http://www.legislation.gov.uk/id/ukpga/1993/43

http://www.legislation.gov.uk/ukpga/1993/43/part/I/2003-07-29

Railways Act 1993

An Act to provide for the appointment and functions of a Rail Regulator and a Director of Passenger Rail Franchising and of users’ consultative committees for the railway industry and for certain ferry services; to make new provision with respect to the provision of railway services and the persons by whom they are to be provided or who are to secure their provision; to make provision for and in connection with the grant and acquisition of rights over, and the disposal or other transfer and vesting of, any property, rights or liabilities by means of which railway services are, or are to be, provided; to amend the functions of the British Railways Board; to make provision with respect to the safety of railways and the protection of railway employees and members of the public from personal injury and other risks arising from the construction or operation of railways; to make further provision with respect to transport police; to make provision with respect to certain railway pension schemes; to make provision for and in connection with the payment of grants and subsidies in connection with railways and in connection with the provision of facilities for freight haulage by inland waterway; to make provision in relation to tramways and other guided transport systems; and for connected purposes.

text

text/xml

Statute Law Database

2024-07-25

2003-07-29

Railways Act 1993

s. 13B(7)

Digital Markets, Competition and Consumers Act 2024

Sch. 30

para. 18(5)

s. 339(1)

Railways Act 1993

s. 15C(5)

Digital Markets, Competition and Consumers Act 2024

Sch. 30

para. 19(5)

s. 339(1)

Railways Act 1993

s. 67(11)

Digital Markets, Competition and Consumers Act 2024

Sch. 29

para. 10

s. 339(1)

Railways Act 1993

s. 145(3)(qu)

Digital Markets, Competition and Consumers Act 2024

Sch. 30

para. 20(a)

s. 339(1)

Railways Act 1993

s. 145(3)(w)

Digital Markets, Competition and Consumers Act 2024

Sch. 30

para. 20(b)

s. 339(1)

Railways Act 1993

Sch. 4A

para. 10A(7)

Digital Markets, Competition and Consumers Act 2024

Sch. 30

para. 22(5)

s. 339(1)

Railways Act 1993

Sch. 4A

para. 15(5)

Digital Markets, Competition and Consumers Act 2024

Sch. 30

para. 23(5)

s. 339(1)

Railways Act 1993

s. 16(2)(aa)

The Competition (Amendment etc.) (EU Exit) (No. 2) Regulations 2019 (expired—not approved)

reg. 23

reg. 1(1)

I8 C33 C34Part I The Provision of Railway Services

Annotations:

Commencement Information

Pt. I (ss. 1-83) applied (1.4.1994) by 1993 c. 43, ss. 36(2) (inserting s. 10(1)(viiia) in 1968 c. 73); S.I. 1994/571, art. 5

Pt. I (ss. 1-83) applied (18.12.1996) by 1996 c. 61, s. 16(5)

Modifications etc. (not altering text)

C33

Pt. I (ss. 1-83) modified (18.12.1996) by 1996 c. 61, s. 21(6)

C34

Pt. 1 (ss. 1-83) applied (S.) (27.4.2006) by Edinburgh Tram (Line Two) Act 2006 (asp. 6), s.78 (with s.75)

Pt. 1 (ss. 1-83) applied (S.) (8.5.2006) by Edinburgh Tram (Line One) Act 2006 (asp. 7), s.79 (with ss.76, 84)

Introductory

1 The Rail Regulator F254. . ..

9

Unless the Secretary of State, after consultation with the F268Authority, otherwise directs, “the Greater London area” means, for the purposes of this section, the area for which, F271immediately before the coming into force of section 252(1) of the Greater London Authority Act 1999 (which substitutes the London Transport Users’ Committee for the London Regional Passengers’ Committee in subsection (4) above) the London Regional Passengers’ Committee was the consultative committee under subsection (4) above.

3F272Rail Passengers’ Council.

1

The Central Transport Consultative Committee for Great Britain, established under section 56 of the Transport Act 1962, is hereby abolished.

F2732

There shall be a council to be known as the Rail Passengers’ Council.

3

The F272Rail Passengers’ Council shall consist of—

a

a chairman, appointed by the Secretary of State after consultation with the F274Authority;

b

every person who for the time being holds office as chairman of a F272Rail Passengers’ Committee established under section 2(2) above or as chairman of the F275London Transport Users’ Committee

c

not more than six other members, appointed by the F274Authority after consultation with the Secretary of State and the chairman.

4

The chairman of the F272Rail Passengers’ Council and any members appointed under subsection (3)(c) above shall hold and vacate office in accordance with the terms of the instruments appointing them and shall, on ceasing to hold office, be eligible for re-appointment.

5

The provisions of Schedule 3 to this Act shall have effect with respect to the F272Rail Passengers’ Council.

I14 General duties of the Secretary of State and the Regulator.

1

The F2Regulator shall have a duty to exercise the functions assigned or transferred to him under or by virtue of this Part in the manner which he considers best calculated—

F261za

to facilitate the furtherance by the Authority of any strategies which it has formulated with respect to its purposes2;

a

to protect the interests of users of railway services;

b

to promote the use of the railway network in Great Britain for the carriage of passengers and goods, and the development of that railway network, to the greatest extent that he considers economically practicable;

F3ba

to contribute to the development of an integrated system of transport of passengers and goods;

bb

to contribute to the achievement of sustainable development;

c

to promote efficiency and economy on the part of persons providing railway services;

d

to promote competition in the provision of railway services F4for the benefit of users of railway services;

e

to promote measures designed to facilitate the making by passengers of journeys which involve use of the services of more than one passenger service operator;

f

to impose on the operators of railway services the minimum restrictions which are consistent with the performance of his functions under this Part;

g

to enable persons providing railway services to plan the future of their businesses with a reasonable degree of assurance.

2

Without prejudice to the generality of subsection (1)(a) above, the F5Regulator shall have a duty, in particular, to exercise the functions assigned or transferred to him under or by virtue of this Part in the manner which he considers is best calculated to protect—

a

the interests of users and potential users of services for the carriage of passengers by railway provided by a private sector operator otherwise than under a franchise agreement, in respect of—

i

the prices charged for travel by means of those services, and

ii

F15“ the environment” means all , or any, of the following media, namely , the air, water and land (and the medium of air includes the air within buildings and the air within other natural or man-made structures above or below ground);
“the passenger transport market” means the market for the supply of services for the carriage of passengers, whether by railway or any other means of transport;
F16. . .
1. a
  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
2. b
  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F175. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Licensing of operators of railway assets

I26 Prohibition on unauthorised operators of railway assets.

C11

Any person who acts as the operator of a railway asset is guilty of an offence unless—

a

he is authorised to be the operator of that railway asset by a licence; or

b

he is exempt, by virtue of section 7 below, from the requirement to be so authorised.

F181A

This section does not apply to a person who acts as the operator of a railway asset to the extent that the asset is operated for the purpose of providing international services

2

In this Part—

F300'international licence’ means a licence granted pursuant to a provision contained in subordinate legislation made for the purpose of implementing the Directive of the Council of the European Union dated 19th June 1995 on the licensing of railway undertakings or pursuant to any action taken by an EEA State for that purpose;
'international services’ means services the provision of which requires an international licence;
“operator”, in relation to any railway asset, means the person having the management of that railway asset for the time being;
“railway asset” means—
1. a
  any train being used on a network, whether for the purpose of carrying passengers or goods by railway or for any other purpose whatsoever;
2. b
  any network;
3. c
  any station; or
4. d
  any light maintenance depot.

F3012A

In subsection (2) above “EEA State" means a State which is a Contracting Party to the Agreement on the European Economic Area signed at Oporto on 2nd May 1992 as adjusted by the Protocol signed at Brussels on 17th March 1993;

3

Any person who is guilty of an offence under this section shall be liable—

if and to the extent that he grants it, may do so subject to compliance with such conditions (if any) as he may so specify.

4

Before granting a licence exemption under subsection (3) above, the Regulator shall give notice—

a

stating that he proposes to grant the licence exemption,

b

stating the reasons why he proposes to grant the licence exemption; and

c

specifying the time (not being less than 28 days from the date of publication of the notice) within which representations or objections with respect to the proposed licence exemption may be made,

and shall consider any representations or objections which are duly made and not withdrawn.

5

A notice under subsection (4) above shall be given by publishing the notice in such manner as the Regulator considers appropriate for bringing it to the attention of persons likely to be affected by the grant of the licence exemption.

F3035A

The Regulator shall obtain the approval of the Authority to any condition of a licence exemption which relates to consumer protection; but a failure to comply with this subsection shall not affect the validity of the licence exemption.

6

If any condition (the “broken condition") of a licence exemption is not complied with—

a

the Secretary of State, in the case of a licence exemption under subsection (1) above, or

b

the Regulator, in the case of a licence exemption under subsection (3) above,

may give to any relevant person a direction declaring that the licence exemption is revoked, so far as relating to that person, to such extent and as from such date as may be specified in the direction.

F3046A

If the broken condition relates to consumer protection, the Authority may require the Regulator to give to any relevant person specified by the Authority a direction declaring that the licence exemption is revoked, so far as relating to that person, to such extent and from such date as is specified by the Authority.

7

For the purposes of F19this section—

“condition”, in relation to a licence exemption, means any condition subject to compliance with which the licence exemption was granted;
“relevant person”, in the case of any licence exemption, means a person who has the benefit of the licence exemption and who—
1. a
  is a person who failed to comply with the broken condition or with respect to whom the broken condition is not complied with; or
2. b
  is the operator of any of the railway assets in relation to which the broken condition is not complied with.

8

Where the Secretary of State or the Regulator gives a direction under subsection (6) above to any person, he may also direct that person to refrain from being the operator of any railway assets or of such railway assets, or railway assets of such a class or description, as may be specified in the direction by virtue of this subsection.

F3058A

The Authority may require the Regulator, when he gives a direction to any person in compliance with a requirement under subsection (6A) above, also to direct that person to refrain from being the operator of any railway assets, any railway assets specified by the Authority or any railway assets of a class or description so specified.

9

Subject to F306subsections (6) and (6A) above, a licence exemption, unless previously revoked in accordance with any term contained in the licence exemption, shall continue in force for such period as may be specified in, or determined by or under, the licence exemption.

F2010

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

11

Any application for a licence exemption under subsection (3) above must be made in writing; and where any such application is made, the Regulator may require the applicant to furnish him with such information as the Regulator may consider necessary to enable him to decide whether to grant or refuse the licence exemption.

12

Licence exemptions may make different provision, or be granted subject to compliance with different conditions, for different cases.

13

In this Part “licence exemption” means an exemption, granted under any provision of this section in respect of a railway asset or in respect of railway assets of any class or description, from the requirement to be authorised by licence to be the operator of that railway asset or, as the case may be, railway assets of that class or description.

the licence or licence exemption, and

b

stating the reasons why he proposes to grant the licence, and

c

specifying the time (not being less than 28 days from the date of publication of the notice) within which representations or objections with respect to the proposed licence may be made,

and shall consider any representations or objections which are duly made and not withdrawn.

5

A notice under subsection (4) above shall be given by publishing the notice in such manner as the Secretary of State or the Regulator considers appropriate for bringing it to the attention of persons likely to be affected by the grant of the licence.

6

A licence shall be in writing and, unless previously revoked or surrendered in accordance with any terms contained in the licence, shall continue in force for such period as may be specified in or determined by or under the licence; and a licence shall not be capable of being surrendered F23unless the Regulator and the Authority consent to the surrender if it is—

a

a passenger licence;

b

a network licence;

c

a station licence; or

d

a light maintenance depot licence.

7

As soon as practicable after the granting of a licence, the grantor shall send a copy—

a

in the case of a licence granted by the Secretary of State, to the Regulator F308, to the Authority and to the Health and Safety Executive; or

to comply with any requirements from time to time imposed by a qualified person with respect to such matters as are specified in the licence or are of a description so specified;

b

except in so far as a qualified person consents to his doing or not doing them, not to do or to do such things as are specified in the licence or are of a description so specified;

c

to refer for determination by a qualified person such questions arising under the licence as are specified in the licence or are of a description so specified;

d

to refer for approval by a qualified person such things falling to be done under the licence as are specified in the licence or are of a description so specified;

e

to furnish to a qualified person such documents or other information as he may require for the purpose of exercising any functions conferred or imposed on him under or by virtue of the licence;

f

to furnish to the Secretary of State or the Regulator such documents or other information as he may require for the purpose of exercising the functions assigned or transferred to him under or by virtue of this Part.

F253A

Conditions included in a licence by virtue of subsection (1)(a) above may include provision about any matter which is dealt with (whether in the same or a different manner) by an access agreement.

4

Conditions included in a licence may contain provision for the conditions to cease to have effect or be modified at such times, in such manner and in such circumstances as may be specified in or determined by or under the conditions; and any provision included by virtue of this subsection in a licence shall have effect in addition to the provision made by this Part with respect to the modification of the conditions of a licence.

5

Subsections (2) to (4) above are without prejudice to the generality of subsection (1)(a) above.

6

Any reference in subsection (3) above to a “qualified person” is a reference to—

a

a person specified in the licence in question for the purpose in question, or

b

a person of a description so specified,

and includes a reference to a person nominated for that purpose by such a person pursuant to the licence.

7

Any sums received by the Secretary of State or the Regulator in consequence of the provisions of any condition of a licence shall be paid into the Consolidated Fund.

10 Conditions of licences: activities carried on by virtue of a licence exemption.

1

If and so long as a person is a licence exempt operator—

a

there shall not be included in any licence granted to him any condition which relates to his licence exempt activities, except to the extent permitted by virtue of subsection (2) below; and

b

any such condition which is included in a licence which has been granted to him shall, except to that extent, be of no effect so far as so relating.

2

A condition which relates to both—

a

a licensed activity carried on by a person (“the licensee"), and

b

a licence exempt activity carried on by him,

may be included in a licence, but only if and to the extent that, in the opinion of the person granting the licence, the condition must, in consequence of the licensee’s carrying on of a mixed activity, necessarily have effect in relation to the whole, or some part, of so much of the mixed activity as consists of the licence exempt activity if the condition is to have full effect in relation to so much of the mixed activity as consists of the licensed activity.

3

There shall not be included in a licence any condition relating to the fares that may be charged in respect of train journeys involving licence exempt travel, other than train journeys which also involve—

a

licensed travel; and

b

at least two consecutive scheduled calls at stations during any one continuous spell of licensed operation.

4

For the purposes of subsection (3) above and this subsection—

“call” means any stop at a station for the purpose of allowing passengers to board or leave the train (including the stops at the stations at the beginning and end of the train journey in question);
“licence exempt travel” means travel by means of a train whose operator is, by virtue of a licence exemption, exempt from the requirement to be authorised by licence to be the operator of that train for the whole, or for some part, of the train journey in question;
“licensed travel” means travel by means of a train whose operator is authorised by licence to be the operator of that train for some part of the train journey in question;
“spell of licensed operation”, in the case of any train journey, means any part of the journey throughout which the operator of the train in question lawfully acts as such by virtue only of holding one or more licences;
“train journey” means a journey between any two stations which is scheduled to be made by means of one train (irrespective of where the train in question begins or ends its journey).

5

Subsection (3) above has effect notwithstanding anything in subsection (1) or (2) above; and section 9 above is subject to the provisions of this section.

6

In this section—

“licence exempt activity” means any activity which a person carries on in his capacity as a licence exempt operator;
“licence exempt operator” means an operator of railway assets, or railway assets of a class or description, who is, by virtue of a licence exemption, exempt from the requirement to be authorised by licence to be the operator of those railway assets or of railway assets of that class or description;
“licensed activity” means any activity which a person carries on in his capacity as a licence holder;
“mixed activity” means any activity which is carried on by a person who is both a licence holder and a licence exempt operator and which is carried on by him in part as a licensed activity and in part as a licence exempt activity.

11 Assignment of licences.

and shall, before giving consent, consider any representations or objections which are duly made and not withdrawn.

1C

and the Commission, for the purpose of carrying out any such investigation, shall take account of any information given to them for that purpose under this subsection.

7

In determining for the purposes of this section whether any particular matter operates, or may be expected to operate, against the public interest, the F31 Competition Commission shall have regard to the matters as respects which duties are imposed on F32. . . the Regulator by section 4 above.

8

F33. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

8A

F33. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

9

Nothing in this section applies in relation to any term of a licence to the extent that it makes provision for the revocation or surrender of the licence.

13AF34 References under section 13: time limits

1

Every reference under section 13 above shall specify a period (not longer than six months beginning with the date of the reference) within which a report on the reference is to be made.

2

A report of the Competition Commission on a reference under section 13 above shall not have effect (and no action shall be taken in relation to it under section 15 below) unless the report is made before the end of the period specified in the reference or such further period (if any) as may be allowed by the appropriate authority under subsection (3) below.

3

The appropriate authority may, if it has received representations on the subject from the Competition Commission and is satisfied that there are special reasons why the report cannot be made within the period specified in the reference, extend that period by no more than six months.

4

No more than one extension is possible under subsection (3) above in relation to the same reference.

5

The appropriate authority shall, in the case of an extension made by it under subsection (3) above—

a

publish that extension in such manner as it considers appropriate for the purpose of bringing it to the attention of persons likely to be affected by it; and

b

send a copy of what has been published by it under paragraph (a) above to the holder of the licence.

Provisions of Part 3 of the Enterprise Act 2002 which have effect for the purposes of sections 109 to 117 of that Act (including, in particular, provisions relating to offences and the making of orders), shall, for the purposes of the application of those sections by virtue of subsection (1) or (4) above, have effect in relation to those sections as applied by those subsections.

6

Accordingly, corresponding provisions of this Act shall not have effect in relation to those sections as applied by virtue of those subsections.

b

stating the reasons why he proposes to make the modifications, and

c

specifying the period (not being less than 28 days from the date of publication of the notice) within which representations or objections with respect to the proposed modifications may be made,

and shall consider any representations or objections which are duly made and not withdrawn.

F3503A

Before requiring the Regulator to make modifications under subsection (1B) above, the Authority shall give notice—

a

stating that it proposes to require the making of the modifications and setting out their effect,

b

stating the reasons why it proposes to require the making of the modifications, and

c

specifying the period (not being less than 28 days from the date of publication of the notice) within which representations or objections with respect to the proposed modifications may be made,

and shall consider any representations or objections which are duly made and not withdrawn.

4

A notice under subsection (3) F351or (3A) above shall be given—

a

by publishing the notice in such manner as the Regulator F352, or the Authority, considers appropriate for the purpose of bringing the matters to which the notice relates to the attention of persons likely to be affected by the making of the modifications; and

b

by serving a copy of the notice on the holder of the licence.

F454A

Where (after considering any representations or objections which are duly made and not withdrawn) the Regulator or Authority proposes to make or require the making of modifications under this section, he or it shall give notice to the Competition Commission—

a

setting out the modifications he proposes to make or it proposes to require to be made; and

b

stating the reasons why he proposes to make the modifications or it proposes to require the making of them.

4B

The Regulator or Authority shall include with the notice under subsection (4A) above a copy of any representations and objections which have been considered.

4C

If the period within which a direction may be given by the Competition Commission under section 15A below expires without such a direction being given, the Regulator or Authority shall make, or require the making of, the modifications set out in the notice given under subsection (4A) above.

4D

If a direction is given by the Competition Commission under section 15A(1)(b) below, the Regulator or Authority shall make, or require the making of, such of those modifications as are not specified in the direction.

5

As soon as practicable after making any modifications under this section, the Regulator shall send a copy of those modifications to F353the Authority and the Health and Safety Executive.

6

Nothing in this section applies in relation to any term of a licence to the extent that it makes provision for the revocation or surrender of the licence.

by serving a copy of the notice on the holder of the licence.

F4715B Making of modifications by Competition Commission.

1

If the Competition Commission give a direction under section 15A above, they shall themselves make such modifications of the conditions of the licence as appear to them requisite for the purpose of remedying or preventing—

a

the adverse effects specified in their report on the reference under section 13 above; or

b

such of those adverse effects as would not be remedied or prevented by the modifications made by the Regulator, or required to be made by the Authority, under section 15(4D) above.

