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1 Change Log 4
2 Introduction 5
2.1 Purpose and Contents 5
2.1.1 Purpose 5
2.1.2 Contents 5
2.1.3 Relationship to other Appendices 5
2.1.4 Overview of Penalties and related caps 6
2.2 Readers Instructions 7
3 Bonus Scheme 8
4 Possessions 9
6 Time of Delivery 12
6.1 Penalties for late Delivery 12
7 Performance of Delivery 13
7.1 RAM Performance before Final Acceptance 13
7.2 RAM Performance after Final Acceptance 13
7.2.1 Penalties regime for Severity Levels 1 to 4 13
7.2.2 Reliability Penalties regime for Severity Level 5 16
7.2.3 RAM Penalties invoicing 16
7.3 Performance after Adjustment or Cessation of the Service Level Goals
Obligation 17
9 References 20
10 Attachments 21
2.1.1 Purpose
The Incentives and Penalties have been set up in order to provide an added financial
Incentive for the Supplier to provide a performance which is satisfactory to the Customer.
2.1.2 Contents
In brief, the main relationships between Appendix 13 and the other appendices referenced
in Appendix 13 can be described in the following way:
Penalties and the related caps are divided in three main groups: Those for the Delivery,
those for Separate Tasks and those for the Maintenance period (Maintenance Subphase 1
& 2). The penalties and caps for the three groups are summarised in the tables below with
reference to where further information can be found in this appendix or in other, related
documents.
2.1.4.1 Delivery
For the Delivery the following Penalties and caps apply:
The Customer intends to tailor the contents of the bonus scheme to the scope of Delivery
finally agreed in the Contract with the Supplier, so that the System is optimised towards
critical aspects of the Delivery and the strong and weak sides of the Supplier.
The above cannot be achieved if the bonus scheme is fully designed and published in
advance. Therefore, the exact scope and conditions of the bonus scheme will be decided
by agreement with the Supplier.
The Customer envisages that the conditions will be based on the following parameters:
Participation in the bonus scheme will be voluntary for the Supplier and subject
to mutual agreement.
The bonus scheme shall complement, but not obviate, the terms of the Contract.
Bonuses will be paid upon the actual fulfilment of the specific Requirements
only. The Supplier will not be able to issue claims for "loss of bonus" if the
specific Requirements cannot be fulfilled due to the actions of the Customer or
third parties.
The bonuses payable by the Customer will not exceed DKK (in 2011 prices).
Value Management cost savings (cf. Appendix 16 Processes [3]) are not part of the bonus
scheme and not included in the bonus cap above.
Generally Possessions which affect traffic will need to be arranged in good time so that
Train Operating Companies can adapt their services and inform the Passengers.
Possessions with a significant effect on traffic can therefore be difficult or even
impossible to obtain.
When a Possession has been planned and agreed in advance, but it is not possible to lift
the Possession at the agreed time it is considered as a "possession over-runs".It is
particularly important to avoid such over-runs, since they cause severe unscheduled
delays and cancellations. Penalties for Possessions over-runs are described in this section.
MR13.001 The Supplier shall pay the Customer a Penalty where a Possession over-runs.
MR13.002 The Penalty for Possession over-runs shall be calculated by applying the hourly rate
associated with the relevant Possession type found in the table below. For the first hour of
a particular Possession over-run, one fourth of the hourly penalty rate is applied for each
quarter of an hour commenced. For Possession over-runs lasting more than one hour, the
hourly rate is applied for each hour commenced. The division of the Fjernbane into 1st,
2nd and 3rd priority Lines is found in Appendix 11 Customers Participation [4] together
with the definitions of the different Possession types.
2 out of 2 tracks,
1out of 1 track
or an entire Station
1out of 1 track or
an entire Station
1)
Possession type cannot be obtained, cf. Appendix 11 Customers Participation [4]
Guide:
Example of Penalty calculations:
An Engineering Hours Possession that normally ends at 05:00 runs over. The Possession
covers two sections (2 out of 2 tracks) and one entire Station on a 2nd priority Line.
1. Case 1 The over-run is 40 minutes:
The Supplier shall therefore pay a Penalty for three quarters of an hour. The
penalities found in the table above are given as hourly rates and must therefore
be converted. In this case, the hourly rate is per section/Station
which therefore becomes /4= er quarter of an hour per
section/Station.
As mentioned above, does the Possession cover two sections and one entire
Station. The total Penalty to be paid by the Supplier is therefore 3 x 3 x =
MR13.003 The total amount of Penalties for Possession over-runs related to completion of the
Delivery shall not exceed of the Total Price for the Delivery.
MR13.004 The Supplier shall pay the Customer a Penalty if the Supplier replaces any Key Resource
without the Customers prior written consent (unless the Contract entitles the Supplier to
carry out the replacement without the Customers consent).
