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

http://www.legislation.gov.uk/ukpga/1993/43/part/I/2009-12-17

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

Expert Participation

2009-12-17

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 C68 C69 Part 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)

C68

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

C69

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. . ..

F1. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

2F2Passengers’ Committees.

F3. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

3. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F4. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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

C1 C701

F5the Office of Rail RegulationF6shall have a duty to exercise the functions assigned or transferred to F7it under or by virtue of this Part F8or the Railways Act 2005 that are not safety functions in the manner which F7it considers best calculated—

F9zb

to promote improvements in railway service performance;

a

otherwise 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 F7 it considers economically practicable;

F10ba

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 F11for 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 F12its functions under this Part F13or the Railways Act 2005 that are not safety functions;

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, F5the Office of Rail RegulationF14shall have a duty, in particular, to exercise the functions assigned or transferred to F7it under or by virtue of this Part F8or the Railways Act 2005 that are not safety functions in the manner which F7it 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

c

any matter not falling within paragraph (a) or (b) but falling within subsection (5D),

the Office of Rail Regulation must have regard, in particular, to the interests, in securing value for money, of the persons mentioned in paragraphs (a) and (b) above, of the persons who make available the resources and other funds mentioned in that subsection and of the general public.

5D

A matter falls within this subsection if the Office of Rail Regulation has been informed that—

a

public financial resources (within the meaning of paragraph 1D of Schedule 4A to this Act), or

b

funds that do not comprise such resources but are provided in whole or in part by Transport for London, the National Assembly for Wales, a Passenger Transport Executive or any other body in receipt of such resources,

are or are likely to become available to be applied for purposes connected with that matter.

6

In performing F12its duty under subsection (1)(a) above so far as relating to services for the carriage of passengers by railway or to station services, F5the Office of Rail Regulation shall have regard, in particular, to the interests of persons who are disabled.

7

Without prejudice to the generality of paragraph (e) of subsection (1) above, any arrangements for the issue and use of through tickets shall be regarded as a measure falling within that paragraph.

F337ZA

Where any general guidance is given to the Office of Rail Regulation for the purposes of subsection (5)(a) or (aa) or (5B)—

a

it may be varied or revoked by the person giving it at any time; and

b

the guidance, and any variation or revocation of the guidance, must be published by that person in such manner as he considers appropriate.

F347A

Subsections (1) to (6) above do not apply in relation to anything done by F5the Office of Rail Regulation in the exercise of functions assigned to F7it by section 67(3) below (“Competition Act functions”).

7B

F5the Office of Rail Regulation may nevertheless, when exercising any Competition Act function, have regard to any matter in respect of which a duty is imposed by any of subsections (1) to (6) above, if it is a matter to which F35the Office of Fair Trading could have regard when exercising that function.

8

F36. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

9

In this section—

F37“ 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);
F38“notified strategies and policies”, in relation to the National Assembly for Wales, means the strategies and policies of that Assembly that have been notified by that Assembly for the purposes of this section to the Office of Rail Regulation;
“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;
F39“railway service performance” includes, in particular, performance in securing each of the following in relation to railway services—
1. a
  reliability (including punctuality);
2. b
  the avoidance or mitigation of passenger overcrowding; and
3. c
  that journey times are as short as possible;
“safety functions” means functions assigned or transferred to the Office of Rail Regulation—
1. a
  under this Part,
2. b
  under or by virtue of the Railways Act 2005, or
3. c
  under or by virtue of the Health and Safety at Work etc. Act 1974,
so far as they are being exercised for the railway safety purposes (within the meaning of Schedule 3 to the Railways Act 2005) or for purposes connected with those purposes.
F40. . .

F415. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Licensing of operators of railway assets

I26 Prohibition on unauthorised operators of railway assets.

C2 C711

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.

F421A

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 F43services for which a European licence is required

2

In this Part—

F44 “European licence” means a licence granted pursuant to a provision contained in any instrument made for the purpose of implementing Council Directive 1995/18/EC dated 19th June 1995 on the licensing of railway undertakings, as amended by Directive 2001/13/EC dated 26th February 2001 and Directive 2004/49/EC dated 29th April 2004, both of the European Parliament and of the Council, or pursuant to any action taken by an EEA State for that purpose;
F45. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
“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.

F462A

In subsection (2) above, “EEA State” means a member State, Norway, Iceland or Liechtenstein.

3

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

if and to the extent that F50it grants F51the exemption , may do so subject to compliance with such conditions (if any) as F50it may so specify.

4

Before granting a licence exemption under subsection (3) above, F48the Office of Rail Regulation shall give notice—

a

stating that F50it proposes to grant the licence exemption,

b

stating the reasons why F50it 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 F48the Office of Rail Regulation considers appropriate for bringing it to the attention of persons likely to be affected by the grant of the licence exemption.

F525A

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

F48the Office of Rail Regulation, 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.

F526A

7

For the purposes of F53this 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 F48the Office of Rail Regulation gives a direction under subsection (6) above to any person, he F54or it 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.

F528A

9

Subject to F55subsection (6) 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.

F5610

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

11

Any application for a licence exemption under subsection (3) above must be made in writing; and where any such application is made, F48the Office of Rail Regulation may require the applicant to furnish him with such information as F48the Office of Rail Regulation may consider necessary to enable F50it 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.

7A Consumer protection conditions.

F57. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

C48 Licences.

1

Subject to the following provisions of this section—

a

the Secretary of State after consultation with F58the Office of Rail RegulationF59. . . , or

b

5

A notice under subsection (4) above shall be given by publishing the notice in such manner as the Secretary of State or F58the Office of Rail Regulation 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 F64unless F58the Office of Rail RegulationF65consents 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 F58the Office of Rail RegulationF66. . . ; 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 F71the Office of Rail Regulation such documents or other information as he F72or it may require for the purpose of exercising the functions assigned or transferred to him F72or it under or by virtue of this Part F73or Part 4 of the Railways Act 2005 .

F743A

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 F71the Office of Rail Regulation 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—

F75. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
“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.

1

A licence shall be capable of being assigned, but only if it includes a condition authorising assignment.

2

A licence shall not be capable of being assigned except with the consent of—

F76a

the Secretary of State, if he is specified for the purpose in the licence; or

b

F77the Office of Rail RegulationF78. . . , in any other case.