2

In exercising the function conferred by subsection (1) above, the Competition Commission shall have regard to the matters as respects which duties are imposed on the Regulator by section 4 above.

3

Before making modifications under this section, the Competition Commission shall give notice—

a

stating that they propose to make the modifications and setting out their effect,

b

stating the reasons why they propose to make the modifications, and

c

specifying the period (not being less than 28 days from the date of publication of the notice) within which representations or objections may be made,

and shall consider any representations or objections which are duly made and not withdrawn.

4

A notice under subsection (3) above shall be given—

a

b

by serving a copy of the notice on the holder of the licence.

5

As soon as practicable after making any modifications under this section, the Competition Commission shall send a copy of those modifications to the Regulator, the Authority and the Health and Safety Executive.

For the purpose of assisting the Competition Commission in exercising their functions under sections 15A and 15B above, the Regulator and the Authority shall give to the Competition Commission any information in his or its possession which relates to matters relevant to the exercise of those functions and—

a

is requested by the Competition Commission for that purpose; or

b

is information which, in his or its opinion, it would be appropriate for that purpose to give to the Competition Commission without any such request;

and any other assistance which the Competition Commission may require, and which it is within his or its power to give, in relation to any such matters.

4

For the purpose of exercising those functions, the Competition Commission shall take account of any information given to them for that purpose under subsection (3) above.

16 Modification by order under other enactments.

F501

Where the OFT, the Competition Commission or (as the case may be) the Secretary of State (in this section “the relevant authority”) makes a relevant order, the order may also provide for the modification of the conditions of a licence to such extent as may appear to the relevant authority to be requisite or expedient for the purpose of giving effect to, or taking account of, any provision made by the order.

2

In subsection (1) above “relevant order” means—

C5a

an order under section 75, 83 or 84 of, or paragraph 5, 10 or 11 of Schedule 7 to, the Enterprise Act 2002 where—

i

one or more than one of the enterprises which have, or may have, ceased to be distinct enterprises was engaged in the supply of services relating to railways; or

ii

one or more than one of the enterprises which will or may cease to be distinct enterprises is engaged in the supply of services relating to railways; or

b

an order under section 160 or 161 of that Act where the feature, or combination of features, of the market in the United Kingdom for goods or services which prevents, restricts or distorts competition relates to the supply of services relating to railways.

3

As soon as practicable after making any modifications under this section, the F51relevant authority shall send a copy of those modifications to the Regulator F354, to the Authorityand to the Health and Safety Executive.

4

Nothing in this section applies in relation to any term of a licence to the extent that it makes provision for the revocation or surrender of the licence.

F525

Expressions used in subsection (2) above and in Part 3 or (as the case may be) Part 4 of the Enterprise Act 2002 have the same meanings in that subsection as in that Part; and in subsection (2) above “services relating to railways” has the same meaning as in section 67(2A) of this Act.

F76 Directions to provide, improve or develop railway facilities

Annotations:

Amendments (Textual)

F76

S. 16A cross-heading inserted (15.10.2005) by 2000 c. 38, ss. 223, 275; S.I. 2005/2862, art. 3

F5316A Provision, improvement and development of railway facilities.

1

F54the Office of Rail Regulation may, on an application—

a

made by the Authority, or

b

made by any other person with the consent of the Authority,

give to the operator of a network, station or light maintenance depot a direction to provide a new railway facility if F54the Office of Rail Regulation considers him to be an appropriate person to provide the new railway facility.

2

F54the Office of Rail Regulation may, on an application—

a

made by the Authority, or

b

made by any other person with the consent of the Authority,

give to a person who has an estate or interest in, or right over, an existing railway facility a direction to improve or develop the railway facility if F54the Office of Rail Regulation considers him to be an appropriate person to improve or develop the railway facility.

3

The Authority’s consent to the making by any other person of an application under subsection (1) or (2) above may be given subject to compliance with conditions (and may be withdrawn if any condition is not complied with before F54the Office of Rail Regulation decides whether to give the direction).

F5516B Exemption of railway facilities from section 16A.

1

The Secretary of State may, after consultation with F56the Office of Rail Regulation , by order grant exemption from subsection (1) or (2) of section 16A above (or from both of those subsections) in respect of such railway facilities as may be specified in the order, but subject to compliance with such conditions (if any) as may be so specified.

2

An exemption under subsection (1) above may be granted in respect of—

a

railway facilities of a particular class or description, or

b

a particular railway facility,

or in respect of part only of railway facilities of a particular class or description or a particular railway facility.

3

An exemption under subsection (1) above may be granted generally, to persons of a particular class or description or to a particular person.

4

If a person fails to comply with any condition subject to compliance with which an exemption was granted, the Secretary of State may give a direction declaring that the exemption is revoked, so far as relating to that person, to such extent and as from such date as may be specified in the direction.

5

Subject to subsection (4) above, an exemption, unless previously revoked in accordance with any term contained in the exemption, shall continue in force for such period as may be specified in, or determined by or under, the exemption.

6

Exemptions may make different provision, or be granted subject to compliance with different conditions, for different cases.

F5716C Making of applications for directions.

1

An application for a direction under section 16A above must be made to F58the Office of Rail Regulation in writing.

2

The application must—

a

specify the person to whom the direction would be given;

b

state what it would require him to do; and

c

give the applicant’s reasons for considering that person to be an appropriate person to do what the direction would require him to do.

3

The applicant may at any time vary what the direction would require that person to do by giving to F58the Office of Rail Regulation notice in writing of the variation; but if the applicant is a person other than the Authority such a notice may only be given with the consent of the Authority.

4

The application or notice of a variation may be accompanied by any written representations which the applicant wishes to make in relation to the direction.

the applicant,

b

the other person, and

c

the Authority (if it is neither the applicant nor the other person),

consent to the substitution.

6

notify F67its intention to give a direction to the applicant, the Authority (if it is not the applicant) and any other persons who the Regulator considers ought to be notified; and

b

invite them to make written representations within a period specified in the invitation;

and if the applicant makes representations that the direction should not be given, F65the Office of Rail Regulation shall not give it.

4

Whatever F65the Office of Rail Regulation’s decision on an application F66it shall notify the decision to—

a

the person specified in the application;

b

the applicant; and

c

any other persons who F66it considers ought to be notified.

5

F65the Office of Rail Regulation may direct the person specified in the application or the applicant to pay to—

a

the other of those persons, or

b

any other person directed to provide information under section 16D(7) above,

any such amount as F66it considers appropriate in respect of costs incurred in connection with the application.

F6816G Directions: compliance, variation and revocation.

1

A person shall not be regarded as failing to comply with a direction under section 16A above if he has done everything which it is reasonably practicable to do in order to comply with the direction.

2

If a person is unable to comply with such a direction because he does not have the necessary powers or rights (including rights over land), he shall not be taken to have done everything which it is reasonably practicable to do in order to comply with the direction unless he has done everything which it is reasonably practicable to do in order to obtain those powers or rights.

3

A direction under section 16A above may only be revoked or varied by F69the Office of Rail Regulation—

a

on the application of the person to whom the direction was given, the applicant for the direction or the Authority (if it was not the applicant); and

b

after consultation with the other persons with power to apply for a revocation or variation.

4

Such a direction may only be varied on an application by the applicant for the direction or the Authority if F69the Office of Rail Regulation is satisfied that the person to whom the direction was given will be adequately rewarded for providing, improving or developing the railway facility in accordance with the varied direction, taking into account (in particular) the matters specified in section 16E(2) above.

5

F69the Office of Rail Regulation may grant an application for the variation or revocation of a direction under section 16A above by the applicant for the direction or the Authority on condition that he or it secures that any such compensation as F69the Office of Rail Regulation may specify is paid to the person to whom the direction was given in respect of any liabilities incurred, or other things done, by him in complying with the direction.

F7016H Code of practice.

1

F71the Office of Rail Regulation shall prepare, and from time to time revise, a code of practice supplementing sections 16A to 16G above and shall publish it in such manner as F72it considers appropriate.

2

F71the Office of Rail Regulation shall have regard to the code of practice in the exercise of F73its functions under those sections.

3

The code of practice may (in particular)—

a

set out minimum periods to be specified in invitations to make representations;

b

include provision about requesting the provision of information prior to giving a direction under section 16D(7) above;

c

specify principles according to which directions to pay costs are to be given under section 16F(5) above; and

d

make provision about the consultation required by section 16G(3)(b) above.

from any facility owner, permission to use the facility owner’s railway facility for the purpose of stabling, or otherwise temporarily holding, rolling stock in connection with the operation of trains on any track by the beneficiary; or

e

from any facility owner, permission to use the facility owner’s railway facility for or in connection with the operation of a network, station or light maintenance depot by the beneficiary;

but this subsection is subject to the limitations imposed by subsection (3) below.

3

In subsection (2) above—

a

paragraph (a) does not extend to obtaining permission to use track for the purpose of providing network services on that track;

b

paragraph (b) does not extend to obtaining permission to use a station for the purpose of operating that station;

c

paragraph (c) does not extend to obtaining permission to use a light maintenance depot for the purpose of enabling the beneficiary to carry out light maintenance;

d

if and to the extent that the railway facility mentioned in paragraph (e) is track, that paragraph does not extend to obtaining permission to use that track for the purpose—

i

of providing network services on that track, or

ii

of operating any network in which that track is comprised,

except where the purpose for which directions are sought is to enable the beneficiary to operate on behalf of the F553Authority a network in which the track in question is comprised;

e

if and to the extent that the railway facility mentioned in that paragraph is a station, that paragraph does not extend to obtaining permission to use that station for the purpose—

i

of providing station services at that station, or

ii

of operating that station,

except where the purpose for which directions are sought is to enable the beneficiary to operate the station on behalf of the F553Authority;

f

if and to the extent that the railway facility mentioned in that paragraph is a light maintenance depot, that paragraph does not extend to obtaining permission to use that light maintenance depot for the purpose—

i

of carrying out light maintenance at that light maintenance depot, or

ii

of operating that light maintenance depot,

except where the purpose for which directions are sought is to enable the beneficiary to operate the light maintenance depot on behalf of the F553Authority.

4

Any reference in this section to a person operating a network, station or light maintenance depot “on behalf of the F553Authority” is a reference to his operating the network, station or light maintenance depot in pursuance of any agreement or other arrangements made by the F553Authority for the purpose of performing a duty imposed upon F553the Authority, or exercising a power conferred upon F553the Authority, under or by virtue of this Part to secure the operation of that network, station or light maintenance depot.

5

Nothing in this section authorises the Regulator to give directions to any person requiring him to grant a lease of the whole or any part of a railway facility.

6

In this Part—

“access contract” means—
1. a
  a contract under which—
2. i
  a person (whether or not the applicant), and
3. ii
  so far as may be appropriate, any associate of that person,

obtains permission from a facility owner to use the facility owner’s railway facility; or

b

a contract conferring an option, whether exercisable by the applicant or some other person, to require a facility owner to secure that—

i

a person (whether or not the applicant or that other), and

ii

so far as may be appropriate, any associate of that person,

obtains permission from the facility owner to use his railway facility;

and any reference to an “access option” is a reference to an option falling within paragraph (b) above;
“facility owner” means any person—
1. a
  who has an estate or interest in, or right over, a railway facility; and
2. b
  whose permission to use that railway facility is needed by another before that other may use it;
F78but also includes a person before he becomes a facility owner;
and any reference to a facility owner’s railway facility is a reference to the railway facility by reference to which he is a facility owner.

7

In this section—

“the applicant” means the person making the application for directions;
“associate”, in relation to any person, includes—
1. a
  any servant, agent or independent contractor of his;
2. b
  any passenger of his;
3. c
  any person engaged in the provision of goods or services to or for him; and
4. d
  any other person who deals or has business with him;
“the beneficiary” means the person mentioned in paragraph (a)(i) or, as the case may be, paragraph (b)(i) of the definition of “access contract” in subsection (6) above, according to the description of access contract in question;
“directions” means directions under this section;

F554'the Directives’ mean Council Directive No.91/440/EEC on the development of the Community’s railways and Council Directive No.95/19/EC on the allocation of railway infrastructure capacity and the charging of infrastructure fees;

“implementing regulation” means a provision contained in subordinate legislation made for the purpose of implementing F555the Directives;
“international railway access contract” means an access contract entered into as a result of—
1. a
  an application made under an implementing regulation by an international grouping to an F556allocation body for access and transit rights, or for transit rights, for the provision of international services between the member States where the undertakings constituting the international grouping are established; or
2. b
  an application made under an implementing regulation by a railway undertaking established, or to be established, in a member State F557. . . to an F556allocation body for the grant of access for the purpose of the operation of international combined transport goods services;
and expressions used in paragraph (a) or (b) above and in F558the Directives have the same meaning in that paragraph as they have in F558the Directives;
“lease” includes an underlease or sublease and an agreement for a lease, underlease or sublease.

F797A

Any reference in this section to obtaining permission to use a railway facility includes, where the facility is track, permission to connect other track to it.

8

Any reference in this section to obtaining permission to use a railway facility includes—

a

a reference to obtaining, in connection with any such permission, power to obtain the provision of ancillary services relating to that railway facility, whether the facility owner in question is to provide those services himself or to secure their provision by another; and

b

a reference to obtaining permission—

i

to enter upon the facility land, with or without vehicles,

ii

to bring things on to that land and keep them there,

iii

to carry out works on that land, and

iv

to use and maintain any things kept, or buildings or other works constructed, on that land (whether by the beneficiary or another) or any amenities situated on that land,

“facility land” meaning in this paragraph the land which constitutes the railway facility in question;

and, in subsection (2)(c) above, the reference to obtaining permission to use a light maintenance depot includes a reference to obtaining power to obtain light maintenance services at that light maintenance depot, whether the facility owner is to provide those services himself or to secure their provision by another.

9

Any reference in this section to a railway facility includes a reference to a part of a railway facility.

10

Schedule 4 to this Act shall have effect with respect to applications for directions.

F8011

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

C818 Access agreements: contracts requiring the approval of the Regulator.

C91

A facility owner shall not enter into an access contract to which this section applies unless—

a

he does so pursuant to directions under section 17 above; F81. . .

b

the Regulator has approved the terms of the access contract and the facility owner enters into the contract pursuant to directions under this section; F82or

c

the access contract is of a class or description specified in a general approval given by the Regulator;

and any access contract to which this section applies F83shall be void unless one of the conditions in paragraphs (a) to (c) above is satisfied.

2

The access contracts to which this section applies are those under which the beneficiary obtains, or, in the case of an access contract conferring an access option, may obtain, (whether for himself alone or for himself and associates of his)—

a

from a facility owner whose railway facility is track, permission to use that track for the purpose of the operation of trains on that track by the beneficiary;

b

from a facility owner whose railway facility is a station, permission to use that station, for or in connection with the operation of trains by the beneficiary;

c

d

e

from any facility owner, permission to use the facility owner’s railway facility for or in connection with the operation of a network, station or light maintenance depot by the beneficiary;

but this subsection is subject to subsections (3) and (4) below.

3

This section does not apply to an access contract—

a

if and to the extent that the railway facility to which the access contract relates is, by virtue of section 20 below, an exempt facility; or

b

if and to the extent that the access contract is an international railway access contract.

4

In subsection (2) above—

a

paragraph (a) does not extend to permission to use track for the purpose of providing network services on that track;

b

paragraph (b) does not extend to permission to use a station for the purpose of operating that station;

c

paragraph (c) does not extend to permission to use a light maintenance depot for the purpose of enabling the beneficiary to carry out light maintenance;

d

if and to the extent that the railway facility mentioned in paragraph (e) is track, that paragraph does not extend to obtaining permission to use that track for the purpose—

i

of providing network services on that track, or

ii

of operating any network in which that track is comprised,

unless the purpose of entering into the access contract is to enable the beneficiary to operate on behalf of the F559Authority a network in which the track in question is comprised;

e

if and to the extent that the railway facility mentioned in that paragraph is a station, that paragraph does not extend to obtaining permission to use that station for the purpose—

i

of providing station services at that station, or

ii

of operating that station,

unless the purpose of entering into the access contract is to enable the beneficiary to operate the station on behalf of the F559Authority;

f

i

of carrying out light maintenance at that light maintenance depot, or

ii

of operating that light maintenance depot,

unless the purpose of entering into the access contract is to enable the beneficiary to operate the light maintenance depot on behalf of the F559Authority.

5

In any case where—

a

a facility owner and another person (the “other party") have agreed the terms on which they propose to enter into an access contract to which this section applies, but

b

the circumstances are such that, by virtue of subsection (1)(b) above, those terms must be approved, and directions must be given, by the Regulator before the facility owner may enter into the proposed access contract,

it shall be for the facility owner to submit the proposed access contract to the Regulator for approval of its terms.

6

If, on the submission of a proposed access contract pursuant to subsection (5) above, the Regulator approves its terms, he shall issue directions to the facility owner—

a

requiring him to enter into the proposed access contract within such period as may be specified for the purpose in the directions; but

b

releasing him from his duty to do so if the other party fails to enter into the proposed access contract within such period as may be specified for the purpose in the directions;

and the Regulator shall send a copy of the directions to the other party.

F846A

The grounds on which the Regulator may reject, or approve subject to modifications, a proposed access contract submitted to him pursuant to subsection (5) above include that he considers that the use of the facility for which it provides might impede the provision of services—

a

under a franchise agreement; or

b

under an agreement entered into by the Authority pursuant to its duty under section 30 below.

7

If, on the submission of a proposed access contract pursuant to subsection (5) above, the Regulator does not consider it appropriate to approve its terms without modification (or to reject it), he may, after consultation with the facility owner and the other party, issue directions to the facility owner—

a

approving the terms of the proposed access contract, but subject to such modifications as may be specified in the directions; and

b

requiring the facility owner to enter into the proposed access contract on those terms, as so modified; but

c

releasing him from his duty to do so if either—

i

the facility owner gives the Regulator notice of objection before the expiration of the period of fourteen days beginning with the day after that on which the directions are issued; or

ii

the other party fails to enter into the proposed access contract, on the terms as modified under this subsection, before the date specified for the purpose in the directions;

and the Regulator shall send a copy of the directions to the other party.

F857A

Where the Regulator gives or revokes a general approval under subsection (1)(c) above, he shall publish the approval or revocation in such manner as he considers appropriate.

7B

The revocation of a general approval given under subsection (1)(c) above shall not affect the continuing validity of any access contract to which it applied.

8

In this section, “associate”, “the beneficiary”, “international railway access contract” and “lease” have the same meaning as they have in section 17 above.

9

The following provisions of section 17 above, that is to say—

a

subsection (4),

F86aa

subsection (7A),

b

subsection (8)(a) and (b), and

c

subsection (9),

apply for the purposes of this section as they apply for the purposes of that section; and the words following paragraph (b) of subsection (8) of that section apply in relation to subsection (2)(c) of this section as they apply in relation to subsection (2)(c) of that section.

10

This section shall not prevent a facility owner from granting a lease of any land which consists of or includes the whole or any part of his railway facility.

F8711

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

19 Access agreements: contracts for the use, on behalf of the F560Authority, of installations comprised in a network.

C101

The Regulator may, on the application of any person, give directions to an installation owner requiring him to enter into an installation access contract with the applicant for the purpose of enabling the beneficiary to obtain (whether for himself alone or for himself and, so far as may be applicable, associates of his) permission to use the installation owner’s network installation for the purpose of operating, on behalf of the F560Authority, the network in which the network installation is comprised.

2

Directions shall not be given under subsection (1) above in the case of any network installation if and to the extent that, as a result of an obligation or duty owed by the installation owner which arose before the coming into force of this section, the consent of some other person is required by the installation owner before he may enter into the installation access contract.

3

An installation owner shall not enter into an installation access contract to which this subsection applies unless—

a

he does so pursuant to directions under subsection (1) above; F88. . .

b

the Regulator has approved the terms of the installation access contract and the installation owner enters into the contract pursuant to directions given by virtue of subsection (5) below; F89or

c

i

to enter upon the installation land, with or without vehicles,

ii

to bring things on to that land and keep them there,

iii

to carry out works on that land, and

iv

to use and maintain any things kept, or buildings or other works constructed, on that land (whether by the beneficiary or another) or any amenities situated on that land;

and in paragraph (b) above “installation land” means the land which constitutes the network installation in question.

