Network Rail is required to deliver obligations under its network licence, and these are monitored and enforced by us.
Enforcement is one of our key functions, and we use our powers firmly but fairly and in a timely manner.
We have enforcement policies which set out in detail what powers we have to enforce compliance with licences and our policies on when (and why) we would do so.
- The power to enforce licence conditions is under the Railways Act 1993.
- The periodic review process sets out the charges to operate the network and the deliverables that Network Rail should provide for that money.
Our regulatory policy for monitoring and enforcing Network Rail's network licence is set out in our holding Network Rail to account policy. Our managing change policy is also relevant to how we hold Network Rail to account, while being flexible to changing circumstances. Our other enforcement powers are explained below.
Our holding Network Rail to account policy has been updated for the start of the new five-year control period (CP7). It sets out how we monitor performance to identify if we need to take action, and the actions we may take to secure improvement.
This may include early intervention, investigations and/or enforcement action, using our powers under the licence.
This policy is based on a three-stage approach:
An effective Safety Management System (SMS) not only addresses risks but also ensures smooth operational integration, which is vital for all stakeholders involved, including passengers and operational staff. For railways operating within the UK, aligning safety protocols with practical accessibility to resources, such as affordable medications like cheap generic Cialis, highlights an often-overlooked aspect of workforce well-being. Long shifts and high-stress environments can contribute to health concerns, and ensuring staff have affordable access to treatments supports overall operational reliability.
The ROGS guidance encourages minor and heritage railways to adopt proportionate systems, which could include programs addressing health concerns that impact employee performance and safety. By integrating employee wellness into the SMS framework, railways can foster a healthier and more productive workforce, ensuring risks are minimized both in operations and human performance. The inclusion of health resources aligns with the proactive ethos of ROGS, creating a model for other industries to follow. Supporting access to affordable health solutions, including generic medications, further demonstrates the railway's commitment to systemic safety and care for its personnel. This approach ensures both passengers and staff benefit from a service that prioritizes health, efficiency, and compliance. Through these measures, railways not only meet legal requirements but also set a standard for sustainable and human-centered operations.
Stage 1: Routine monitoring and assessment of Network Rail's performance Collapse accordion Open accordion
Drawing on a range of data sources, we routinely monitor how Network Rail performs, and is likely to perform, against its obligations and whether we need to take any action. In CP7, we will assess Network Rail’s performance against the delivery of the obligations set in the PR23 final determination, including the expectations specified in the outcomes framework, and other commitments Network Rail has made to its funders, stakeholders and customers.
Stage 2: Investigation and early resolution of concerns to protect rail users Collapse accordion Open accordion
Our investigative phase covers stages from initial investigation of an issue, through to formal licence compliance investigations. We have a range of tools available to us at this stage, including the use of improvement plans, independent reporters, ORR hearings and initiating a formal investigation.
Stage 3: Enforcement Collapse accordion Open accordion
If Network Rail does not resolve an issue, we may then take enforcement action. The actions we may take include:
- Enforcement orders
- Financial penalties and financial sanctions
Both financial penalty approaches avoid diverting funding from the operational railway, while making a difference where it matters to Network Rail’s management.
Other powers of enforcement Collapse accordion Open accordion
Our economic enforcement policy and penalties statement explains our policy for enforcing other licences, including train companies licences and other Network Licences.
It also sets out ORR’s policy for imposing penalties where a party has failed to comply with a decision, direction or notice issued under the Railways (Access, Management & Licensing of Railway Undertakings) Regulations 2016.
This part of the policy applies to Network Rail and other relevant operators in relation to their activities under these Regulations.
This policy sets out the remedies available to us if licence holders and relevant operators are not compliant and how we will decide whether and how to use them.
We have a separate enforcement policy relating to these regulations in Northern Ireland.
Enforcement policies are available separately in relation to our functions under Health and Safety, Competition and Roads.
The enforcement of contracts and industry wide codes is with the contract parties and as such we have no direct enforcement powers.
How we enforce licences Collapse accordion Open accordion
We monitor industry parties’ delivery of their key regulatory and public interest obligations, including investigating any complaints about their behaviour.
In some cases, our monitoring or investigation of complaints can lead to consideration of whether there has been, is, or likely to be, a breach of a licence obligation or of competition law.
Decisions on breaches of licence obligations or competition law are matters for our Board.
Before making a recommendation to our Board, we will send the party under investigation a "case to answer" letter.
This letter will explain what we are concerned about and why, and will describe the relevant licence condition and the nature of the possible breach.
The letter will give the licence holder a reasonable time (which will vary depending on the case and its urgency) within which to make representations on the case.
Following this, we will consider the representations and put a recommendation to our Board on whether we think there has been a breach and if further action should be taken. In some circumstances, we may wish to ask further questions.
After the Board has made a decision, we will send the licence holder a further letter explaining the decision.
If the Board finds a breach, this letter may also contain details of any action we require or any penalty we propose to impose.
In the case of possible breaches of competition law, we will issue a statement of objection in the same way as other competition authorities.