Licence enforcement taken by us to date

This page contains information about our enforcement action taken against Network Rail and others. It covers enforcement orders, monetary penalties, notices in lieu of enforcement action and breaches where no action was taken.

In this section:

Date Issue Enforcement action
15/10/2015Looking into the delivery of Network Rail's enhancements programmeNetwork Rail found to be in current breach of Condition 1 of its network licence pdf icon PDF, 691 Kb with regard to its failure to adequately plan and deliver its enhancements programme.
 
We agreed not to impose an enforcement order at this time as ORR is satisfied that there is sufficient evidence pdf icon PDF, 3,884 Kb that Network Rail has agreed to take, and is taking, all such steps as appear appropriate to ORR for the purpose of securing or facilitating compliance with condition 1 of its network licence. 
 
We issued a notice pdf icon PDF, 1,523 Kb relating to this decision. 
10/08/2015 Looking into issues affecting performance during the first year of CP5 in Scotland and Southern and Govia Thameslink Railway Network Rail found to have breached Licence Condition 1 of its Network Licence pdf icon PDF, 345 Kb in relation to Scotland and Southern and GTR.

Draft penalty notice re: breach 2014-15 performance (Southern and GTR) - request for extension to response deadline pdf icon PDF, 377 Kb (27 August 2015). Having considered representations in response to our draft notice, including an offer of reparations from Network Rail we decided pdf icon PDF, 3,312 Kb to accept this offer of a reparation fund in lieu of the proposed penalty.

For Scotland decision made not to impose a penalty given the actions that Network Rail is undertaking to address the timetable issues identified.

For Southern and GTR decision made to impose a penalty of £2m pdf icon PDF, 334 Kb issued under section 57C of the Railways Act 1993 following poor performance and disruption caused by timetabling issues.
12/02/2015 Failings in the planning and delivery of engineering works at Kings Cross and Paddington stations which resulted in disruption to passengers on 27 and 28 December 2014 (licence conditions 1 (network management) and 2 (information)) We agreed not to impose an enforcement order at this time because NR agreed to take, and is taking, all such steps as appear appropriate to us for the purpose of securing or facilitating compliance with condition 1 and condition 2 of its network licence. In particular, NR has agreed to implement the recommendations set out in our investigation report pdf icon PDF, 807 Kb.

We issued a Notice pdf icon PDF, 228 Kb relating to this decision on the basis that we are satisfied that an enforcement order would not, at this stage, deliver a better result than would be achieved by delivery of the recommendations and would not provide greater impetus on NR“s delivery to secure more effective or timely compliance with condition 1 and condition 2 of its licence.
07/07/2014 Network Rail failed to deliver performance targets for the long distance sector in 2013-14 Under an enforcement order pdf icon PDF, 335 Kb made by ORR in July 2012

Network Rail was required to pay a reasonable sum if the 2013-14PPM target was not achieved. Taking account of issues beyond Network Rail's control in 2013-14, the company will return £53.1m to funders for failure to deliver its agreed obligations in 2013-14.
 
Decision letter pdf icon PDF, 2,108 Kb
07/07/2014 Network Rail failed to deliver performance targets for the London and South East (LSE) sector in 2013-14

Network Rail found to have breached condition 1 of its network licence in relation to London and South East sector.

Decision letter pdf icon PDF, 2,108 Kb

A penalty was not considered appropriate in light of acknowledgment of responsibility and the company's commitment to extra funds to improve the resilience of the rail network in LSE. Plans expected to include projects costing at least £25m must be in place by December 2014.

31/07/2013

Network Rail failed to deliver performance targets for the Long Distance and London and the South East sectors in 2012-13.

Network Rail found to have breached Licence Condition 1 of its Network Licence in relation to Long distance and London and South East Sectors in 2012-13. Decision pdf icon PDF, 1,176 Kb made not to impose penalty on Network Rail for long distance performance as existing order in place for 2013-14 nor to impose penalty for London and South East performance in light of recent progress.