9

In this Part—

“installation access contract” means a contract under which—
1. a
  a person (whether or not the applicant), and
2. b
  so far as may be appropriate, any associate of that person,
obtains permission from an installation owner to use the installation owner’s network installation;
“installation owner” means any person—
1. a
  who has an estate or interest in, or right over, a network installation; and
2. b
  whose permission to use that network installation is needed by another before that other may use it;
F92but also includes a person before he becomes an installation owner;
and any reference to an installation owner’s network installation is a reference to the network installation by reference to which he is an installation owner.

10

In this section—

“ancillary service” means any service which is necessary or expedient for giving full effect to any permission or right which a person may have to use a network installation;
“the applicant” means the person making the application for directions under subsection (1) above;
“associate” has the meaning given by section 17(7) above;
“the beneficiary” means the person mentioned in paragraph (a) of the definition of “installation access contract” in subsection (9) above;
“lease” includes an underlease or sublease and an agreement for a lease, underlease or sublease;
“network installation” means any installation (other than track) which is comprised in a network.

11

Any reference in this section to a network installation includes a reference to a part of a network installation F93and to one which is proposed to be constructed or is in the course of construction..

12

Schedule 4 to this Act shall have effect with respect to applications for directions under subsection (1) above as it has effect with respect to applications for directions under section 17 above, but with the following modifications, that is to say—

a

for any reference to an access contract, there shall be substituted a reference to an installation access contract;

b

any reference to an application for directions under section 17 above shall be taken as a reference to an application for directions under subsection (1) above;

c

for any reference to the facility owner, there shall be substituted a reference to the installation owner mentioned in subsection (1) above;

d

for any reference to section 17 above (but not to any specific provision of that section) there shall be substituted a reference to this section.

F9413

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

19AF95 Review of access charges by Regulator.

Schedule 4A to this Act (which contains provision about the review of access charges by the Regulator) shall have effect.

C1120 Exemption of railway facilities from sections 17 F96, 18 and 22A.

1

The Secretary of State may, after consultation with the Regulator, by order grant exemption from sections 17 and 18 above F97and section 22A belowin respect of such railway facilities as may be specified in the order, but subject to compliance with such conditions (if any) as may be so specified.

2

A facility exemption under subsection (1) above may be granted—

a

to persons of a particular class or description or to a particular person; and

b

in respect of railway facilities of a particular class or description or a particular railway facility, or in respect of part only of any such railway facilities or facility;

F98. . .

3

If a facility owner makes an application under this subsection to the Regulator for the grant of an exemption from sections 17 and 18 above F97and section 22A below in respect of the whole or any part of his railway facility, the Regulator, after consultation with the Secretary of State—

a

the Regulator, in the case of a facility exemption under subsection (3) above,

may give to any relevant person a direction declaring that the facility exemption is revoked, so far as relating to that person, to such extent and as from such date as may be specified in the direction.

7

For the purposes of subsection (6) above—

“condition”, in relation to a facility exemption, means any condition subject to compliance with which the facility exemption was granted;
“relevant person”, in the case of any facility exemption, means a person who has the benefit of the facility exemption and who—
1. a
  is a person who failed to comply with the broken condition or with respect to whom the broken condition is not complied with; or
2. b
  is the facility owner in the case of the railway facility in relation to which the broken condition is not complied with.

8

Subject to subsection (6) above, a facility exemption, unless previously revoked in accordance with any term contained in the facility exemption, shall continue in force for such period as may be specified in, or determined by or under, the facility exemption.

F999

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

10

Any application for a facility exemption under subsection (3) above must be made in writing; and where any such application is made, the Regulator may require the applicant to furnish him with such information as the Regulator may consider necessary to enable him to decide whether to grant or refuse the facility exemption.

11

Facility exemptions may make different provision, or be granted subject to compliance with different conditions, for different cases.

F10012

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

13

In this Part “facility exemption” means an exemption from sections 17 and 18 above F97and section 22A below granted under any provision of this section in respect of the whole or any part of a railway facility; and a railway facility is an “exempt facility” if and to the extent that it is the subject of such an exemption.

21 Model clauses for access contracts.

1

The Regulator may prepare and publish model clauses for inclusion in access contracts.

2

Different model clauses may be prepared and published in relation to different classes or descriptions of railway facility.

3

The Regulator may from time to time revise any model clauses published under this section and may publish those clauses as so revised.

4

In preparing or revising any model clauses under this section, the Regulator may consult such persons as he thinks fit.

5

The Regulator shall encourage, and may require, the use of any model clauses of his in access contracts wherever he considers it appropriate.

22 Amendment of access agreements.

1

Any amendment, or purported amendment, of an access agreement shall be void unless the amendment has been approved by the Regulator F101or is made pursuant to directions under section 22A or 22C below or Schedule 4A to this Act..

2

The Regulator may, for the purposes of subsection (1) above, give the parties to any particular access agreement his general approval to the making to that access agreement of amendments of a description specified in the approval; and any approval so given shall not be revoked.

3

The Regulator may, for the purposes of subsection (1) above, give his general approval to the making to access agreements, or to access agreements of a particular class or description, of amendments of a description specified in the approval.

4

Where the Regulator gives or revokes a general approval under subsection (3) above, he shall publish the approval or revocation (as the case may be) in such manner as he considers appropriate.

5

The revocation of a general approval given under subsection (3) above shall not affect the continuing validity of any amendment made in accordance with, and before the revocation of, that approval.

No directions shall be given under this section in relation to a railway facility or network installation if and to the extent that, as a result of an obligation or duty owed by the facility owner or installation owner which arose before the coming into force of section 17 or 19 above, the consent of some other person is required by him before he may make the amendments.

6

Nothing in this section authorises the Regulator to give directions to any person requiring him to grant a lease of the whole or any part of a railway facility or network installation.

7

In this section and section 22B below—

a

“international railway access contract” and “lease” have the same meaning as in section 17 above; and

b

“network installation” has the same meaning as in section 19 above.

F10622B Applications for directions under section 22A: procedure.

1

Schedule 4 to this Act shall have effect with respect to applications for directions under section 22A above as it has effect with respect to applications for directions under section 17 above (but subject as follows).

2

In its application by virtue of this section Schedule 4 to this Act has effect with the following modifications—

a

in paragraph 1, in the definition of “the facility owner", for “17(1)" there shall be substituted “22A" and, in the definition of “interested person", for “enter into the required access contract" there shall be substituted “make the amendments";

b

in paragraph 2(1), for “which the applicant proposes should be contained in the required access contract" and “to be contained in the required access contract" there shall be substituted “of the proposed amendments";

c

in paragraph 5(2), for “to the facility owner requiring him to enter into an access contract" there shall be substituted “under section 22A of this Act";

d

for paragraph 5(2)(a)(i) and (ii) there shall be substituted “the amendments to be made and the date by which they are to be made; and";

e

in paragraph 6(2), for the words from “facility owner’s" to the end of paragraph (c) there shall be substituted “making of the amendments, the performance of the access agreement as amended or failing to take any step to protect the interests of the interested person in connection with the application for directions or the making of the amendments,"; and

f

in paragraph 6(3), for “any access contract which is entered into" there shall be substituted “the amendments made";

and the definition of “the required access contract", and the words following that definition, in paragraph 1 and paragraph 5(4) shall be omitted.

3

In its application by virtue of this section in relation to an application relating to an installation access contract Schedule 4 to this Act has effect with the following further modifications—

a

references to the railway facility shall have effect as references to the network installation;

b

references to the facility owner shall have effect as references to the installation owner; and

c

in the definition of “interested person" in paragraph 1, for “17" there shall be substituted “19".

4

The Regulator may determine that, in their application by virtue of this section in relation to any particular application, paragraphs 3 and 4 of Schedule 4 to this Act shall have effect as if for any of the numbers of days specified in them there were substituted the lower number specified by the Regulator.

F10722C Amendment: supplementary.

1

The Regulator may give directions requiring the parties to an access agreement to make to the access agreement amendments which are, in his opinion, necessary to give effect to the conditions of a licence or otherwise required in consequence of the conditions of a licence.

2

The Regulator shall not have power to direct or otherwise require amendments to be made to an access agreement except in accordance with section 22A above, subsection (1) above or Schedule 4A to this Act.

3

If an access agreement includes provision for any of its terms to be varied—

a

by agreement of the parties, or

b

by direction or other requirement of the Regulator,

a variation made pursuant to that provision shall not be regarded for the purposes of section 22 above or subsection (2) above as an amendment of the agreement.

Franchising of passenger services

I323 Passenger services to be subject to franchise agreements.

C121

It shall be the duty of the F311Authority from time to time to designate F108such services for the carriage of passengers by railway (other than services which are, by virtue of section 24 below, exempt from designation under this subsection) as it considers ought to be provided under franchise agreements..

2

The F312Authority may perform F312its duty under subsection (1) above by designating particular services or services of a class or description.

F1092A

A designation may be varied or revoked; but a variation or revocation of the designation of particular services, or services of a class or description, shall not affect any franchise agreement previously entered into with respect to those services or services of that class or description.

2B

The Authority shall publish designations, and any variations or revocations of designations, in such manner as it considers appropriate.

3

In this Part—

“franchise agreement” means an agreement with the F313Authority under which another party undertakes either—
1. a
  to provide, or
2. b
  to secure that a wholly owned subsidiary of his provides,
throughout the franchise term those services for the carriage of passengers by railway to which the agreement relates;
“franchise operator”, in relation to any franchise agreement, means the person (whether the franchisee or, as the case may be, the wholly owned subsidiary of the franchisee) who is to provide the franchised services;
“franchise period”, in relation to any franchise agreement, means the franchise term, except where the franchise agreement is terminated before the end of that term, in which case it means so much of that term as ends with that termination;
“franchise term”, in relation to any franchise agreement, means the period specified in the franchise agreement as the period throughout which the franchisee is to provide, or secure that a wholly owned subsidiary of his provides, the franchised services, and includes any such extension of that period as is mentioned in section 29(3) below;
“franchised services”, in relation to any franchise agreement, means the services for the carriage of passengers by railway which are to be provided under that franchise agreement;
“franchisee” means—
1. a
  in relation to a franchise agreement under which a party undertakes to secure that a wholly owned subsidiary of his provides the franchised services, the party so undertaking; or
2. b
  in relation to any other franchise agreement, the person who is to provide the franchised services.

4

Any reference in this Part to the provision of services under a franchise agreement is a reference to the provision of those services by the franchise operator; and where the franchise operator is, or is to be, a wholly owned subsidiary of the franchisee, any reference to the provision of services by the franchisee under a franchise agreement shall accordingly be construed as a reference to his securing their provision by the franchise operator.

24 Exemption of passenger services from section 23(1).

1

The Secretary of State may by order grant exemption from designation under section 23(1) above in respect of such services for the carriage of passengers by railway as may be specified in the order, but subject to compliance with such conditions (if any) as may be so specified.

2

A franchise exemption under subsection (1) above may be granted—

a

to persons of a particular class or description or to a particular person; and

b

in respect of services generally, services of a particular class or description or a particular service, or in respect of part only of any such services or service;

and a franchise exemption granted to persons of a particular class or description shall be published in such manner as the Secretary of State considers appropriate for bringing it to the attention of persons of that class or description.

3

If a person who provides, or who proposes to introduce, services for the carriage of passengers by railway makes an application to the Secretary of State under this subsection for the grant of an exemption from designation under section 23(1) above in respect of any such service which he provides or proposes to introduce, the Secretary of State, after consultation with the Regulator and the F315Authority—

a

may either grant or refuse the exemption, whether wholly or to such extent as he may specify in the exemption; and

b

if and to the extent that he grants it, may do so subject to compliance with such conditions (if any) as he may so specify.

4

Before granting a franchise exemption under subsection (3) above, the Secretary of State shall give notice—

a

stating that he proposes to grant the franchise exemption,

b

stating the reasons why he proposes to grant the franchise exemption, and

c

specifying the time (not being less than 28 days from the date of publication of the notice) within which representations or objections with respect to the proposed franchise exemption may be made,

and shall consider any representations or objections which are duly made and not withdrawn.

5

A notice under subsection (4) above shall be given by publishing the notice in such manner as the Secretary of State considers appropriate for bringing it to the attention of persons likely to be affected by the grant of the franchise exemption.

6

If any condition (the “broken condition") of a franchise exemption is not complied with, the Secretary of State may give to any relevant person a direction declaring that the franchise exemption is revoked, so far as relating to that person, to such extent and as from such date as may be specified in the direction.

7

For the purposes of subsection (6) above—

“condition”, in relation to a franchise exemption, means any condition subject to compliance with which the franchise exemption was granted;
“relevant person”, in the case of any franchise exemption, means a person who has the benefit of the franchise exemption and who—
1. a
  is a person who failed to comply with the broken condition or with respect to whom the broken condition is not complied with; or
2. b
  provides any of the services in relation to which the broken condition is not complied with.

8

Subject to subsection (6) above, a franchise exemption, unless previously revoked in accordance with any term contained in the franchise exemption, shall continue in force for such period as may be specified in, or determined by or under, the franchise exemption.

9

Any application for a franchise exemption under subsection (3) above must be made in writing; and where any such application is made, the Secretary of State may require the applicant to furnish him with such information as the Secretary of State may consider necessary to enable him to decide whether to grant or refuse the franchise exemption.

10

Any franchise exemption granted under subsection (3) above shall be in writing.

11

Subsections (1) and (3) above apply in relation to the grant of a franchise exemption whether it is to become effective on, or after, the day on which section 23(1) above comes into force.

12

Franchise exemptions may make different provision for different cases.

13

In this Part, “franchise exemption” means an exemption from designation under section 23(1) above granted under any provision of this section in respect of any service for the carriage of passengers by railway.

I425 Public sector operators not to be franchisees.

1

The following bodies and persons (in this Part referred to as “public sector operators”) shall not be franchisees—

a

any Minister of the Crown, Government department or other emanation of the Crown;

b

any local authority;

F110bb

the Greater London Authority;

F111bc

Transport for London;

c

any metropolitan county passenger transport authority;

d

any body corporate whose members are appointed by a Minister of the Crown, a Government department, a local authority F112, the Greater London Authority, Transport for London or a metropolitan county passenger transport authority or by a body corporate whose members are so appointed;

e

a company—

i

a majority of whose issued shares are held by or on behalf of any of the bodies or persons falling within paragraphs (a) to (d) above;

ii

in which the majority of the voting rights are held by or on behalf of any of those bodies or persons;

iii

a majority of whose board of directors can be appointed or removed by any of those bodies or persons; or

iv

in which the majority of the voting rights are controlled by any of those bodies or persons, pursuant to an agreement with other persons;

f

a subsidiary of a company falling within paragraph (e) above.

2

Expressions used in sub-paragraphs (i) to (iv) of subsection (1)(e) above and in section 736 of the M2Companies Act 1985 have the same meaning in those sub-paragraphs as they have in that section.

F1133

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F1134

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F1135

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F1136

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F1137

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F1138

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F1139

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

26 Invitations to tender for franchises.

1

Unless the Secretary of State otherwise directs, the person who is to be the franchisee under any franchise agreement shall be selected by the F316Authority from among those who submit tenders in response to an invitation to tender under this section for the right to provide, or to secure that a wholly owned subsidiary provides, services for the carriage of passengers by railway under that franchise agreement.

2

The F317Authority shall prepare any such invitation to tender and shall issue that invitation to such persons as F317it may, after consultation with the Regulator, think fit.

3

The F317Authority shall not issue an invitation to tender under this section to (or entertain such a tender from) any person unless F317it is of the opinion that the person has, or is likely by the commencement of the franchise term to have, an appropriate financial position and managerial competence, and is otherwise a suitable person, to be the franchisee.

F1144

The directions which may be given under subsection (1) above (at any time when the Secretary of State considers it inappropriate that the person who is to be the franchisee under a franchise agreement should be selected after an invitation to tender) include—

a

a direction that that person is to be the person specified in the direction, and

b

a direction requiring the Authority to select that person in such manner as is so specified,

(as well as a direction authorising the Authority to select that person in such other manner as it may consider appropriate).

5

The Secretary of State shall prepare and publish a statement of policy with respect to directions under subsection (1) above.

6

The statement shall (in particular) contain the Secretary of State’s policy about—

a

when he will consider giving a direction (including, in particular, when he will consider doing so in relation to a franchise agreement which is to replace an earlier franchise agreement before the end of its franchise term); and

b

the sorts of direction which he will consider giving in particular circumstances.

7

In deciding whether to give a direction, and (if so) what direction to give, the Secretary of State shall have regard to the statement of policy.

8

The Secretary of State—

a

may at any time alter or replace a statement of policy; and

b

shall publish the altered or replacement statement.

9

The Secretary of State shall undertake appropriate consultation when preparing, altering or replacing a statement of policy.

10

When a statement of policy is prepared, altered or replaced, a copy of the statement shall be laid before each House of Parliament.

26AF325 No tenders for franchise.

1

The Authority shall give notice to the Secretary of State if it has—

a

issued an invitation to tender for the provision of any services under section 26 above (otherwise than in compliance with a direction under section 26B(3)(b) below); but

b

received no tenders in response to the invitation.

2

On receipt of the notice under subsection (1) above the Secretary of State shall (after considering the matter) give to the Authority—

a

a direction to issue new invitations to tender for the provision of the services under section 26 above, or

b

a direction not to seek to secure the provision of the services under a franchise agreement,

as he considers appropriate.

3

The Secretary of State may at any time—

a

revoke a direction under subsection (2)(b) above; and

b

instead direct the Authority to issue new invitations to tender for the provision of the services under section 26 above.

there are to be initial franchise assets in relation to a franchise agreement,

b

a franchise agreement is to be one which provides for subsequent designation of property, rights or liabilities as franchise assets, or

c

property, rights or liabilities are to be designated as franchise assets by an amendment made to a franchise agreement,

the F319Authority shall ensure that the franchise agreement includes provision specifying, or providing for the determination of, amounts to be paid in respect of the property, rights and liabilities which, immediately before the end of the franchise period, constitute the franchise assets in relation to that franchise agreement if and to the extent that they are transferred by F117a scheme under Schedule 21 to the Transport Act 2000at or after the end of that period.

9

Without prejudice to the generality of the provisions that may be included in a franchise agreement with respect to the acquisition, provision, disposal or other transfer of property, rights or liabilities (whether franchise assets or not), the F320Authority may undertake in a franchise agreement to exercise F320its powers under F321Schedule 21 to the Transport Act 2000 to transfer franchise assets to F320itself or another in such circumstances as may be specified in the franchise agreement.

otherwise to comply with the requirements of every such scheme,

if and to the extent that the franchised services are services, or services of a class or description, in relation to which the approved discount fare scheme in question applies.

4

The discount fare schemes which are to be regarded for the purposes of this section as “approved” are those which are from time to time approved for the purposes of this section by the F324Authority.

5

In this section—

“discount fare scheme” means any scheme for enabling persons who are young, elderly or disabled to travel by railway at discounted fares, subject to compliance with such conditions (if any) as may be imposed by or under the scheme;
“discounted fare” means a lower fare than the standard fare for the journey in question;
“scheme” includes any agreement or arrangements.

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F1207

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

8

In this Part, “additional railway asset” means any network, station or light maintenance depot, and any reference to an additional railway asset includes a reference to any part of an additional railway asset.

F12130 Duty of Authority in absence of franchise.

1

The Authority shall provide, or secure the provision of, services for the carriage of passengers by railway where—

a

a direction not to seek to secure the provision of the services under a franchise agreement has been given to the Authority under section 26A or 26B above (and not revoked); or

b

a franchise agreement in respect of the services is terminated or otherwise comes to an end but no further franchise agreement has been entered into in respect of the services (otherwise than because of such a direction).

2

The duty in subsection (1) above in relation to any services ceases if the services begin (or again begin) to be provided under a franchise agreement.