F793

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

4

Any consent under subsection (2) above may be given subject to compliance with such conditions as F80are imposed by the person F81. . . giving the consent, which may include conditions modifying, or requiring or otherwise providing for the making of modifications to, the conditions of the licence.

5

A licence may include conditions which must be complied with before the licence can be assigned.

6

An assignment, or purported assignment, of a licence shall be void—

a

if the licence is not capable of assignment;

b

if the assignment, or purported assignment, is in breach of a condition of the licence; or

c

if there has, before the assignment or purported assignment, been a contravention of a condition subject to compliance with which the consent required by subsection (2) above is given.

7

A licence shall not be capable of being assigned under or by virtue of any other provision of this Act, other than paragraph 4 of Schedule 7 to this Act.

8

In this section “assignment” includes any form of transfer and cognate expressions shall be construed accordingly.

9

Any reference in this section to “assignment” shall be construed in Scotland as a reference to assignation.

Modification of licences

12 Modification by agreement.

1

Subject to the following provisions of this section, F82the Office of Rail Regulation may modify the conditions of a licence if the holder of the licence consents to the modifications.

1A

F83. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

1B

F83. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

1C

F83. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

2

Before making modifications F84under this section , F82the Office of Rail Regulation shall give notice—

a

stating that F85it proposes to make the modifications and setting out their effect,

b

stating the reasons why F85it 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 F86, before making the modifications, consider any representations or objections which are duly made and not withdrawn.

3

A notice under subsection F87. . . (2) above shall be given—

a

by publishing the notice in such manner as F88 F89. . . the Regulator, considers appropriate for the purpose of bringing the notice 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.

4

F90. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

C513 Modification references to the Monopolies Commission.

1

F91the Office of Rail Regulation may make to the Monopolies and Mergers Commission (in this Act referred to as the F92Competition Commission) a reference which is so framed as to require the Commission to investigate and report on the questions—

a

whether any matters which—

C6i

relate to the provision of any railway services by means of a railway asset, or railway assets of a class or description, whose operator acts as such by virtue of a licence, and

ii

i

is requested by the Commission for that purpose; or

ii

is information which, in F96the opinion of F91the Office of Rail Regulation, 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 F96the power of F91the Office of Rail Regulation to give, in relation to any such matters;

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 F92 Competition Commission shall have regard to the matters as respects which duties are imposed on F97. . . F98the Office of Rail Regulation by section 4 above.

8

F99. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

8A

F99. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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.

C713AF100 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 F101the Office of Rail Regulation under subsection (3) below.

3

F101the Office of Rail Regulation 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

F101the Office of Rail Regulation 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 F116it 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.

F1213A

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

4

A notice under subsection (3) F122. . . above shall be given—

a

by publishing the notice in such manner as F115the Office of Rail Regulation, F122. . . 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.

F1234A

Where (after considering any representations or objections which are duly made and not withdrawn) F115the Office of Rail RegulationF119. . . proposes to make or require the making of modifications under this section, F124. . . it shall give notice to the Competition Commission—

a

setting out the modifications F116it proposes to make or F125. . . require to be made; and

b

stating the reasons why F116it proposes to make the modifications or F125. . . require the making of them.

4B

F115the Office of Rail RegulationF119. . . 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, F115the Office of Rail RegulationF119. . . 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, F115the Office of Rail RegulationF119. . . shall make, or require the making of, such of those modifications as are not specified in the direction.

F1265

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

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.

F130 C1315B 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 F131the Office of Rail Regulation , F132. . . , under section 15(4D) above.

C142

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 F131the Office of Rail Regulation 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 F131the Office of Rail Regulation , ~~F133the 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, F136the Office of Rail RegulationF138. . . shall F138. . . give to the Competition Commission any information in F139. . . 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 F139. . . 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 F139. . . 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.

C1616 Modification by order under other enactments.

F1401

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—

C17a

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 F141relevant authority shall send a copy of those modifications to F142the Office of Rail Regulation, ~~F143the Authority and 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.

F1445

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.

F179 Directions to provide, improve or develop railway facilities

Annotations:

Amendments (Textual)

F179

in relation to facilities in Scotland, means the Scottish Ministers; and

b

in relation to any other facilities, means the Secretary of State.

F15016B Exemption of railway facilities from section 16A.

the applicant,

b

the other person, and

c

the F161appropriate facilities authority (if it is neither the applicant nor the other person),

consent to the substitution.

6

notify F168its intention to give a direction to the applicant, the F169appropriate facilities 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, F166the Office of Rail Regulation shall not give it.

4

Whatever F166the Office of Rail Regulation’s decision on an application F167it shall notify the decision to—

a

the person specified in the application;

b

the applicant; and

c

any other persons who F167it considers ought to be notified.

5

F166the 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 F167it considers appropriate in respect of costs incurred in connection with the application.

F17016G 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 F171the 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 F172appropriate facilities authority if F171the 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

F171the 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 F172appropriate facilities authority on condition that he or it secures that any such compensation as F171the 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.

F17316H Code of practice.

1

F174the 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 F175it considers appropriate.

2

F174the Office of Rail Regulation shall have regard to the code of practice in the exercise of F176its 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 F185the Secretary of State 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 F185the Secretary of State ;

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 F186Authority.

4

Any reference in this section to a person operating a network, station or light maintenance depot "on behalf of the F187Secretary of State is a reference to his operating the network, station or light maintenance depot in pursuance of any agreement or other arrangements made by the F188Secretary of State or the Scottish Ministers for the purpose of performing a duty imposed upon F189him or them , or exercising a power conferred upon F189him or them , under or by virtue of this Part F190or Part 4 of the Railways Act 2005 (network modifications etc.) to secure the operation of that network, station or light maintenance depot.

5

Nothing in this section authorises F180the Office of Rail Regulation 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;
F191but 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;
F192. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F192. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F192. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
“lease” includes an underlease or sublease and an agreement for a lease, underlease or sublease.

F1937A

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.

F19411

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

C2018 Access agreements: contracts requiring the approval of the Regulator.

