Northern Ireland Statutory Rule SI 2016/420 Northern Ireland

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

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Status
In Force
Penalty ceiling
Prosecution 4 of 57 obligations carry an unlimited fine. 53 have no criminal penalty — flagged in the list below.

Does it bind you?

Business-side roles with duties under this instrument.

Operator28 Any Person11 Applicant4 Employer1 Licence Holder1

Plus 12 duties on the regulator, Crown ministers and public bodies — folded into the section list below.

Other Acts binding the same actors

If a role above is yours, these are the other instruments that most often bind it.

Operator — also bound by 746 other Acts
Any Person — also bound by 2340 other Acts
Applicant — also bound by 307 other Acts
Employer — also bound by 682 other Acts
TULRCA 1992 72 duties
Licence Holder — also bound by 225 other Acts

What it requires

Regulations creating concrete business duties or carrying penalties, grouped as the instrument is structured. Titles link to the source text — blue means you’re leaving for legislation.gov.uk.

Part 1

PRELIMINARY

0 of 3 sections shown
3 other sections in this Part — procedural and definitional
s.001 Citation and commencement
s.002 (1) In these Regulations— “the 1995 Directive” means Council Directive...
s.003 Scope
Part 2

ACCESS TO RAILWAY INFRASTRUCTURE AND SERVICES

3 of 4 sections shown
s.004 Access and transit rights Regulated
  • Ensure railway undertakings' access and transit rights are honouredOperator
s.006 Access to training facilities Regulated
  • Provide appropriate training and qualification for safety-critical staffOperator
s.007 Cross-border agreements Regulated
Other duties (1) — Crown / regulator
  • Department must ensure cross-border rail agreements are non-discriminatoryCrown / Minister / Government department
1 other section in this Part — procedural and definitional
s.005 Access to services
Part 3

INFRASTRUCTURE MANAGEMENT

11 of 12 sections shown
s.008 Management independence Regulated
  • Maintain independent management and separate accounts from Northern Ireland DepartmentAny Person
s.008 Independence of the infrastructure manager Regulated
  • Ensure your infrastructure manager is independent from railway undertakingsOperator
s.008 Outsourcing and sharing the infrastructure manager’s functions Regulated
  • Manage outsourcing of your infrastructure manager functions responsiblyOperator
s.008 Impartiality of the infrastructure manager in respect of traffic management and maintenance planning Regulated
  • Manage traffic and maintenance planning impartially and transparentlyOperator
s.009 Separation of accounts Regulated
  • Keep separate accounts for railway activities and prevent cross-subsidisationOperator
s.009 Financial transparency Regulated
  • Keep railway infrastructure finances transparent and separateOperator
s.010 Independence of service providers from dominant bodies and firms Regulated
  • Maintain independence from dominant bodies through separate accounts and organisational separationOperator
s.011 Indicative railway infrastructure strategy Regulated
Other duties (1) — Crown / regulator
  • Department must produce and renew the indicative railway infrastructure strategyCrown / Minister / Government department
s.012 Business Plans Regulated
  • Prepare a business plan covering investment, financing and financial balanceAny Person
s.013 Network Statement Regulated
  • Develop and publish a network statement describing railway infrastructure access and chargesOperator
s.013 Coordination mechanisms Regulated
  • Coordinate annually with railway undertakings and applicantsOperator
1 other section in this Part — procedural and definitional
s.013 European Network of Infrastructure Managers
Part 4

INFRASTRUCTURE CHARGES

3 of 5 sections shown
s.015 Infrastructure costs and accounts Regulated
  • Maintain an asset register with renewal and upgrading expenditure detailsOperator
s.016 Performance scheme Regulated
  • Establish and operate a performance scheme for railway networkOperator
s.018 Reservation charges Regulated
  • Manage reservation charges for unused capacity and publish criteriaOperator
2 other sections in this Part — procedural and definitional
s.014 Establishing, determining and collecting charges
s.017 Cooperation in relation to charging systems on more than one network
Part 5