23/07/2012

Weaknesses in Network Rail's plan to deliver performance targets for the long distance sector in 2013-14. This order includes a payment of a reasonable sum should Network Rail fail to meet its commitments, set on a sliding scale of £1.5m for each 0.1 of a percentage point that it falls below the target. (under condition 1 of the network licence in 2012)

Final order pdf icon PDF, 97 Kb issued under section 55 of the Railways Act 1993 requiring Network Rail to deliver the committed target, including further review and development of its plans. Also included in the final order pdf icon PDF, 425 Kb is a payment if Network Rail fails to meet the target, depending on the level of PPM achieved.

19/01/2012

Network Rail's failure to deliver performance targets for the freight sector; Network Rail to set up and facilitate a recovery board comprising of relevant freight operators to agree steps to be taken to remedy the breach within a specified timescale. (under condition 1 of the network licence in 2012)

Final order pdf icon PDF, 335 Kb issued under section 55 of the Railways Act 1993, requiring Network Rail to set up and facilitate a recovery board comprising of relevant freight operators to agree the steps to take to remedy the breach, within a specified timescale.

19/01/2012

Weaknesses in Network Rail's plan to deliver performance targets for the long distance sector for 2011-12 and 2012-13; a recovery plan was required. (against Network Rail, under condition 1 of the network licence in 2012)

Final order pdf icon PDF, 335 Kb issued under section 55 of the Railways Act 1993, requiring Network Rail to produce and implement a plan setting out the steps it will take in the remainder of 2011‐12 and for 2012‐13 to deliver the outputs.

22/11/2010

Breach of Network Rail's network licence in relation to the introduction of the Integrated Train Planning System. Continuing breach due to failure to meet required timescales for providing information on changes to the timetable. (Conditions 1 and 2 of the network licence, 2010)

Penalty of £3m on Network Rail pdf icon PDF, 75 Kb, issued under section 57C of the Railways Act 1993.
Press notice

13/05/2008

Continuing breach of Network Rail's network licence in relation to the planning and execution of engineering work requiring possessions. (Condition 7 of the network licence, 2008)

Penalty of 14m on Network Rail pdf icon PDF, 1,437 Kb, issued under section 57C of the Railways Act 1993.
Press notice.

22/04/2008

Weaknesses in Network Rail's planning and execution of engineering projects requiring possessions. (Condition 7 of the network licence, 2008)

Final order pdf icon PDF, 137 Kb issued under section 55 of the Railways Act 1993, requiring Network Rail to produce and implement a plan to address weaknesses.

28/02/2008

The likelihood of Network Rail failing to provide infrastructure capability to deliver significant timetable improvements for December 2008. (Condition 7 of the network licence, 2008)

Provisional order pdf icon PDF, 56 Kb issued under section 55 of the Railways Act 1993, requiring Network Rail to produce and deliver a plan and output in relation to the WCRM project.
Reasons for the provisional order pdf icon PDF, 26 Kb.

28/02/2008

Network Rail's decision to take an additional possession at Rugby on 31 December 2007 at late notice, despite the objections of affected operators. (Condition 9 of the network licence, 2008)

No enforcement action taken. A conclusions document pdf icon PDF, 25 Kb was published on our website.

06/09/2007

Weaknesses in Network Rail's planning of the Portsmouth resignalling scheme. Network Rail made decisions risking subsequent failure to meet the reasonable requirements of its customers over a significant period of time. (Condition 7 of the network licence, 2007)

Penalty of 2.4m on Network Rail pdf icon PDF, 646 Kb, issued under section 57C of the Railways Act 1993.
Press notice.

26/10/2006

Network Rail's disposal of land at East Grinstead without ORR consent. (Condition 26 of the network licence, 2006)

No enforcement action was taken. A warning letter pdf icon PDF, 1,020 Kb was sent to Network Rail.

12/04/2006

Network Rail's failure to publish accurate information about the capability of the network. (Condition 7 of the network licence, 2006)

Penalty of 250,000 on Network Rail pdf icon PDF, 601 Kb, issued under section 57C of the Railways Act 1993.

02/03/2006

Network Rail's failure to ensure accurate information on infrastructure capability was available. (Condition 7 of the network licence, 2006)

Notice under section 55 of the Railways Act 1993 pdf icon PDF, 229 Kb - decision not to make an Order in relation to contravention of Condition 7.
Press notice.

