## Business Impact Target: Summary Template

Non-qualifying Regulatory Provisions (
 NQRP) summary reporting template 
 

## Business Impact Target Reporting Period Covered: 13 December 2019 - 16 December 2020

| Excluded Category*                                                          | Summary of measure(s), including any impact data where available**    |
|-----------------------------------------------------------------------------|-----------------------------------------------------------------------|
| Some of the following activities relate to policy development and           |                                                                       |
| therefore also fall into the policy development exemption:                  |                                                                       |
| Measures certified as being                                                 |                                                                       |
| below de minimis (measures                                                  |                                                                       |
| with an EANDCB below +/- £5                                                 |                                                                       |
| million)                                                                    |                                                                       |
| 1. We published a range of operational guidance during COVID-19             |                                                                       |
| covering medical fitness and competence standards for train drivers and     |                                                                       |
| other safety critical staff; additional guidance relating to licensed train |                                                                       |
| drivers and periodic medical requirements (see EU section below);           |                                                                       |
| engineering standards requirements for periodic inspections and             |                                                                       |
| maintenance; practical guidance for on-train/tram and station activities;   |                                                                       |
| RIDDOR reporting in relation to COVID; and guidance to the heritage         |                                                                       |
| sector on resuming operations (during the period March to September         |                                                                       |
| 2020).                                                                      |                                                                       |
| 2. We revised Accessible Travel Policy guidance published on 16             |                                                                       |
| September 2020 to amend requirements on train operators in relation to      |                                                                       |
| rail replacement services.                                                  |                                                                       |
| 3. We published a consultation on 30 June 2020 on the possible              |                                                                       |
| introduction of a new licence condition and codes of practice to improve    |                                                                       |
| access to, awareness of, delay compensation.                                |                                                                       |
| 4. We are monitoring compliance with the Government's new Public            |                                                                       |
| Health Information Regulations introduced on 8 June 2020. In particular,    |                                                                       |
| Eurostar's and Eurotunnel's obligations to provide public health            |                                                                       |
| information to passengers.                                                  |                                                                       |
| 5. We published a revised Health and Safety                                 |                                                                       |
|                                                                             |                                                                       |
| Regulatory Strategy                                                         |                                                                       |
| document in September 2020.                                                 |                                                                       |
| 6. We will be publishing some minor amendments to our guidance on the       |                                                                       |
| Railways and Other Guided Transport Systems (Safety) Regulations 2006       |                                                                       |
| (ROGS) by December 2020.                                                    |                                                                       |
| 7. We published revised chapters in our suite of Strategic Risk Chapters    |                                                                       |
| covering level crossings (February 2020) and occupational health (March     |                                                                       |
| 2020).                                                                      |                                                                       |
| 1. We have updated our guidance on access to service facilities to reflect  |                                                                       |
| European railway legislation as it applies to GB.                           |                                                                       |
| EU Regulations, Decisions and                                               |                                                                       |
| Directives and other                                                        |                                                                       |
| international obligations,                                                  |                                                                       |
| including the implementation                                                |                                                                       |
| of the EU Withdrawal Bill and                                               |                                                                       |
| EU Withdrawal Agreement                                                     |                                                                       |
| 2. We  produced guidance on "leaving the EU without a deal" and the         |                                                                       |
| effects for EU freight and passenger licences, on safety regulation and on  |                                                                       |
| train driving licences                                                      |                                                                       |
| Excluded Category*                                                       | Summary of measure(s), including any impact data where available**    |
|--------------------------------------------------------------------------|-----------------------------------------------------------------------|
| 3. We revised our guidance to implement the EC regulation on service     |                                                                       |
| facilities as it applies to Northern Ireland.                            |                                                                       |
| 4. We reviewed the implementation of the Consumer Protection             |                                                                       |
| Cooperation Regulation in January 2020 to evaluate whether it            |                                                                       |
| affects our consumer protection powers.                                  |                                                                       |
| 5. We have updated guidance (March 2020, June 2020, September 2020       |                                                                       |
| and October 2020) on the licensing of train drivers (EU Directive        |                                                                       |
| 2007/59/EC) in respect of the medical fitness requirements for train     |                                                                       |
| drivers during COVID-19.  This included providing guidance on the effect |                                                                       |
| of EU Regulation 2020/698 and Commission Decision 2020/1237.             |                                                                       |
| Nothing to report                                                        |                                                                       |
| Measures certified as                                                    |                                                                       |
| concerning EU Withdrawal Bill                                            |                                                                       |
| operability measures                                                     |                                                                       |
| Pro-competition                                                          |                                                                       |
| Nothing to report                                                        |                                                                       |
| Systemic Financial Risk                                                  |                                                                       |
| Nothing to report                                                        |                                                                       |
| Civil Emergencies                                                        |                                                                       |
| Nothing to report                                                        |                                                                       |
| Fines and Penalties                                                      |                                                                       |
| Nothing to report                                                        |                                                                       |
| Misuse of Drugs                                                          |                                                                       |
| Nothing to report                                                        |                                                                       |
| Nothing to report                                                        |                                                                       |
| Measures certified as relating                                           |                                                                       |
| to the safety of tenants,                                                |                                                                       |
| residents and occupants in                                               |                                                                       |
| response to the Grenfell                                                 |                                                                       |