C211

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; F195. . .

b

F196the Office of Rail Regulation has approved the terms of the access contract and the facility owner enters into the contract pursuant to directions under this section; F197or

c

the access contract is of a class or description specified in a general approval given by F196the Office of Rail Regulation ;

and any access contract to which this section applies F198shall 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; F199. . .

b

F199. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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 F200the Secretary of State 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 F200the Secretary of State ;

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 F200the Secretary of State .

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 F196the Office of Rail Regulation for approval of its terms.

6

If, on the submission of a proposed access contract pursuant to subsection (5) above, F196the Office of Rail Regulation approves its terms, F201it 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 F196the Office of Rail Regulation shall send a copy of the directions to the other party.

F2026A

The grounds on which F196the Office of Rail Regulation may reject, or approve subject to modifications, a proposed access contract submitted to F201it pursuant to subsection (5) above include that F201it 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 F200the Secretary of State pursuant to F203his duty under section 30 below.

7

If, on the submission of a proposed access contract pursuant to subsection (5) above, F196the Office of Rail Regulation does not consider it appropriate to approve its terms without modification (or to reject it), F201it 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 F196the Office of Rail Regulation 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 F196the Office of Rail Regulation shall send a copy of the directions to the other party.

F2047A

Where F196the Office of Rail Regulation gives or revokes a general approval under subsection (1)(c) above, F201it 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”,F205. . . 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),

F206aa

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.

F20711

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

19 Access agreements: contracts for the use, on behalf of F208the Secretary of State, of installations comprised in a network.

C221

F209the Office of Rail Regulation 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 F208the Secretary of State, 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; F210. . .

b

F209the Office of Rail Regulation 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; F211or

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;
F216but 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 F217and 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.

F21813

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

19AF219 Review of access charges by Regulator.

Schedule 4A to this Act (which contains provision about the review of access charges by F220the Office of Rail Regulation ) shall have effect.

C2320 Exemption of railway facilities from sections 17 F221, 18 and 22A.

1

The Secretary of State may, after consultation with F222the Office of Rail Regulation , by order grant exemption from sections 17 and 18 above F223and 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;

F224. . .

3

If a facility owner makes an application under this subsection to F222the Office of Rail Regulation for the grant of an exemption from sections 17 and 18 above F223and section 22A below in respect of the whole or any part of his railway facility, F222the Office of Rail Regulation , after consultation with the Secretary of State—

a

may either grant or refuse the exemption, whether wholly or to such extent as F225it may specify in the exemption; and

b

if and to the extent that F225it grants F226the exemption , may do so subject to compliance with such conditions (if any) as F225it may so specify.

4

Before granting a facility exemption under subsection (3) above, F222the Office of Rail Regulation shall give notice—

a

stating that F225it proposes to grant the facility exemption,

b

stating the reasons why F225it proposes to grant the facility 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 facility 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 F222the Office of Rail Regulation considers appropriate for bringing it to the attention of persons likely to be affected by the grant of the facility exemption.

6

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

a

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

b

F222the Office of Rail Regulation, 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.

F2279

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

10

Any application for a facility exemption under subsection (3) above must be made in writing; and where any such application is made, F222the Office of Rail Regulation may require the applicant to furnish F225it with such information as F222the Office of Rail Regulation may consider necessary to enable F225it 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.

F22812

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

13

In this Part “facility exemption” means an exemption from sections 17 and 18 above F223and 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

F229the Office of Rail Regulation 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

F229the Office of Rail Regulation 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, F229the Office of Rail Regulation may consult such persons as F230it thinks fit.

5

F229the Office of Rail Regulation shall encourage, and may require, the use of any F231of its model clauses F232. . . in access contracts wherever F230it 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 F233the Office of Rail RegulationF234or is made pursuant to directions under section 22A or 22C below or Schedule 4A to this Act..

2

F233the Office of Rail Regulation may, for the purposes of subsection (1) above, give the parties to any particular access agreement F235its 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

F233the Office of Rail Regulationmay, for the purposes of subsection (1) above, give F235its 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 F233the Office of Rail Regulation gives or revokes a general approval under subsection (3) above, F236it shall publish the approval or revocation (as the case may be) in such manner as F236it 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 F241the Office of Rail Regulation 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

F243 “lease” hasthe same meaning as in section 17 above; and

b

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

F24422B 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.

F24522C Amendment: supplementary.

C241

F246the Office of Rail Regulation may give directions requiring the parties to an access agreement to make to the access agreement amendments which are, in F247its opinion, necessary to give effect to the conditions of a licence or otherwise required in consequence of the conditions of a licence.

2

F246the Office of Rail Regulation 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 F246the Office of Rail Regulation ,

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.

C251

It shall be the duty of the F248appropriate designating authority from time to time to designate F249such 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 F248appropriate designating authority may perform F250its duty under subsection (1) above by designating particular services or services of a class or description.

F2512ZA

Where the Scottish Ministers designate Scotland-only services, they may also designate cross-border services which—

a

they consider should be provided under the same franchise agreement as particular Scotland-only services or a particular class of them; and

b

are not exempt from designation under subsection (1) by virtue of section 24.

2ZB

Nothing in this section requires the Secretary of State to designate a cross-border service already designated by the Scottish Ministers.

2ZC

Before the Secretary of State or the Scottish Ministers designate a cross-border service he or they must consult the other.

F2522A

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

F253. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

3

In this Part—

F254“the appropriate designating authority”—
1. a
  in relation to Scotland-only services, means the Scottish Ministers; and
2. b
  in relation to all other services, means the Secretary of State;
“the appropriate franchising authority”—
1. a
  in relation to a Scottish franchise agreement, means the Scottish Ministers; and
2. b
  in relation to any other franchise agreement, means the Secretary of State;
“franchise agreement” means an agreement F255with the Secretary of State, with the Scottish Ministers or with the Secretary of State and the National Assembly for Wales jointly,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 F256appropriate designating authority 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 F256appropriate designating authority 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 F256appropriate designating authority 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 F256appropriate designating authority , after consultation with F257the Office of Rail RegulationF258. . . —

a

may either grant or refuse the exemption, whether wholly or to such extent as F259the appropriate designating authority may specify in the exemption; and

b

if and to the extent that F259the appropriate designating authority grants it, may do so subject to compliance with such conditions (if any) as F259the appropriate designating authority may so specify.

