The Railways (Access, Management and Licensing of Railway Undertakings) Regulations 2016

SCHEDULE 1 U.K. Amendments

Regulation 2(2)

PART 1 U.K. Amendments to Primary Legislation

The Railway Fires Act 1905 E+W+S

1.  In section 4 of the Railway Fires Act 1905 M1 (definitions and application), for paragraph (c) of the definition of “railway company” substitute—

“(c) who holds a European licence granted pursuant to—

(i) a provision contained in any instrument made for the purpose of implementing Council Directive 1995/18/EC dated 19th June 1995 on the licensing of railway undertakings M2 or Chapter III of Directive 2012/34/EU of the European Parliament and of the Council of 21st November 2012 establishing a single European railway area (recast) M3 , or

(ii) any action taken by an EEA State for that purpose.”.

Marginal Citations

M1 1905 c. 11; the definition of “railway company” in section 4 was inserted in relation to England, Scotland and Wales by the Railways Act 1993 (c. 43), Schedule 12, paragraph 2(2). Paragraph (c) was inserted by S.I. 2005/3050, Schedule 1, Part 1, paragraph 1(b).

M2 O.J. No. L 143, 27.6.95, p. 70.

M3 O.J. No. L 343, 14.12.12, p. 32, as corrected by Corrigendum, O.J. L 67, 12.3.2015, p. 32.

The Insolvency Act 1986 E+W+S

2.  In Schedule 2A to the Insolvency Act 1986 M4 (exceptions to prohibition on appointment of administrative receiver: supplementary provisions), for paragraph 10(1)(n) substitute—

“(n) in reliance on a European licence granted pursuant to—

(i) a provision contained in any instrument made for the purpose of implementing Council Directive 1995/18/EC dated 19th June 1995 on the licensing of railway undertakings or Chapter III of Directive 2012/34/EU of the European Parliament and of the Council of 21st November 2012 establishing a single European railway area (recast), or

(ii) any action taken by an EEA State for that purpose.”.

Marginal Citations

M4 1986 c. 45; Schedule 2A was inserted by the Enterprise Act 2002 (c. 40) section 250(2), Schedule 18. Paragraph 10(1)(n) was inserted by S.I. 2005/3050, Schedule 1, Part 1, paragraph 2(b). Paragraph 10(2B) of that Schedule was inserted by S.I. 2005/3050, Schedule 1, Part 1, paragraph 2(c).

The Railways Act 1993 E+W+S

3.—(1) The Railways Act 1993 M5 is amended as follows.

(2) In section 6(2) (prohibition on unauthorised operators of railway assets), for the definition of “European licence”M6 substitute—

““European licence” means a licence granted pursuant to—

(a) a provision contained in any instrument made for the purpose of implementing—

(i) Council Directive 1995/18/EC dated 19th June 1995 on the licensing of railway undertakings, or

(ii) Chapter III of Directive 2012/34/EU of the European Parliament and of the Council of 21st November 2012 establishing a single European railway area (recast), or

(b) any action taken by an EEA State for that purpose;”.

(3) For section 80(1A) M7 (duty of certain persons to furnish information to the Secretary of State, the Scottish Ministers or the Office of Rail and Road on request) for the words from “for the purpose of implementing” to the end substitute—

“for the purpose of implementing—

(a) Council Directive 1995/18/EC dated 19th June 1995 on the licensing of railway undertakings, or

(b) Chapter III of Directive 2012/34/EU of the European Parliament and of the Council of 21st November 2012 establishing a single European railway area (recast).”.

(4) In section 145(2) (general restrictions on disclosure of information)—

(a) in paragraph (ga) M8 , for the words from “for the purpose of implementing” to the end substitute—

“for the purpose of implementing—

(i) Council Directive 1995/18/EC dated 19th June 1995 on the licensing of railway undertakings, or

(ii) Directive 2012/34/EU of the European Parliament and of the Council of 21st November 2012 establishing a single European railway area (recast);”; and

(b) omit paragraph (gb) M9 .

Marginal Citations

M5 1993 c. 43.

M6 The definition of “European Licence” was substituted for the definition of “international licence” by S.I. 2005/3050, Schedule 1, Part 1, paragraph 3(1) and (3)(a).

