweeping rail review will report next year. • Cost and revenue sharing (and joint targets), or Published 20 September 2018

• Joint ventures or alliances, or From: Department for Transport (https://www.gov.uk/government/organisations/department-for-transport) and The • Full vertical integration of concessions Rt Hon Chris Grayling MP (https://www.gov.uk/government/people/chris-grayling)

§ Recommends more operational partnerships • Encourage whole-system, whole-life approaches • Considering trade-offs between infrastructure, rolling stock and operations àWessex Alliance, Scotrail Alliance, Railway Delivery Group

Minister (Grayling) statements (2017) former British Airways chief executive Keith Williams to lead major review of rail industry, supported by an expert challenge panel § review to look at the structure of the whole rail industry, including increasing integration “initially at an operational level... I expect new franchises... to have between track and train, regional partnerships and improving value for money for passengers integrated operating teams between train and infrastructure” and taxpayers plans for reform to be implemented from 2020 Timetable fiasco May 2018 A sweeping review to transform Britain’s railways has been launched today (20 September 2018) by Transport Secretary Chris Grayling. § LNER: DfT OLR Holdings Ltd running in integrated mode since Virgin East Coast franchise was terminated early in June 2018, until retendering as partnership, preference for “one single team https://www.gov.uk/government/news/government-announces-root-and-branch-review-of-rail Page 1 of 4 operating the railway”

9 September 2019

The Netherlands: Main network contract (HRN) and regional contracts

Kaartvak / station A B C D E F F4 Aalten C4 Abcoude D2 Akkrum Uithuizen Uithuizermeeden B3 Alkmaar Roodeschool C3 Alkmaar Noord Usquert F3 Almelo F3 Almelo de Riet Spoorkaart van Nederland Stedum Delfzijl West Warffum D3 Almere Buiten Delfzijl D3 Almere Centrum Baflo LoppersumAppingedam D3 Almere Muziekwijk Winsum Bedum D3 Almere Oostvaarders 1 1 Sauwerd D3 Almere Parkwijk Verklaring van Symbolen Leer D3 Almere Poort Buitenpost Grijpskerk Groningen Noord C4 Alphen a/d Rijn De Westereen oek D4 Amersfoort Feanwalden Grote overstapstations Zuidhorn Groningenopswolde Weener Europaparkr Bad Nieuweschans D4 Amersfoort Schothorst K MartenshoekHoogezand-SappemeerSappemeerZuidb rScheemdaOost onryp Groningen D4 Amersfoort Vathorst r Belangrijkste overstapstations HarlingenHarlingen HavenFranekerD Leeuwarden Hurdegaryp C4 Amsterdam Amstel Winschoten C4 Amsterdam Bijlmer ArenA Eindstations en overstapstations Deinum Leeuwarden Camminghaburen Haren C3 Amsterdam Centraal Overige stations Mantgum Veendam C4 Amsterdam Holendrecht Grou-Jirnsum C4 Amsterdam Lelylaan Uitsluitend bedoeld voor bezoekers Assen C3 Amsterdam Muiderpoort van het Spoorwegmuseum Sneek Noord C4 Amsterdam RAI Akkrum C3 Amsterdam Science Park Treindienst NS Workum Sneek C3 Amsterdam Sloterdijk Treindienst Arriva IJlst C4 Amsterdam Zuid Treindienst Breng Heerenveen C2 Anna Paulowna Treindienst Syntus Beilen E4 Apeldoorn Treindienst Valleilijn Hindeloopen Wolvega E4 Apeldoorn De Maten Treindienst R-Net E4 Apeldoorn Osseveld 2 Den Helder Koudum-Molkwerum 2 Hogesnelheidslijn F1 Appingedam Steenwijk Treindienst NS tot april 2017 C5 Arkel Den Helder Zuid Stavoren Emmen A6 Arnemuiden Internationale verbindingen E4 Arnhem Centraal Emmen Zuid E4 Arnhem Presikhaaf Anna Paulowna oek E4 Arnhem Velperpoort Hoogeveen ootebr E5 Arnhem Zuid Nieuw Amsterdam F2 Assen Schagen Dalen