3

Subsection (1) above does not—

a

require the Authority to provide or secure the provision of services if and to the extent that, in its opinion, adequate alternative railway passenger services are available;

b

preclude it from giving notice under subsection (5) of section 38 below in relation to any of the services, in which case its duty under this section to secure the provision of the services to which the notice relates will (subject to subsections (5) and (6) of that section) terminate on the day specified in the notice in pursuance of paragraph (b) of that subsection; or

c

preclude it from ceasing to provide or secure the provision of any of the services in any case falling within any of paragraphs (a) to (d) of subsection (2) of that section.

31 Leases granted in pursuance of franchise agreements: no security of tenure.

1

In any case where—

a

a franchise agreement makes provision for the franchisee, the franchise operator or a wholly owned subsidiary of the franchisee to enter into an agreement (“the contemplated agreement") with a person who has an interest in a network or a railway facility,

b

the network or railway facility is to be used for or in connection with the provision of any of the franchised services, and

c

the contemplated agreement creates a tenancy of any property which (whether in whole or in part) constitutes, or is comprised in, the network or railway facility,

neither Part II of the M4Landlord and Tenant Act 1954 (security of tenure of business premises) nor the M5Tenancy of Shops (Scotland) Act 1949 (security of tenure of shop premises in Scotland) shall apply to that tenancy.

2

For the purposes of this section, a person shall be regarded as having an interest in a network or railway facility if he has an estate or interest in, or right over, any of the property which constitutes, or is comprised in, the network or railway facility.

3

Any reference in this section to a network or a railway facility includes a reference to any part of a network or railway facility.

4

In this section—

“agreement” includes a lease, underlease or sublease (as well as a tenancy agreement or an agreement for a lease, underlease or sublease);
“tenancy” has the same meaning as it has in Part II of the M6Landlord and Tenant Act 1954 or, in Scotland, as it has in the M7Tenancy of Shops (Scotland) Act 1949.

Passenger Transport Authorities and Executives

F12232. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F12333. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

b

the franchise agreement does not make provision for the Passenger Transport Executive for the area in question to make payments to the franchisee or the franchise operator in respect of the provision of the PTA services or the operation of the additional railway assets, and

c

payments by way of grant in respect of the provision of the PTA services or the operation of the additional railway assets fall to be made by the F283Authority pursuant to conditions contained in the franchise agreement by virtue of section 29(1)(b) above,

the Passenger Transport Executive shall pay to the F283Authority, at or before the time at which any such payment as is mentioned in paragraph (c) above is made, a sum equal to the amount of that payment.

14

Where, pursuant to section 30 above, the F284Authority is under a duty to secure the provision of any services for the carriage of passengers by railway, F277. . . within the passenger transport area of a Passenger Transport Executive, the Executive—

a

shall have power to enter into agreements with the F284the Authority with respect to the securing by F284the Authority of—

i

the provision of any of the services in question, or

ii

the operation of any F277. . . additional railway assets F277. . .,

until such time as they are again provided under a franchise agreement;

b

shall make to the F284the Authority in respect of—

i

the provision of any of the services in question whose provision F284the Authority secures pursuant to section 30 above, and

ii

the operation of any F277. . . additional railway assets F277. . . whose operation F284the Authoritysecures pursuant to section 30 above,

payments of such amounts, and at such times, as may be agreed between the Executive and the F284the Authority or, in default of agreement, of such amounts and at such times as the Secretary of State may direct; F285. . .

F285c

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

15

Without prejudice to the generality of the provisions which may be included in any agreement made between the F286Authority and a Passenger Transport Executive under paragraph (a) of subsection (14) above, such an agreement may, in particular, contain provisions concerning—

a

the services for the carriage of passengers by railway which the Passenger Transport Authority for the passenger transport area in question considers it appropriate to secure to meet any public transport requirements within that area,

b

the minimum level of quality to which any such services are to be provided,

c

the fares to be charged to persons using any such services, or

d

the minimum level of quality to which the operation of any station (but not of any other additional railway asset) is to be secured under sub-paragraph (ii) of that paragraph.

16

The Secretary of State shall not direct a Passenger Transport Executive to make any payment under subsection (14)(b) above, except in respect of—

providing that any one or more of subsections (4) to (11) and (13) above, or any part of any of those subsections, shall not have effect with respect to a franchise agreement; or

c

requiring the Executive to make payments in respect of—

i

the provision under a franchise agreement of services for the carriage of passengers by railway within their passenger transport area, whether or not the inclusion of those services among the services which are to be provided under the franchise agreement is in consequence of a statement submitted under subsection (5) above by the Executive and whether or not the Executive is a party to the franchise agreement; or

ii

the operation under or by virtue of a franchise agreement of additional railway assets wholly or partly within their passenger transport area, whether or not the Executive is a party to the franchise agreement;

and, without prejudice to any other provision of this Act, any reference in paragraph (b) or (c) above to a franchise agreement includes a reference to a proposed franchise agreement.

20

The Secretary of State shall not give a direction under subsection (19)(c) above requiring a Passenger Transport Executive to make payments in respect of the provision under a franchise agreement of services for the carriage of passengers by railway, or the operation under or by virtue of a franchise agreement of additional railway assets, except in respect of—

a

such of those services as are required by the terms of the franchise agreement—

i

to be provided during the relevant period in the case of that direction, and

ii

to involve calls at more than one station within the passenger transport area of the Executive, or

b

such of those additional railway assets as are required by or under the terms of the franchise agreement to be operated during the relevant period in the case of that direction,

“call" having the same meaning in this subsection as it has in subsection (16) above.

21

For the purposes of subsection (20) above, the “relevant period", in the case of any direction, is the period which is made up of—

a

the financial year in which the direction is given,

b

the financial year immediately preceding that in which the direction is given, and

c

the financial year immediately following that in which the direction is given,

“financial year” meaning for this purpose the period of twelve months ending with 31st March.

22

In this section—

“public transport requirements” has the same meaning as it has in the M33Transport Act 1968;
“section 20(2) agreement” F292means an agreement made between the Authority and a Passenger Transport Executive pursuant to section 20(2)(b) of the M34Transport Act 1968..

F29323

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

C3635 Termination and variation of section 20(2) agreements by the F124Authority.

1

This section applies in any case where services for the time being provided under a section 20(2) agreement by the F294Authorityor a wholly owned subsidiary of the F294Authority have been designated under section 23(1) above F295. . ..

2

If, in a case where this section applies, a franchise agreement is entered into in respect of all the services for the time being provided under the section 20(2) agreement, the F124Authority shall serve a notice on the parties to the section 20(2) agreement terminating that agreement on such date (“the termination date") as may be specified in the notice.

3

Where notice is served under subsection (2) above, the parties to the section 20(2) agreement—

a

shall be taken to have agreed to terminate that agreement on the termination date, and

b

shall accordingly be released from the performance of their obligations under that agreement after that date,

and the section 20(2) agreement shall not have effect after the termination date, except so far as relating to anything done, or required to be done, pursuant to the agreement on or before that date.

4

If, in a case where this section applies, a franchise agreement is entered into in respect of some, but not all, of the services for the time being provided under the section 20(2) agreement, the F124Authority may serve a notice on the parties to the section 20(2) agreement varying the terms of that agreement.

5

Where notice is served under subsection (4) above—

a

the parties to the section 20(2) agreement shall be taken to have agreed to a variation of the section 20(2) agreement such that the services to be provided under the franchise agreement shall, after such date as may be specified in the notice, no longer be provided under the section 20(2) agreement; and

b

the section 20(2) agreement shall have effect with such further modifications which are necessary to give effect to, or are consequential on, the variation referred to in paragraph (a) above as the parties may agree or, in default of agreement, as may be determined on a reference to arbitration.

6

For the purposes of subsection (5)(b) above—

a

either party to the section 20(2) agreement may refer the matter in dispute to arbitration after giving the other not less than fourteen days’ notice of his intention to do so; and

b

if the parties are unable to agree on the appointment of a person as the arbitrator, either of them, after giving the other not less than fourteen days’ notice of his intention to do so, may by notice request the F124Authority to appoint a person as the arbitrator.

7

Where a section 20(2) agreement is terminated or varied by virtue of this section, the Passenger Transport Executive in question shall not have power to enter into another such agreement for the provision of the services which are to be provided under the franchise agreement referred to in subsection (2) or (4) above (as the case may be) without the consent of the F124Authority.

8

Where a section 20(2) agreement has been entered into, but services have not begun to be provided under it, this section shall have effect in relation to the services which are to be provided as it has effect in relation to services for the time being provided under a section 20(2) agreement.

9

Any reference in this section to an arbitrator shall, in Scotland, be taken as a reference to an arbiter.

10

In this section, “section 20(2) agreement” has the same meaning as it has in F296section 34 above.

36 Miscellaneous amendments of the Transport Act 1968.

1

In section 10 of the M8Transport Act 1968, in subsection (1) (which specifies the powers of Passenger Transport Executives) after paragraph (vi) there shall be inserted—

(via) with the approval of the Authority, to enter into and carry out agreements with any person who is the operator of, or who has an estate or interest in, or right over, a network, station or light maintenance depot or some part of a network, station or light maintenance depot, in connection with the building, replacement, redevelopment, refurbishment, repair, maintenance, operation or staffing of the network, station or light maintenance depot or any part thereof;

2

After paragraph (viii) of that subsection there shall be inserted—

viiia
to let locomotives and other rolling stock on hire to any person who is (within the meaning of Part I of the Railways Act 1993) the franchisee or the franchise operator under a franchise agreement to which the Executive is a party;
viiib
to let locomotives and other rolling stock on hire to a person not falling within paragraph (viiia) above—
a
for or in connection with the provision of railway passenger services within that area or within the permitted distance; or
b
with the written consent of the Secretary of State, for or in connection with the provision of railway passenger services outside that area and beyond the permitted distance;
viiic
with the approval of the Authority, to enter into and carry out agreements with the owner of any locomotive or other rolling stock concerning the persons to whom, or the terms on which, the locomotive or other rolling stock may be let on hire;

3

In section 20(2) of that Act, in paragraph (a) (duty of Passenger Transport Executive to keep under review the railway passenger services provided by the Railways Board for meeting the needs of persons travelling between places in the Executive’s passenger transport area etc) for the words “by the Railways Board" there shall be substituted the words “ by passenger service operators (within the meaning of Part I of the Railways Act 1993) ”.

4

After section 23 of that Act there shall be inserted—

23A Interpretation of certain provisions of this Part relating to railways.
1
For the purposes of sections 10, 15 and 20 of this Act—
a
“light maintenance depot”, “locomotive”, “network”, “railway passenger services”, “rolling stock” and “station” have the meaning given in section 83(1) of the Railways Act 1993; and
b
“operator” has the meaning given in section 6(2) of that Act.
2
For the purposes of sections 10(1)(vi), 15(1)(d) and 20(2)(b), (4) and (6) of this Act “wholly-owned subsidiary” has the meaning given by section 736 of the M9Companies Act 1985.

5

In section 159(1) of that Act (general interpretation), in the definition of “subsidiary" and “wholly-owned subsidiary", for the words “subject to section 51(5)" there shall be substituted the words “ subject to sections 23A(2) and 51(5) ”.

Closures

C3737 Proposals to discontinue non-franchised etc. passenger services.

1

In any case where—

a

all the railway passenger services on any line or from any station are provided otherwise than in satisfaction of requirements imposed by a franchise agreement and otherwise than on behalf of the F355Authority, and

b

the person providing those services (in this section referred to as “the service operator”) proposes to discontinue all such services on that line or from that station (in this section referred to as a closure),

then, unless the closure is F356determined by the Authority to be a minor closure F357and the service operator has agreed to comply with any conditions imposed by the Authority, the service operator shall give notice of the proposal to the F355Authority not less than three months before the date specified pursuant to subsection (3)(b) below as that on which the service operator will cease providing the services (the “service operator’s withdrawal date") and shall not discontinue those services before that date.

2

In determining for the purposes of paragraph (a) of subsection (1) above whether all the railway passenger services on a line or from a station are provided as mentioned in that paragraph, there shall be left out of account any services—

a

which involve travel through the Channel Tunnel;

b

which are experimental passenger services, within the meaning of section 48 below, or which are provided on an experimental basis, for the purposes of section 56A of the M35Transport Act 1962;

c

which are provided otherwise than as regular scheduled services for that line or for that station, as the case may be; or

d

which are designated, or which are of a class or description designated, by order under section 49(2) below as services in relation to which this section is not to have effect;

and this section shall not have effect in relation to any services falling within paragraphs (a) to (d) above.

3

A notice under subsection (1) above shall be accompanied by a statement of—

a

the service operator’s reasons for the proposal;

b

the date on which he will cease providing the services in question; and

c

any alternative transport services which appear to the service operator to be available.

4

Where notice is given to the F358Authority under subsection (1) above, F358it must consider, and form an opinion on, the question whether the proposed closure should or should not be permitted to take effect.

5

If the F358Authority is of the opinion that the proposed closure should not be permitted to take effect, F358it shall be under a duty to secure the provision of the services in question after the service operator’s withdrawal date.

6

the closure is one in respect of which neither of the conditions in subsection (3) below is satisfied, and any requirement imposed by a franchise agreement to provide the services in question has come to an end, or

d

the services in question fall within any of paragraphs (a) to (c) of subsection (4) below,

the F371Authority may discontinue the services in question, notwithstanding any duty imposed on F371it by or under this Part to secure their provision, and subsections (5) and (6) below shall not apply in relation to the closure.

3

The conditions mentioned in subsection (2)(c) above are—

a

that all the railway passenger services on the line or from the station in question are provided on behalf of the F372Authority and F372it proposes to discontinue all such services on that line or from that station; or

b

that all the railway passenger services on the line or from the station in question are provided in satisfaction of requirements imposed by a franchise agreement, and—

i

the person so providing those services intends not to continue providing them when the requirement so to provide them comes to an end, and

ii

the F372Authority proposes that all such services on that line or from that station should then be discontinued.

4

In determining, for the purposes of paragraph (a) or (b) of subsection (3) above, whether all the railway passenger services on a line or from a station are provided as mentioned in that paragraph there shall be left out of account any services—

a

which involve travel through the Channel Tunnel;

b

which are provided otherwise than as regular scheduled services for that line or for that station, as the case may be;

c

which are designated, or which are of a class or description designated, by order under section 49(2) below as services in relation to which section 37 above is not to have effect; or

d

which are experimental passenger services, within the meaning of section 48 below, or which are provided on an experimental basis, for the purposes of section 56A of the M36Transport Act 1962;

and this section shall not have effect in relation to any services falling within paragraph (d) above.

5

Subject to subsection (2) above, where this section applies, the F373Authority shall publish in two successive weeks in a local newspaper circulating in the area affected and in two national newspapers, and in such other manner as appears to F373it to be appropriate, a notice containing—

a

particulars of the proposal to effect the closure,

b

the date on which it is proposed that the closure will take effect,

c

particulars of any alternative transport services which appear to F373it to be available,

d

e

a statement that objections to the proposed closure may be lodged with the F374Secretary of State within such period as may be specified for the purpose in the notice (being not less than six weeks from the date of the last publication of the notice in a local newspaper),

and shall be under a duty during the interim period to secure the provision of the services to which the proposed closure relates.

6

Without prejudice to any subsequent application of this section in relation to the services in question—

a

if the final decision on the closure question is that the proposed closure will not be allowed to take effect, the F375Authority shall be under a duty to secure the provision of those services after the interim period; and

b

if the final decision on the closure question is that the proposed closure will be allowed to take effect subject to compliance with conditions, the F375Authority shall be under a duty to comply with those conditions or to secure F376(in accordance with sections 55 to 58 below)that they are complied with.

7

In this section—

“the area affected” means the area in which is situated the station or, as the case may be, the line mentioned in subsection (1) above;
“the final decision on the closure question” means— F377the Secretary of State’s decision under section 43(9) below with respect to the proposed closure;
“the interim period” means—
1. a
  in a case falling within paragraph (a) of subsection (1) above, the period beginning with the date mentioned in subsection (5)(b) above and ending four weeks after the date of the final decision on the closure question; or
2. b
  in a case falling within paragraph (b) of that subsection, the period beginning immediately after the requirement mentioned in sub-paragraph (i) of that paragraph comes to an end and ending four weeks after the date of the final decision on the closure question;
“minor closure” has the same meaning as it has in section 37 above.

8

The services which are to be regarded for the purposes of this section as provided on behalf of the F378Authority are the same services as are to be so regarded for the purposes of section 37 above.

F3799

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

C3939 Notification of proposals to close operational passenger networks.

1

Subject to subsection (2) below, in any case where—

a

the operator of a network proposes to discontinue the operation of the network or some part of it (in this section referred to as a “closure"),

b

the network or, as the case may be, the part of the network in question has, at any time within the preceding five years, been used for or in connection with the provision of any services for the carriage of passengers by railway, and

c

the network or, as the case may be, the part of the network in question is not one which is operated on behalf of the F380Authority,

then, unless the closure is F381determined by the Authority to be a minor closure F382and the operator has agreed to comply with any conditions imposed by the Authority, the operator shall give notice of the proposal to the F380Authority not less than three months before the date specified pursuant to subsection (4)(b) below as the date on which it is proposed that the closure should take effect and shall not discontinue the operation of the network or, as the case may be, the part of the network in question before that date.

2

This section does not apply if and to the extent that the proposal mentioned in subsection (1) above is a proposal to discontinue the operation of part of a multiple track railway between any two places, where the circumstances are such that the railway line in question will continue to be at least a single track railway between those two places.

3

In determining for the purposes of subsection (1)(b) above whether the network or, as the case may be, the part of the network in question has at any time within the period there mentioned been used for or in connection with the provision of services for the carriage of passengers by railway, there shall be left out of account any use for or in connection with the provision of services—

a

which involve travel through the Channel Tunnel;

b

which are experimental passenger services, within the meaning of section 48 below, or which are provided on an experimental basis, for the purposes of section 56A of the M37Transport Act 1962; or

c

which are provided otherwise than as regular scheduled services on that network or, as the case may be, the part of the network in question;

and this section shall not have effect in relation to any networks which are designated, or which are of a class or description designated, by order under section 49(4) below as networks in relation to which this section is not to have effect.

4

A notice under subsection (1) above shall be accompanied by a statement of—

and those whose operation F392it is for the time being securing F393. . ..

F39412

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

C4040 Proposals to close passenger networks operated on behalf of the F395Authority.

1

This section applies in any case where—

a

a network or a part of a network is operated on behalf of the F396Authority; and

b

the F396Authority proposes to discontinue the operation of the network or, as the case may be, the part of the network in question (in this section referred to as a “closure").

2

If in a case where this section applies—

a

the closure is F397determined by the Authority to be a minor closure,

b

the closure is one to which subsection (3) below applies,

c

the network or, as the case may be, the part of the network in question has at no time within the preceding five years been used for or in connection with the provision of any services for the carriage of passengers by railway, or

d

the network in question is one of those which are designated, or which are of a class or description designated, by order under section 49(4) below as networks in relation to which section 39 above is not to have effect,

the F398Authority may discontinue the operation of the network or, as the case may be, the part of the network in question, notwithstanding any duty imposed upon F398the Authority by or under this Part to secure its operation, and subsections (5) and (6) below shall not apply in relation to the closure.

3

This subsection applies to a closure if and to the extent that it is the closure of part of a multiple track railway running between any two places, where the circumstances are such that the railway line in question will continue to be at least a single track railway between those two places.

4

In determining for the purposes of subsection (2)(c) above whether the network or, as the case may be, the part of the network in question has at any time within the period there mentioned been used for or in connection with the provision of services for the carriage of passengers by railway, there shall be left out of account any use for or in connection with the provision of services—

7

In this section—

“the area affected” means the area in which is situated the network or, as the case may be, the part of the network in question;
“the final decision on the closure question” means— F403the Secretary of State’s decision under section 43(9) below with respect to the proposed closure;
“the interim period” means the period beginning with the date mentioned in subsection (5)(b) above and ending four weeks after the date of the final decision on the closure question;
“minor closure”, “multiple track railway” and “single track railway” have the same meaning as they have in section 39 above.

b

the date on which it is proposed that the closure will take effect; and

c

any alternative facilities which appear to the operator to be available for the provision of services corresponding to those provided by means of the relevant facility or, as the case may be, the part of the relevant facility in question.

4

Where notice is given to the F408Authority under subsection (1) above, F408it must consider, and form an opinion on, the question whether the proposed closure should or should not be permitted to take effect.