MR13.005 The Penalty per affected Key Resource shall be calculated as for each
month commenced without the Key Resource, with a maximum of DKK for
each Key Resource.
MR13.006 The Supplier shall pay a Penalty if the Supplier does not achieve Final Acceptance of a
Partial Delivery by the deadline for completion specified in Appendix 1 Time Schedule
[2].
Guide:
The completion of a Partial Delivery is tied to a Critical Milestone in Appendix 1 Time
Schedule [2].
MR13.007
MR13.008 For high priority Partial Deliveries, the Penalty shall be calculated as of the Price
of the Partial Delivery for each calendar day which the Supplier is in delay with the
completion of the Partial Delivery.
Guide:
The Penalty is paid on a daily basis and will not be prorated.
MR13.009 For all other Partial Deliveries, the Penalty shall be calculated as of the Price of
the Partial Delivery for each calendar day which the Supplier is in delay with the
completion of the Partial Delivery.
Guide:
The Penalty is paid on a daily basis and will not be prorated.
MR13.010 The Supplier shall pay a Penalty if the Supplier does not achieve Final Acceptance of the
Delivery by the deadline for completion specified in Appendix 1 Time Schedule [2].
Guide:
The completion of the Delivery is tied to a Critical Milestone in Appendix 1 Time
Schedule [2].
MR13.011 The Penalty shall be calculated as of the Price for the Delivery for each calendar
day which the Supplier is in delay with the completion of the Delivery.
Guide:
The Penalty is paid on a daily basis and will not be prorated.
MR13.012 The total amount of Penalties for late delivery shall not exceed of the Total Price of
the Delivery.
The extent of the Supplier Service Level Goals liability is defined in section 4.2.1 of
Appendix 6 Service Level Goals [6]. The terms defined in Appendix 6 Service Level
Goals [6] also apply throughout this section, notably Failures, Failure Impacts, Clear
Cases and Severity Levels.
RAM performance Penalties do not apply prior to Final Acceptance of a Partial Delivery.
A successful Reliability Demonstration Test is a prerequisite for its Final Acceptance,
however. Delays to achieve this could lead to Penalties for late Delivery, cf. section 6 of
this appendix. The conditions for Final Acceptance are stated in the Contract [9].
The RAM performance Penalties described in this subsection are applicable to those parts
of the Delivery that have passed Final Acceptance.
By the Contract [9], the Supplier warrants that the Service Level Goals will be sustained
during the Maintenance period.
Appendix 5 Maintenance [7] requires the Supplier to ensure that the data necessary to
calculate RAM figures are collected, saved and presented in the agreed format during the
Maintenance period.
The Customer will evaluate the performance of the Signalling System relative to the
RAM Targets defined in Appendix 6 Service Level Goals [6].
MR13.013 Reliability performance Penalties shall only apply to those parts of the Delivery which
have passed Final Acceptance.
MR13.014 For Failures of Severity Levels No Operational Impact (1), Low Operational Impact (2),
Medium Operational Impact (3) and High Operational Impact (4), Reliability
performance Penalties are calculated at the end of each calendar based on the sum of the
fees during that calendar year (referred to as the Maintenance Fees of the Period
hereinafter).
Based on the Reliability targets, a score, , shall be calculated on a yearly basis using
the four severity levels No Operational Impact (1), Low Operational Impact (2), Medium
Operational Impact (3) and High Operational Impact (4):
where
Table 1
With calculated, the Penalty for Reliability performance payable by the Supplier to the
Customer shall be determined as:
Figure 1
MR13.016 Partial Deliveries that have passed Final Acceptance during a calendar year shall not be
included in the Penalty calculations for that calendar year. The Reliability performance
data captured for these Partial Deliveries from the date of their Final Acceptance to the
end of that calendar year will be discarded. Only Reliability performance data from the
first full calendar year after Final Acceptance and onwards shall be used for Penalty
calculations. This also applies to the first Partial Delivery (Early Deployment).
MR13.017 Availability performance Penalties shall only be applicable after Final Acceptance of the
Delivery.
MR13.018 The Penalty for Availability performance during any given calendar year shall be
calculated as follows:
Based on the Availability targets, a score, , shall be calculated on a yearly basis using
the four severity levels No Operational Impact (1), Low Operational Impact (2), Medium
Operational Impact (3) and High Operational Impact (4):
where
Note:
The principle is similar to the Penalty on Reliability performance illustrated in Figure 1
above.
MR13.019 The Availability performance Penalty shall be calculated at the end of each calendar year
after Final Acceptance of the Delivery based on the Observed Failure Impacts during that
calendar year starting at the end of the first full calendar year. Availability performance
data collected between the date of Final Acceptance of the Delivery and the end of that
calendar year is discarded.