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F3 Hengelo Oost D1 Leeuwarden Camminghaburen D5 Oss D2 Sneek Noord B5 Vlaardingen West E1 Zuidhorn E4 Gaanderen D5 ’s-Hertogenbosch B4 Leiden Centraal D5 Oss West D4 Soest C4 Vleuten E4 Zutphen D5 Geldermalsen D5 ’s-Hertogenbosch Oost B4 Leiden Lammenschans C6 Oudenbosch D4 Soestdijk A6 Vlissingen C5 Zwijndrecht D6 Geldrop B4 Hillegom D3 Lelystad Centrum B3 Overveen D4 Soest Zuid A6 Vlissingen Souburg E3 Zwolle E7 Geleen-Lutterade D4 Hilversum F4 Lichtenvoorde-Groenlo E7 Spaubeek E7 Voerendaal E7 Geleen Oost D4 Hilversum Media Park F4 Lochem D2 Stavoren B4 Voorburg C6 Gilze-Rijen D4 Hilversum Sportpark F1 Loppersum C3 Purmerend F1 Stedum B4 Voorhout F4 Glanerbrug D2 Hindeloopen D4 Lunteren C3 Purmerend Overwhere E2 Steenwijk B4 Voorschoten A6 Goes B5 Hoek van Holland Haven C3 Purmerend Weidevenne E7 Susteren E4 Voorst-Empe F4 Goor A5 Hoek van Holland Strand D4 Putten E6 Swalmen E4 Vorden C5 Gorinchem E7 Hoensbroek D6 Maarheeze F3 Vriezenveen C5 Gouda D4 Hoevelaken D4 Maarn F3 Vroomshoop C4 Gouda Goverwelle D4 Hollandsche Rading C4 Maarssen 9 SeptemberE3 Raalte 2019 E6 Tegelen D5 Vught F3 Gramsbergen E3 Holten B5 Maassluis D5 Ravenstein F4 Terborg E1 Grijpskerk B4 Hoofddorp B5 Maassluis West E6 Reuver D5 Tiel E1 Groningen E2 Hoogeveen E7 Maastricht E4 Rheden D5 Tiel Passewaaij C4 Waddinxveen E1 Groningen Europapark F1 Hoogezand-Sappemeer E7 Maastricht Noord D5 Rhenen D6 Tilburg C4 Waddinxveen Noord E1 Groningen Noord C3 Hoogkarspel E7 Maastricht Randwyck E3 Rijssen C6 Tilburg Reeshof E1 Warffum D2 Grou-Jirnsum C3 Hoorn D2 Mantgum B5 Rijswijk C6 Tilburg Universiteit E6 Weert C3 Hoorn Kersenboogerd F3 Mariënberg B6 Rilland-Bath E4 Twello C4 Weesp E6 Horst-Sevenum F1 Martenshoek E6 Roermond E5 Wehl B3 Haarlem D4 Houten E7 Meerssen F1 Roodeschool E1 Westereen, De B3 Haarlem Spaarnwoude D4 Houten Castellum E3 Meppel B6 Roosendaal C3 Uitgeest E4 Westervoort C3 Halfweg-Zwanenburg E7 Houthem-St. Gerlach A6 Middelburg D5 Rosmalen E1 Uithuizen E3 Wezep E3 Harde, ’t E1 Hurdegaryp E5 Mook Molenhoek B5 Rotterdam Alexander F1 Uithuizermeeden F3 Wierden F3 Hardenberg B5 Rotterdam Blaak E1 Usquert E5 Wijchen D3 Harderwijk B5 Rotterdam Centraal C4 Utrecht Centraal E3 Wijhe C5 Hardinxveld Blauwe Zoom D2 IJlst C4 Naarden-Bussum B5 Rotterdam Lombardijen C4 Utrecht Leidsche Rijn F1 Winschoten C5 Hardinxveld-Giessendam F2 Nieuw Amsterdam B5 Rotterdam Noord D4 Utrecht Lunetten E1 Winsum F1 Haren B4 Nieuw Vennep B5 Rotterdam Zuid D4 Utrecht Maliebaan* F4 Winterswijk D1 Harlingen E3 Kampen C5 Nieuwerkerk a/d IJssel F4 Ruurlo D4 Utrecht Overvecht F4 Winterswijk West D1 Harlingen Haven E3 Kampen Zuid D4 Nijkerk C4 Utrecht Terwijde C4 Woerden C3 Heemskerk A6 Kapelle-Biezelinge E5 Nijmegen D4 Utrecht Vaartsche Rijn E4 Wolfheze B3 Heemstede-Aerdenhout E7 Kerkrade Centrum E5 Nijmegen Dukenburg B3 Santpoort Noord C4 Utrecht Zuilen E2 Wolvega E2 Heerenveen D5 Kesteren E5 Nijmegen Goffert B3 Santpoort Zuid D2 Workum C3 Heerhugowaard E4 Klarenbeek E5 Nijmegen Heyendaal F1 Sappemeer Oost C3 Wormerveer E7 Heerlen E7 Klimmen-Ransdaal E5 Nijmegen Lent B4 Sassenheim E7 Valkenburg E7 Heerlen De Kissel C3 Koog aan de Zaan E3 Nijverdal E1 Sauwerd F4 Varsseveld E7 Heerlen Woonboulevard D2 Koudum-Molkwerum D3 Nunspeet C2 Schagen F1 Veendam C3 Zaandam D6 Heeze B6 Krabbendijke E7 Nuth F1 Scheemda D5 Veenendaal Centrum C3 Zaandam Kogerveld B3 Heiloo C3 Krommenie-Assendelft B5 Schiedam Centrum D4 Veenendaal-De Klomp C3 Zaandijk Zaanse Schans E3 Heino F1 Kropswolde B5 Schiedam Nieuwland D4 Veenendaal West D5 Zaltbommel D6 Helmond B6 Kruiningen-Yerseke C3 Obdam E7 Schinnen E4 Velp B3 Zandvoort aan Zee D6 Helmond Brandevoort D6 Oisterwijk E7 Schin op Geul E6 Venlo E5 Zetten-Andelst E6 Helmond Brouwhuis F3 Oldenzaal C4 Schiphol Airport E6 Venray E5 Zevenaar D6 Helmond 't Hout C5 Lage Zwaluwe E3 Olst E7 Sittard E5 Vierlingsbeek C6 Zevenbergen D5 Hemmen-Dodewaard E7 Landgraaf E3 Ommen C5 Sliedrecht B4 Vink, De B5 Zoetermeer © D. van de F4 Velde Hengelo C5 Leerdam E4 Oosterbeek C5 Sliedrecht Baanhoek B5 Vlaardingen Centrum B5 Zoetermeer Oost 6 F4 Hengelo Gezondheidspark D1 Leeuwarden D5 Opheusden D2 Sneek B5 Vlaardingen Oost F1 Zuidbroek Frokostmøte UrbanetAnalyse Oslo, 9 September 2019