08/03/2005

Network Rail's failure to plan renewal, maintenance and enhancement of the network in a timely and efficient manner (T-12). This related to temporary changes to the national timetable. (Condition 9 of the network licence, 2005)

Notice under section 55 of the Railways Act 1993 pdf icon PDF, 496 Kb - decision not to make an Order in relation to contravention of Condition 9.

02/09/2004

Network Rail's failure to plan renewal, maintenance and enhancement of the network in a timely and efficient manner (T-12). This related to temporary changes to the national timetable. (Condition 9 of the network licence, 2004)

Notice under section 55 of the Railways Act 1993 pdf icon PDF, 315 Kb - decision not to make an Order in relation to contravention of Condition 9.

14/05/2003

The omission of long term expenditure projections from Network Rail's 2003 business plan. (Condition 7 of the network licence, 2003)

Notice under section 55 of the Railways Act 1993 pdf icon PDF, 108 Kb - decision not to make an Order in relation to contravention of Condition 7.

19/11/2002

Railtrack Plc's failure to plan renewal, maintenance and enhancement of the network in a timely and efficient manner at Bletchley engineering works. (Condition 9 of the network licence, 2003)

Notice under section 55 of the Railways Act 1993 pdf icon PDF, 97 Kb - decision not to make an Order in relation to contravention of Condition 9.

12/04/2002

Railtrack Plc's failure to plan the renewal, maintenance and enhancement of the network in a timely and efficient manner for disruptive short notice possessions at Grantham. (Condition 9 of the network licence, 2002)

Notice under section 55 of the Railways Act 1993 pdf icon PDF, 92 Kb - decision not to make an Order in relation to contravention of Condition 9.

25/03/2002

South West Trains Limited's failure to provide information on its performance to enable Railtrack Plc to comply with condition 9 of the network licence (T-12). (Condition 14 of its passenger train operator licence, 2002)

Notice under section 55 of the Railways Act 1993 pdf icon PDF, 100 Kb - decision not to make an Order in relation to contravention of Condition 14.

12/12/2001

Railtrack Plc's failure to deliver performance targets in relation to delay minutes. (Condition 7 of the network licence, 2001)

Penalty of 7.9 million on Railtrack Plc pdf icon PDF, 94 Kb, issued under section 55 of the Railways Act 1993.

28/11/2001

Railtrack Plc's failure to plan renewal, maintenance and enhancement of the network in a timely and efficient manner for short notice possessions and driver training at Pelaw junction. (Condition 9 of the network licence, 2001)

Notice under section 55 of the Railways Act 1993 pdf icon PDF, 47 Kb - decision not to make an Order in relation to contravention of Condition 9.

09/11/2001

Railtrack Plc's failure to plan renewal, maintenance and enhancement of the network in a timely and efficient manner for possessions at: Bloxwich - Hednesford & Church Fenton - Milford junction. (Condition 9 of the network licence, 2001)

Notice under section 55 of the Railways Act 1993 pdf icon PDF, 81 Kb - decision not to make an Order in relation to contravention of Condition 9.

19/03/2001

Railtrack Plc's failure to secure the maintenance, renewal and replacement of the network in accordance with best practice and in a timely, economic and efficient manner after the Hatfield rail incident. (Condition 7 of the network licence, 2001)

Provisional order pdf icon PDF, 192 Kb under section 55 of the Railways Act 1993, requiring Railtrack Plc to restore the normal operation of the network within defined timescales.

02/11/2000

Railtrack Plc's failure to plan renewal, maintenance and enhancement of the network in a timely and efficient manner for short notice possessions at Wortley Junction. (Condition 8 of the network licence, 2000)

Notice under section 55 of the Railways Act 1993 pdf icon PDF, 113 Kb - decision not to make an Order in relation to contravention of Condition 8.

21/09/2000

Railtrack Plc's failure to plan renewal, maintenance and enhancement of the network in a timely and efficient manner for possessions at Camden Junction. (Condition 8 of the Network licence, 2000)

Notice under section 55 of the Railways Act 1993 pdf icon PDF, 135 Kb - decision not to make an Order in relation to contravention of Condition 8.