ALLOCATION OF INFRASTRUCTURE CAPACITY

10 of 12 sections shown
s.019 Capacity allocation Regulated
  • Allocate rail infrastructure capacity fairly and non-discriminatorilyOperator
s.020 Co-operation in the allocation of infrastructure capacity crossing more than one network Regulated
  • Cooperate with other network managers on cross-border train pathsOperator
s.021 Framework agreements Regulated
Other duties (1) — Crown / regulator
  • Manage framework agreements with applicants under regulated termsCrown / Minister / Government department
s.022 Application for infrastructure capacity Regulated
  • Submit applications for railway infrastructure capacity on timeApplicant
s.023 Scheduling and co-ordination Regulated
  • Manage rail infrastructure capacity scheduling and co-ordinationOperator
s.024 Ad hoc requests Regulated
  • Respond to ad hoc train path requests within 5 working daysOperator
s.025 Declaration of specialised infrastructure Regulated
  • Comply with conditions when designating specialised rail infrastructureOperator
s.026 Congested infrastructure Regulated
  • Declare congested railway infrastructure and notify usersOperator
s.027 Capacity analysis Regulated
  • Carry out capacity analysis of congested railway infrastructureOperator
s.030 Special measures to be taken in the event of disruption Regulated
  • Infrastructure manager must restore network and have disruption contingency planOperator
2 other sections in this Part — procedural and definitional
s.028 Capacity enhancement plan
s.029 Use of train paths
Part 6

REGULATION AND APPEALS

5 of 7 sections shown
s.031 Regulatory body Regulated
Other duties (1) — Crown / regulator
  • ORR must promote railway performance, protect users, and balance multiple public interestsStatutory regulator
s.032 Appeals to the regulatory body Regulated
Other duties (1) — Crown / regulator
  • ORR must decide railway access appeals within six weeksStatutory regulator
s.033 Regulatory decisions concerning international passenger services Regulated
Other duties (1) — Crown / regulator
  • ORR must assess whether new international rail services harm existing public service contractsStatutory regulator
s.034 Monitoring the rail services markets Regulated
Other duties (1) — Crown / regulator
  • ORR must monitor rail services markets and prevent discriminationStatutory regulator
s.036 Duty of certain persons to furnish information to the Department or the Office of Rail and Road Prosecution
  • Intentionally alter, suppress, or destroy documents required by ORR or DepartmentAny Person

Unlimited fine

2 other sections in this Part — procedural and definitional
s.035 Audits
s.037 Co-operation between regulatory bodies
Part 7

ENFORCEMENT BY THE REGULATORY BODY

2 of 5 sections shown
s.039 Statement of policy Regulated
Other duties (1) — Crown / regulator
  • ORR must publish penalty policy statement and consultStatutory regulator
s.041 Interest and payment of instalments Regulated
  • Pay interest on late penalty paymentsAny Person
3 other sections in this Part — procedural and definitional
s.038 Enforcement of decisions, directions and notices
s.040 Procedural requirements for penalties
s.042 Validity and effect of penalties
Part 8

EUROPEAN LICENCES

4 of 5 sections shown
s.043 Prohibition of unlicensed provision of international services Prosecution
  • Provide international train service without a European licenceAny Person

Unlimited fine

s.044 Appointment of licensing authority and grant of European licences Regulated
  • Apply for a European licence and provide required information and feeAny Person
s.046 Monitoring, suspension and revocation of European licences Regulated
  • Submit your European licence for approval if your business undergoes major changesEmployer
s.047 Review Regulated
Other duties (1) — Crown / regulator
  • Department must review railway access regulations every 5 years and publish reportCrown / Minister / Government department
1 other section in this Part — procedural and definitional
s.045 Validity of European licences
Part 9

STATEMENTS OF NATIONAL REGULATORY PROVISIONS

3 of 6 sections shown
s.048 Prohibition on operating trains without a statement of national regulatory provisions Prosecution
  • Operate trains without a statement of national regulatory provisionsAny Person