M7 Subsection (1A) was inserted by S.I. 2005/3050. Schedule 1, Part 1, paragraph 3(1) and (7)(a) and amended by S.I. 2015/1682, Schedule, Part 1, paragraph 1(xx).

M8 Section 145(2)(ga) was inserted by S.I 2005/3050, Schedule 1, Part 1, paragraph 3(1) and (9) and amended by S.I. 2015/1682, Schedule, Part 1, paragraph 1(aaa).

M9 Section 145(2)(gb) was inserted by S.I. 2005/3049, Schedule 1, Part 1, paragraph 4(e)(ii) and amended by S.I. 2009/1122, Schedule, paragraph 1(1) and (2)(a) and S.I. 2015/1682, Schedule, Part 1, paragraph 1(aaa).

The Greater London Authority Act 1999 E+W+S

4.  In section 235(2)(b) of the Greater London Authority Act 1999 M10 (restrictions on disclosure of information), for the words from “implementing” to the end substitute “ implementing Directive 2012/34/EU of the European Parliament and of the Council of 21st November 2012 establishing a single European railway area (recast); ”.

Marginal Citations

M10 1999 c.29. Subsection (2)(b) was amended by the Railways Act 2005 (c. 14), Schedule 12, paragraph 14(1) and (5) and Schedule 13, Part 1; S.I. 2005/3049, Schedule 1, Part 1, paragraph 5(a); S.I. 2009/1122, Schedule, paragraph 2; S.I. 2014/892, Schedule 1, Part 2, paragraph 119(1) and (2); and SI 2015/1682, Schedule, Part 1, paragraph 4(n)(iv).

The Railways and Transport Safety Act 2003 U.K.

5.  In section 17 of the Railways and Transport Safety Act 2003 M11 (extent)—

(a) omit “only”, and

(b) after paragraph (b) insert—

“, and

(c) Northern Ireland.”.

Marginal Citations

M11 2003 c. 20.

The Civil Contingencies Act 2004 E+W+S

6.—(1) Schedule 1 to the Civil Contingencies Act 2004 M12 is amended as follows.

(2) For paragraph 24(1) substitute—

“(1) A person who provides services in connection with railways in Great Britain and who holds a European licence granted pursuant to—

(a) a provision contained in any instrument made for the purpose of implementing—

(i) Council Directive 1995/18/EC dated 19th June 1995 on the licensing of railway undertakings, or

(ii) Chapter III of Directive 2012/34/EU of the European Parliament and of the Council of 21st November 2012 establishing a single European railway area (recast), or

(b) any action taken by an EEA State for that purpose.”.

(3) For paragraph 35(1) substitute—

“(1) A person who provides services in connection with railways, in so far as such services are provided in Scotland, and who holds a European licence granted pursuant to—

(a) a provision contained in any instrument made for the purpose of implementing—

(i) Council Directive 1995/18/EC dated 19th June 1995 on the licensing of railway undertakings, or

(ii) Chapter III of Directive 2012/34/EU of the European Parliament and of the Council of 21st November 2012 establishing a single European railway area (recast), or

(b) any action taken by an EEA State for that purpose.”.

Marginal Citations

M12 2004 c. 36. Schedule 1, paragraphs 24 and 35 were substituted by S.I. 2005/3050, Schedule 1, Part 1, paragraph 4.

PART 2 E+W+S Amendments to Secondary Legislation

The Town and Country Planning (Control of Advertisements) Regulations 1992 E+W+S

7.  In regulation 2(1) (interpretation) of the Town and Country Planning (Control of Advertisements) Regulations 1992 M13 , in the definition of “statutory undertaker” for the words from “Council Directive” to “of the Council” substitute “ Council Directive 1995/18/EC dated 19th June 1995 on the licensing of railway undertakings or Chapter III of Directive 2012/34/EU of the European Parliament and of the Council of 21st November 2012 establishing a single European railway area (recast) ”.

Marginal Citations

M13 S.I. 1992/666; revoked in relation to England by S.I. 2007/783, regulation 32. The words to be substituted in the definition of “statutory undertaker” were inserted by S.I. 2005/3050, Schedule 1, Part 2, paragraph 7(1) and (3). There are other amendments to the definition but none is relevant.