23/06/2000

Railtrack Plc's failure to plan renewal, maintenance and enhancement of the network in a timely and efficient manner for a short notice timetable change at Princes Risborough - Aynho trackworks. (Condition 8 of the network licence, 2000)

Notice under section 55 of the Railways Act 1993 pdf icon PDF, 107 Kb - decision not to make an Order in relation to contravention of Condition 8.

20/06/2000

Railtrack Plc's failure to plan renewal, maintenance and enhancement of the network in a timely and efficient manner for a short notice timetable change at Hereford to Abergavenny engineering works. (Condition 8 of the network licence, 2000)

Notice under section 55 of the Railways Act 1993 pdf icon PDF, 109 Kb - decision not to make an Order in relation to contravention of Condition 8.

04/05/2000

Railtrack Plc's failure to deliver West Coast modernisation with the efficiency of an experienced infrastructure operator and controller.(Condition 7 of the network licence, 2000)

Final order pdf icon PDF, 351 Kb under section 55 of the Railways Act 1993. Detailing Railtracks required compliance to condition 7.

24/11/1999

Railtrack Plc's failure to deliver performance targets in relation to delay minutes. (Condition 7 of the network licence,1999)

Final order pdf icon PDF, 350 Kb under section 55 of the Railways Act 1993, to ensure that the minutes delay in the total period is at least 12.7 per cent less than the minutes delay in the base year.

29/10/1999

Railtrack Plc's failure to plan renewal, maintenance and enhancement of the network in a timely and efficient manner for the resignalling project in the Dartford Area. (Condition 8 of the network licence)

Notice under section 55 of the Railways Act 1993 pdf icon PDF, 198 Kb - decision not to make an Order in relation to contravention of Condition 8.

08/09/1999

National Rail Enquiry Service's (NRES) non-compliance with answering targets pending investigation of the achievability of the targets. (Condition 7 of passenger train operator licences, 1999)

No enforcement action taken. We reminded NRES it must plan for capacity as it was already subject to an enforcement order, imposed on 4 December 1998.

04/12/1998

NRES' failure to meet telephone call answering targets. (Condition 7 of all franchised passenger train operator licences in 1998)

Final order on NRES under section 55 of the Railways Act 1993, which remained in place until performance was consistently meeting the target.

16/07/1998

Railtrack's 1998 Network Management Statement published the commitments it had given detailing where it needed to take action to secure compliance with its obligations under Condition 7. (Condition 7 of network licence, 1998)

No enforcement action taken but an ORR statement pdf icon PDF, 439 Kb was published requiring Railtrack to set targets for activities.

23/10/1997

Failure of all franchised passenger train operators to ensure that calls are answered with expected answering targets for NRES. (Condition 7 of passenger train operator licences, 1997)

Penalties totalling 350,000 (250,000 in September and 100,000 in October) on all franchised passenger train operators, issued under section 55 of the Railways Act 1993.

15/08/1997

NRES' failure to meet telephone call answering targets. (Condition 7 of all franchised passenger train operator licences in 1997)

Final order on NRES, under section 55 of the Railways Act 1993 as too many calls were still going unanswered.

12/03/1997

LTS Rail Limited's failure to comply with the Ticketing and Settlement Agreement and Travelcard agreement. (Condition 7 of its passenger train operator licence, 1997)

Notice under section 55 of the Railways Act 1993 pdf icon PDF, 250 Kb - decision not to make a further Order in relation to contravention of Condition 7.

 

Northern Spirit Limited's (Regional North East Railways) failure to maintain station ticket office opening hours (Condition 7 of its passenger train operator licence, 1997).

 

26/06/1996

West Anglia Great Northern Railway Limited's failure to comply with the Telephone Enquiry Bureau scheme. (Condition 7 of its passenger train operator licence, 1996)

Notice under section 55 of the Railways Act 1993 pdf icon PDF, 88 Kb - decision not to make a further Order in relation to contravention of Condition 7.