Unlimited fine

s.049 Statements of national regulatory provisions (“SNRPs”) Regulated
  • Apply for a statement of national regulatory provisions (SNRP) in writingLicence Holder
s.052 Monitoring, suspension and revocation of SNRPs issued to holders of European licences” Regulated
Other duties (1) — Crown / regulator
  • Department must monitor and suspend/revoke SNRPs for European licence holders if compliance doubts ariseCrown / Minister / Government department
3 other sections in this Part — procedural and definitional
s.050 Conditions of SNRPs
s.051 Referral for Commission's opinion
s.052 Modification of SNRPs by consent
Part 10

MISCELLANEOUS

2 of 6 sections shown
s.054 Civil proceedings Regulated
  • Take all reasonable steps and exercise due diligence to avoid breaches of railway regulationsApplicant
s.055 Making of false statements etc. Prosecution
  • Make false statements in railway information or applicationsAny Person

Unlimited fine

4 other sections in this Part — procedural and definitional
s.053 Statutory authority to run trains
s.056 Offences by bodies corporate
s.057 Breaches of duty outside the United Kingdom
s.058 Revocation
Schedules

Schedules

14 of 26 shown
s.sch002 Principles of access charging Regulated
  • Set fair, non-discriminatory track access chargesOperator
s.sch002 Exceptions to the charging principles Regulated
  • Set infrastructure access mark-ups fairly without excluding viable rail servicesOperator
s.sch002 (1) An infrastructure manager's average and marginal charges for equivalent... Regulated
  • Ensure comparable charges for equivalent rail infrastructure use and demonstrate compliance in network statementOperator
s.sch002 If an infrastructure manager intends to modify the essential elements... Regulated
  • Publish charging system changes at least 3 months in advanceOperator
s.sch002 Discounts Regulated
  • Apply discounts on railway infrastructure charges fairly and within set limitsOperator
s.sch002 Performance Schemes Regulated
  • Agree and operate a performance scheme for train delaysOperator
s.sch004 Good repute Regulated
Other duties (1) — Crown / regulator
  • Department must assess railway undertaking good reputeCrown / Minister / Government department
s.sch004 Insurance cover Regulated
  • Maintain adequate insurance covering railway accident liabilitiesApplicant
s.sch004 Without prejudice to the generality of its powers under paragraph... Regulated
Other duties (1) — Crown / regulator
  • Department must not determine good repute for disqualified railway undertakingsCrown / Minister / Government department
s.sch004 Financial fitness Regulated
  • Demonstrate financial fitness for a European licenceApplicant
s.sch004 For the purpose of demonstrating its financial fitness a railway... Regulated
  • Provide financial accounts and details to demonstrate financial fitnessAny Person
s.sch004 The Department shall not find the railway undertaking to be... Regulated
  • Avoid tax or social security arrears to stay financially fit for rail operationsAny Person
s.sch005 Account separation Regulated
  • Separate accounts for freight, passenger and infrastructure activitiesAny Person
s.sch005 Monitoring of track access charges Regulated
  • Provide track access charge data to the regulator for monitoringOperator
12 other schedules
s.sch001 The minimum access package referred to in regulation 5(1) must...
s.sch001 Access including track access to services facilities and the supply...
s.sch001 The additional services referred to in regulation 5(10) may comprise—...
s.sch001 The ancillary services referred to in regulation 5(11) may comprise—...
s.sch002 (1) Subject to subparagraph (2), for specific investment projects completed—...
s.sch004 Professional competence
s.sch004 (1) For the purposes of paragraph 2, a person has...
s.sch004 (1) Any reference in paragraph 3 to an offence under...
s.sch004 In paragraphs 1 and 2 the reference to any appropriate...
s.sch004 Without prejudice to paragraph 7 the Department may request that...
s.sch005 The accounting information referred to in regulation 35(2) is as...
s.sch005 Indication of financial performance

Duty extraction and severity labels are Guvnor’s analysis of the instrument, not the instrument itself. Always verify against the linked source text.