The London Underground (East London Line Extension) (No. 2) Order 2001 E+W+S

8.  In Schedule 11 (protection for Railtrack) to the London Underground (East London Line Extension) (No. 2) Order 2001 M14 , in the definition of “train operator” in paragraph 1(2) for the words from “Council Directive” to the end substitute “ Council Directive 1995/18/EC dated 19th June 1995 on the licensing of railway undertakings or Chapter III of Directive 2012/34/EU of the European Parliament and of the Council of 21st November 2012 establishing a single European railway area (recast). ”.

Marginal Citations

M14 S.I. 2001/3682. The words to be substituted in the definition of “train operator” were inserted by S.I. 2005/3050, Schedule 1, Part 2, paragraph 9(1) and (2)(b). There are other amendments to this definition but none is relevant.

The Docklands Light Railway (Silvertown and London City Airport Extension) Order 2002 E+W+S

9.  In Part 1 of Schedule 11 (for protection of railway undertakers) to the Docklands Light Railway (Silvertown and London City Airport Extension) Order 2002 M15 , in the definition of “train operator” in paragraph 13(6) for the words from “Council Directive” to the end substitute “ Council Directive 1995/18/EC dated 19th June 1995 on the licensing of railway undertakings or Chapter III of Directive 2012/34/EU of the European Parliament and of the Council of 21st November 2012 establishing a single European railway area (recast). ”.

Marginal Citations

M15 S.I. 2002/1066. The words to be substituted in the definition of “train operator” were inserted by S.I. 2005/3050, Schedule 1, Part 2, paragraph 10(1) and (2)(b).

The Docklands Light Railway (Woolwich Arsenal Extension) Order 2004 E+W+S

10.  In Schedule 13 (for protection of railway interests) to the Docklands Light Railway (Woolwich Arsenal Extension) Order 2004 M16 , in the definition of “train operator” in paragraph 15(6) for the words from “Council Directive” to the end substitute “ Council Directive 1995/18/EC dated 19th June 1995 on the licensing of railway undertakings or Chapter III of Directive 2012/34/EU of the European Parliament and of the Council of 21st November 2012 establishing a single European railway area (recast). ”.

Marginal Citations

M16 S.I. 2004/757. The words to be substituted in the definition of “train operator” were inserted by S.I. 2005/3050, Schedule 1, Part 2, paragraph 11(1) and (2)(b).

The British Transport Police (Police Services Agreement) Order 2004 E+W+S

11.  In article 2(1)(b) (requirement to enter into a police services agreement) of the British Transport Police (Police Services Agreement) Order 2004 M17 for the words from “Council Directive” to “of the Council” substitute “ Council Directive 1995/18/EC dated 19th June 1995 on the licensing of railway undertakings or Chapter III of Directive 2012/34/EU of the European Parliament and of the Council of 21st November 2012 establishing a single European railway area (recast) ”.

Marginal Citations

M17 S.I. 2004/1522. The words to be substituted were inserted by S.I. 2005/3050, Schedule 1, Part 2, paragraph 12(2).

The Central Rating List (Wales) Regulations 2005 E+W+S

12.  In regulation 7(3) (railway hereditaments) of the Central Rating List (Wales) Regulations 2005 M18 , in the definition of “ “licence exempt operator” and “licence holder”” for the words from “Council Directive” to “of the Council” substitute “ Council Directive 1995/18/EC dated 19th June 1995 on the licensing of railway undertakings or Chapter III of Directive 2012/34/EU of the European Parliament and of the Council of 21st November 2012 establishing a single European railway area (recast) ”.

Marginal Citations

M18 S.I. 2005/422. The words to be substituted were inserted by S.I. 2005/3050, Schedule 1, Part 2, paragraph 13(1) and (2)(b).

The Central Rating List (England) Regulations 2005 E+W+S

13.  In regulation 6(4) (railway hereditaments) of the Central Rating List (England) Regulations 2005 M19 in the definition of “ “licence exempt operator” and “licence holder”” for the words from “Council Directive” to the end substitute “ Council Directive 1995/18/EC dated 19th June 1995 on the licensing of railway undertakings or Chapter III of Directive 2012/34/EU of the European Parliament and of the Council of 21st November 2012 establishing a single European railway area (recast); ”.