| tragedy                                                                  |                                                                       |
| Casework                                                                 |                                                                       |
| The following casework covers period 1 April 2019 - 30 September 2020:   |                                                                       |
| 1.                                                                       |                                                                       |
|                                                                          |                                                                       |
| Licensing: we issued licences to 23 operators of railway assets; we      |                                                                       |
| granted licence exemptions to 18 operators of railway assets; and we     |                                                                       |
| revoked 9 licences/exemptions.                                           |                                                                       |
| 2.                                                                       |                                                                       |
|                                                                          |                                                                       |
| Stations and depots: we gave our specific approval to the following -    |                                                                       |
| 15 new agreements and 157 amending agreements. We ratified the           |                                                                       |
| closure of 2 stations.                                                   |                                                                       |
| 3.                                                                       |                                                                       |
|                                                                          |                                                                       |
| Track Access: we approved numerous new track access contracts and        |                                                                       |
| amendments to existing contracts, which facilitate access to the rail    |                                                                       |
| network as follows:                                                      |                                                                       |
| -                                                                        |                                                                       |
|                                                                          |                                                                       |
| Framework agreements of Train Operating Companies (TOCs) and             |                                                                       |
| Freight Operating Companies (FOCs) with Network Rail:                    |                                                                       |
| o                                                                        |                                                                       |
|                                                                          |                                                                       |
| TOCs - Specific approvals: 109, notices of consent: 9.                   |                                                                       |
| Excluded Category*                                                    | Summary of measure(s), including any impact data where available**    |
|-----------------------------------------------------------------------|-----------------------------------------------------------------------|
| o                                                                     |                                                                       |
|                                                                       |                                                                       |
| FOCs - specific approvals/directions 12 completed plus 14             |                                                                       |
| notices of consent issued.                                            |                                                                       |
| -                                                                     |                                                                       |
|                                                                       |                                                                       |
| Connection contracts, where networks between different parties        |                                                                       |
| meet: Specific: 2 cases approved.                                     |                                                                       |
| -                                                                     |                                                                       |
|                                                                       |                                                                       |
| Facility access contracts between FOCs and freight facility owners:   |                                                                       |
| Specific: 9 new agreements.                                           |                                                                       |
| -                                                                     |                                                                       |
|                                                                       |                                                                       |
| Parties were also able to use General Approvals for many other        |                                                                       |
| contracts.                                                            |                                                                       |
| 4.                                                                    |                                                                       |
|                                                                       |                                                                       |
| We made decisions on 3 appeals under                                  | Part M                                                                |
| concerning disputes between industry parties.                         |                                                                       |
| 5.                                                                    |                                                                       |
|                                                                       |                                                                       |
| 13 December 2019 - 16 December 2020: we have issued new,              |                                                                       |
| amended or renewed railway safety certificates to 10 passenger or     |                                                                       |
| freight train operators. We have issued safety authorisations to 5    |                                                                       |
| infrastructure managers. We have not revoked, suspended or            |                                                                       |
| restricted any certificates or authorisations.                        |                                                                       |
| 6.                                                                    |                                                                       |
|                                                                       |                                                                       |
| We have issued 648 train driving licences between 13 December         |                                                                       |
| 2019 and 22 October 2020.                                             |                                                                       |
| 7.                                                                    |                                                                       |
|                                                                       |                                                                       |
| 13 December 2019 - 3 October 2020: Interoperability - we have         |                                                                       |
| completed 31 authorisations under                                     | The Railways (Interoperability)                                       |
| Regulations 2011                                                      | including: 12 rolling stock authorisations, 10                        |
| infrastructure authorisations and 9 authorisations of V4.0 GSM-R Cab  |                                                                       |
| Mobile sub systems.                                                   |                                                                       |
| Education, communications and                                         |                                                                       |
| promotion                                                             |                                                                       |
| 1. We published our Annual Report of Health and Safety Performance on |                                                                       |
| Britain's Railways 2019/20 in July 2020.                              |                                                                       |
| Activity related to policy                                            |                                                                       |
| development                                                           |                                                                       |
| 1. We have realigned key documentation (principally the Network Rail  |                                                                       |
| Annual Assessment and the Regulatory escalator (one of ORR's key      |                                                                       |
| monitoring tools) so that they fit Network Rail's devolved Regional   |                                                                       |
| structure.                                                            |                                                                       |
| Changes to management of                                              |                                                                       |
| regulator                                                             |                                                                       |
| Nothing to report                                                     |                                                                       |
|                                                                       |                                                                       |

* For full, legal definitions of these exclusion categories, please see https://www.parliament.uk/business/publications/written-questions-answers-statements/writtenstatement/Commons/2018-06-20/HCWS776/ ** Complete the summary box as 'Following consideration of the exclusion category there are no measures for the reporting period that qualify for the exclusion.' where this is appropriate.