F2603A

Before granting a franchise exemption in respect of a cross-border service, the Secretary of State must consult the Scottish Ministers.

4

Before granting a franchise exemption under subsection (3) above, the F256appropriate designating authority shall give notice—

a

stating that F261it proposes to grant the franchise exemption,

b

stating the reasons why F261it 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 F256appropriate designating authority 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 F262granted by the appropriate designating authority is not complied with, it 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 F256appropriate designating authority may require the applicant to furnish F263it with such information as the F256appropriate designating authority may consider necessary to enable F263it 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.

F26412A

A statutory instrument containing an order under this section by the Scottish Ministers is subject to annulment in pursuance of a resolution of the Scottish Parliament.

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.

I4 C7225 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;

F265bb

the Greater London Authority;

F266bc

Transport for London;

c

any ~~F600metropolitan county passenger transport authority~~F600Integrated Transport Authority for an integrated transport area in England ;

F604ca

any combined authority established under section 103 of the Local Democracy, Economic Development and Construction Act 2009;

d

any body corporate whose members are appointed by a Minister of the Crown, a Government department, a local authority F267, the Greater London Authority, Transport for London or ~~F606a metropolitan county passenger transport authority~~F605, an Integrated Transport Authority for an integrated transport area in England or a combined 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.

F6012

Expressions used in sub-paragraphs (i) to (iv) of subsection (1)(e) that are defined for the purposes of the Companies Acts (see section 1174 of, and Schedule 8 to, the Companies Act 2006) have the same meaning in those sub-paragraphs.

F2683

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

F2684

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

F2685

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

F2686

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

F2687

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

F2688

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

F2689

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

1

This section applies in the case of an invitation to tender under section 26 for the provision of services if—

a

the appropriate franchising authority receives no tender in response to the invitation; or

b

it receives a tender but considers that the services would be provided more economically and efficiently if they were provided otherwise than under a franchise agreement entered into in response to the tender.

2

The appropriate franchising authority may —

a

issue a new invitation to tender under section 26 for the provision of the services;

b

decide to secure the provision of the services under a franchise agreement with a person who did not submit a tender; or

c

decide not to seek to secure the provision of the services under a franchise agreement.

3

Nothing in this section prevents the appropriate franchising authority, where it has decided not to seek to secure the provision of services under a franchise agreement, from subsequently making a decision to issue a new invitation to tender for the provision of those services.

F27626B No adequate tenders for franchise.

1

The Authority shall give notice under subsection (2) below if—

a

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

b

although it has received a tender or tenders in response to the invitation, it considers that the services would be provided more economically and efficiently than under a franchise agreement entered into pursuant to the tender or any of the tenders if the Authority provided them or secured their provision otherwise than under a franchise agreement.

2

The notice shall be given to—

a

the Secretary of State; and

b

the person, or each of the persons, who submitted a tender.

3

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 F278appropriate franchising authority 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 F280a scheme under F281section 12 of the Railways Act 2005at 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 F278appropriate franchising authority may undertake in a franchise agreement to exercise F282its powers under F281section 12 of the Railways Act 2005 to transfer franchise assets to F282itself 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 F287, in relation to a franchise agreement, 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 F288appropriate franchising authority .

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.

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

F2917

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

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.

F29230 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 M3Landlord and Tenant Act 1954 (security of tenure of business premises) nor the M4Tenancy 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 M5Landlord and Tenant Act 1954 or, in Scotland, as it has in the M6Tenancy of Shops (Scotland) Act 1949.

Passenger Transport Authorities and Executives

F29332. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F29433. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

34 Passenger Transport Authorities and Executives: franchising.

F295. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .C26 C27

35 Termination and variation of section 20(2) agreements by the F296Authority.

F297. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .C28

36 Miscellaneous amendments of the Transport Act 1968.

1

In section 10 of the M7Transport 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 M8Companies 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

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

F298. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

38 Proposals to discontinue franchised etc. passenger services.

F299. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

39 Notification of proposals to close operational passenger networks.

F300. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

40 Proposals to close passenger networks operated on behalf of theAuthority.

F301. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

41 Notification of proposals to close railway facilities used in connection with passenger services.

F302. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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

F303. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

43 Notification to, and functions of, theSecretary of State and the relevantRail Passengers Committees.

F304. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

44. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F305. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

45 Closure conditions: general.

F306. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

46 Variation of closure conditions.

F307. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

46A General determinations of minor closures.

F308. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

46B Notification of minor closures to Regulator.

F309. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

47 Withdrawal of bus substitution service.

F310. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

47A Objections to withdrawal of bus substitution service.

F311. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

47B Revocation or variation of bus substitution conditions.

F312. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

48 Experimental railway passenger services.

F313. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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

F314. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

C2950 Exclusion of liability for breach of statutory duty.

1

The obligations of the F315Secretary of State and of the Scottish Ministers, so far as imposed by or under any provision of this Part—

a

F316. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F317b

. . .

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

F316. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Supplementary powers of the Franchising Director etc.

F31851. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F31952. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F32053. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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

1

The F321Secretary of State or the Scottish Ministers—

a

in exercising or deciding whether or not to exercise any of F322his or their 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.

F3232

The Secretary of State and the Scottish Ministers shall each have power to enter into agreements under which an undertaking is given by him or them—

a

to exercise his or their franchising functions;

b

to refrain from exercising them; or

c

to exercise them in a particular manner.

3

In this section—

“franchising functions”, in relation to the F324Secretary of State or the Scottish Ministers, means—
1. a
  any F325of the functions of the Secretary of State or of the Scottish Ministers under sections 17 to 19, 23, 24, 26 to F32631F327. . . above;
2. b
  any power conferred on the F324Secretary of State or the Scottish Ministers under or by virtue of F328section 1(2) of the Railways Act 2005 ; and
3. c
  any other functions of the F324Secretary of State or the Scottish Ministers which relate to the provision of railway passenger services, or the operation of additional railway assets, under or by virtue of franchise agreements;
~~F329 “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 F405Authority

Annotations:

Amendments (Textual)

F405

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))

C3055 Orders for securing compliance.

