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authority template
Selecting a cell requiring input will bring up a pop-up instruction message. You can move the pop-up
message to another part of the screen by dragging it using the left button on your mouse.
Please note that the box and font sizes are locked and cannot be changed.
Projects with an AFC <= £1m and a risk score < 6 only have to complete pages 1, 4, 5 and 6.
The printable tabs are those highlighted in red; the Business Case tab coloured in green is for
inputting only. The Financials sheets (1-10) coloured in brown are for inputting of individual project
information. They feed into the main Financials tab (in red).
If you cannot input into a cell, it means that it is protected. Usually, this is because it is pulling
information from elsewhere or it is a heading or formatting section.
Do not leave "0" values or blank cells in the Business Case and Efficiency Measures sections. Enter
N/A if not applicable.
Save your template as an Excel Macro-Enabled Workbook to reduce the chances of data corrupting
when saving as an Excel 97-2003 Workbook.
If a value has been missed off from a drop-down list within this template, please contact
groupinvestment@networkrail.co.uk.
WHAT DO YOU FILL OUT AND IN WHAT ORDER SHOULD THIS BE?
1. Fill in the header section on Page 1 – this will populate the rest of the workbook; excluding the
project number and route on the additional Financials sheets.
2. Risk Scoring Matrix on Page 4 (Page 3 in the re-authority template) - these will populate the
two boxes on Page 1.
3. Financials Sheets (1-10) and the funding categories on Page 5 (Page 4 in the re-authority
template) – these will populate boxes on Page 1 and 2.
4. Volumes tab. This will populate section 5d (4d in the Re-authority template).
5. Right hand column of page 1.
6. The text sections.
7. The Cost Profile tab.
QUICK LINKS
Header & Footer
Business case section
Financials
HEADER
Project Title
The project title should be concise. Please refer to Oracle Projects and if possible, enter the project
title as entered there.
Workstream/ Programme
If the project is part of a programme or a workstream, please enter the information in the header on
Page 1. Alternatively, delete the text in the programme/workstream cell, leaving a blank cell between
‘Project Title’ and ‘Target Panel Date and Name’, e.g. Crossrail Programme, Intercity Express
Programme, North West Electrification, etc.
Target Panel Date and Name
The time and date of the target panel is now auto-populated from the dropdown at the foot of the
page. Please note that “target panel” means the next panel to review the paper, so if a paper is to be
reviewed at Anglia before recommendation onto Investment panel, the target panel for the first
submission is Anglia not Investment Panel.
OP Number
The OP number is the project number set up in Oracle Projects. Please enter this in the top left corner
of each individual brown finance tab (eg. 123456). If multiple projects, please enter the OP numbers
will pull through from each tab and show on the top lest hand corner of the front page. The Financial
Sheets (1-10) must provide individual data for each project included within the proposal (OP number,
route, cost breakdown, benefits phasing). Each Financials sheet (1-10) must refer to one project
only.
Submission No
This is the sequential submission number. For example if a scheme has previously been to panel 4
times, irrespective of whether it has been withdrawn post submission, authorised or rejected, the
new submission number will be No 5. If a paper is recommended to a higher panel, this also means
that the submission number will be greater. For example, submission 1 is reviewed by LNW panel and
recommended to Investment Panel; the submission to Investment Panel is submission 2.
Client/Sponsor/Deliverer
Please select a value from the drop-down menu – please mirror the information entered on OP.
FOOTER
Enter the paper author and date in the footer on Page 1.
PAGE 1
Decision required
Guidance is provided in the text box.
Section 1 – What are we doing?
Guidance is provided in the text box.
Section 2 – Why are we doing this project?
Guidance is provided in the text box.
Section 3 – How are we going to do it?
Guidance is provided in the text box.
Section 4 – Issues for noting
Guidance is provided in the text box.
Section 5a – Business Case [Section 4a in the re-authority template]
• Management Level of Control (LoC)
LoC provides a risk based assessment and guidance on the effort and detail required for planning,
reporting and controlling projects. It represents a project categorisation based on:
a) Impact on the Company (safety or performance);
b) Project Manager and Project Team competence of similar projects;
c) Use of new materials or working methods;
d) Involvement or funding by Third Parties;
e) Political issues;
f) Access and location;
g) Cost and time.