5

If the F408Authority is of the opinion that the proposed closure should not be permitted to take effect, F408it shall be under a duty to secure the continued operation of the relevant facility or, as the case may be, the part of the relevant facility in question after the date on which the operator proposes that the closure should take effect.

6

If the F409Authority is of the opinion that the proposed closure should be permitted to take effect, F409it shall publish in two successive weeks in a local newspaper circulating in the area affected and in two national newspapers, and in such other manner as appears to F409it to be appropriate, a notice containing—

a

particulars of the proposal to effect the closure,

b

the date on which it is proposed that the closure will take effect,

c

particulars of any alternative facilities which appear to F409it to be available for the provision of services corresponding to those provided by means of the relevant facility or, as the case may be, the part of the relevant facility in question,

d

e

a statement that objections to the proposed closure may be lodged with the F410Secretary of State within such period as may be specified for the purpose in the notice (being not less than six weeks from the date of the last publication of the notice in a local newspaper),

and shall be under a duty during the interim period to secure the operation of the relevant facility or, as the case may be, the part of the relevant facility to which the proposed closure relates.

7

8

Without prejudice to the provisions of section 42 below in relation to the relevant facility or the part of the relevant facility in question—

a

if the final decision on the closure question is that the proposed closure will not be allowed to take effect, the F412Authority shall be under a duty to secure the operation of the relevant facility or, as the case may be, the part of the relevant facility after the interim period; and

b

if the final decision on the closure question is that the proposed closure will be allowed to take effect subject to compliance with conditions, the F412Authority shall be under a duty to comply with those conditions or to secure F413(in accordance with sections 55 to 58 below)that they are complied with.

9

In this section—

“the area affected”—
1. a
  in a case where the relevant facility is a station, means the area served by the station; and
2. b
  in a case where the relevant facility is a light maintenance depot, means the area in which the light maintenance depot is situated;
“the final decision on the closure question” means— F414the Secretary of State’s decision under section 43(9) below with respect to the proposed closure;
“the interim period” means the period beginning with the date mentioned in subsection (6)(b) above and ending four weeks after the date of the final decision on the closure question;
“minor closure”—
1. a
  in relation to a station, means discontinuance of the operation of a part of the station which F415. . .is not necessary for the use of the station for the purpose of, or in connection with, the provision of services for the carriage of passengers by railway; and
2. b
  in relation to a light maintenance depot, means any such discontinuance as would not F415. . . jeopardise the provision of any services for the carriage of passengers by railway.

10

The stations and light maintenance depots, and the parts of stations or light maintenance depots, which are to be regarded for the purposes of this section as operated on behalf of the F416Authority are those whose operation F416it is for the time being under a duty to secure, in consequence of—

a

subsection (5) or (8)(a) above,

b

section 42(5)(a) below, or

c

any closure condition imposed under section 43(9) F417. . . below,

and those whose operation F416it is for the time being securing F417. . ..

F41811

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

C4242 Proposals to close passenger railway facilities operated on behalf of the F419 Authority.

1

This section applies in any case where—

a

the whole or some part of a station or light maintenance depot (“the relevant facility”) is operated on behalf of the F420Authority; and

b

the F420Authority proposes to discontinue the operation of the relevant facility or of some part of the relevant facility (in this section referred to as a “closure").

2

If in a case where this section applies—

a

the closure is F421determined by the Authority to be a minor closure,

b

the relevant facility or, as the case may be, the part of the relevant facility in question has at no time within the preceding five years been used in connection with the provision of any services for the carriage of passengers by railway, or

c

the relevant facility is, or is part of, one of those stations or light maintenance depots which are designated, or which are of a class or description designated, by order under section 49(5) below as stations or light maintenance depots in relation to which section 41 above is not to have effect,

the F422Authority may discontinue the operation of the relevant facility or, as the case may be, the part of the relevant facility in question, notwithstanding any duty imposed upon F422the Authority by or under this Part to secure its operation, and subsections (4) and (5) below shall not apply in relation to the closure.

3

In determining for the purposes of subsection (2)(b) above whether the relevant facility or, as the case may be, the part of the relevant facility in question has at any time within the period there mentioned been used in connection with the provision of services for the carriage of passengers by railway, there shall be left out of account any use in connection with the provision of services—

6

In this section—

“the area affected” means the area in which is situated the relevant facility or, as the case may be, the part of the relevant facility in question;
“the final decision on the closure question” means— F427the Secretary of State’s decision under section 43(9) below with respect to the proposed closure;
“the interim period” means the period beginning with the date mentioned in subsection (4)(b) above and ending four weeks after the date of the final decision on the closure question;
“minor closure” has the same meaning as it has in section 41 above.

7

The stations and light maintenance depots and the parts of stations and light maintenance depots that are to be regarded for the purposes of this section as operated on behalf of the F419Authority are the same stations and light maintenance depots and parts of stations and light maintenance depots as are to be so regarded for the purposes of section 41 above.

F4288

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

C4343 Notification to, and functions of, the F429Secretary of State and the relevant F430Rail Passengers Committees.

1

Where the F431Authority is required by any provision of sections 37 to 42 above to publish any notice, F431it shall also send the following documents, that is to say—

a

a copy of the notice,

b

a copy of the statement of reasons to which the notice refers, and

c

a statement of F431its recommendations with respect to the conditions (if any) to be attached to any consent to the closure,

to the F432Secretary of StateF433, to the Mayor of London if the whole or any part of the area affected by the closure is in Greater London, and to every F434Rail Passengers’ Committee whose area consists of or includes the whole or any part of the area affected by the proposed closure.

F4351A

The Authority shall also—

a

send a copy of the notice to every person who is the operator of a station within the area affected; and

b

require him to publish it at the station.

2

The F432Secretary of State shall send to every F434Rail Passengers’ Committee whose area consists of or includes the whole or any part of the area affected a copy of every objection to the proposed closure which is lodged with him in accordance with the terms of the statement published pursuant to paragraph (e) of whichever of sections 37(6), 38(5), 39(7), 40(5), 41(6) or 42(4) above is applicable in the case of that proposed closure.

3

On receipt of the copy of the notice referred to in subsection (1)(a) above, a F436Rail Passengers’ Committee shall—

a

consider whether or not the proposed closure will cause any hardship;

b

identify any reasonable means of alleviating any such hardship; and

c

prepare, and send to the F432Secretary of State, a report of the conclusions which it has reached in the discharge of its functions under paragraphs (a) and (b) above;

and, for the purposes of paragraph (b) above, a F436Rail Passengers’ Committee shall not conclude that any particular means of alleviating hardship is reasonable unless, balancing the cost to the F437Authority (or any other public authority) of employing those means against the benefit of any alleviation thereby secured, the F436Rail Passengers’ Committee is of the opinion, on the basis of the information available to it, that the expenditure involved represents good value for money.

4

Any F438Rail Passengers’ Committee which has prepared a report under subsection (3)(c) above shall send a copy of the report to the F438Rail Passengers’ Council and may publish the report in any manner which it considers appropriate.

5

For the purpose of facilitating the discharge of its functions under subsection (3) above, a F439Rail Passengers’ Committee may, after consultation with the F432Secretary of State, hold public hearings.

6

In deciding whether to hold a public hearing for the purposes of this section, and in conducting any such hearing, a F439Rail Passengers’ Committee shall take into account such matters as may be notified to it by the F432Secretary of State.

7

The report required by subsection (3)(c) above shall be sent to the F432Secretary of State before the expiration of the period of 12 weeks, or such longer period as the F432Secretary of State may allow in any particular case, immediately following the end of the period within which objections to the proposed closure may be lodged with the F432Secretary of State.

8

The F432Secretary of State shall only allow a longer period for the purposes of subsection (7) above if, on an application made to him by the F439Rail Passengers’ Committee in question, he considers it appropriate to do so in the circumstances of the particular case.

9

It shall be for the F432Secretary of State to decide whether the proposed closure should, or should not, be allowed to take effect; and a decision may be given allowing the proposed closure to take effect subject to compliance with such conditions (if any) as the F432Secretary of State may see fit to impose.

10

Before deciding whether or not to allow the proposed closure to take effect, or whether to impose any and, if so, what conditions, the F432Secretary of State shall consider—

a

the reasons for the proposed closure set out in the copy of the statement sent to him pursuant to subsection (1)(b) above;

b

any objections to the proposed closure which have been lodged with him; and

c

every report relating to the proposed closure which is sent to him by a F439Rail Passengers’ Committee pursuant to subsection (3)(c) above.

F44011

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

12

When the F432Secretary of State has made a decision with respect to the proposed closure, he shall send a copy of the decision to—

a

the F441Regulator,

b

the F437Authority,

c

every such F439Rail Passengers’ Committee as is mentioned in subsection (1) above, and

d

either—

i

in a case falling within section 37 above, the service operator, within the meaning of that section, or

ii

in a case falling within section 39 or 41 above, the operator of the network, station or light maintenance depot in question who gave the notice required by subsection (1) of the section in question,

F442. . .

F44312A

The Secretary of State shall also—

a

send a copy of the decision to every person who is the operator of a station within the area affected; and

b

require him to publish it at the station.

13

In this section, “the area affected”, in relation to a proposed closure, shall be construed in accordance with the section under or by virtue of which the F437Authority is required to publish the notice referred to in subsection (1) above.

F44444. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

C4445 Closure conditions: general.

1

In this Part, “closure conditions” means the conditions subject to compliance with which consent to a closure is given.

2

b

vary such a condition so as to permit the Authority to withdraw the service from any locality or point,

in accordance with section 47B below.

2

Where, in exercise of his power under subsection (1) above, the F452Secretary of State decides to vary or revoke any closure condition, he shall send a copy of his decision to—

a

the F452Regulator,

b

the F453Authority,

c

every F454Rail Passengers’ Committee whose area consists of or includes the whole or any part of the area affected by the closure to which the condition relates, and

d

either—

i

if the closure in question is one falling within section 37 above, the service operator, within the meaning of that section, or

ii

if the closure in question is one falling within section 39 or 41 above, the operator of the network, station or light maintenance depot in question who gave the notice required by subsection (1) of the section in question,

and shall publish notice of the decision at every station within the area affected by the closure to which the condition relates.

F4553

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4

In this section—

“the area affected”, in relation to any closure, shall be construed in accordance with the section under or by virtue of which the F453Authority was required to publish in connection with that closure the notice referred to in section 43(1) above;
“closure” includes any closure within the meaning of subsection (7) of section 56 of the M41Transport Act 1962, whether that subsection applied in relation to the closure or not.

46AF464 General determinations of minor closures.

1

The Authority may make a general determination for the purposes of any or all of sections 37(1), 38(2), 39(1), 40(2), 41(1) and 42(2) above that closures of a particular class or description are minor closures.

2

Where the Authority makes or revokes a general determination under subsection (1) above, it shall—

a

3

The date so specified shall be the date on which the notice is last published in a local newspaper as required by subsection (1) above.

4

Copies of the notice published under subsection (1) above shall be sent to—

a

the Rail Passengers’ Committee for the area in which any locality or point affected by the proposed withdrawal of service is situated; and

b

the Passenger Transport Executive for any passenger transport area in which any such locality or point is situated.

5

Where the proposed withdrawal of service relates to a service which is subsidised by the Passenger Transport Executive for any passenger transport area under any agreement made with the Authority, the Authority shall not publish a notice with respect to the proposed withdrawal under subsection (1) above without the consent of—

a

the Executive; or

b

the Secretary of State, who shall not give his consent before affording a reasonable opportunity to the Executive to make representations.

6

References in this section and section 47A below to a Rail Passengers’ Committee shall be construed, in relation to the Greater London area within the meaning of section 2 above, as references to the London Transport Users’ Committee.

relates to a service which is subsidised by the Passenger Transport Executive for a passenger transport area, or

b

would affect a locality or point in the passenger transport area of a Passenger Transport Executive,

the Executive may, within the period specified in the notice for objecting to the withdrawal, send the Secretary of State a statement in writing that they oppose the withdrawal and of their reasons for opposing it (even if they consented to the publication of the notice).

7

Where the Passenger Transport Executive for any passenger transport area send such a statement to the Secretary of State they shall send a copy of it to the Authority.

F46747B Revocation or variation of bus substitution conditions.

1

Where an objection to a proposed withdrawal of service is lodged in accordance with subsection (1) of section 47A above, the Secretary of State may revoke or vary the condition in question—

a

when he has received the report required by subsection (3) of that section and any further report required by him under subsection (4) of that section (unless he considers that any such report has been unreasonably delayed); and

b

after considering any statement under subsection (4) of that section.

2

Where the Secretary of State revokes or varies a condition under subsection (1), he may—

a

impose such conditions as he thinks fit, including a condition requiring the Authority to secure the provision of another bus substitution service; and

b

from time to time give such directions to the Authority as he thinks fit in connection with the withdrawal of the bus substitution service required by that condition;

and such a condition may be varied or revoked as if it had been made under section 43 above.

3

Where no objections are lodged in accordance with section 47A above, the Secretary of State shall revoke or vary the condition in question in accordance with the Authority’s proposals.

C47 C4848 Experimental railway passenger services.

1

Sections 37, 38 F457and 43 above shall not apply in relation to any proposal to discontinue an experimental passenger service on any line or from any station.

the provisions of the said section 56A shall continue to have effect with respect to that service—

i

until the time mentioned in paragraph (a) above, or

ii

until the service becomes an experimental passenger service under this section,

whichever first occurs.

12

In this section—

“the area affected”, in relation to an experimental service on any line or from any station, means the area in which is situated the line or, as the case may be, the station in question;
“operator”, in relation to any service, means—
1. a
  in the case of a service provided in satisfaction of requirements imposed by a franchise agreement, the franchisee; or
2. b
  in the case of a service provided otherwise than in satisfaction of requirements imposed by a franchise agreement, the person who provides the service.

13

In this Part, “notice period”, in relation to the duty of an operator to give due notice of a proposed discontinuance of an experimental passenger service, means the period of six weeks immediately following the fulfilment by the operator of that duty.

C5049 Abolition of former closure procedures, exemptions from new procedures and imposition of alternative procedure.

1

The former closure provisions, that is to say—

a

section 56(7) to (10) and (13) of the M45Transport Act 1962,

b

section 56A of that Act,

c

section 54 of the M46Transport Act 1968, and

d

any other enactment (including an enactment comprised in local legislation) to the extent that it applies the enactments specified in paragraphs (a) to (c) above, with or without modification,

shall, subject to the provisions of this Act, cease to have effect.

2

Section 37 above shall not have effect in relation to any railway passenger services, or any railway passenger services of a class or description, which the Secretary of State may by order designate as services in relation to which that section is not to have effect.

C513

Schedule 5 to this Act (which makes similar provision to that made by section 56(7) to (10) and (13) of the M47Transport Act 1962) shall have effect in relation to such of the railway passenger services, or railway passenger services of a class or description, in relation to which section 37 above does not have effect as the Secretary of State may by order designate as railway passenger services in relation to which that Schedule is to have effect.

4

Section 39 above shall not have effect with respect to any networks, or any networks of a class or description, which the Secretary of State may by order designate as networks in relation to which that section is not to have effect.

5

Section 41 above shall not have effect in relation to any stations or light maintenance depots, or stations or light maintenance depots of a class or description, which the Secretary of State may by order designate as stations, or (as the case may be) light maintenance depots, in relation to which that section is not to have effect.

6

Where any enactment or instrument passed or made before the relevant date contains provision to the effect that section 56 of the M48Transport Act 1962 is not to apply in respect of the discontinuance of specified railway passenger services or railway passenger services of a specified class or description, that provision shall (notwithstanding anything in subsection (1) above) have effect in relation to any such discontinuance after the relevant date as if references in that provision to that section were references—

a

to section 37 above; and

b

to Schedule 5 to this Act;

and in this subsection “the relevant date” means the date on which the provisions mentioned in paragraphs (a) and (b) above come into force.

7

Any reference in this section to railway passenger services, networks, stations or light maintenance depots includes a reference to part of a railway passenger service, network, station or light maintenance depot, as the case may be.

8

For the purposes of this section, “railway” has its wider meaning.

C1350 Exclusion of liability for breach of statutory duty.

1

The obligations of the F463Authority, imposed by or under any provision of this Part—

a

to comply with any closure conditions,

F125b

. . .

c

to secure the provision of any services, or

d

to secure the operation of any additional railway asset,

shall not give rise to any form of duty or liability enforceable by civil proceedings for breach of statutory duty.

2

Subject to section 57 below, the obligations of—

a

any service operator (within the meaning of section 37 above), imposed by or under section 37(1) above, not to discontinue any railway passenger services,

b

any operator (within the meaning of section 48 above), imposed by or under section 48(3) above, not to discontinue any experimental passenger services, or

c

any operator of an additional railway asset, imposed by or under section 39(1) or 41(1) above, not to discontinue the operation of any additional railway asset,

shall not give rise to any form of duty or liability enforceable by civil proceedings for breach of statutory duty.

Supplementary powers of the Franchising Director etc.

F12651. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F12752. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F12853. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

I654 Exercise of functions for purpose of encouraging investment in the railways.

1

The F329Authority or a Passenger Transport Authority or Passenger Transport Executive—

a

in exercising or deciding whether or not to exercise any of F329their franchising functions, may take into account the desirability of encouraging railway investment; and

b

may exercise any such functions for the purpose of encouraging railway investment or for purposes which include that purpose.

2

The F330Authority may, for the purpose of encouraging railway investment, enter into agreements with any person under which the F330Authority undertakes to exercise F330any of its franchising functions, to refrain from exercising such functions, or to exercise such functions in a particular manner.

3

In this section—

“franchising functions”, in relation to the F331Authority, means—
1. a
  any F331of the Authority’s functions under sections 17 to 19, 23, 24, 26 to 35 F129. . . above;
2. b
  any power conferred on F331the Authority under or by virtue of F332Schedule 21 to the Transport Act 2000; and
3. c
  any other functions of F331the Authority which relate to the provision of railway passenger services, or the operation of additional railway assets, under or by virtue of franchise agreements;
“franchising functions”, in relation to a Passenger Transport Authority or Passenger Transport Executive, means any functions conferred or imposed on the Authority or, as the case may be, the Executive under or by virtue of section 34 above;
“railway investment” means investment in assets for use in the provision of railway services.

Enforcement by the Regulator and the F168Authority

Annotations:

Amendments (Textual)

F168

Words in the heading before section 55 substituted (1.2.2001) by 2000 c. 38, s. 215, Sch. 16 para. 35(5); S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to savings and transitional provisions in Sch. 2 Pt. II) (which S.I. was amended by S.I. 2001/115, art. 2(2))

55 Orders for securing compliance.

1

Subject to subsections (2) to F468(5B) and section 56 below, where the appropriate F130authority is satisfied that a relevant operator is contravening, or is likely to contravene, any relevant condition or requirement, F130it shall by a final order make such provision as is requisite for the purpose of securing compliance with that condition or requirement.

2

Subject to F131subsections (5) to (5B) below, where it appears to the appropriate F130authority—

a

that a relevant operator is contravening, or is likely to contravene, any relevant condition or requirement, and

b

b

that the contravention or apprehended contravention will not adversely affect the interests of users of railway services or lead to any increase in public expenditure,

it shall only make a final order, or make or confirm a provisional order, if it considers it appropriate to do so.

6

Where the appropriate F130authorityF469does not make a final order, or make or confirm a provisional order, because of any provision contained in any of subsections (5) to (5B) above, it shall—

a

serve notice of that fact on the relevant operator; and

b

publish the notice in such manner as F130it considers appropriate for the purpose of bringing the matters to which the notice relates to the attention of persons likely to be affected by them.

7

A final or provisional order—

a

shall require the relevant operator to whom it relates (according to the circumstances of the case) to do, or not to do, such things as are specified in the order or are of a description so specified;

b

shall take effect at such time, being the earliest practicable time, as is determined by or under the order; and

c

may be revoked at any time by the appropriate F130authority.

F1387A

The provision that may be made in a final or provisional order includes, in particular, provision requiring the relevant operator to pay to the Authority in the event of any specified contravention of the order such reasonable sum in respect of the contravention as is specified in, or determined in accordance with, the order in such manner, at such place and by such date as is so specified or determined.