1

Subject to subsections (2) to F330(5C) and section 56 below, where the appropriate F331authority is satisfied that a relevant operator is contravening, or is likely to contravene, any relevant condition or requirement, F331it 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 F332subsections (5) toF330(5C) below, where it appears to the appropriate F331authority—

a

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

b

that it is requisite that a provisional order be made,

F331it shall (instead of taking steps towards the making of a final order) by a provisional order make such provision as appears to F331it requisite for the purpose of securing compliance with that condition or requirement.

3

In determining for the purposes of subsection (2)(b) above whether it is requisite that a provisional order be made, the appropriate F331authority shall have regard, in particular, to the extent to which any person is likely to sustain loss or damage in consequence of anything which, in contravention of the relevant condition or requirement, is likely to be done, or omitted to be done, before a final order may be made.

4

Subject to F332subsections (5) toF330(5C) and section 56 below, the appropriate F331authority shall confirm a provisional order, with or without modifications, if—

a

F331it is satisfied that the relevant operator to whom the order relates is contravening, or is likely to contravene, any relevant condition or requirement; and

b

the provision made by the order (with any modifications) is requisite for the purpose of securing compliance with that condition or requirement.

5

The appropriate F331authority shall not make a final order, or make or confirm a provisional order, in relation to a relevant operator if F331it is satisfied—

C31a

that the duties imposed on F331it by section 4 F333above F334. . . preclude the making or, as the case may be, the confirmation of the order;

F335b

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

F335c

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

F3365ZA

F337Neither the Secretary of State nor the Scottish Ministers shall make a final order, or make or confirm a provisional order, in relation to a licence holder or person under closure restrictions unless—

a

F338the Secretary of State has or (as the case may be) those Ministers havegiven notice to F339the Office of Rail Regulation specifying a period within which F340it may give notice to F341him or them if F340it considers that the most appropriate way of proceeding is under the M9Competition Act 1998;

b

that period has expired; and

c

F339the Office of Rail Regulation has not given notice to F342the Secretary of State or (as the case may be) the Scottish Ministerswithin that period that F340it so considers (or, if F340it has, F340it has withdrawn it).

F3435A

F339the Office of Rail Regulationshall not make a final order, or make or confirm a provisional order, F344. . . if F331it is satisfied that the most appropriate way of proceeding is under the Competition Act 1998.

F3455B

If the appropriate authority is satisfied—

a

that the relevant operator has agreed to take, and is taking, all such steps as it appears to the appropriate authority for the time being to be appropriate for the relevant operator to take for the purpose of securing or facilitating compliance with the condition or requirement in question, or

b

a

in the case of an order made by the Scottish Ministers, to them, and

b

in any other case, to the Secretary of State,

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 M10Judgments Act 1838.

9

Without prejudice to F350section 44 of the Railways Act 2005 (exclusion of liability for breach of statutory duty) , 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 F351authority” means—
1. a
  in relation to any relevant condition or requirement in the case of a licence holder, F352. . . , F353. . . F339the Office of Rail Regulation ;
2. aa
  F354in relation to any relevant condition or requirement in the case of—
  1. i
    a franchisee under a Scottish franchise agreement,
  2. ii
    a franchise operator in relation to such an agreement, or
  3. iii
    a person under Scottish closure restrictions,
  the Scottish Ministers; and
3. b
  in relation to any relevant condition or requirement in the case of—
  1. i
    a franchisee not falling within paragraph (aa)(i),
  2. ii
    a franchise operator not falling within paragraph (aa)(ii), or
  3. iii
    a person under closure restrictions that are not Scottish closure restrictions,
  the Secretary of State;
“final order” means an order under this section, other than a provisional order F355or an order under subsection (7B);
“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
  F356in the case of a person under closure restrictions, any duty mentioned in subsection (11) to which he is subject;
F357“relevant operator” means—
1. a
  a licence holder;
2. b
  a franchisee;
3. c
  a franchise operator who is a party to the franchise agreement;
4. d
  a person under closure restrictions.

11

In F358subsections F359(5ZA)and (10)above, “person under closure restrictions” means a personF360 who is under—

a

a duty under section 22(8), 26(8), 29(8) or 37(2) of the Railways Act 2005 not to discontinue a railway passenger service or an experimental passenger service or not to discontinue the operation or use of a network or station, or part of a network or station;

b

iii

the other facts which, in F366its opinion, justify the making or confirmation of the order, and

c

a

stating that F364it proposes to revoke the order and setting out the effect of its revocation, and

b

specifying the period (not being less than F37221 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 F365authority decides not to revoke the order to which the notice relates, F364it shall give notice of F366its 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.

C3357 Validity and effect of F373section 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

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

F381Neither the Secretary of State nor the Scottish Ministers shall impose a penalty on a licence holder or person under closure restrictions unless—

a

F382the Secretary of State has or (as the case may be) those Ministers have given notice to F383the Office of Rail Regulation specifying a period within which F384it may give notice to F385him or them if F384it considers that the most appropriate way of proceeding is under the M11Competition Act 1998;

b

that period has expired; and

c

F383the Office of Rail Regulationhas not given notice to F386the Secretary of State or (as the case may be) the Scottish Ministers within that period that F384it so considers (or, if F384it has, F384it has withdrawn it).

6

F383the Office of Rail Regulation shall not impose a penalty if he is satisfied that the most appropriate way of proceeding is under the M12Competition 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.

F393 C3657C 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

c

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.

F396 C3757D 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.

F397 C3857E 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 M13Judgments 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.

F398 C3957F Validity and effect of penalties.

1

If the relevant operator to whom a F399penalty notice 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.

C4058 Power to require information etcF400for purposes of sections 55 and 57A.

1

Where it appears to the appropriate F401authority that a relevant operator F402may have contravened or be contravening—

a

a relevant condition or requirement, or

b

a final or provisional order made by the appropriate authority,

F414. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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 M18Insolvency 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.

C4462 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 F415appropriate national authority ; and

ii

F416. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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 F415appropriate national authority , F417. . .

b

F417. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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 M19Insolvency 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 M20Insolvency 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 F415appropriate national authority ; and

ii

F418. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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 M21Insolvency Act 1986 has been made in the case of a protected railway company—

a

the F415appropriate national authority , F419. . .

b

F419. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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 M22Insolvency 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 F415appropriate national authority ; F420. . .

b

F420. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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 M23Insolvency Act 1986;
“security” and “property” have the same meaning as in the M24Insolvency Act 1986.

