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.
Enforcement grouped by date
From 2016
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| Date | Issue | Enforcement action |
|---|---|---|
| 30/01/2019 | Looking into the delivery of Network Rail's management of changes to the national rail timetable leading up to the May 2018 timetable change | On 30 January 2019 we issued a final order requiring Network Rail to take a series of actions to improve the effectiveness and efficiency of the timetable process and improve transparency for stakeholders. This includes a requirement to provide a report by 1 April 2019 on how it will continue to run and efficient, effective, fair and transparent process for future timetable changes. It is also required to provide a plan by 1 April 2019 for how it intends to lead the industry review of Network Code Part D. It is also required to set out by the same date how it will integrate reporting on its timetable capability into its CP6 reporting. On 25 July 2019 we wrote to Network Rail confirming that it had complied with the four actions we set it on 30 January 2019. In July 2018, we decided to find Network Rail in current breach of conditions 1.23 and 2.7 of its Network Licence. Given the complex circumstances of the breach we wanted to take account of the work that Network Rail and the wider industry were doing and the findings of our separate Inquiry before making a final order. |
| 28/11/2018 | Weaknesses in Network Rail performance management capabilities; including its approach and commitment to performance planning; and capability to recover service from incidents on the network, in conjunction with train operators. | On 3 April 2019, ORR approved the action Network Rail must take to improve train performance for passengers and freight users both immediately and in the longer term. Provisional order issued under section 55 of the Railways Act 1993, requiring Network Rail to engage and work with train operators; and deliver a report to ORR by 15 February 2019 detailing how it is identifying the common underlying issues relating to performance planning and service recovery; and addressing and implementing the conclusions of its report going forward into CP6. |
2006 to 2015
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| Date | Issue | Enforcement action |
|---|---|---|
| 15/10/2015 | Looking into the delivery of Network Rail's enhancements programme | Network Rail found to be in current breach of Condition 1 of its network licence 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 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 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 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 (27 August 2015). Having considered representations in response to our draft notice, including an offer of reparations from Network Rail we decided 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 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. We issued a Notice 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 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 |
| 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. 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. |
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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 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. |
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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 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 is a payment if Network Rail fails to meet the target, depending on the level of PPM achieved. |
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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 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. |
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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 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. |
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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, issued under section 57C of the Railways Act 1993. |
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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, issued under section 57C of the Railways Act 1993. |
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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 issued under section 55 of the Railways Act 1993, requiring Network Rail to produce and implement a plan to address weaknesses. |
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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 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. |
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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 was published on our website. |
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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, issued under section 57C of the Railways Act 1993. |
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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 was sent to Network Rail. |
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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, issued under section 57C of the Railways Act 1993. |
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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 - decision not to make an Order in relation to contravention of Condition 7. |
1996 to 2005
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| Date | Issue | Enforcement action |
|---|---|---|
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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 - decision not to make an Order in relation to contravention of Condition 9. |
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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 - decision not to make an Order in relation to contravention of Condition 9. |
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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 - decision not to make an Order in relation to contravention of Condition 7. |
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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 - decision not to make an Order in relation to contravention of Condition 9. |
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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 - decision not to make an Order in relation to contravention of Condition 9. |
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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 - decision not to make an Order in relation to contravention of Condition 14. |
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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, issued under section 55 of the Railways Act 1993. |
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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 - decision not to make an Order in relation to contravention of Condition 9. |
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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 - decision not to make an Order in relation to contravention of Condition 9. |
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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 under section 55 of the Railways Act 1993, requiring Railtrack Plc to restore the normal operation of the network within defined timescales. |
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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 - decision not to make an Order in relation to contravention of Condition 8. |
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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 - decision not to make an Order in relation to contravention of Condition 8. |
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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 - decision not to make an Order in relation to contravention of Condition 8. |
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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 - decision not to make an Order in relation to contravention of Condition 8. |
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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 under section 55 of the Railways Act 1993. Detailing Railtracks required compliance to condition 7. |
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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 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. |
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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 - decision not to make an Order in relation to contravention of Condition 8. |
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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. |
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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. |
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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 was published requiring Railtrack to set targets for activities. |
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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. |
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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. |
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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 - decision not to make a further Order in relation to contravention of Condition 7. |
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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). |
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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 - decision not to make a further Order in relation to contravention of Condition 7. |
Enforcement grouped by topic
Enforcement relating to enhancements (2015)
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Our enforcement documentation related to enhancements.
Looking into the delivery of Network Rail's enhancements programme:
- Breach of Condition 1 of Network Rail's network licence with regard to its planning and delivery of its enhancements programme – letter from ORR
16 October 2015 - Notice in accordance with Section 55(6) of the Railways Act 1993, as amended, of the Office of Rail and Road decision not to make a Final Order, or make or confirm a Provisional Order, in relation to Network Rail Infrastructure Limited's contravention of Condition 1 of its network licence
16 October 2015 - ORR evidence report - Network Rail's overall planning, management and delivery of its enhancements programme
16 October 2015
Enforcement relating to operational performance (2011 to 2015)
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Our enforcement documentation related to operational performance.