7B

The amount of the sum may not exceed 10 per cent. of the turnover of the relevant operator determined in accordance with an order made by the Secretary of State; and an order under this subsection shall not be made unless a draft of the statutory instrument containing it has been laid before and approved by a resolution of each House of Parliament.

7C

If the whole or any part of the sum is not paid by the date by which it is to be paid, the unpaid balance from time to time shall carry interest at the rate for the time being specified in section 17 of the M11Judgments Act 1838.

9

Without prejudice to section 50 above, nothing in this section or in sections 56 to 58 below shall exclude the availability of any remedy in respect of any contravention or apprehended contravention of a relevant condition or requirement.

10

In this Part—

“the appropriate F139authority” means—
1. a
  in relation to any relevant condition or requirement in the case of a licence holder F470, apart from a condition which relates to consumer protection,. . . the Regulator;
2. b
  in relation to F470any condition relating to consumer protection in the case of a licence holder or toany relevant condition or requirement in the case of a franchisee F471, a franchise operator, a person under closure restrictions or a person (other than the Authority) who is required to comply with closure conditions or has agreed to comply with conditions under section 37(1), 39(1) or 41(1) above the F139Authority;
“final order” means an order under this section, other than a provisional order;
“provisional order” means an order under this section which, if not previously confirmed in accordance with subsection (4) above, will cease to have effect at the end of such period (not exceeding three months) as is determined by or under the order;
“relevant condition or requirement” means—
1. a
  in the case of a licence holder, any condition of his licence;
2. b
  in the case of a franchisee, or any franchise operator who is a party to the franchise agreement, any term of the franchise agreement;
3. c
  in the case of a person under closure restrictions—
4. i
  the duty under section 37(1), 39(1) or 41(1) above not to discontinue a railway passenger service, or the operation of the whole or any part of a network, station or light maintenance depot, before the date stated by him in accordance with section 37(3), 39(4) or 41(3) above; and
5. ii
  the duty under section 48(3) above not to discontinue an experimental passenger service before the expiry of the notice period;

F472d

in the case of a person (other than the Authority) who is required to comply with closure conditions or has agreed to comply with conditions under section 37(1), 39(1) or 41(1) above, any of those conditions;

“relevant operator” means any licence holder, franchisee, franchise operator who is a party to the franchise agreement F473, person under closure restrictions or person who is required to comply with closure conditions or has agreed to comply with conditions under section 37(1), 39(1) or 41(1) above.

11

In F140subsections F141(5ZA)and (10)above, “person under closure restrictions” means a person—

a

who proposes a closure in circumstances such that he is required by any provision of this Part to give notice of the proposal to the F474Authority; or

b

who proposes to discontinue an experimental passenger service in circumstances such that he is required by section 48 above to give due notice of the proposal.

F14212

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

56 Procedural requirements F143for section 55 orders.

1

Before F144it makes a final order or confirms a provisional order, the appropriate F145authority shall give notice—

a

stating that F144it proposes to make or confirm the order and setting out its effect,

b

setting out—

i

the relevant condition or requirement for the purpose of securing compliance with which the order is to be made or confirmed,

ii

the acts or omissions which, in F146its opinion, constitute or would constitute contraventions of that condition or requirement, and

iii

the other facts which, in F146its opinion, justify the making or confirmation of the order, and

c

a

stating that F144it proposes to revoke the order and setting out the effect of its revocation, and

b

specifying the period (not being less than F15021 days from the date of publication of the notice) within which representations or objections with respect to the proposed revocation may be made,

and shall consider any representations or objections which are duly made and not withdrawn.

7

If, after giving notice under subsection (6) above, the appropriate F145authority decides not to revoke the order to which the notice relates, F144it shall give notice of F146its decision.

8

A notice under subsection (6) or (7) above shall be given—

a

b

by serving a copy of the notice on the relevant operator to whom the order relates.

C1457 Validity and effect of F151section 55 orders.

1

If the relevant operator to whom a final or provisional order relates is aggrieved by the order and desires to question its validity on the ground—

a

that its making or confirmation was not within the powers of section 55 above, or

b

9

In this section and F156sections 57F and 58 below “the court” means the High Court in relation to England and Wales and the Court of Session in relation to Scotland.

57AF157 Penalties.

1

If the appropriate authority is satisfied that a relevant operator has contravened or is contravening—

a

a relevant condition or requirement, or

b

a final or provisional order made by the appropriate authority,

the appropriate authority may impose on the relevant operator a penalty of such amount as is reasonable.

2

A penalty is payable to the Authority.

3

The amount of a penalty imposed on a relevant operator may not exceed 10 per cent. of his turnover determined in accordance with an order made by the Secretary of State; and an order under this subsection shall not be made unless a draft of the statutory instrument containing it has been laid before and approved by a resolution of each House of Parliament.

4

No penalty may be imposed in respect of any contravention of a final or provisional order if provision was made in the order by virtue of section 55(7A) above in relation to the contravention.

5

The Authority shall not impose a penalty on a licence holder or person under closure restrictions unless—

a

it has given notice to the Regulator specifying a period within which he may give notice to it if he considers that the most appropriate way of proceeding is under the M12Competition Act 1998;

b

that period has expired; and

c

the Regulator has not given notice to the Authority within that period that he so considers (or, if he has, he has withdrawn it).

6

The Regulator shall not impose a penalty if he is satisfied that the most appropriate way of proceeding is under the M13Competition Act 1998.

the reference in subsection (2)(b) above to anything which has been or is being done or omitted to be done included a reference to anything which is likely to be done or omitted to be done.

F15957C Procedural requirements for penalties.

1

Before it imposes a penalty on a relevant operator, the appropriate authority shall give notice—

a

stating that it proposes to impose a penalty on the relevant operator and the amount of the penalty proposed,

b

setting out the relevant condition or requirement or order in question,

c

specifying the acts or omissions which, in its opinion, constitute contraventions of that condition or requirement or order and the other facts which, in its opinion, justify the imposition of a penalty and the amount of the penalty proposed,

d

specifying the manner in which, and place at which, it is proposed to require the penalty to be paid, and

e

specifying the period (not being less than 21 days from the date of publication of the notice) within which representations or objections with respect to the proposed penalty may be made,

and shall consider any representations or objections which are duly made and not withdrawn.

2

A notice under subsection (1) above shall be given—

a

by publishing the notice in such manner as the appropriate authority considers appropriate; and

b

by serving a copy of the notice on the relevant operator.

d

specifying the manner in which, and place at which, the penalty is to be paid; and

e

specifying the date (not being less than fourteen days from the date of publication of the notice) by which the penalty is to be paid.

7

A notice under subsection (6) above shall be given—

a

by publishing the notice in such manner as the appropriate authority considers appropriate; and

b

by serving a copy of the notice on the relevant operator.

8

The relevant operator may, within 21 days of the date of service on him of the notice under subsection (6) above, make an application to the appropriate authority for it to specify different dates by which different portions of the penalty are to be paid.

F160 C1557D Time limits.

1

No penalty may be imposed in respect of a contravention by a relevant operator—

a

by virtue of paragraph (a) of subsection (1) of section 57A above in a case where no final or provisional order has been made in relation to the contravention, or

b

by virtue of paragraph (b) of that subsection,

unless a copy of the notice relating to the penalty under section 57C(1) above is served on the relevant operator within two years of the time of the contravention.

2

No penalty may be imposed in respect of a contravention by a relevant operator by virtue of section 57A(1)(a) above in a case where a final or provisional order has been made in relation to the contravention unless a copy of the notice relating to the penalty under section 57C(1) above is served on the relevant operator—

a

within three months of the confirmation of the provisional order or the making of the final order; or

b

where the provisional order is not confirmed, within six months of the making of the provisional order.

F161 C1657E Interest and payment of instalments.

1

If the whole or any part of a penalty is not paid by the date by which it is to be paid, the unpaid balance from time to time shall carry interest at the rate for the time being specified in section 17 of the M14Judgments Act 1838.

2

If an application is made under subsection (8) of section 57C above in relation to a penalty, the penalty need not be paid until the application has been determined.

3

If the appropriate authority grants an application under that subsection in relation to a penalty but any portion of the penalty is not paid by the date specified in relation to it by the appropriate authority under that subsection, so much of the penalty as has not already been paid is to be paid immediately.

F16257F Validity and effect of penalties.

1

If the relevant operator to whom a penalty order relates is aggrieved by a penalty and desires to question its validity on the ground—

a

that it was not within the powers of section 57A above,

b

that any of the requirements of section 57C above have not been complied with in relation to it and his interests have been substantially prejudiced by the non-compliance, or

c

that it was unreasonable of the appropriate authority not to grant an application under section 57C(8) above;

he may make an application to the court under this section.

2

An application under this section by a person shall be made—

a

where it is on the ground mentioned in subsection (1)(c) above, within 42 days from the date on which he is notified of the decision not to grant the application under section 57C(8) above, and

b

in any other case, within 42 days from the date of service on him of the notice under section 57C(6) above.

3

If an application is made under this section in relation to a penalty, the penalty need not be paid until the application has been determined.

4

On an application under this section on the ground mentioned in subsection (1)(a) or (b) above the court, if satisfied that the ground is established, may quash the penalty or (instead of quashing it) make provision under either or both of paragraphs (a) and (b) of subsection (5) below.

5

The provision referred to in subsection (4) above is—

a

provision substituting a penalty of such lesser amount as the court considers appropriate in all the circumstances of the case; and

b

provision substituting as the date by which the penalty, or any portion of the penalty, is to be paid a date later than that specified in the notice under section 57C(6) above.

6

On an application under this section on the ground mentioned in subsection (1)(c) above the court, if satisfied that the ground is established, may specify different dates by which different portions of the penalty are to be paid.

7

Where the court substitutes a penalty of a lesser amount it may require the payment of interest on the substituted penalty at such rate, and from such date, as it determines; and where it specifies as the date by which the penalty, or a portion of the penalty, is to be paid a date before the determination of the application it may require the payment of interest on the penalty, or portion, from that date at such rate as it determines.

8

Except as provided by this section, the validity of a penalty shall not be questioned by any legal proceedings whatever.

C1758 Power to require information etcF163for purposes of sections 55 and 57A.

1

Where it appears to the appropriate F164authority that a relevant operator F165may have contravened or be contravening—

a

a relevant condition or requirement, or

b

a final or provisional order made by the appropriate authority,

the “relevant activities”, in relation to a protected railway company, are—

i

in the case of a company which is the holder of a passenger licence, the carriage of passengers by railway; or

ii

in the case of a company which is the holder of a network licence, a station licence or a light maintenance depot licence, the management of a network, a station or a light maintenance depot, according to the description of licence in question.

7

In this section—

“business” and “property” have the same meaning as they have in the M17Insolvency Act 1986;
“the court”, in the case of any protected railway company, means the court having jurisdiction to wind up the company;
“the railway administration order provisions of this Act” means this section, sections 60 to 65 below and Schedules 6 and 7 to this Act.

C1960 Railway administration orders made on special petitions.

1

If, on an application made to the court by petition presented—

a

by the Secretary of State, or

C53b

if the petition relates to a protected railway company which is the holder of a passenger licence, by the F475Authority with the consent of the Secretary of State,

the court is satisfied that either or both of the grounds specified in subsection (2) below is satisfied in relation to that protected railway company, the court may make a railway administration order in relation to that company.

2

The grounds mentioned in subsection (1) above are, in relation to any company,—

a

if the company is the holder of a passenger licence, the F476Authority with the consent of the Secretary of State,

may, at any time before a winding-up order is made on the petition, make an application to the court for a railway administration order in relation to that company; and where such an application is made the court may, if it is satisfied as mentioned in section 60(1) above, make a railway administration order instead of a winding-up order.

3

Where, on a petition for the winding up of a protected railway company, the court makes, or proposes to make, a railway administration order by virtue of subsection (2) above, subsections (4) and (5) of section 9 of the M19Insolvency Act 1986 (powers on application for administration order) shall apply on the hearing of that petition as they apply on the hearing of a petition for an administration order.

4

In this section “the court” has the same meaning as in section 59 above.

C2162 Restrictions on voluntary winding up and insolvency proceedings in the case of protected railway companies.

1

No resolution for voluntary winding up shall be passed by a protected railway company without leave of the court granted on an application made for the purpose by the company.

2

No such leave shall be granted unless—

a

notice of the application has been served on—

i

the Secretary of State; and

C56ii

the F477Authority, if the protected railway company is the holder of a passenger licence; and

b

a period of at least fourteen days has elapsed since the service of that notice.

3

Where an application for leave under subsection (1) above has been made by a protected railway company—

a

the Secretary of State, or

C57b

if the company is the holder of a passenger licence, the F477Authority with the consent of the Secretary of State,

may, at any time before leave has been granted under subsection (1) above, make an application to the court for a railway administration order in relation to that company; and where such an application is made the court may, if it is satisfied as mentioned in section 60(1) above, make a railway administration order instead of granting leave under subsection (1) above.

4

Where, on an application for leave under subsection (1) above, the court makes, or proposes to make, a railway administration order by virtue of subsection (3) above, subsections (4) and (5) of section 9 of the M20Insolvency Act 1986 (powers on application for administration order) shall apply on the hearing of that application as they apply on the hearing of a petition for an administration order.

5

No administration order under Part II of the M21Insolvency Act 1986 shall be made in relation to a protected railway company unless—

a

notice of the application for the order has been served on—

i

the Secretary of State; and

C58ii

the F477Authority, if the protected railway company is the holder of a passenger licence; and

b

a period of at least fourteen days has elapsed since the service of that notice.

6

Where an application for an administration order under Part II of the M22Insolvency Act 1986 has been made in the case of a protected railway company—

a

the Secretary of State, or

C59b

if the company is the holder of a passenger licence, the F477Authority with the consent of the Secretary of State,

may, at any time before such an order has been made on that application, make an application to the court for a railway administration order in relation to that company; and where such an application is made the court may, if it is satisfied as mentioned in section 60(1) above, make a railway administration order instead of an administration order under Part II of the M23Insolvency Act 1986.

7

No step shall be taken by any person to enforce any security over a protected railway company’s property, except where that person has served fourteen days’ notice of his intention to take that step on—

a

the Secretary of State; and

C60b

the F477Authority, if the company is the holder of a passenger licence.

8

In this section—

“the court” has the same meaning as in section 59 above;
“resolution for voluntary winding up” has the same meaning as in the M24Insolvency Act 1986;
“security” and “property” have the same meaning as in the M25Insolvency Act 1986.

C2263 Government financial assistance where railway administration orders made.

1

Where a railway administration order is for the time being in force in relation to a company, the Secretary of State may, with the consent of the Treasury—

a

make to the company grants or loans of such sums as appear to him to be appropriate for the purpose of facilitating the achievement of the purposes of the order;

b

agree to indemnify the person appointed to achieve the purposes of the order in respect of liabilities incurred and loss or damage sustained by that person in connection with the carrying out of his functions under the order.

2

The Secretary of State may, with the consent of the Treasury, guarantee, in such manner and on such conditions as he may think fit, the repayment of the principal of, the payment of interest on and the discharge of any other financial obligation in connection with any sum which is borrowed from any person by a company in relation to which a railway administration order is in force at the time when the guarantee is given.

3

Without prejudice to any provision applied in relation to the company by Schedule 6 to this Act—

a

the terms and conditions on which a grant is made to any company under this section may require the whole or a part of the grant to be repaid to the Secretary of State if there is a contravention of the other terms and conditions on which the grant is made; and

b

any loans which the Secretary of State makes to a company under this section shall be repaid to him at such times and by such methods, and interest on the loans shall be paid to him at such rates and at such times, as he may, with the consent of the Treasury, from time to time direct.

4

Any grant or loan made under this section and any sums required to be paid by the Secretary of State in respect of an indemnity given under this section shall be paid out of money provided by Parliament.

5

Any sums received under subsection (3) above by the Secretary of State shall be paid into the Consolidated Fund.

C2364 Guarantees under section 63.

1

This section applies in relation to any guarantee given by the Secretary of State under section 63 above.

2

Immediately after a guarantee to which this section applies is given, the Secretary of State shall lay a statement of the guarantee before each House of Parliament.

3

Where any sum is paid out for fulfilling a guarantee to which this section applies, the Secretary of State shall, as soon as possible after the end of each financial year (beginning with that in which the sum is paid out and ending with that in which all liability in respect of the principal of the sum and in respect of the interest thereon is finally discharged), lay before each House of Parliament a statement relating to that sum.

4

Any sums required by the Secretary of State for fulfilling a guarantee to which this section applies shall be paid out of money provided by Parliament.

5

Without prejudice to any provision applied in relation to the relevant company by Schedule 6 to this Act, if any sums are paid out in fulfilment of a guarantee to which this section applies, the relevant company shall make to the Secretary of State, at such times and in such manner as the Secretary of State may from time to time direct—

a

payments of such amounts as the Secretary of State may so direct in or towards repayment of the sums so paid out; and

b

payments of interest, at such rate as the Secretary of State may so direct, on what is outstanding for the time being in respect of sums so paid out;

and the consent of the Treasury shall be required for the giving of a direction under this subsection.

6

Any sums received by the Secretary of State under subsection (5) above shall be paid into the Consolidated Fund.

7

In subsection (5) above “the relevant company” in relation to a guarantee, means the company which borrowed the sums in respect of which the guarantee was given.

64AF170Financial assistance by Scottish Ministers

1

Where a railway administration order is for the time being in force in relation to a Scottish protected railway company, the Scottish Ministers may—

a

make grants or loans to the company of such sums as appear to them to be appropriate for the purpose of facilitating the achievement of the purposes of the order; or

b

agree to indemnify a relevant person in respect of—

i

liabilities incurred by that person in connection with the carrying out by the railway administrator of his functions under the order; and

ii

loss or damage incurred by that person in that connection.

2

The Scottish Ministers may guarantee—

a

the repayment of the principal of any sum borrowed by a Scottish protected railway company in relation to which a railway administration order is in force when the guarantee is given;

b

the payment of interest on a sum so borrowed; and

c

the discharge of any other financial obligation in relation to a sum so borrowed.

3

A grant, loan, indemnity or guarantee under this section may be made or given in whatever manner, and on whatever terms and subject to whatever conditions, the Scottish Ministers consider appropriate.

4

The terms on which a grant may be made under this section include, in particular, terms requiring the whole or a part of the grant to be repaid to the Scottish Ministers if there is a contravention of the other terms on which the grant is made.

5

The terms on which a loan may be made under this section include, in particular, terms requiring—

a

the loan to be repaid at such times and by such methods, and

b

C2465 Meaning of “company" and application of provisions to unregistered, foreign and other companies.

1

In the railway administration order provisions of this Act—

“company” means—
1. a
  any company formed and registered under the M26Companies Act 1985 or any existing company within the meaning given in section 735(1) of that Act; and
2. b
  any unregistered company; and
“unregistered company” has the meaning given in Part V of the 1986 Act.

2

In the application of section 59(1) above in a case where the protected railway company there mentioned is a foreign company, the reference to the affairs, business and property of the company shall be taken as a reference to the affairs and business of the company, so far as carried on in Great Britain, and the property of the company within Great Britain.

3

In the application of section 9(5) of the 1986 Act by virtue of subsection (4) of section 60 above or subsection (3) of section 61 above where the petition mentioned in the subsection in question relates to a company which is a foreign company, the reference to restricting the exercise of any powers of the directors or of the company shall be taken as a reference to restricting—

a

the exercise within Great Britain of the powers of the directors or of the company; or

b

any exercise of those powers so far as relating to the affairs, business or property of the company in Great Britain.

4

In the application of provisions in section 10 of the 1986 Act by virtue of subsection (5) of section 60 above where the company mentioned in that subsection is a foreign company—

a

paragraph (a) of subsection (1) shall be omitted;

b

any reference in paragraph (b) or (c) of that subsection to property or goods shall be taken as a reference to property or (as the case may be) goods for the time being situated within Great Britain;

c

in paragraph (c) of that subsection—

i

the reference to the commencement or continuation of proceedings shall be taken as a reference to the commencement or continuation of proceedings in Great Britain; and

ii

the reference to the levying of distress against the company shall be taken as a reference to the levying of distress against the foreign company to the extent of its property in England and Wales; and

d

any reference in subsection (2) to an administrative receiver shall be taken to include a reference to any person performing, in relation to the foreign company, functions equivalent to those of an administrative receiver, within the meaning of section 251 of the 1986 Act.