The Netherlands and vertical separation (without competition): Addressing coordination issues

Earlier concerns related to separation

§ 2003: Senate asks for study on re-integration Het programma Beter en Meer wordt in samenwerking tussen NS en ProRail uitgevoerd – De governance sluit hierbij aan § 2010-11: Winter time problems forces reconsideration of coordination Beter en Meer - 2016 RvC RvC § 2012 Parliamentary (2K) enquiry: “separation Stuurgroep ExCo Directie was ill-prepared and undesirable” Beter en Meer

Stuurgroep Stuurgroep Directieoverleg Stuurgroep § 2012 Parliamentary (1K) enquiry: “The DOO Verbeteraanpak Verbeteraanpak Verbeteraanpak Uitvoeringsagenda PPG separation needs to be reconsidered” Trein Stations Veiligheid (samenwerking) Beter en Meer Stuurgroep Programma- PrePHS Focus on the need for more integral directeur Secretariaat Programmabureau Betrokken Control Betrokken management afdelingen afdelingen NS ProRail Verbeteraanpak Verbeteraanpak Verbeteraanpak Verbeteraanpak § 2014 Masterplan NS-ProRail cooperation Trein Stations Veiligheid Veiligheid Be- en Bijsturing • Need for less interfaces, less complexity and more van de Toekomst coordination • Recommends escalation procedure and common top management decision B&M ended 2018 § 2015: New NS/ProRail concessions (2015- 2025) Problems solved? • + “Better and More” cooperation programme in policy document “Long-Term Railway Agenda”

9 September 2019

Williams Rail Review (statements 2019) Call for UK franchising changes

Keith Williams (26-02-2019 & 19-03-2019) Keith Williams (16 July 2019) (Source: GOV.UK, Williams Rail Review) (Source: RGI) § Put bluntly, franchising cannot continue the way it § Keith Williams reiterated to the Financial is today. It is no longer delivering clear benefits for Times and the BBC that: either taxpayers and farepayers. • Franchising in its current form has had its day § We need to recognise that there is unlikely to be a • The franchising model adopted in the mid-1990s was ‘one size fits all’ solution which will work for every ‘preventing innovation, long-term decision-making part of the country and all types of passenger. and stopping the railway working as a system • The ‘design and culture’ of the rail sector ‘need a § There needs to be a much stronger focus on transformation so that the industry prioritises passengers. customers’, while providing ‘value to taxpayers’ • A new relationship between the public and private § There is a gap in responsibility and accountability sectors should allow the industry to focus on ‘running for managing systemic risks for major change services’, while ministers should take ‘far fewer programmes... the sector lacks strategic direction decisions’ and leadership... it struggles to deliver major • Cross-industry consultation has confirmed a widely- projects and is unable to bring through system- held view that DfT ‘needs to step back from the wide responses... operational minutiae’ § ...the DfT has had to take on roles it never § The review team was therefore ‘looking closely’ at intended to perform the suggestion of establishing a new arms-length body ‘to act as a “guiding mind” and help simplify this complex industry’. § Report to DfT expected later this year with a ‘range of proposals’ § ...To be continued...