Marginal Citations

M19 S.I. 2005/551. The words to be substituted were inserted by S.I. 2005/3050, Schedule 1, Part 2, paragraph 14(1) and (2)(b).

The Railways (Interoperability) Regulations 2011 E+W+S

14.  In regulation 36(10)(b)(i) (national vehicle register) of the Railways (Interoperability) Regulations 2011 M20 , for the words from “article 30” to the end substitute “ article 55 of Directive 2012/34/EU of the European Parliament and of the Council of 21st November 2012 establishing a single European railway area (recast); ”.

Marginal Citations

M20 S.I. 2011/3066; paragraph (10)(b)(i) is amended by S.I. 2015/1682, Schedule, Part 2, paragraph 9(b).

The Channel Tunnel (International Arrangements) (Charging Framework and Transfer of Economic Regulation Functions) Order 2015 E+W+S

15.—(1) The Channel Tunnel (International Arrangements) (Charging Framework and Transfer of Economic Regulation Functions) Order 2015 M21 is amended as follows.

(2) In regulation 2 (interpretation) for the definitions of “the 2005 Regulations” and “the 2015 Regulations” substitute—

““the 2016 Regulations” means the Railway (Access, Management and Licensing of Railway Undertakings) Regulations 2016 M22 ;”.

(3) In regulation 5(2) for the words “the 2005 Regulations, as amended by the 2015 Regulations,”, substitute “ the 2016 Regulations ”.

(4) In regulation 5(2)(a) and (2)(b) for the words “the 2005 Regulations as so amended,”, in both places, substitute “ the 2016 Regulations ”.

Marginal Citations

M21 S.I. 2015/785. There are amendments to regulation 5 which are not relevant to these Regulations.

M22 S.I. 2016/645.

Regulations 5, 6 and 10

SCHEDULE 2 E+W+S Services to be supplied to railway undertakings

1.  The minimum access package referred to in regulation 6(1) must comprise— E+W+S

(a) handling of requests for infrastructure capacity; and

(b) the right to utilise such capacity as is granted and, in particular—

(i) such railway infrastructure including track, points and junctions as are necessary to utilise that capacity;

(ii) electrical supply equipment for traction current, where available and as is necessary to utilise that capacity;

(iii) train control, including signalling, train regulation, dispatching and the communication and provision of information on train movements; and

(iv) all other information as is necessary to implement or to operate the service for which capacity has been granted.

2.  Access, including track access to services facilities and the supply of services referred to in regulations 5, 6 and 10 must comprise, where they exist— E+W+S

(a) refuelling facilities, and supply of fuel in these facilities, charges for which must be shown on the invoices separately;

(b) passenger stations, including buildings and other facilities such as travel information display and a suitable location for ticketing services;

(c) freight terminals;

(d) marshalling yards;

(e) train formation facilities including shunting facilities;

(f) storage sidings specifically dedicated to the temporary parking of railway vehicles between two assignments;

(g) maintenance facilities, with the exception of heavy maintenance facilities dedicated to high-speed trains or to other types of rolling stock requiring specific facilities;

(h) other technical facilities, including cleaning and washing facilities;

(i) maritime and inland port facilities which are linked to rail activities; and

(j) relief facilities.

3.  The additional services referred to in regulation 6(11) may comprise— E+W+S

(a) traction current, charges for which must be shown on the invoices separately from charges for using the electrical supply equipment, without prejudice to the application of Directive 2009/72/EC of the European Parliament and of the Council of 13th July 2009 concerning common rules for the internal market in electricity and repealing Directive 2003/54/EC M23 ;

(b) pre-heating of passenger trains;

(c) tailor-made contracts for—

(i) control of the transport of dangerous goods; and

(ii) assistance in running abnormal trains.

Marginal Citations

M23 O.J. No. L 211, 14.8.09, p. 55; amendments have been made which are not relevant to these Regulations.

4.  The ancillary services referred to in regulation 6(12) may comprise— E+W+S

(a) access to the telecommunication network;

(b) the provision of supplementary information;

(c) technical inspection of rolling stock;

(d) ticketing services in passenger stations; and

(e) heavy maintenance services supplied in maintenance facilities dedicated to high-speed trains or to other types of rolling stock requiring specific facilities.