All projects undertaken within Investment Projects and Asset Management (Renewals) shall be
assessed by the relevant Project Manager and Programme Controls Manager with a Management
Level of Control (LoC) score agreed and subsequently assigned.
Management Level of Control is a Network Rail standard. Please follow the below link for more
information. Details can be found on tab 'Download' on the standard's Connect page.
http://networkrailstandards/BSI/StandardHeaderView.aspx?id=18532
• Asset or Business Change
Asset change is a change to the NR infrastructure, e.g. signalling or track renewals
Business change represents a change to NR systems, people and processes.
Paper either wholly or partially indicating Business Change elements are reviewed for inclusion at the
Business Change Panel.
Where the scheme represents an asset and business change at the same time, please select ‘Both’
from the drop-down menu.
• Authority sought
The value represents the cumulative authority the paper seeks (total including previously authorised
amounts). The cell is auto-populated from the authority / AFC section on the same page.
• NR AFC
Network Rail AFC is the total agreed expected project cost which will be charged through Network
Rail’s books. The value shown in the business card is brought in from Page 5 (page for in the Re-
authority template)
It should be noted that NR AFC is different to Industry AFC and Project AFC. See definitions below:
Industry AFC is the total agreed expected cost of the total railway scheme, irrespective of who is
funding or delivering.
Project AFC is the total agreed expected cost that will be charged directly through the project.
• Programme AFC
Where the project is part of a wider programme, the Programme AFC represents the anticipated final
cost of all activities not included with the submission’s AFC. Examples would include; Northern Hub,
Electrification programmes, train lengthening packages, where the paper may not represent the
entire interdependent programme or scheme. This should not be confused with schemes of work
classified together by funding category eg. NSIP
• Commissioning date
Date of commissioning for asset, pre-warranty period. Where multiple assets are being commissioned
the commissioning date should relate to the point at which benefit(s) commence and may be drawn
from the asset. This is on completion of works when the asset becomes fit for purpose. Where the
paper covers multi-site/multi-asset works, this would be the last commissioning date.
• Sustainability Impact
The paper should answer the question: ‘Does this project have a positive social, economic or
environmental impact?’
• The following should be considered:
• Carbon
• Climate change adaptation
• Biodiversity (also covering ecology and land use)
• Diversity and inclusion
• Accessibility
• Air quality
• Noise and vibration
• Waste and pollution
• Land use and biodiversity
• Water and material use
• Climate change (including energy use)
The sustainability policy is available on Connect.
• NPV
Net Present Value will auto-populate from the Business Case - Base tab (green tab). Enter N/A if not
applicable (if the business case is owned by a Third Party or for renewals driven by asset condition).
Override if using the Property income orientated DCF model.
• IRR
Internal Rate of Return will auto-populate from the Business Case - Base tab (green tab). Enter N/A if
not applicable (if the business case is owned by a Third Party or for renewals driven by asset
condition). Override if using the Property income orientated DCF model.
• Payback
Payback will auto-populate from the Business Case - Base tab (green tab). Enter N/A if not applicable
(if the business case is owned by a Third Party or for renewals driven by asset condition). Override if
using the Property income orientated DCF model.
• BCR
This is the socio-economic Benefits to Costs Ratio calculated for those projects requiring public
funding and for which the funder (DfT, Scottish Government, etc) has indicated that a socio-economic
business case is required. This includes major schemes for potential CP5 funding as part of Periodic
Review. It also includes NRDF schemes and Scotland Small Projects Fund (SPF) schemes. It may
include Strategic Freight Network schemes (we have developed socio-economic business cases for
some SFN schemes but by no means all. The client should be able to advise when a socio-economic
appraisal is required. It may include other schemes.
In some cases the BCR is defined as “financially positive” rather than a specific number. If this is the
case, please enter ‘positive’ in the cell provided.
Please contact the Economic Analysis team for help and guidance.