C4563 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 F421other than a Scottish protected railway 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;

F422b

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 Secretary of State may, with the consent of the Treasury, guarantee,F423. . . 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 F424 where that company—

a

is a company in relation to which a railway administration order is in force at the time when the guarantee is given; and

b

4D

The consent of the Treasury is required for the giving of a direction under subsection (4A) and for the making of a determination under subsection (4B).

5

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

C4664 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.

64AF428Financial 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

interest to be paid on the loan at such rates and at such times,

as the Scottish Ministers may from time to time direct.

6

The power of the Scottish Ministers under this section to agree to indemnify a relevant person—

a

is confined to a power to agree to indemnify that person in respect of liabilities, loss and damage incurred or sustained by him as a relevant person; but

b

includes power to agree to indemnify persons (whether or not they are identified or identifiable at the time of the agreement) who subsequently become relevant persons.

7

A person is a relevant person for the purposes of this section if he is—

a

the railway administrator;

b

an employee of the railway administrator;

c

a member or employee of a firm of which the railway administrator is a member;

d

a member or employee of a firm of which the railway administrator is an employee;

e

a member of a firm of which the railway administrator was an employee or member at a time when the order was in force;

f

a body corporate which is the employer of the railway administrator; or

g

an officer, employee or member of such a body corporate.

8

In this section—

a

references to the railway administrator, in relation to a railway administration order, are references to the person appointed to achieve the purposes of the order and, where two or more persons are so appointed, are to be construed as references to any one or more of them; and

b

9

If sums are paid out by the Scottish Ministers in respect of an indemnity or guarantee under this section, the company in relation to which the indemnity or guarantee was given must pay them—

a

such amounts in or towards the repayment to them of those sums as they may direct; and

b

interest, at such rates as they may direct, on amounts outstanding under this subsection.

10

Payments to the Scottish Ministers under subsection (9) must be made at such times and in such manner as they may determine.

11

Subsection (9) does not apply in the case of a sum paid by the Scottish Ministers for indemnifying a person in respect of a liability to the company in relation to which the railway administration order in question was made.

C4765 Meaning of “company" and application of provisions to unregistered, foreign and other companies.

F6031

In the railway administration order provisions of this Act—

“company” means—
1. a
  a company registered under the Companies Act 2006, or
2. b
  an unregistered company; and
“unregistered company” means a company that is not registered under that 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 M25Insolvency 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

F429. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

2

F429. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F430 C483

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

F431. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F4326

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 F433the Office of Rail Regulation and the F434OFT, and functions of the Monopolies Commission.

1

F435. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F436 C49 C502

The functions to which subsection (2A) below applies shall be concurrent functions of F433the Office of Rail Regulation 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 F433the Office of Rail Regulation (except in sections 166 and 171 of that Act and in any other provision of that Act where the context otherwise requires).

F437F4383

F433the Office of Rail Regulation shall be entitled to exercise, concurrently with the OFT, the functions of the OFT under the provisions of Part 1 of the Competition Act 1998 (other than sections 31D(1) to (6), 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,

b

conduct of the kind mentioned in section 18(1) of that Act,

c

agreements, decisions or concerted practices of the kind mentioned in Article 81(1) of the treaty establishing the European Community, or

d

conduct which amounts to abuse of the kind mentioned in Article 82 of the treaty establishing the European Community,

which relate to the supply of services relating to railways.

F4393ZA

In F440subsections (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 F441the OFT are to be read as including a reference to F433the Office of Rail Regulation (F442except in sections 31D(1) to (6), 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).

C51 F4434

Before the OFT or F433the Office of Rail Regulation 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 F433the Office of Rail Regulation 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 F433the Office of Rail Regulation , for the purpose of assisting the F444Competition 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 F445its 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 F445its 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 F445its 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 F444Competition Commissionby F433the Office of Rail Regulation by virtue of subsection (2) F446or (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

F447. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

ii

a publicly owned railway company which supplies network services or station services.

7

A copy of any report of the F444 Competition CommissionF448under section 136 or 142 of the Enterprise Act 2002 which relates to F449the supply of services relating to railways may be transmitted by the Commission to F433the Office of Rail Regulation , notwithstanding that the reference F450. . . could not have been made by F433the Office of Rail Regulation .

8

If any question arises F451in any particular case as to the jurisdiction of F433the Office of Rail Regulation under any of the provisions mentioned in subsection F452(2A) or (3) above F453. . . . F454. ., that question shall be referred to and determined by the Secretary of State; and no objection shall be taken to anything done under—

a

F455Part 4 of the Enterprise Act 2002, or

F456b

Part I of the Competition Act 1998 (F457other than sections 31D(1) to (6), 38(1) to (6) and 51),

by or in relation to F433the Office of Rail Regulation on the ground that it should have been done by or in relation to F441the OFT.

F4589

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 F433the Office of Rail Regulation by virtue of subsection (2) above as if the references in section 117(1)(a) and (2) to the OFT included references to F433the Office of Rail Regulation .

10

F459. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Other functions of the Regulator

C5268 Investigatory functions.

1

Subject to subsection (2) below, it shall be the duty of F460the Office of Rail Regulation to investigate any alleged or apprehended contravention of—

a

a condition of a licence F461. . . , F462. . .

F463b

4

F471. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F47270. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

71 Publication of information and advice.

1

F473the Office of Rail Regulation may arrange for the publication, in such form and in such manner as F474it considers appropriate, of such information and advice as it may appear to F474it 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 F473the Office of Rail Regulation 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 F473the Office of Rail Regulation , seriously and prejudicially affect the interests of that individual; and

b

any matter which relates specifically to the affairs of a particular body of persons, whether corporate or unincorporate, where publication of that matter would or might, in the opinion of F473the Office of Rail Regulation , seriously and prejudicially affect the interests of that body.

3

F475The OFT shall consult F473the Office of Rail Regulation before publishing under F476section 6 of the Enterprise Act 2002 any information or advice which may be published by F473the Office of Rail Regulation under this section.

F480 Other functions of the Authority

Annotations:

Amendments (Textual)

F480

S. 71A and cross-heading inserted (1.2.2001) by 2000 c. 38, s. 216, Sch. 17 para. 14 (with Sch. 28 paras. 2(5), 17); S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to savings and transitional provisions in Sch. 2 Pt. II)

71A Investigatory functions.