Regulations 14, 16 and 18

SCHEDULE 3 E+W+S Access charging

Principles of access charging E+W+S

1.—(1) The infrastructure manager must ensure that the application of the charging scheme—

(a) complies with the rules set out in the network statement produced in accordance with regulation 13; and

(b) results in equivalent and non-discriminatory charges for different railway undertakings that perform services of an equivalent nature in a similar part of the market.

(2) The calculation of the charge may in particular take into account the mileage, composition of the train and any specific requirements in terms of such factors as speed, axle load and the degree or period of utilisation of the railway infrastructure.

(3) Except where specific arrangements are made in accordance with paragraph 3, the infrastructure manager must ensure that the charging system in use is based on the same principles over the whole of the network.

(4) Without prejudice to sub-paragraph (8) the charges for the minimum access package and track access to service facilities referred to in paragraphs 1 and 2 of Schedule 2 must be set at the cost that is directly incurred as a result of operating the train service.

(5) From 2nd August 2019 or earlier, the infrastructure manager must calculate the cost under sub-paragraph (4) or, as the case may be, under the first paragraph of Article 4 of the Channel Tunnel charging framework, in accordance with Commission Implementing Regulation (EU) 2015/909 of 12th June 2015 on the modalities for the calculation of the cost that is directly incurred as a result of operating the train service M24 .

(6) The charge imposed for track access within service facilities referred to in paragraph 2 of Schedule 2 and the supply of services in such service facilities must not exceed the cost of providing it, plus a reasonable profit.

(7) If the additional or ancillary services referred to in paragraphs 3 and 4 of Schedule 2 are offered by only one supplier the charge imposed for the supply of those services must not exceed the cost of providing the service, plus a reasonable profit.

(8) The infrastructure charge may include a charge to reflect the scarcity of capacity of the identifiable segment of the infrastructure during periods of congestion.

(9) The charges referred to in sub-paragraphs (4) and (8) may be averaged over a reasonable spread of train services and times, but the relative magnitudes of the railway infrastructure charges must be related to the costs attributable to the services.

Marginal Citations

M24 O.J. No. L 148, 13.06.15, p.17.

Exceptions to the charging principles E+W+S

2.—(1) In order to obtain full recovery of the costs incurred the infrastructure manager, with the approval of the Office of Rail and Road or, in relation to a rail link facility, the Secretary of State, may levy mark-ups on the basis of efficient, transparent and non-discriminatory principles, whilst guaranteeing optimum competitiveness, in particular in respect of rail market segments.

(2) For the purposes of this paragraph—

(a) approval given by the Secretary of State in relation to a rail link facility must be given through the development agreement; and

(b) approval given by the Office of Rail and Road must—

(i) in relation to railway infrastructure subject to the access charges review, be given as part of that review; and

(ii) in relation to any other railway infrastructure, be given in such form or manner as the Office may require.

(3) The effect of sub-paragraphs (1) and (2) must not be to exclude the use of infrastructure by market segments which can pay at least the cost that is directly incurred as a result of operating the railway service, plus a rate of return which the market can bear.

(4) The charging system must respect the productivity increases achieved by applicants.

(5) Before approving the levy of a mark-up under sub-paragraph (1) the Office of Rail and Road or, as the case may be, the Secretary of State, must ensure that the infrastructure manager evaluates the relevance of a mark-up for the specific market segments, considering at least the pairs listed in sub-paragraph (10) and retaining the relevant ones.

(6) The list of market segments to be considered by the infrastructure manager under sub-paragraph (5) must contain at least the three following segments: freight services, passenger services within the framework of a public service contract and other passenger services.

(7) In addition to the market segments considered under sub-paragraph (5), the infrastructure manager may consider further market segments according to commodity or passengers transported.

(8) Market segments in which railway undertakings are not currently operating but in which they may provide services during the period of validity of the charging system must also be defined; the infrastructure manager must not include a mark-up in the charging system for those market segments.

(9) The list of market segments must be published in the network statement and reviewed at least every five years; the Office of Rail and Road must control that list in accordance with paragraph (2) of regulation 31.

(10) The pairs referred to in sub-paragraph (5) are—

(a) passenger versus freight services;

(b) trains carrying dangerous goods versus other freight trains;

(c) domestic versus international services;

(d) combined transport versus direct trains;

(e) urban or regional versus interurban passenger services;

(f) block trains versus single wagon load trains; and

(g) regular versus occasional train services.

