VERSION 4.0X FOIA 2000 PUBLIC REGISTER COPY Dated 15 September 2015 (1) The Secretary of State for Transport (2) East Midlands Trains Limited FRANCHISE AGREEMENT – EAST MIDLANDS VERSION 4.0X FOIA 2000 PUBLIC REGISTER COPY CONTENTS Clause Page 1 INTERPRETATION ........................................................................... 6 2 DEFINITIONS ............................................................................... 10 3 COMMENCEMENT .......................................................................... 80 4 TERM .......................................................................................... 81 5 GENERAL OBLIGATIONS ................................................................ 81 6 RELATIONSHIP WITH PREVIOUS FRANCHISE AGREEMENT ................. 82 7 COMPLIANCE WITH LAWS .............................................................. 82 8 ENTIRE AGREEMENT/WARRANTY .................................................... 82 9 GOVERNING LAW ......................................................................... 83 Schedules 1 Passenger Service Obligations ........................................................ 86 SCHEDULE 1.1 ............................................................................. 87 Service Development .................................................................... 87 SCHEDULE 1.2 ........................................................................... 101 Operating Obligations .................................................................. 101 SCHEDULE 1.3 ........................................................................... 109 Not Used ................................................................................... 109 SCHEDULE 1.4 ........................................................................... 110 Passenger Facing Obligations ....................................................... 110 SCHEDULE 1.5 ........................................................................... 118 Information about Passengers ...................................................... 118 SCHEDULE 1.6 ........................................................................... 125 Franchise Services ...................................................................... 125 SCHEDULE 1.7 ........................................................................... 133 The Train Fleet ........................................................................... 133 2 Assets, Leases, Third Parties, Other Franchise Operations and Schemes ................................................................................... 137 SCHEDULE 2.1 ........................................................................... 138 Asset Vesting and Transfer .......................................................... 138 SCHEDULE 2.2 ........................................................................... 139 Security of Access Agreements, Rolling Stock Leases, Station and Depot Leases ....................................................................................... 139 SCHEDULE 2.3 ........................................................................... 146 Third Party Delivery of Passenger Services and Other Franchisees .... 146 SCHEDULE 2.4 ........................................................................... 148 Other Franchise Operations .......................................................... 148 SCHEDULE 2.5 ........................................................................... 150 Transport, Travel and Other Schemes ........................................... 150 3 Priced Options ............................................................................ 152 4 Persons with Disabilities and Disability Discrimination ..................... 156 SCHEDULE 4 .............................................................................. 157 Persons with Disabilities and Disability Discrimination ..................... 157 APPENDIX 1 TO SCHEDULE 4 ....................................................... 163 Page 1 of 458 VERSION 4.0X FOIA 2000 PUBLIC REGISTER COPY Minor Works ............................................................................... 163 APPENDIX 2 TO SCHEDULE 4 ....................................................... 165 Alternative Transport .................................................................. 165 5 Fares ........................................................................................ 166 SCHEDULE 5.1 ........................................................................... 167 Purpose, Structure and Construction ............................................. 167 SCHEDULE 5.2 ........................................................................... 170 Franchisee's Obligation to Create Fares ......................................... 170 SCHEDULE 5.3 ........................................................................... 171 Allocation of Fares to Fares Baskets .............................................. 171 SCHEDULE 5.4 ........................................................................... 173 Regulation of Fares Basket Values ................................................ 173 SCHEDULE 5.5 ........................................................................... 175 Regulation of Individual Fares ...................................................... 175 SCHEDULE 5.6 ........................................................................... 178 Exceeding the Regulated Value, Regulated Price or Regulated Child Price ......................................................................................... 178 SCHEDULE 5.7 ........................................................................... 180 Changes to Fares and Fares Regulation ......................................... 180 SCHEDULE 5.8 ........................................................................... 184 Fares Regulation Information and Monitoring ................................. 184 SCHEDULE 5.9 ........................................................................... 185 ITSO Certified Smartmedia .......................................................... 185 6 Committed Obligations and Franchise Specific Obligations ............... 187 SCHEDULE 6.1 ........................................................................... 188 Committed Obligations and Related Provisions ............................... 188 SCHEDULE 6.2 ........................................................................... 202 East Midlands Franchise Specific Provisions .................................... 202 7 Performance Benchmarks ............................................................ 206 SCHEDULE 7.1 ........................................................................... 207 Performance Benchmarks ............................................................ 207 APPENDIX 1 TO SCHEDULE 7.1 Cancellations Benchmarks and Annual Cancellations Benchmarks ........................................................... 225 Part 2 – Annual Cancellations Benchmark Table .............................. 227 Part 3 – Annual Cancellations Payment Table ................................. 228 APPENDIX 2 TO SCHEDULE 7.1 TOC Minute Delay Benchmarks and Annual TOC Minute Delay Benchmarks .......................................... 229 Part 1 – TOC Minute Delay Benchmark Table .................................. 229 Part 2 – Annual TOC Minute Delay Benchmark Table ....................... 231 Part 3 – Annual TOC Minute Delay Payment Table ........................... 232 APPENDIX 3 TO SCHEDULE 7.1 Short Formation Benchmark and Annual Short Formation Benchmark Table ................................................ 233 Part 1 – Short Formation Benchmark Table .................................... 233 Part 2 – Annual Short Formation Benchmark Table ......................... 235 Part 3 – Annual Short Formation Payment Table ............................. 236 SCHEDULE 7.2 ........................................................................... 237 National Rail Passenger Surveys ................................................... 237 Page 2 of 458 VERSION 4.0X FOIA 2000 PUBLIC REGISTER COPY APPENDIX 1 TO SCHEDULE 7.2 NRPS Benchmark Table ................... 242 APPENDIX 2 TO SCHEDULE 7.2 NRPS Committed Obligations ........... 243 8 Payments .................................................................................. 246 SCHEDULE 8.1 ........................................................................... 247 Franchise Payments .................................................................... 247 APPENDIX 1 TO SCHEDULE 8.1 .................................................... 255 Profit Share Thresholds ............................................................... 255 APPENDIX 2 TO SCHEDULE 8.1 .................................................... 257 Components of AFA and DFR ........................................................ 257 SCHEDULE 8.2 ........................................................................... 259 Annual Franchise Payments ......................................................... 259 APPENDIX TO SCHEDULE 8.2 ....................................................... 261 Figures for Calculation of Annual Franchise Payments ...................... 261 SCHEDULE 8.3 ........................................................................... 263 Miscellaneous Payment Provisions ................................................. 263 SCHEDULE 8.4 ........................................................................... 264 Track Access Adjustments