• Asset life
This is the average life of the asset. Please note that it cannot be longer than the asset life shown on
the Financials tab / Business Case – Base tab.
• Headcount reduction
This refers to number of posts at an FTE level.
• Tax impact
Please select from the list of tax sensitive items
The following refer to operating, maintenance and renewals expenditure. Please fill out where
applicable
• Mean time between failure
• Forecast Efficiency, Target Efficiency and Target Efficiency reference
PAGE 5
Funding
Funding Categories: In addition to the CP5 funding categories, the following categories are available:
1. Opex (Opex funded schemes)
2. European Grant Funding (EU funded schemes)
3. Private Party (Schemes where Network Rail does not own the asset at the end of work)
All values on this page with the exception of the funding categories will be brought in from the
Financials tabs (1-10). Please enter the relevant funding category on each line.
Should you require a funding source that is not in the drop-down, please contact Group Investment.
Outlay (Proposal Estimate) - Current authority
Where Network Rail Maintenance is engaged (including their associated works delivery teams) to
deliver large parts of a renewals scope, please enter Maintenance Costs under NR Project Other
Costs.
Note: All financial values are entered in cash prices.
PAGE 6
Include any pictures, slides, diagrams and photos on page 6.
Reason Analysis
The reason analysis section seeks a breakdown AFC at the same baselines as the cost movement
over time section, however this seeks a causal reasoning for variances rather than a breakdown of
expenditure type. Presenters are required to analyse AFC movements into the following categories:
- External client scope change (usually driven by DfT or third party funders)
- Internal scope change
- Unit rate variance (higher unit rate costs than planned)
- Access constraints (higher schedule 4 costs, or prolongation as a consequence of changes to
planned access
- Other
Presenters are required to populate the sections in grey, which will automatically populate the
waterfall graph.
Volumes Tab
To complete the tab, first of all enter the project number in column A, unless this is a multiple project
number request, in which case enter “All” as the project number. Should you have more than one OP
number, please enter all volumes for all interventions first under the “All” OP number, then enter the
OP numbers and breakdown of volumes per OP number. This will give panel a true breakdown of
volumes in the project.
Then enter your project title or site name for multiple sites in column B. These are free text fields.
This then leads onto the dropdown choices in columns C, D and E.
In column C, please choose you asset type. In Column D, please choose your intervention type. In
Column E, please choose your volume type (this will also include the reporting units if applicable).
Columns F and G are locked. You will not be able to change anything in these columns.
Finally, please enter the number of volume units in column H.
This will then auto-populate section 5d “Unit Cost Information” on the front page of the template.
Should you have more than one OP number, please enter all volumes for all interventions first under
the “All” OP number, then enter the OP numbers and breakdown of volumes per OP number. This will
give panel a true breakdown of volumes in the project.
CHANGE LOG
Changes to Section 5
- new fields (BCR, Tax Impact, Whole Life Cost)
- multiple volume types
- re-positioning of sections within Section 5 and deletion of map
- Stakeholders - additional signatories
Changes to Compliance Checklist
- date added
- number of lines reduced
- free text box
Changes to Financials
- additional Funding category line
- sheet locked except for the Project funding section with
information now pulled from the new individual project sheets
- 10 new Financials tabs added. To be used as input sheets for
each project included in the paper
5.1 - New funding category added (Performance Recovery Fund) R Conneely 23-Oct-12
- Funding categories on Financials tabs (1-10) auto-populated
from the Project Funding section on the main Financials tab