MR13.020 At any time, including the Roll-out Phase, if a Clear Case as defined in section 4.4.2 in
Appendix 6 Service Level Goals [6] is deemed for the Severity Level No Operation (5),
the Supplier shall pay a Penalty of (2011 prices) to the Customer.
MR13.021 A Penalty does not clear the Clear Case, i.e. a subsequent further Failure within too short
a time compared to the Target MTBF generates a new Clear Case and a further Penalty.
Example:
If the Customer has deemed a Clear Case because the Supplier has had 2 consecutive
Failures of No Operation (5), with a time interval in between that is smaller than 80% of
the minimum required MTBF, the Supplier shall pay a Penalty of to the
Customer. If a third consecutive Failure of No Operation (5), all with time intervals in
between that are less 80% of the minimum required MTBF is observed, this is considered
as a another Clear Case and the Supplier shall therefore pay an additional Penalty of
the Customer.
Guide:
The Clear Case definition thresholds in Appendix 6 Service Level Goals [6] are not
apportioned by the part of the Delivery which has passed Final Acceptance. This means
that the final RAM Targets will be used for defining the Clear Cases throughout the Roll-
out Phase.
During the duration of the Contract [9], the Suppliers obligation to achieve the RAM
Targets may be adjusted or cease completely. In particular, this may occur due to partial
termination of Maintenance (see Appendix 5 Maintenance [7]) or due to the Customer
performing certain significant changes where it has been specified in Appendix 16
Processes [3] that doing so will have an impact on the Service Level Goals warranty.
When the Service Level Goals are adjusted due to partial termination of Maintenance, the
Supplier will no longer be subject to an obligation to achieve the RAM Targets for the
terminated maintenance areas, but the Supplier will be responsible for achieving the
adjusted RAM Targets for the maintenance areas still performed by the Supplier, cf.
Appendix 5 Maintenance [7].
MR13.023 When the RAM Targets described in Appendix 6 Service Level Goals [6] are changed (i.e
they are adjusted or cease to apply), the change shall apply to the Penalty calculation
from the date upon which the change become effective. If the change becomes effective
during a calendar year, the Penalty shall be calculated separately for the part of the
calendar year before the date on which the change becomes effective and for the
remainder of the calendar year, so that the Penalty for each of these periods will be
calculated based on the RAM Targets and maintenance fees applicable to each period.
MR13.024 If the Supplier is not obligated to achieve any RAM Targets for a particular maintenance
area, but obligated to deliver spare parts and consumables within agreed lead times, the
Supplier shall pay a Penalty each time the Supplier does not provide spare parts and
consumables within the agreed lead times.
MR13.025 If the Supplier is not obligated to achieve any RAM Targets for a particular maintenance
area, but obligated to perform factory repair of parts within agreed repair times, the
Supplier shall pay a Penalty each time the Supplier does not perform factory repair of the
parts forwarded for repair by the Customer within the agreed repair times.
MR13.026 The Penalties for delayed spare parts/consumables and delayed factory repairs shall be
calculated as per spare part/consumable/factory repair order for each
commenced calendar day of delay until said spare part/consumable/factory repair has
arrived at the Customers premises.
Guide:
A spare part/consumable/factory repair order may cover a delivery of multiple spare
parts/consumables/factory repairs as well as a combination of those.
For Options ordered as Separate Tasks, reference should also be made to Appendix 3.8
Options [10].
8.1 Possessions
MR13.027 The Penalties on Possession over-runs in section 4 of this appendix shall apply to changes
ordered as Separate Tasks.
Guide:
This implies that the Penalties on Possession over-runs shall apply to Separate Tasks.
These Penalties will only be applied where the Separate Task in question can actually
cause a Possession over-run which may not be the case for most Separate Tasks.
MR13.028 The total amount of Penalties for Possession over-runs shall not exceed of the Total
Price of the Separate Task.
MR13.029 The Supplier shall pay a Penalty if the Supplier does not complete the delivery of an
important change ordered as a Separate Task by the agreed deadline for completion of the
Separate Task (as specified in Appendix 1 Time Schedule [2] when the appendix has
been updated further to the Parties agreement of the Special Task).
Guide:
The Customer states in the individual Change Request whether a particular change is
important.
Guide:
As an example, delay with completion of an important Separate Task priced at
with an agreed delivery time of 1,000 days would incur a daily Penalty of
MR13.031 The total amount of Penalties for late delivery shall not exceed of the Total Price of
the Separate Task.
No general Penalties for performance have been defined for Separate Tasks.
Guide:
It should be noted that if a Separate Task results in an increase in the maintenance fee,
the Penalties on RAM performance in section 7.2 will increase correspondingly, as they
are calculated as a percentage of the maintenance fee.