5

Subsections (1) to (4) of section 62 above shall not have effect in relation to a protected railway company which is a foreign company.

6

In the application of subsection (7) of that section where the protected railway company there mentioned is a foreign company, the reference to the company’s property shall be taken as a reference to such of its property as is for the time being situated in Great Britain.

7

In this section—

“the 1986 Act” means the M27Insolvency Act 1986;
“foreign company” means a company incorporated outside Great Britain;
“the railway administration order provisions of this Act” means sections 59 to 64 above, this section and Schedules 6 and 7 to this Act.

Consumer protection

66 Amendments of the Fair Trading Act 1973.

1

F171. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

2

F171. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F172 C253

For the purposes of Part 3 of the Enterprise Act 2002 (merger references), where a person enters into a franchise agreement as a franchisee, there shall be taken to be brought under his control an enterprise engaged in the supply of the railway services to which the agreement relates.

4

In section 137 of the 1973 Act, in subsection (3) (meaning of the expression “the supply of services"), after paragraph (f) there shall be inserted the words

and
g
includes the supply of network services and station services, within the meaning of Part I of the Railways Act 1993;

5

F173. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F1746

Expressions used in subsection (3) above and in Part 3 of the Enterprise Act 2002 have the same meaning in that subsection as they have in that Part.

67 Respective functions of the Regulator and the F175OFT, and functions of the Monopolies Commission.

1

F176. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F177 C26 C272

The functions to which subsection (2A) below applies shall be concurrent functions of the Regulator and the OFT.

2A

This subsection applies to the functions of the OFT under Part 4 of the Enterprise Act 2002 (other than sections 166 and 171) so far as relating to the supply of services relating to railways.

2B

So far as necessary for the purposes of, or in connection with, subsections (2) and (2A) above, references in Part 4 of the Act of 2002 to the OFT (including references in provisions of that Act applied by that Part) shall be construed as including references to the Regulator (except in sections 166 and 171 of that Act and in any other provision of that Act where the context otherwise requires).

F1783

The Regulator shall be entitled to exercise, concurrently with F478the OFT, the functions of F478the OFT under the provisions of Part I of the Competition Act 1998 (other than sections 38(1) to (6) and 51), so far as relating to—

a

agreements, decisions or concerted practices of the kind mentioned in section 2(1) of that Act, or

b

conduct of the kind mentioned in section 18(1) of that Act,

which relate to the supply of F479services relating to railways.

F1793ZA

In F180subsections (2A) and (3) above “services relating to railways” means—

a

railway services;

b

the provision or maintenance of rolling stock;

c

the development, maintenance or renewal of a network, station or light maintenance depot; and

d

the development, provision or maintenance of information systems designed wholly or mainly for facilitating the provision of railway services.

3ZB

The Secretary of State may by order amend subsection (3ZA) above; and an order under this subsection shall not be made unless a draft of the statutory instrument containing it has been laid before and approved by a resolution of each House of Parliament.

3A

So far as necessary for the purposes of, or in connection with, the provisions of subsection (3) above, references in Part I of the Competition Act 1998 to F478the OFT are to be read as including a reference to the Regulator (except in sections 38(1) to (6), 51, 52(6) and (8) and 54 of that Act and in any other provision of that Act where the context otherwise requires).

C284

F181Before the OFT or the Regulator first exercises in relation to any matter functions which are exercisable concurrently by virtue of subsection (2) above, that person shall consult the other.

4A

Neither the OFT nor the Regulator shall exercise in relation to any matter functions which are exercisable concurrently by virtue of subsection (2) above if functions which are so exercisable have been exercised in relation to that matter by the other.

5

It shall be the duty of the Regulator, for the purpose of assisting the F182Competition Commission in carrying out an investigation on a reference falling within subsection (6) below, to give to the Commission—

a

any information which is in his possession and which relates to matters falling within the scope of the investigation and—

i

is requested by the Commission for that purpose; or

ii

is information which in his opinion it would be appropriate for that purpose to give to the Commission without any such request; and

b

any other assistance which the Commission may require and which it is within his power to give, in relation to any such matters;

and the Commission shall, for the purposes of carrying out any such investigation, take into account any information given to them for that purpose under this subsection.

6

The references which fall within this subsection are—

a

any reference made to the F182Competition Commissionby the Regulator by virtue of subsection (2) F183or (3) above; and

b

any reference made to the Commission by the Secretary of State under section 11 of the 1980 Act, if the person who is the subject of the reference is—

i

the F480authority or a wholly owned subsidiary of the F480authority, or

ii

a publicly owned railway company which supplies network services or station services.

7

A copy of any report of the F182 Competition CommissionF184under section 136 or 142 of the Enterprise Act 2002 which relates to F185the supply of services relating to railways may be transmitted by the Commission to the Regulator, notwithstanding that the reference F186. . . could not have been made by F481the Regulator.

8

If any question arises F187in any particular case as to the jurisdiction of the Regulator under any of the provisions mentioned in subsection F188(2A) or (3) above F189. . . . F190. ., that question shall be referred to and determined by the Secretary of State; and no objection shall be taken to anything done under—

a

F191Part 4 of the Enterprise Act 2002, or

F192b

Part I of the Competition Act 1998 (other than sections 38(1) to (6) and 51),

by or in relation to the Regulator on the ground that it should have been done by or in relation to F478the OFT.

F1939

Section 117 of the Enterprise Act 2002 (offences of supplying false or misleading information) as applied by section 180 of that Act shall have effect so far as relating to functions exercisable by the Regulator by virtue of subsection (2) above as if the references in section 117(1)(a) and (2) to the OFT included references to the Regulator.

10

F194. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Other functions of the Regulator

68 Investigatory functions.

1

Subject to subsection (2) below, it shall be the duty of the Regulator to investigate any alleged or apprehended contravention of—

a

a condition of a licence F326which does not relate to consumer protection, F195. . .

F196b

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

if the alleged or apprehended contravention is the subject of a representation (other than one appearing to him to be frivolous or vexatious) made to him by or on behalf of a person who appears to the Regulator to have an interest in the matter.

2

The Regulator may, if he thinks fit, require a F327Rail Passengers Committee to investigate and report to him on any matter falling within subsection (1) above which relates to—

a

the provision of services for the carriage of passengers by railway, or

b

the provision of station services,

and which it would otherwise have been his duty to investigate.

is requested to do so by the F328Authority, or

b

considers it appropriate to do so,

he may provide the F328Authority with any information which he has which relates to the functions of the F328Authority.

F19870. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

71 Publication of information and advice.

1

The Regulator may arrange for the publication, in such form and in such manner as he considers appropriate, of such information and advice as it may appear to him expedient to give to users or potential users of railway services in Great Britain.

2

In arranging for the publication of any such information or advice the Regulator shall have regard to the need for excluding, so far as that is practicable—

a

any matter which relates to the affairs of an individual, where publication of that matter would or might, in the opinion of the Regulator, seriously and prejudicially affect the interests of that individual; and

Annotations:

Amendments (Textual)

F221

Word in cross-heading substituted (1.2.2001) by 2000 c. 38, s. 215, Sch. 16 para. 43; S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to savings and transitional provisions in Sch. 2 Pt. II) (which S.I. was amended by S.I. 2001/115, art. 2(2))

72 Keeping of register by the Regulator.

1

The Regulator shall, at such premises and in such form as he may determine, maintain a register for the purposes of this Part.

2

Subject to subsection (3) and to any direction given under subsection (4) below, the Regulator shall cause to be entered in the register—

a

in relation to licences, the provisions of—

i

every licence and every licence exemption;

ii

every assignment of a licence of which notice is received by the Regulator;

iii

every modification or revocation of a licence F203and every requirement to modify conditions of a licence imposed on the Regulator by the Authority;

iv

every revocation of a licence exemption F204and every requirement to revoke a licence exemption imposed on the Regulator by the Authority;

v

every requirement imposed, or consent or approval given, by the Regulator under a licence;

vi

every requirement imposed, or consent or approval given, under a licence by any person (other than the Regulator) who is a qualified person, within the meaning of section 9(3) above, for the purpose in question, being a requirement, consent or approval whose provisions have been notified to the Regulator pursuant to a condition of the licence;

vii

every final or provisional order F205made by the Regulator in relation to a licence, every revocation of such an order and every notice given by the Regulator under section 55(6) above that he is satisfied that he does not need to make such an order;

F206viii

every scheme made by the Secretary of State under section 7A(4) above or paragraph 2 of Schedule 28 to the Transport Act 2000;

F207ix

every penalty imposed by the Regulator under section 57A above;

x

every statement of policy published by the Regulator under that section;

and notice of every surrender of a licence;

b

in relation to access agreements, access contracts and installation access contracts, the provisions of—

i

every facility exemption granted under section 20(3) above;

ii

every direction to enter into an access contract or an installation access contract;

iii

every access agreement;

iv

every amendment (however described) of an access agreement;

v

every general approval given under section F20818(1)(c), 19(3)(c) or 22(3) above which is for the time being in force;

F209va

every direction under section 22A above;

vb

every notice given by or to the Regulator or the Competition Commission under Schedule 4A to this Act;

vi

every document issued or made by the Regulator under an access agreement;

F210c

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

d

in relation to experimental passenger services, within the meaning of section 48 above, the provisions of—

i

every notice under section 48(7) above designating a service as experimental;

ii

every notice under section 48(2) or (3) above of a proposal to discontinue a service designated as experimental;

iii

every final or provisional order made by the Regulator which relates to the provision or discontinuance of any such service, every revocation of such an order and every notice given by the Regulator under section 55(6) above that he is satisfied that he does not need to make such an order; and

e

the provisions of every railway administration order and of every discharge of such an order.

3

In entering any provision in the register, the Regulator shall have regard to the need for excluding, so far as that is practicable, the matters specified in section 71(2)(a) and (b) above.

4

If it appears to the Secretary of State that the entry of any provision in the register would be against the public interest or the commercial interests of any person, he may direct the Regulator not to enter that provision in the register.

5

Where an access agreement is entered into or amended, the facility owner or installation owner concerned shall send a copy of the access agreement or amendment to the Regulator not later than 14 days after the date on which the access agreement is entered into or the amendment is made, as the case may be.

6

A person who fails to comply with subsection (5) above is guilty of an offence and shall be liable on summary conviction to a fine not exceeding level 3 on the standard scale.

7

The contents of the register shall be available for inspection by the public during such hours and subject to the payment of such fee as may be specified in an order made by the Secretary of State.

8

Any person may, on the payment of such fee as may be specified in an order so made, require the Regulator to supply him with a copy of, or extract from, any part of the register, being a copy or extract which is certified by the Regulator to be a true copy or extract.

9

The contents of the register shall be available for inspection at any time by the F211Authority, without payment of any fee; and the F211Authority may require the Regulator, without payment of any fee, to supply F212itwith a copy of, or extract from, any part of the register, being a copy or extract which is certified by the Regulator to be a true copy or extract.

10

Any reference in this section to “assignment” shall be construed in Scotland as a reference to assignation.

11

Any sums received by the Regulator under this section shall be paid into the Consolidated Fund.

73 Keeping of register by the F482Authority.

1

The F483Authority shall, at such premises and in such form as F484it may determine, maintain a register for the purposes of this Part.

2

Subject to subsection (3) and to any direction given under subsection (4) below, the F485Authority shall cause to be entered in the register the provisions of—

a

every franchise exemption;

b

every franchise agreement;

F213c

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

d

every amendment (however described) of a franchise agreement F214other than any which are not likely to have a material effect on the provision of services under the agreement or on any sums payable under the agreement.;

F486da

every closure consent and closure condition, every determination under section 37(1), 38(2), 39(1), 40(2), 41(1) or 42(2) above that a closure is a minor closure, every condition imposed under section 37(1), 39(1) or 41(1) above, every general determination under section 46A above and every revocation of a general determination under that section;

e

every final or provisional order F215made by the Authority in relation to a licence or a franchise agreement F487or to any closure or proposed closure or to any closure consent or closure condition, every revocation of such an order and every notice given by the F485Authority under section 55(6) above that F488it is satisfied that F488it does not need to make such an order;

F216f

every penalty imposed by the Authority under section 57A above;

g

every statement of policy published by the Authority under that section;

F489h

every licence with conditions relating to consumer protection, every licence exemption with such conditions and every approval given by the Authority to such conditions of a licence or licence exemption;

i

every assignment of a licence to which the Authority has consented;

j

every requirement to modify conditions of a licence imposed by the Authority on the Regulator;

k

every requirement to revoke a licence exemption imposed by the Authority on the Regulator;

l

every requirement imposed, or consent or approval given, by the Authority under a licence;

m

every scheme made by the Secretary of State under section 7A(4) above or paragraph 2 of Schedule 28 to the Transport Act 2000;

and, without prejudice to the generality of paragraph (d) above, “amendment" in that paragraph includes any variation of the property, rights and liabilities which from time to time constitute the franchise assets in relation to the franchise agreement in question, whether the variation is effected in accordance with the terms of, or by an amendment made to, the franchise agreement.

3

In entering any provision in the register, the F490Authority shall have regard to the need for excluding, so far as that is practicable, the matters specified in paragraphs (a) and (b) of section 71(2) above, for this purpose taking references in those paragraphs to the Regulator as references to the F490Authority.

4

If it appears to the Secretary of State that the entry of any provision in the register would be against the public interest or the commercial interests of any person, he may direct the F490Authority not to enter that provision in the register.

5

The contents of the register shall be available for inspection by the public during such hours and subject to the payment of such fee as may be specified in an order made by the Secretary of State.

6

Any person may, on the payment of such fee as may be specified in an order so made, require the F490Authority to supply him with a copy of, or extract from, any part of the register, being a copy or extract which is certified by the F490Authority to be a true copy or extract.

7

The contents of the register shall be available for inspection at any time by the Regulator, without payment of any fee; and the Regulator may require the F490Authority, without payment of any fee, to supply him with a copy of, or extract from, any part of the register, being a copy or extract which is certified by the F490Authority to be a true copy or extract.

F2138

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

73AF222Keeping of register by the Scottish Ministers

1

The Scottish Ministers must maintain a register.

2

The register must be kept in such form and at such premises as the Scottish Ministers determine.

3

Subject to subsections (4) and (5) below, the Scottish Ministers must cause the provisions of each of the following to be entered in the register—

a

every designation made by them under section 23 of this Act, and every variation or revocation of such a designation;

b

every franchise exemption granted by them;

c

every franchise agreement to which they are a party;

d

every amendment of such a franchise agreement, other than those that are unlikely to have a material effect on the provision of services under the agreement or on the sums payable under it;

e

every determination made by them under section 34 of the Railways Act 2005 that a closure is a minor modification or that closures of a particular description are minor modifications;

f

every revocation of a determination made by them under that section in relation to a description of closures;

g

every condition agreed to under subsection (5) of that section in connection with a determination made by them;

h

every final or provisional order made by them;

i

every revocation by them of such an order;

j

every notice given by them under section 55(6) of this Act of a decision not to make such an order;

k

every penalty imposed by them under section 57A of this Act;

l

every statement of policy published by them under section 57B of this Act.

4

The Scottish Ministers may enter the provisions of anything in the register in a manner that excludes, so far as practicable, so much of the details of those provisions as they consider it appropriate to exclude for the purpose of maintaining the confidentiality of—

a

matters relating to the affairs of an individual the publication of which would or might, in the Scottish Ministers' opinion, seriously and prejudicially affect the interests of that individual; and

b

matters relating specifically to the affairs of a particular body of persons the publication of which would or might, in the Scottish Ministers' opinion, seriously and prejudicially affect the interests of that body.

5

If it appears to the Scottish Ministers that the entry of any provision in the register would be against the public interest, they may decide not to enter it in the register.

6

The contents of the register must be available for inspection, at any time and free of charge, by the Secretary of State or the Office of Rail Regulation.

7

The Secretary of State and the Office of Rail Regulation may each require the Scottish Ministers to supply him or (as the case may be) it free of charge with a certified copy of a part of the register or with a certified extract from it.

8

The references in subsection (7) to a certified copy or a certified extract are references to a copy or extract that has been certified by the Scottish Ministers to be a true copy or extract.

9

In subsection (3)(d) “amendment”, in relation to a franchise agreement, means any amendment however described, including variations (whether or not effected in accordance with the terms of the agreement or by a modification of it) of the property, rights and liabilities which from time to time constitute the franchise assets.

74 Annual and other reports of the Regulator.

C291

The Regulator shall, as soon as practicable after the end of the first relevant financial year and of each subsequent financial year, make to the Secretary of State a report on—

a

the employment by licence holders of persons who are disabled; and

b

a general survey of the activities during that year of the Rail Passengers’ Council and the Rail Passengers’ Committees and a summary of any reports made to the Authority by the Rail Passengers’ Council or any Rail Passengers’ Committee.

2

The Secretary of State shall lay a copy of every report made by the F495Authority under subsection (1) above before each House of Parliament and shall arrange for copies of every such report to be published in such manner as he may consider appropriate.

F4962A

Where a report is made by the F495Authority under subsection (1) above to the Scottish Ministers (by virtue of provision made under section 63 of the Scotland Act 1998), the Scottish Ministers shall lay a copy of the report before the Scottish Parliament and shall arrange for copies to be published in such manner as they consider appropriate.

3

In making or preparing any report under this section, the F495Authority shall have regard to the need for excluding, so far as that is practicable, the matters specified in paragraphs (a) and (b) of section 71(2) above, for this purpose taking references in those paragraphs to the Regulator as references to the F495Authority.

4

In this section—

“financial year” means a period of twelve months ending with 31st March; F497. . .
F498. . .

The F241Rail Passengers’ Council and Rail Passengers’ Committees

Annotations:

Amendments (Textual)

F241

Words in cross-heading substituted (1.2.2001) by 2000 c. 38, s. 227, Sch. 22 para. 8(10); S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to savings and transitional provisions in Sch. 2 Pt. II)

C30 C31 C6276 General duties of the F223Rail Passengers’ Council.

1

It shall be the duty of the F224Rail Passengers’ Council to investigate any matter which relates—

F225a

to the provision of railway passenger services, or

b

to the provision of station services by any person in a case where the operator of the station in question is authorised by a licence to be the operator of that station,

if the condition specified in subsection (2) below is satisfied in relation to the matter in question.

2

The condition mentioned in subsection (1) above is satisfied if—

a

the matter is the subject of a representation made to the F226Rail Passengers’ Council by a user or potential user of railway passenger services and does not appear to the F226Rail Passengers’ Council to be frivolous or vexatious;

b

the matter is referred to the F226Rail Passengers’ Council by the F499Authority; or

c

the matter appears to the F226Rail Passengers’ Council to be one which it ought to investigate.

3

If any matter falling within paragraph (a) of subsection (2) above appears to the F500Rail Passengers’ Council to relate only to the provision of railway passenger services, or of station services, within the area of one F501Rail Passengers’ Committee, F502the Rail Passengers’ Council shall refer that matter to the F501Rail Passengers’ Committee for that area.

4

If, on investigating any matter, the F227Rail Passengers’ Council considers it appropriate to do so, F228the Rail Passengers’ Council shall make representations to the person providing the service in question and—

a

in the case of a service provided under a franchise agreement, to the franchisee, or

b

in the case of a service provided on behalf of the F503Authority, to the F503Authority,

about the matter, or any matter to which it relates or which appears to F228the Rail Passengers’ Council to be relevant to the subject of the matter investigated.

5

Where F229the Rail Passengers’ Council—

a

having made representations under subsection (4) above, is of the opinion that it is unable to achieve a satisfactory resolution of the matter by that means, or

b

on investigating any matter, has reason to believe that F230a franchisee is contravening, or is likely to contravene, any term of the franchise agreement or that the holder of a passenger licence or a station licence is contravening, or is likely to contravene, any condition of the licence,

F229the Rail Passengers’ Council shall F231, unless representations about the matter have been made to the Authority by the Rail Passengers’ Council, refer it to the Authority with a view to the Authority exercising such of its powers as it considers appropriate in the circumstances of the case..