9 September 2019

Competitive tendering and the long run Themes not to forget when designing railway governance

The paradox of “more market” Integration and long run issues

§ More CT => More central planning § Who/what will take care of service • Is government equipped and incentivised for integration? this? • Train / Train • Was this / What is the intention? • Train / Local PT § CT => Danger of short term focus • MaaS • Where does the knowledge go? § Who/what will take care of long-term • What makes the knowledge flourish? planning? • What about the rail strategy!? • Service concepts and infrastructure network development § A market of state-owned competitors • Technological progress, R&D, implementation • Is this a problem (or not)? coordination,... • (NB: This was not the intention...) • Land-use and transport system planning (stations and lines as cores of urban development) § Who/what will ensure system-wide cost/revenue optimisation across the whole value-chain? • Contractual incentives? • Alliancing? • Vertically integrated concessions?

9 September 2019

Build Own Maintain Operate

Drivers

Locomotive Locomotive Traction stock Traction service building ownership availability

Carriage Carriage stock Transport Carriage building Carriage service Train service ownership availability control ITS, Kobe University, VU Amsterdam University University Amsterdam VU University, Kobe ITS, – Train Conductors

Economic effects of Vertical Separation in the railway sector", Report Train catering - Rail -

Depot Depot Rolling stock Parking, Transport building ownership maintenanceProductioncleaning, etc. Timetable Productionservice

(2012), "EVES (2012), Investment planning planning (real-time) coordination Sales, information Real-time Zschoche coordinationandSales support coordination Informationcoordination and and F. V (Amsterdam) in cooperation with University of Leeds - Station Station service inno Station retail Lijesen at various time horizons maintenance (for consumer) , M. , M. Station Station Station Station Station service Uranishi building ownership availability (for RU) , S. , S. Coordination needs between system elements system between needs Coordination

Mizutani Track Infrastructure Energy Traffic control maintenance service (path)

Track Track ownership Track availability Track service building Track

Track equipment Track equipment building ownership de Velde, D.M., C. Nash, A. Smith, F. management consultants, Amsterdam/Brussels, 188 pp. Community Community of European Railway and Infrastructure Companies, by -

civity Overall consistency and feed-back loops from realisation to planning Source: Van for CER CER for and and

Suboptimal coordination (“incentive misalignment”) Examples of coordination issues and arrangements

How much optimisation potential remains untapped? Where?

Investment Production planning Timetable planning Production coordination coordination coordination (real-time) coordination

• Extension / • Quality of resources • Maintenance/renewal • Disruption handling decommissioning and reliability versus operations • Feed-back loops • Upgrading / • Small/medium scale • Timetable robustness downgrading investmentsStatement • Rail2000 (CH) • Coordination of small scale • Timetabling and path • Traffic control centres • High frequency rail (NL) / high impact investments allocation (CH, GB, FR, NL) colocation (GB, NL, FR) Lack of(JP) perception and lack• Track possessions and • Passenger information (NL) • RUS/IIP (GB) • of attentionIM/RU for this part commercial consequences • Feed-back loops (JP, NL) • Prioritisation (FR) cooperation/misalignment (FR, PL) • Rolling stock and power (NL, FR, GB) NL: Beter & Meer supply (GB) • Trade-offs track SE: JBS • ERTMS/ETCS maintenance / total system costs • Synergy real estate – rail GB: RDG / Alliancing Japan: continuous improvement feedback loops

Source of examples: Van de Velde, D.M., C. Nash, A. Smith, F. Mizutani, S. Uranishi, M. Lijesen and F. Zschoche (2012), "EVES-Rail - Economic effects of Vertical Separation in the railway sector", Report for CER - Community of European Railway and Infrastructure Companies, by inno-V (Amsterdam) in cooperation with University of Leeds – ITS, Kobe University, VU Amsterdam University and civity management consultants, 9 September 2019 Amsterdam/Brussels, 188 pp.

Suboptimal coordination (“incentive misalignment”) Discussion

Observations Main issues / problems

§ Theoretically under unbundling, price § System suboptimalisation mechanism should give correct incentives § Sluggishness in innovation • Track Access Charges § Focus on large project, forgetting small steps of • Performance agreement continuous improvement (what is LT-impact on • Yet proves difficult in practice innovation?) − Even in GB: “insufficient to cover all § Themes remaining unaddressed (also due to coordinations issues” see McNulty etc) regulatory barriers) § Coordination is more crucial than in other § Much is possible, but difficulties start when transport systems money is involved (over the RU/IM divide) • Large part of investment sits in infrastructure Arrangements • Strong technical interdependance track-train Price mechanism Difficult and incomplete... • Little flexibility in operations (“passing”) • Coordination more important “Talking club” Helps, until money is involved

− With higher densities “Sugar daddy” Easy, but efficient?... − When investing (e.g. new technology) Regulatory action Perhaps, when adequate

Alliancing Complicated way to integration...

Integration Radical solution

9 September 2019