3.—(1) Subject to sub-paragraph (2), for specific investment projects completed— E+W+S

(a) since 1988; or

(b) following the coming into force of these Regulations,

the infrastructure manager may set or continue to set higher charges on the basis of the long-term costs of the project.

(2) For sub-paragraph (1) to apply—

(a) the project must increase efficiency or cost-effectiveness; and

(b) the project must be one that could not otherwise have been undertaken without the prospect of such higher charges.

(3) A charging arrangement to which sub-paragraph (1) applies may incorporate agreements on the sharing of the risk associated with new investments.

4.—(1) An infrastructure manager's average and marginal charges for equivalent uses of the railway infrastructure must be comparable, and comparable services in the same market segment must be subject to the same charges. E+W+S

(2) The network statement produced by the infrastructure manager in accordance with regulation 13 must demonstrate that the charging system meets the requirements in sub-paragraph (1) in so far as this can be done without the disclosure of commercially confidential information.

5.  If an infrastructure manager intends to modify the essential elements of the charging system referred to in paragraph 2 that infrastructure manager must make such modifications public at least three months in advance of the deadline for the publication of the network statement in accordance with regulation 13(9). E+W+S

Discounts E+W+S

6.—(1) Subject to the provisions of articles 101, 102, 106 and 107 of the Treaty, and notwithstanding paragraph 1(4) and (5) of this Schedule, any discount on the charges levied on a user of railway infrastructure by the infrastructure manager, for any service, must comply with the principles set out in this paragraph.

(2) Except where sub-paragraph (3) applies, discounts must be limited to the actual saving of the administrative cost to the infrastructure manager and, in determining the level of discount to be applied, no account may be taken of cost savings already incorporated in the charge levied.

(3) The infrastructure manager may introduce schemes available to all users of the railway infrastructure, with reference to specified traffic flows, granting time limited discounts to encourage the development of new rail services, or discounts encouraging the use of considerably under-utilised lines.

(4) The discounts available must be in accordance with the access charges review, where it applies, or, in the case of a rail link facility, the development agreement.

(5) Discounts may relate only to charges levied for a specified railway infrastructure section.

(6) Similar discount schemes must be applied to similar services.

(7) Discount schemes must be applied in a non-discriminatory manner to any railway undertaking.

Performance Schemes E+W+S

7.—(1) The basic principles referred to in regulation 16(3) are as follows.

(2) In order to achieve an agreed level of performance and not to endanger the economic viability of a service, the infrastructure manager must agree with applicants the main parameters of the performance scheme, in particular the value of delays, the thresholds for payments due under the performance scheme relative both to individual train runs and to all train runs of a railway undertaking in a given period of time.

(3) The infrastructure manager must communicate to the railway undertakings the working timetable, on the basis of which delays will be calculated, at least five days before the train run, except that the infrastructure manager may apply a shorter notice period in case of force majeure or late alterations of the working timetable.

(4) All delays must be attributable to one of the following delay classes and sub-classes—

(a) operation/planning management attributable to the infrastructure manager—

(i) timetable compilation;

(ii) formation of train;

(iii) mistakes in operations procedure;

(iv) wrong application of priority rules;

(v) staff; or

(vi) other causes;

(b) railway infrastructure installations attributable to the infrastructure manager—

(i) signalling installations;

(ii) signalling installations at level crossings;

(iii) telecommunications installations;

(iv) power supply equipment;

(v) track;

(vi) structures;

(vii) staff; or

(viii) other causes;

(c) civil engineering causes attributable to the infrastructure manager—

(i) planned construction work;

(ii) irregularities in execution of construction work;

(iii) speed restriction due to defective track; or

(iv) other causes;

(d) causes attributable to other infrastructure managers—

(i) caused by previous infrastructure manager; or

(ii) caused by next infrastructure manager;

(e) commercial causes attributable to the railway undertaking—

(i) exceeding the stop time;

(ii) request of the railway undertaking;

(iii) loading operations;

(iv) loading irregularities;

(v) commercial preparation of train;

(vi) staff; or

(vii) other causes;