- Breach of Condition 1 of Network Rail's network licence with regards to Network Rail's operational performance - Decision letter, 10 August 2015
- Draft penalty notice re: breach 2014-15 performance (Southern and GTR) - request for extension to response deadline
27 August 2015 - Notice in accordance with Section 57C of the Railways Act 1993
10 August 2015 - Investigation report: Network Rail's delivery of its regulated performance targets in Scotland 2014-15
- Investigation report: Network Rail's performance delivery to Southern and Govia Thameslink Railway in 2014-15
- London Bridge station disruption report
- Operational performance investigation
10 July 2015 letter from Network Rail - Possible breaches of Condition 1 of Network Rail's network licence with regard to its operational performance
2 July 2015 letter to Network Rail
- Draft penalty notice re: breach 2014-15 performance (Southern and GTR) - request for extension to response deadline
- Breach of Condition 1 of Network Rail's network licence with regard to Network Rail's operational performance
7 July 2014 - ORR performance investigation report - England and Wales - Network Rail's delivery of its regulated performance targets 2013-14
June 2014 - ORR performance investigation report - Scotland - Network Rail's delivery of its Scotland regulated performance targets 2013-14
June 2014 - Possible breach of condition 1 of Network Rail's network licence with regard to its operational performance in the London and South East sector
6 June 2014 - Investigation into Network Rail's delivery of its regulated performance targets 2013-14 (Long Distance, London and the South East and Regional sectors and Scotland)
25 March 2014 - Breach of Condition 1 of Network Rail's network licence with regard to Network Rail's operational performance - ORR letter
31 July 2013 - Investigation into Network Rail's Long Distance (LD) and London and South East (LSE) Sector Performance 2012-13 and 2013-14 - ORR Evidence Report
- Possible breach of condition 1 of Network Rail's network licence with regard to Network Rail's operational performance - Network Rail's letter
10 July 2013 - Representations received from Virgin Trains Re: ORR's Case to answer letter to Network Rail
28 June 2013 - Possible breach of condition 1 of Network Rail's network licence with regard to Network Rail's operational performance
28 June 2013 - Investigation into Network Rail's Long Distance and London and the South East performance 2012-13 and 2013-2014
- Letter to Network Rail confirming it has met the terms of the January freight performance order
2 October 2012 - Enforcement order relating to long distance performance in 2013-14
- ORR Board decision on Network Rail's performance in the long distance sector in 2012-13 and 2013-14
- Freight performance: amendment to the timescales in the enforcement order - letter to Network Rail
23 April 2012 - ORR's decision not to impose a penalty for the freight performance licence breach and extension to timescales
- Breach of condition 1 of Network Rail's network licence with regard to operational performance - letter to Network Rail and Final Orders
19 January 2012 - Freight performance - letter from the Rail Freight Group
10 January 2012 - Breach of Condition 1 of Network Rail's network licence with regard to operational performance - letter from Network Rail
6 January 2012 - Network Rail Operational Performance - letter from Freightliner
5 January 2012 - Breach of Condition 1 of Network Rail's network licence with regard to operational performance - letter from Network Rail
21 December 2011 - Breach of Condition 1 of Network Rail's network licence with regard to Network Rail's operational performance
- Possible breach of Condition 1 of Network Rail's network licence with regard to Network Rail's operational performance - Letter to Network Rail
1 November 2011 - Enforcing Network Rail delivery of operational performance statement
- Enforcing Network Rail's delivery of operational performance: ORR letter
Enforcement relating to Integrated Train Planning System (2010)
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On 7 September 2010, we determined that Network Rail was in breach of its licence following problems introducing a new train timetable planning system.
The ruling followed an extensive investigation by us into problems arising from the introduction of the integrated train planning system (ITPS) for the May 2010 timetable, and the effect these problems had on operators and customers.
The new system was designed to make it easier and more efficient for Network Rail to provide timetable information to train and freight operators. However, system faults left some operators temporarily unable to publish information or take bookings and reservations.
Further information
- Notice in accordance with section 57C of the Railways Act 1993 imposing a penalty of £3m on Network Rail Infrastructure Limited (Network Rail) for a contravention of condition 1 of its network licence
- Notice of proposed penalty for the breach of Network Rail's network licence in relation to the introduction of the Integrated Train Planning System (ITPS) - Letter from Network Rail to ORR
18 November 2010 - ORR investigation of Network Rail's introduction of a new train planning system - Letter from ORR to Funkwerk Information Technologies York Ltd
17 Nov 2010 - ORR investigation of Network Rail's introduction of a train planning system - Letter from Funkwerk Information Technologies York Ltd
4 Nov 2010 - Notice of proposed penalty for the breach of Network Rail's network licence in relation to the introduction of the Integrated Train Planning System - Cover letter
27 October 2010 - Notice in accordance with Section 57C of the Railways Act 1993
27 October 2010 - Breach of conditions 1 and 2 of Network Rail's network licence in respect of the introduction of the ITPS - ORR letter
- Possible breach of condition 1 and 2 of Network Rail's network licence with regard to the introduction of the ITPS - Network Rail letter
- Network Rail's introduction of the ITPS: Evidence report following ORR's investigation
- Independent Reporter: Management of the introduction of ITPS - Final summary report - Ove Arup
- ITPS - stabilisation milestones
- Possible breach of conditions 1 and 2 of Network Rail's network licence with regard to the introduction of the integrated train planning system (ITPS) - ORR letter
- Investigation into Network Rail's management of the introduction of ITPS - ORR letter