F477. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

71BF478 Code of practice for protection of interests of rail users who are disabled.

1

The F479Secretary of State shall—

a

prepare and from time to time revise, and

b

publish and otherwise promote the adoption and implementation of,

a code of practice for protecting the interests of users of railway passenger services or station services who are disabled

2

In preparing or revising the code of practice, the F479Secretary of State shall consult the Disabled Persons Transport Advisory Committee established under section 125 of the M26Transport Act 1985.

Registers and reports of the Regulator and the F534Authority

Annotations:

Amendments (Textual)

F534

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.

C531

F481the Office of Rail Regulation shall, at such premises and in such form as F482itmay determine, maintain a register F483. . . .

2

Subject to subsection (3) and to any direction given under subsection (4) below, F481the Office of Rail Regulation shall cause to be entered in the register—

C54a

in relation to licences F484and European licences , the provisions of—

C55i

every licence F485, every licence exemption and every European licence ;

ii

every assignment of a licence of which notice is received by F481the Office of Rail Regulation;

iii

every modification or revocation of a licence F486, everyF487 requirement to modify conditions of a licence imposed on F481the Office of Rail Regulation by the AuthorityF488, and every modification or revocation of a European licence;

iv

every revocation of a licence exemption F489and every requirement to revoke a licence exemption imposed on F481the Office of Rail Regulation by the Authority;

v

every requirement imposed, or consent or approval given, by F481the Office of Rail Regulation under a licence F490or European licence ;

vi

every requirement imposed, or consent or approval given, under a licence by any person (other than F481the Office of Rail Regulation ) 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 F481the Office of Rail Regulation pursuant to a condition of the licence;

vii

every final or provisional order F491made by F481the Office of Rail Regulation in relation to a licence, every revocation of such an order and every notice given by F481the Office of Rail Regulation under section 55(6) above that he is satisfied that he does not need to make such an order;

F492viii

every scheme made by the Secretary of State under section 7A(4) above or paragraph 2 of Schedule 28 to the Transport Act 2000;

F493ix

every penalty imposed by F481the Office of Rail Regulation under section 57A above;

x

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.

C587

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.

C598

Any person may, on the payment of such fee as may be specified in an order so made, require F481the Office of Rail Regulation to supply him with a copy of, or extract from, any part of the register, being a copy or extract which is certified by F481the Office of Rail Regulation to be a true copy or extract.

9

The contents of the register shall be available for inspection at any time by the F501Authority, without payment of any fee; and the F501Authority may require F481the Office of Rail Regulation , without payment of any fee, to supply F502itwith a copy of, or extract from, any part of the register, being a copy or extract which is certified by F481the Office of Rail Regulation 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.

C6011

Any sums received by F481the Office of Rail Regulation under this section shall be paid into the Consolidated Fund.

73 Keeping of register by the F503Secretary of State.

1

The F503Secretary of State shall, at such premises and in such form as F504he may determine, maintain a register F505. . . .

2

Subject to F506subsections (3) and (4) below, the F503Secretary of State shall cause to be entered in the register F507(except so far as they are required to be entered in the register maintained under section 73A below) the provisions of—

a

every franchise exemption;

b

every franchise agreement;

F508c

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

d

every amendment (however described) of a franchise agreement F509other 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.;

F510da

every determination made by him 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;

db

every revocation of a determination made by him under that section in relation to a description of closures;

dc

every condition agreed to under subsection (5) of that section in connection with a determination made by him;

e

every final or provisional order F511made by the F503Secretary of State in relation to F512. . . a franchise agreement F513or to any closure or proposed closure or to any closure requirement , every revocation of such an order and every notice given by the F503Secretary of State under section 55(6) above that F514he is satisfied that F514he does not need to make such an order;

F515f

every penalty imposed by the F503Secretary of State under section 57A above;

g

every statement of policy published by the F503Secretary of State under that section;

F516ga

every designation under section 23 and every variation or revocation of such a designation;

h

F517. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

i

F517. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

j

F517. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

k

F517. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

l

F517. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

m

F517. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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.

F5183

The Secretary of State 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 he considers 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 Secretary of State's 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 Secretary of State's opinion, seriously and prejudicially affect the interests of that body.

4

If it appears to the Secretary of State that the entry of any provision in the register would be against the public interest F519he may decide not to enter that provision in the register.

5

F520. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

6

F520. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

7

The contents of the register shall be available for inspection at any time by F521the Scottish Ministers orF522the Office of Rail Regulation , without payment of any fee; and F523the Scottish Ministers and the Office of Rail Regulation may each require the F503Secretary of State , 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 F503Secretary of State to be a true copy or extract.

F5088

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

73AF535Keeping 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 F524the Office of Rail Regulation.

C611

F524the Office of Rail Regulation shall, as soon as practicable F525after the end of each financial year,, make to the Secretary of State a report on—

a

his activities during that year; and

b

the F526Competition Commission’s activities during that year, so far as relating to references made by F524the Office of Rail Regulation .

2

Every such report shall include—

a

a general survey of developments, during the year to which it relates, in respect of matters falling within the scope of F527its functions;

F528b

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

c

a statement setting out any general directions given to F524the Office of Rail Regulation during that year under section 69(2) above; F528. . .

d

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

C613

The Secretary of State shall lay a copy of every report made by F524the Office of Rail Regulation 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.

F5293A

Where a report is made by F524the Office of Rail Regulation 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.

4

F524the Office of Rail Regulation may also prepare such other reports as F530it thinks fit with respect to any matter falling within the scope of F527its functions.

5

F524the Office of Rail Regulationmay arrange for copies of any report prepared under subsection (4) above to be published in such manner as F530it may consider appropriate.

6

In making or preparing any report under this section, F524the Office of Rail Regulation 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.

7

F531Paragraph 12A(1) of Schedule 7 to the Competition Act 1998 (annual reports of the Competition Commission)shall not apply to activities of the F526Competition Commission on which F524the Office of Rail Regulation is required to report by this section.

8

In this section—

“financial year” means a period of twelve months ending with 31st March; and
F532. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

75 Annual reports of the Franchising Director.

F533. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

The F568Rail Passengers’ Council and Rail Passengers’ Committees

Annotations:

Amendments (Textual)

F568

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)

C62 C63 C6476 General duties of the F536Rail Passengers’ Council.