- AMS added to the client, sponsor and delivery groups' drop-
down menus in the Header on Page 1
5.2 - New funding category added (Enhancements CP4 Accelerated) R Conneely 15-Jan-13
5.3 - New funding categories added (North West Electrification, R Conneely 20-Feb-13
GWML Electrification, Trans-Pennine Electrification, MML
Electrification)
6.0 - New delivery groups as of 4th March. R Conneely 25-Mar-13
- Client/Sponsor Groups: Strategy & Planning has been renamed
to Group Strategy; AM SP&C and Corporate Development have
been taken out
- Green Credentials replaced with Sustainability Impact
- A drop-down list has been set up for Whole Life Cost
- Unit costs should now be shown in £k and not £m
- 21 Buildings Asset Blocks have added to the RPI drop-down
menu
- RWIs updated with a more comprehensive list [NOTE: Due to
the large number of RWIs, a table showing the asset and all
relevant RWIs has been placed to the Guidance tab]
- Current financial year set to 13/14
6.1 - Changes to the target panel and date cell. Now where the paper R Conneely 15-Aug-13
is reviewed by multiple panels, each paper has to be updated
with the relevant panel name/date and the respective submission
number, i.e. even if there are no other changes to the paper
these two fields must be updated when forwarding the paper from
one panel to another
- New drop down menu for the period in Section 5b
- List of repeatable work items within Section 5d updated
- Tier 3 benefits' list (Section 7) updated with 'enabler'
6.2 - Changes to the Funding categories available witin the template M Reynolds 26-Feb-14
to reflect CP5
6.3 - Changes to prompts to include Whole Life Cost M Reynolds 28-Mar-14
6.4 - Changes to the financial pages to reflect new financial year T Eccles 14-Apr-14
6.5 -Changes to name of 'Information Technology' to' GBS' and 'NDS' T Eccles 23-Apr-14
to 'NSC' in the Delivery, Sponsor and Funding/Client fields.
- GRIP stage formatted to a fixed dropdown.
6.6 Changes to Tier 1 Benefits table to reflect the new financial year. T Eccles 30-May-14
6.7 - Auto-population of the OP code (Tab 1 cell A1) from Financials T Eccles 11-Jul-14
Tabs.
- Fixed cell formatting of OP code cell of Financial Tabs to 6
values.
- Locked workbook structure to prevent changes to tab
location/name.
6.8 Lessons Learnt query added to Risks and Opportunites tab M Reynolds 04-Aug-14
6.9 Digital Railway added to Funding/Client, Sponsor and Deliverer J Farrington 21-Nov-14
fields.
6.10 LSE Resilience - Perf&Weather added to funding category. J Farrington 22-Jan-15
6.11 Outside Party added to funding category. J Farrington 02-Feb-15
6.12 - Changes to the financial pages to reflect new financial year J Farrington 09-Apr-15
6.13 - Refresh of funding categories in "5 - Financials". J Farrington 21-May-15
6.14 - Addition of "STE" in Deliverer dropdown J Farrington 22-Jun-15
6.15 - Addition of FPM Impact criteria J Farrington 01-Jul-15
6.16 Addition of "ELLIPSE" in Deliverer dropdown and replacement of J Farrington 14-Sep-15
"CR005 Northern Hub" with "CR005 N of England Ph1" & "CR005
N of England Ph2".
6.17 Removal of Deliverer: IP Western & Wales/CR and addition of: J Farrington 04-Dec-15
Deliverer: IP Wales
Deliverer: IP Western
Deliverer: IP Crossrail
6.18 Addition of: J Farrington 15-Dec-15
F012a New Stations Fund 2
F013a SCPF 2
F002c Access for All 2
funding categories
6.19 Addition of "European Grant Funding" funding category. J Farrington 29-Jan-16
6.20 Changes to prompts for Contingency Graph completion and J Farrington 02-Feb-16
conditional formatting on project title.
Addition of visual indicator in Section 5e "Impact on FPM"
6.21 Addition of "SaaS Solutions (O)" funding category. J Farrington 15-Mar-16
6.22 Update to reflect new financial year (2016/2017) J Farrington 29-Mar-16
6.23 Addition of: J Farrington 31-Oct-16
• Cost Profile Tab
• Volumes Tab
• Third Party Funder cell in section 5b. Project Details.
Re-composition of:
• Section 5d. Unit Cost Information to reflect the Cost & Volume
Handbook
• Risk Matrix to reflect CRAM.
• Routes dropdown on 1 - Project on a Page
• Guidance tab to reflect the changes
Dropdown Menu added to 1 - Project on a Page for:
• Target Panel
• Panel Date