(f) rolling stock attributable to the railway undertaking—

(i) roster planning/re-rostering;

(ii) formation of train by railway undertaking;

(iii) problems affecting coaches (passenger transport);

(iv) problems affecting wagons (freight transport);

(v) problems affecting cars, locomotives and rail cars;

(vi) staff; or

(vii) other causes;

(g) causes attributable to other railway undertakings—

(i) caused by next railway undertaking; or

(ii) caused by previous railway undertaking;

(h) external causes attributable to neither infrastructure manager nor railway undertaking—

(i) strike;

(ii) administrative formalities;

(iii) outside influence;

(iv) effects of weather and natural causes;

(v) delay due to external reasons on the next network; or

(vi) other causes; or

(i) secondary causes attributable to neither infrastructure manager nor railway undertaking—

(i) dangerous incidents, accidents and hazards;

(ii) track occupation caused by the lateness of the same train;

(iii) track occupation caused by the lateness of another train;

(iv) turn-around;

(v) connection; or

(vi) further investigation needed.

(5) Wherever possible, delays must be attributed to a single organisation, considering both the responsibility for causing the disruption and the ability to re-establish normal traffic conditions.

(6) The calculation of payments must take into account the average delay of train services of similar punctuality requirements.

Regulations 19 and 22

SCHEDULE 4 E+W+S Timetable for the Allocation Process

Date of timetable change E+W+S

1.—(1) Subject to sub-paragraphs (2), (3) and (4) the working timetable must be established once per calendar year, and the change of working timetable must take place at midnight on the second Saturday in December.

(2) Where a change or adjustment to the working timetable is carried out after the winter, in particular to take account, where appropriate, of changes in regional passenger traffic timetables, it must take place at midnight on the second Saturday in June.

(3) Further changes to the working timetable may be made at such other intervals as are required.

(4) The infrastructure manager may agree different dates to those stipulated in sub-paragraphs (1) and (2) and, in this case, must inform the European Commission if international traffic may be affected.

Timetable for the production of the working timetable E+W+S

2.—(1) The final date for receipt of requests for capacity to be incorporated into the working timetable must be no more than 12 months in advance of the entry into force of that working timetable.

(2) No later than 11 months before the working timetable comes into force, the infrastructure managers must ensure that provisional international train paths have been established in co-operation with other relevant infrastructure managers or, as the case may be, allocation bodies, in accordance with regulation 20.

(3) Infrastructure managers must ensure that, so far as possible, provisional international train paths established in accordance with sub-paragraph (2) are adhered to during the subsequent allocation process.

(4) No later than four months after the deadline for submission of bids by applicants, the infrastructure manager must prepare a draft working timetable.

Regulation 35(2)

SCHEDULE 5 E+W+S Accounting information to be supplied to the Office of Rail and Road upon request

1.  The accounting information referred to in regulation 35(2) is as follows— E+W+S

Account separation

(a) separate profit and loss accounts and balance sheets for freight, passenger and railway infrastructure management activities;

(b) detailed information on individual sources and uses of public funds and other forms of compensation in a transparent and detailed manner, including a detailed review of the businesses' cash flows in order to determine in what way these public funds and other forms of compensation have been used;

(c) cost and profit categories making it possible to determine whether cross-subsidies between these different activities occurred, according to the requirements of the Office of Rail and Road;

(d) methodology used to allocate costs between different activities;

(e) where the regulated firm is part of a group structure, full details of inter-company payments;

Monitoring of track access charges

(f) different cost categories, in particular providing sufficient information on marginal/direct costs of the different services or groups of services so that railway infrastructure charges can be monitored;

(g) sufficient information to allow monitoring of the individual charges paid for services (or groups of services); if required by the Office of Rail and Road, this information must contain data on volumes of individual services, prices for individual services and total revenues for individual services paid by internal and external customers;

(h) costs and revenues for individual services (or groups of services) using the relevant cost methodology, as required by the regulatory body, to identify potentially anti-competitive pricing (cross-subsidies, predatory pricing and excessive pricing);

Indication of financial performance

(i) a statement of financial performance;

(j) a summary expenditure statement;

(k) a maintenance expenditure statement;

(l) an operating expenditure statement;

(m) an income statement; and

(n) supporting notes that amplify and explain the statements, where appropriate.