1

It shall be the duty of the F537Rail Passengers’ Council to investigate any matter which relates—

F538a

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 F539Rail Passengers’ Council by a user or potential user of railway passenger services and does not appear to the F539Rail Passengers’ Council to be frivolous or vexatious;

b

the matter is referred to the F539Rail Passengers’ Council by the F540Secretary of State ; or

c

the matter appears to the F539Rail Passengers’ Council to be one which it ought to investigate.

F5412A

If any matter falling within subsection (2)(a) appears to the Rail Passengers' Council to relate only to—

a

the provision of railway passenger services wholly within the London railway area (within the meaning of section 252A of the Greater London Authority Act 1999), or

b

Where the F558Rail 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

F561. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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; F562. . ..

In subsection (5) “enactment” includes an enactment comprised in an Act of the Scottish Parliament.

77 General duties of F563Rail Passengers’ Committees.

F564. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

78 Functions under section 56 of the Transport Act 1962.

F5651

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

F5652

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

F5653

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

F5654

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

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.

F5656

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

F5657

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

79 Annual reports by the F566Rail Passengers’ Council and the Rail Passengers’ Committees.

F567. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Information

C6780 Duty of certain persons to furnish information to the F570Secretary of State, the Scottish Ministers or the Office of Rail Regulation on request.

1

F571Licence holders shall be under a duty to furnish to the F570Secretary of State, the Scottish Ministers or the Office of Rail Regulation in such form and manner as F572he, they or it may by notice request such information as F572he, they or it may so request, being information which the F570Secretary of State, the Scottish Ministers or the Office of Rail Regulation considers necessary for the purpose of facilitating the performance of any F573functions of the Secretary of State, the Scottish Ministers or (as the case may be) that Office under this Part F574, the Transport Act 2000 or the Railways Act 2005 or any other function or activity of his, theirs or its in relation to railway services.

F5751A

Holders of European licences shall be under a duty to furnish to the Office of Rail Regulation in such form and manner as it may by notice request such information as it may so request, being information which the Office of Rail Regulation considers necessary for the purpose of facilitating the performance of any of its functions under any instrument made for the purpose of implementing Council Directive 95/18/EC dated 19th June 1995 on the licensing of railway undertakings, as amended by Directive 2001/13/EC dated 26th February 2001 and Directive 2004/49/EC dated 29th April 2004, both of the European Parliament and of the Council.

2

A request under subsection (1) F576or (1A) 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

F577If a request under subsection (1) above is not complied with, the F570Secretary of State, the Scottish Ministers or the Office of Rail Regulation may serve a notice under subsection (4) below on the person from whom the information was requested under subsection (1) above.

F5783A

If a request under subsection (1A) above is not complied with, the Office of Rail Regulation may serve a notice under subsection (4) below on the person from whom the information was requested under subsection (1A) above.

4

A notice under this subsection is a notice signed by the F570Secretary of State, the Scottish Ministers or the Office of Rail Regulation and—

a

requiring the person on whom it is served to produce, at a time and place specified in the notice, to the F570Secretary of State, the Scottish Ministers or the Office of Rail Regulation 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. F579In its application to a notice served by virtue of subsection (3A) above this subsection has effect with the omission of the references to the Secretary of State and the Scottish Ministers.

5 F5806

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

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 F570Secretary of State, the Scottish Ministers or the Office of Rail RegulationF581in the case of a request under subsection (1) above, or the Office of Rail Regulation in the case of a request under subsection (1A) above, , 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 M27Transport 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 M28Transport 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 M29Fair Trading Act 1973;
“the 1980 Act” means the M30Competition Act 1980;
“access agreement” means—
1. a
  an access contract F582which satisfies one of the conditions in paragraphs (a) to (c) of section 18(1) above; or
2. b
  an installation access contract F583which 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;

F584“appropriate authority” has the meaning given by section 55(10) above;
F585“appropriate designating authority” has the meaning given by section 23(3) above;
“appropriate franchising authority” has the meaning given by section 23(3) above;
“appropriate national authority” has the meaning given by section 59(6)(za) above;
F586“bus substitution service” means a service for the carriage of passengers by road that is provided as an alternative to the whole or a part of a railway passenger service that has been discontinued, reduced or modified (whether temporarily or permanently);
F587. . .
F588“closure” has the same meaning as in Part 4 of the Railways Act 2005 (see section 45 of that Act);
“closure requirement” means a requirement imposed under section 33 of that Act;
F589. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F590“cross-border service” means a railway passenger service starting either in England and Wales or in Scotland and ending, or otherwise making at least one scheduled call, in the other;
F587. . .
F591. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F592“European licence” has the meaning given by section 6(2) above;
“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;
F593'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;
F589. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F594“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;
F595“scheduled call”, in relation to a service or journey, means a scheduled stop at a station for the purpose of allowing passengers to join or leave the service or train (including the stops where the service or journey starts and ends);
“Scotland-only service” means a railway passenger service which starts and ends in Scotland and is not a cross-border service;
“Scottish franchise agreement” means a franchise agreement the franchised services under which—
1. a
  consist of or include Scotland-only services; and
2. b
  so far as they include other services, include only cross-border services designated by the Scottish Ministers;
“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;
F596“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.

F5971A

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.

F598. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

I8C68C69 Part I The Provision of Railway Services

Introductory

1 The Rail Regulator. . ..

2F2Passengers’ Committees.

3. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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

C1C701

F9zb

a

b

F10ba

bb

c

d

e

f

g

2

a

i

ii

b

i

ii

3

a

b

F183A

a

b

c

F223B

a

b

3C

4

5

F25a

F26aa

ab

b

F29c

ca

cb

F30d

F325A

5B

5C

a

b

c

5D

a

b

6

7

F337ZA

a

b

F347A

7B

8

9

F415. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Licensing of operators of railway assets

I26 Prohibition on unauthorised operators of railway assets.

C2C711

a

b

F421A

2

F462A

3

a

b

4

7 Exemptions from section 6.

C31

2

a

I8 C68 C69 Part I The Provision of Railway Services

C1 C701

C2 C711