F2325A

But if the Authority considers that it would be more appropriate for a matter referred to it by the Rail Passengers’ Council to be considered by the Regulator, the Authority shall refer it to him, with a view to his exercising such of his powers as he considers appropriate in the circumstances of the case.

6

Where the F233Rail Passengers’ Council investigates any matter—

C32a

it may prepare, and send to the Secretary of State and the F504Authority, a report of its findings; and

b

it may publish any such report, unless the matter in question is one which was referred to the F233Rail Passengers’ Council by the F504Authority as mentioned in subsection (2)(b) above.

7

Where the F234Rail Passengers’ Council has investigated any matter under this section, it shall neither—

a

include in any report or representations a proposal for any steps to be taken by any person in relation to that matter, nor

b

8

The services which are to be regarded for the purposes of this section as provided on behalf of the F503Authority are the same services as are to be so regarded for the purposes of section 37 above.

9

In this section, any reference to railway passenger services includes a reference to bus substitution services required to be provided in place of any such services; F237. . ..

In subsection (5) “enactment” includes an enactment comprised in an Act of the Scottish Parliament.

C63 C64 C6577 General duties of F238Rail Passengers’ Committees.

1

It shall be the duty of each F505Rail Passengers’ Committee to investigate any matter which relates—

F506a

to the provision of railway passenger services, or

b

to the provision of station services by any person in a case where the operator of the station in question is authorised by a licence to be the operator of that station,

if the condition specified in subsection (2) below is satisfied in relation to the matter in question.

2

The condition mentioned in subsection (1) above is satisfied if the matter—

a

is the subject of a representation made to F507the Rail Passengers’ Committee by a user or potential user of railway passenger services and does not appear to F507the Rail Passengers’ Committee to be frivolous or vexatious;

b

is referred to F507the Rail Passengers’ Committee—

i

by the F508Authority; or

ii

by the F509Rail Passengers’ Council under section 76(3) above; or

it may prepare, and send to the F519Rail Passengers’ Council, a report of its findings; and

b

it may publish any such report, unless the matter in question is one which was referred to the F518Rail Passengers’ Committee by the F520Authority as mentioned in subsection (2)(b)(i) above.

6

At the request of the F521Authority, a F522Rail Passengers’ Committee shall make a report to F523it on such matters relating to the quality of the railway passenger services, and the station services, provided in the F524Rail Passengers’ Committee’s area as may be specified in the request.

7

The F525Authority may arrange for the publication of any report under subsection (6) above in such manner as F526it may consider appropriate.

8

If the F512Authority. . . so requests, a F527Rail Passengers’ Committee shall assist the F512Authority, to such extent and in such respects as may be specified in the request, in ascertaining whether, in the case of any franchise agreement, the franchise operator is attaining the standards set for the provision of the franchised services.

9

Where a F528Rail Passengers’ Committee has investigated any matter pursuant to subsections (1) to (3) or subsection (6) above, it shall neither—

a

include in any report or representations a proposal for any steps to be taken by any person in relation to that matter, nor

b

refer the matter F529under subsection (4) or (4A) above by reason only of the failure of any person to take any steps in relation to that matter,

unless, balancing the cost of taking those steps against the benefits which F530the Rail Passengers’ Committee considers will be enjoyed by any person in consequence of the taking of those steps, F530the Rail Passengers’ Committee is of the opinion, on the basis of the information available to it, that the expenditure involved represents good value for money.

F5319A

It shall also be the duty of each Rail Passengers’ Committee, so far as it appears expedient from time to time to do so—

a

to keep under review matters affecting the interests of the public in relation to railway passenger services and station services; and

b

to make representations to, and consult, such persons as they think appropriate about those matters; and

c

to co-operate with other bodies representing the interests of users of public passenger transport services.

9B

The Secretary of State may, after consultation with the Rail Passengers’ Council, make an order excluding services from the duties imposed by this section; and an order under this subsection—

a

may exclude services of a particular class or description, particular services or services provided by a particular person;

b

may provide that services are excluded subject to compliance with specified conditions; and

c

may not revoke an exclusion except for breach of condition or in accordance with the order which made it.

9C

a

only to such extent as is specified by the order; or

b

with such modifications as are so specified.

10

The services which are to be regarded for the purposes of this section as provided on behalf of the F512Authority are the same services as are to be so regarded for the purposes of section 37 above.

11

In this section, any reference to railway passenger services includes a reference to bus substitution services required to be provided in place of any such services; F532. . .

78 Functions under section 56 of the Transport Act 1962.

F2391

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F2392

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F2393

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F2394

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

5

After subsection (6) of that section there shall be inserted—

6ZA
If the Secretary of State so directs in the case of any consultative committee, subsections (4) to (6) of this section shall have effect in relation to that committee and the Central Committee as if the reference in subsection (4) of this section to services and facilities provided by any of the Boards included a reference to any such ferry service as may be specified in the direction, whether provided by a Board or by some other person; and, in the application of subsections (4) to (6) of this section in relation to any such ferry service, any reference in those subsections to a Board shall be taken to include a reference to the person providing the ferry service.

F2396

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F2397

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

79 Annual reports by the F240Rail Passengers’ Council and the Rail Passengers’ Committees.

C661

F533The Rail Passengers’ Council and each of the Rail Passengers’ Committees shall, as soon as practicable after the end of the first relevant financial year and of each subsequent financial year—

a

make a report to the F534Authority on F535its activities during that year; and

b

in the case of the F536Rail Passengers’ Council and the Rail Passengers’ Committees for Scotland and for Wales, send a copy of that report to the Secretary of State;

and the Secretary of State shall lay before each House of Parliament a copy of the reports sent to him pursuant to paragraph (b) above.

F5371A

The F538Rail Passengers’ Committee for Scotland shall, as soon as practicable after the end of each financial year, also send a copy of the report referred to in subsection (1) above to the Scottish Ministers and the Scottish Ministers shall lay a copy of each such report before the Scottish Parliament.

1B

Subsection (1A) above shall not apply in relation to a financial year which ends before 1st April 1999.

2

F539The Rail Passengers’ Council and each of the Rail Passengers’ Committees may arrange for any report which it makes under subsection (1) above to be published in such manner as F540it considers appropriate.

3

In arranging for the publication of any report F541made by it under this section, the Rail Passengers’ Council or a Rail Passengers’ Committee shall have regard to the need for excluding, so far as that is practicable, the matters specified in paragraphs (a) and (b) of section 71(2) above, for this purpose taking references in those paragraphs to the Regulator as references to F542the Rail Passengers’ Council or the Rail Passengers’ Committee.

4

In this section—

F543. . .
“financial year” means a period of twelve months ending with 31st March; and
“first relevant financial year”, in relation to F544the Rail Passengers’ Council or any Rail Passengers’ Committee, means the financial year in which it is established..

Information

80 Duty of certain persons to furnish information to the F545Authority on request.

1

F243Licence holders shall be under a duty to furnish to the F546Authority in such form and manner as F547it may by notice request such information as F547it may so request, being information which the F546Authority considers necessary for the purpose of facilitating the performance of any F548of its functions under this Part F549or the Transport Act 2000.

2

A request under subsection (1) above must be complied with within such time (being not less than 28 days from the making of the request) as may be specified in the request.

3

If any such request is not complied with, the F550Authority may serve a notice under subsection (4) below on the person from whom the information was requested under subsection (1) above.

4

A notice under this subsection is a notice signed by the F550Authority and—

a

requiring the person on whom it is served to produce, at a time and place specified in the notice, to the F550Authority or to any person appointed by the Franchising Director for the purpose, any documents which are specified or described in the notice and are in that person’s custody or under his control; or

b

requiring that person to furnish, at a time and place and in the form and manner specified in the notice, to the Franchising Director such information as may be specified or described in the notice.

5 F2446

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

7

A person who intentionally alters, suppresses or destroys any document which he has been required by any notice under subsection (4) above to produce is guilty of an offence and shall be liable—

a

on summary conviction, to a fine not exceeding the statutory maximum;

b

on conviction on indictment, to a fine.

8

If a person makes default in complying with a notice under subsection (4) above, the court may, on the application of the F550Authority, make such order as the court thinks fit for requiring the default to be made good; and any such order may provide that all the costs or expenses of and incidental to the application shall be borne by the person in default or by any officers of a company or other association who are responsible for its default.

9

10

In this section “the court” means the High Court, in relation to England and Wales, and the Court of Session, in relation to Scotland.

Interpretation

81 Meaning of “railway".

1

Subject to subsection (2) below, the definition of “railway” in section 67(1) of the M29Transport and Works Act 1992 shall have effect for the purposes of this Part as it has effect for the purposes of that Act, and cognate expressions shall be construed accordingly.

2

Where it is stated for the purposes of any provision of this Part that railway has its wider meaning, “railway” shall be taken, for the purposes of that provision, to mean—

a

a railway,

b

a tramway, or

c

a transport system which uses another mode of guided transport but which is not a trolley vehicle system,

and cognate expressions shall be construed accordingly.

3

In paragraphs (a) to (c) of subsection (2) above “guided transport”, “railway”, “tramway” and “trolley vehicle system” have the meaning given by section 67(1) of the M30Transport and Works Act 1992.

82 Meaning of “railway services" etc.

1

In this Part, “railway services” means services of any of the following descriptions, that is to say—

a

services for the carriage of passengers by railway;

b

services for the carriage of goods by railway;

c

light maintenance services;

d

station services;

e

network services.

2

In this Part—

“light maintenance services” means services of any of the following descriptions, that is to say—
1. a
  the refuelling, or the cleaning of the exterior, of locomotives or other rolling stock;
2. b
  the carrying out to locomotives or other rolling stock of maintenance work of a kind which is normally carried out at regular intervals of twelve months or less to prepare the locomotives or other rolling stock for service;
“network services” means any service which consists of, or is comprised in, the provision or operation of a network (or of any of the track or other installations comprised in a network), but does not include any service which falls within paragraphs (a) to (d) of subsection (1) above;
“services for the carriage of passengers by railway” includes services for and in connection with the carriage of luggage, parcels or mail on trains which at the time are available, and primarily intended, for use by passengers; and references to carrying, or to the carriage of, passengers by railway shall be construed accordingly;
“station services” means any service which consists of, or is comprised in, the provision or operation of a station;

and, for the purposes of the above definitions of “network services" and “station services", where a person permits another to use any land or other property comprised in a network or station he shall be regarded as providing a service which falls within the meaning of “network services" or “station services", as the case may be.

3

Without prejudice to the generality of the definition in subsection (2) above, “network services” includes services of any of the following descriptions, that is to say—

a

the construction, maintenance, re-alignment, re-configuration or renewal of track,

b

the installation, operation, maintenance or renewal of a railway signalling system or of any other railway communication equipment,

c

the construction, control, maintenance or renewal of electrical conductor rails or overhead lines, of any supports for such rails or lines, and of any electrical substations or power connections used or to be used in connection therewith, and the provision of electrical power by means thereof,

d

the provision and operation of services for the recovery or repair of locomotives or other rolling stock in connection with any accident, malfunction or mechanical or electrical failure,

e

the provision and operation of services for keeping track free from, or serviceable notwithstanding, obstruction (whether by snow, ice, water, fallen leaves or any other natural or artificial obstacle or hindrance) or for removing any such obstruction,

f

the provision, operation, maintenance and renewal of any plant, equipment or machinery used in carrying on any of the activities specified in paragraphs (a) to (e) above,

g

the exercise of day to day control over train movements over or along any track comprised in the network,

h

the preparation of a timetable for the purposes of such control as is referred to in paragraph (g) above,

and it is immaterial for the purposes of this subsection and that subsection whether or not the person who provides the service in question also provides or operates a network, or any of the track or other installations comprised in a network, or provides the service on behalf of a person who does so.

4

In determining whether any service is a station service, it is immaterial whether or not the person who provides the service also provides or operates a station, or any part of a station, or provides the service on behalf of a person who does so.

5

In this section, “maintenance” includes the detection and rectification of any faults.

6

“Railway” has its wider meaning in the application of this section in relation to any provision of this Part for the purposes of which “railway” has that meaning.

I783 Interpretation of Part I.

1

In this Part, unless the context otherwise requires—

“the 1973 Act” means the M31Fair Trading Act 1973;
“the 1980 Act” means the M32Competition Act 1980;
“access agreement” means—
1. a
  an access contract F245which satisfies one of the conditions in paragraphs (a) to (c) of section 18(1) above; or
2. b
  an installation access contract F246which satisfies one of the conditions in paragraphs (a) to (c) of section 19(3) above;
“access contract” has the meaning given by section 17(6) above;
“access option” shall be construed in accordance with section 17(6) above;
“additional railway asset” has the meaning given by section 29(8) above;
“ancillary service” means any service which is necessary or expedient for giving full effect to any permission or right which a person may have to use any track, station or light maintenance depot;

F247“appropriate authority” has the meaning given by section 55(10) above;
F297“bus substitution service” has the meaning given by section 45(2)(b) above;
F248. . .
“closure” shall be construed in accordance with section 37(1), 38(1), 39(1), 40(1), 41(1) or 42(1) above, as the case may be, and “proposed closure” shall be construed accordingly;
“closure conditions” has the meaning given by section 45 above;
“closure consent” means any decision required by section 43 F298. . . above before a proposed closure may take effect;
F248. . .
F249. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
“exempt facility” shall be construed in accordance with section 20(13) above;
“experimental passenger service” has the meaning given by section 48(6) above;
“facility exemption” has the meaning given by section 20(13) above;
“facility owner” has the meaning given by section 17(6) above;
“final order” and “provisional order” have the meaning given by section 55(10) above;
“franchise agreement” has the meaning given by section 23(3) above;
“franchise assets” has the meaning given by section 27(11) above;
“franchise exemption” has the meaning given by section 24(13) above;
“franchise operator” has the meaning given by section 23(3) above;
“franchise period” has the meaning given by section 23(3) above;
“franchise term” has the meaning given by section 23(3) above;
“franchised services” has the meaning given by section 23(3) above;
“franchisee” has the meaning given by section 23(3) above;
“goods” includes mail, parcels, animals, plants and any other creature, substance or thing capable of being transported, but does not include passengers;
“information” includes accounts, estimates, records and returns;
“installation access contract” has the meaning given by section 19(9) above;
“installation owner” has the meaning given by section 19(9) above;
F250'international licence’ has the meaning given by section 6(2) above;
“licence” means a licence under section 8 above and “licence holder” shall be construed accordingly;
“licence exemption” has the meaning given by section 7(13) above;
“light maintenance” (without more) means—
1. a
  the refuelling, or the cleaning of the exterior, of locomotives or other rolling stock; or
2. b
  the carrying out to locomotives or other rolling stock of maintenance work of a kind which is normally carried out at regular intervals of twelve months or less to prepare the locomotives or other rolling stock for service;
and, for the purposes of paragraph (b) above, “maintenance work” includes the detection and rectification of any faults;
“light maintenance depot” means any land or other property which is normally used for or in connection with the provision of light maintenance services, whether or not it is also used for other purposes;
“light maintenance depot licence” means a licence authorising a person—
1. a
  to be the operator of a light maintenance depot; and
2. b
  to be the operator of a train being used on a network for a purpose preparatory or incidental to, or consequential on, the provision of light maintenance services;
“light maintenance services” has the meaning given by section 82 above;
“locomotive” means any railway vehicle which has the capacity for self-propulsion (whether or not the power by which it operates is derived from a source external to the vehicle);
“network” means—
1. a
  any railway line, or combination of two or more railway lines, and
2. b
  any installations associated with any of the track comprised in that line or those lines,
together constituting a system of track and other installations which is used for and in connection with the support, guidance and operation of trains;
“network licence” means a licence authorising a person—
1. a
  to be the operator of a network;
2. b
  to be the operator of a train being used on a network for any purpose comprised in the operation of that network; and
3. c
  to be the operator of a train being used on a network for a purpose preparatory or incidental to, or consequential on, using a train as mentioned in paragraph (b) above;
“network services” has the meaning given by section 82 above;
“notice period” has the meaning given by section 48(13) above;
F251“the OFT” means the Office of Fair Trading;
“operator”, in relation to a railway asset, has the meaning given by section 6(2) above;
“passenger licence” means a licence authorising a person—
1. a
  to be the operator of a train being used on a network for the purpose of carrying passengers by railway; and
2. b
  to be the operator of a train being used on a network for a purpose preparatory or incidental to, or consequential on, using a train as mentioned in paragraph (a) above;
“passenger service operator” means a person who provides services for the carriage of passengers by railway;
“premises” includes any land, building or structure;
“prescribed” means prescribed by regulations made by the Secretary of State;
“private sector operator” means any body or person other than a public sector operator;
“protected railway company” has the meaning given by section 59(6)(a) above;
“public sector operator” has the meaning given by section 25 above;
“railway” shall be construed in accordance with section 81 above;
“railway asset” has the meaning given by section 6(2) above;
“railway facility” means any track, station or light maintenance depot;
“railway passenger service” means any service for the carriage of passengers by railway;
“railway services” has the meaning given by section 82 above;
“railway vehicle” includes anything which, whether or not it is constructed or adapted to carry any person or load, is constructed or adapted to run on flanged wheels over or along track;
“records” includes computer records and any other records kept otherwise than in a document;
“relevant activities”, in relation to a protected railway company, has the meaning given by section 59(6)(b) above;
“relevant condition or requirement” has the meaning given by section 55(10) above;
“relevant operator” has the meaning given by section 55(10) above;
“rolling stock” means any carriage, wagon or other vehicle used on track and includes a locomotive;
“station” means any land or other property which consists of premises used as, or for the purposes of, or otherwise in connection with, a railway passenger station or railway passenger terminal (including any approaches, forecourt, cycle store or car park), whether or not the land or other property is, or the premises are, also used for other purposes;
“station licence” means a licence authorising a person to be the operator of a station;
“station services” has the meaning given by section 82 above;
F252“through ticket” means—
1. a
  a ticket which is valid for a journey which involves use of the services of more than one passenger service operator; or
2. b
  a combination of two or more tickets issued at the same time which are between them valid for such a journey;
and “through ticketing” shall be construed accordingly;
“track” means any land or other property comprising the permanent way of any railway, taken together with the ballast, sleepers and metals laid thereon, whether or not the land or other property is also used for other purposes; and any reference to track includes a reference to—
1. a
  any level crossings, bridges, viaducts, tunnels, culverts, retaining walls, or other structures used or to be used for the support of, or otherwise in connection with, track; and
2. b
  any walls, fences or other structures bounding the railway or bounding any adjacent or adjoining property;
“train” means—
1. a
  two or more items of rolling stock coupled together, at least one of which is a locomotive; or
2. b
  a locomotive not coupled to any other rolling stock;
“vehicle” includes railway vehicle.

F2531A

In sections 17 to 22C above (and Schedule 4 to this Act) references to a railway facility (including references to any track, station or light maintenance depot) or a network include references to a railway facility (or any track, station or light maintenance depot) or a network which is proposed to be constructed or is in the course of construction.

2

For the purposes of this Part, a person shall be regarded as providing or operating services for the carriage of goods by railway notwithstanding that he provides or operates the services solely for the carriage of his own goods or otherwise for his own benefit.

F2993

For the purposes of this Part, references to a condition of a licence or licence exemption which relates, or does not relate, to consumer protection shall be construed in accordance with section 7A above.

I8C33C34Part I The Provision of Railway Services

Introductory

1 The Rail Regulator F254. . ..

1

a

F255b

2

3

4

F2585

6

2F1Passengers’ Committees.

F2651

2

3

4

a

b

c

5

a

b

6

a

b

F2706A

a

b

7

8

9

3F272Rail Passengers’ Council.

1

F2732

3

a

b

c

4

5

I14 General duties of the Secretary of State and the Regulator.

1

F261za

a

b

F3ba

bb

c

d

e

f

g

2

a

i

ii

b

i

ii

3

a

b

F83A

a

b

4

5

F9a

b

c

F11d

6

7

F2637ZA

a

b

F127A

7B

8

9

I8 C33 C34Part I The Provision of Railway Services