## Business Impact Target - Non-Qualifying Regulatory Provisions (Nqrps) Summary Report Regulator: Office Of Rail And Road Business Impact Target Reporting Period Covered 21 June 2018 - 20 June 2019

| Excluded Category*                                                                                                                       |
|------------------------------------------------------------------------------------------------------------------------------------------|
| 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 have made simple factual changes to aspects of our guidance on safety management systems, safety certification and risk            |
| assessment. This has included publication of a toolkit (factsheet) designed to assist industry navigate which aspects of the legislation |
| apply to them.                                                                                                                           |

2. Changes to ORR guidance and templates consequential to Periodic Review 2018 (PR18) in relation to Network Rail 
o 
Updated ORR model connection contract (change Retail Price Index (RPI) to Consumer Price Index (CPI)) 
o 
Updated Freight track access contract and General Approval  
o 
Updated Passenger track access contract 
o 
Updated Charter track access contract   
o 
Updated our track access guidance models 

(See ORR's website for these new guidances and new contracts) 

3. Research on passenger information during disruption, to be published 2019. 
4. Review of Disabled Persons Protection Policy (DPPP) guidance (November 2018). 5. Statutory licence modification of the Complaints Handling Procedure (CHP) licence condition to require membership of an ADR 
scheme (February 2019) 
6. Remedies put in place, including undertakings accepted from the Rail Delivery Group to improve competition in the markets for 
automatic ticket gates and ticket vending machines. This exemption may also fall into the 'pro-competition' category. (March 2019). 
7. Research and publication of framework for monitoring the impact and on-going operation of Open Access Operators (March 2019). 

1. We are in the processing of updating our access guidance to reflect new European legislation. 
2. We have published guidance on how, and in what circumstances, we will carry out an Economic Equilibrium Test on new proposed 
new 'open access' train services. This was required by new EU Implementing Regulation, which applies from 1 January 2019. 
EU Regulations, Decisions and Directives and other international obligations, 
including the implementation of the EU Withdrawal Bill and EU Withdrawal Agreement 

3. We have published an up to date and comprehensive suite of guidance on the requirements of EU Directive 2007/59/EC on the 
licensing and certification of train drivers. 
4. We have published a suite of factsheets for industry on the "no deal exit Statutory Instruments" that touch on our areas of regulatory 
competence. It should be noted that these documents do not "come into force" during this reporting period. 
5. We are in the process of examining what changes may be necessary to train and station operator licensing arrangements as a result 
of the decision not to renew the exemption to the Passenger Rights Obligation. 

 
 
Measures certified as concerning EU Withdrawal Bill operability measures 

 

| Excluded Category*                                                                                                                        | Summary of measure(s), including any impact data where available**                                                                       |
|-------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------|
| Pro-competition                                                                                                                           | Nothing to report                                                                                                                        |
| Systemic Financial Risk                                                                                                                   | Nothing to report                                                                                                                        |
| Civil Emergencies                                                                                                                         | Nothing to report                                                                                                                        |
| Fines and Penalties                                                                                                                       | Penalty of £5m on Govia Thameslink Railway for breaching condition 4 of its licence in respect of the provision of appropriate, accurate |
| and timely information to passengers following the implementation of the 20 May 2018 timetable and during the subsequent disruption.      |                                                                                                                                          |
| (This is subject to any appeal by Govia Thameslink Railway and the penalty will be payable to HMT).                                       |                                                                                                                                          |
| 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 2018 - 31 March 2019):                                                                      |                                                                                                                                          |
| 8. Licensing: we issued licences to 5 operators of railway assets; we granted licence exemptions to 7 operators of railway assets; and we |                                                                                                                                          |
| revoked 7 licences/exemptions.                                                                                                            |                                                                                                                                          |
| 9. Stations and depots: we gave our specific approval to the following - 32 new agreements, 179 amending agreements. We ratified the      |                                                                                                                                          |
| closure of 1 station.                                                                                                                     |                                                                                                                                          |
| 10. 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: 103, notices of consent: 24                                                                                   |

o 
FOCs - specific approvals 12, notices of consent 11. 

- Connection contracts, where networks between different parties meet: Specific: 7 cases - Facility access contracts between TOCs/FOCs and facility owners: Specific: 1 cases  
- Parties were also able to use General Approvals for many other contracts. 
11. We made decisions on 2 appeals under Part M of the Network Code - concerning disputes between industry parties. 
Nothing to report 
Education, communications and promotion 
See de minimis exemption entries (measures with an EANDCB below +/- £5 million) 
Activity related to policy development 
Nothing to report 
Changes to management of regulator 

 
* For detailed guidance on the exclusion categories, please see https://www.gov.uk/government/publications/better-regulation-framework  
** 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.