xmlns:atom="http://www.w3.org/2005/Atom" xmlns:atom="http://www.w3.org/2005/Atom"

Part IU.K. The Provision of Railway Services

Modifications etc. (not altering text)

C1Pt. I (ss. 1-83) modified (18.12.1996) by 1996 c. 61, s. 21(6)

C2Pt. 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)

Commencement Information

I1Pt. 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)

Registers and reports of the Regulator and the [F1Authority]E+W+S

Textual Amendments

F1Word 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.E+W+S

(1)The Regulator shall, at such premises and in such form as he may determine, maintain a register for the purposes of this Part.

(2)Subject to subsection (3) and to any direction given under subsection (4) below, the Regulator shall cause to be entered in the register—

(a)in relation to licences, the provisions of—

(i)every licence and every licence exemption;

(ii)every assignment of a licence of which notice is received by the Regulator;

(iii)every modification or revocation of a licence [F2and every requirement to modify conditions of a licence imposed on the Regulator by the Authority];

(iv)every revocation of a licence exemption [F3and every requirement to revoke a licence exemption imposed on the Regulator by the Authority];

(v)every requirement imposed, or consent or approval given, by the Regulator under a licence;

(vi)every requirement imposed, or consent or approval given, under a licence by any person (other than the Regulator) who is a qualified person, within the meaning of section 9(3) above, for the purpose in question, being a requirement, consent or approval whose provisions have been notified to the Regulator pursuant to a condition of the licence;

(vii)every final or provisional order [F4made by the Regulator in relation] to a licence, every revocation of such an order and every notice given by the Regulator under section 55(6) above that he is satisfied that he does not need to make such an order;

[F5(viii)every scheme made by the Secretary of State under section 7A(4) above or paragraph 2 of Schedule 28 to the Transport Act 2000;]

[F6(ix)every penalty imposed by the Regulator under section 57A above;

(x)every statement of policy published by the Regulator under that section;]

and notice of every surrender of a licence;

(b)in relation to access agreements, access contracts and installation access contracts, the provisions of—

(i)every facility exemption granted under section 20(3) above;

(ii)every direction to enter into an access contract or an installation access contract;

(iii)every access agreement;

(iv)every amendment (however described) of an access agreement;

(v)every general approval given under section [F718(1)(c), 19(3)(c) or] 22(3) above which is for the time being in force;

[F8(va)every direction under section 22A above;

(vb)every notice given by or to the Regulator or the Competition Commission under Schedule 4A to this Act;]

(vi)every document issued or made by the Regulator under an access agreement;

F9(c). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(d)in relation to experimental passenger services, within the meaning of section 48 above, the provisions of—

(i)every notice under section 48(7) above designating a service as experimental;

(ii)every notice under section 48(2) or (3) above of a proposal to discontinue a service designated as experimental;

(iii)every final or provisional order made by the Regulator which relates to the provision or discontinuance of any such service, every revocation of such an order and every notice given by the Regulator under section 55(6) above that he is satisfied that he does not need to make such an order; and

(e)the provisions of every railway administration order and of every discharge of such an order.

(3)In entering any provision in the register, the Regulator shall have regard to the need for excluding, so far as that is practicable, the matters specified in section 71(2)(a) and (b) above.

(4)If it appears to the Secretary of State that the entry of any provision in the register would be against the public interest or the commercial interests of any person, he may direct the Regulator not to enter that provision in the register.

(5)Where an access agreement is entered into or amended, the facility owner or installation owner concerned shall send a copy of the access agreement or amendment to the Regulator not later than 14 days after the date on which the access agreement is entered into or the amendment is made, as the case may be.

(6)A person who fails to comply with subsection (5) above is guilty of an offence and shall be liable on summary conviction to a fine not exceeding level 3 on the standard scale.

(7)The contents of the register shall be available for inspection by the public during such hours and subject to the payment of such fee as may be specified in an order made by the Secretary of State.

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

(9)The contents of the register shall be available for inspection at any time by the [F10Authority], without payment of any fee; and the [F10Authority] may require the Regulator, without payment of any fee, to supply [F11it]with a copy of, or extract from, any part of the register, being a copy or extract which is certified by the Regulator to be a true copy or extract.

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

(11)Any sums received by the Regulator under this section shall be paid into the Consolidated Fund.

Textual Amendments

F2Words in s. 72(2)(a)(iii) inserted (1.2.2001) by 2000 c. 38, s. 216, Sch. 17 para. 15(a) (with Sch. 28 paras. 5(2), 17); S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to savings and transitional provisions in Sch. 2 Pt. II)

F3Words in s. 72(2)(a)(iv) inserted (1.2.2001) by 2000 c. 38, s. 216, Sch. 17 para. 15(b) (with Sch. 28 paras. 5(2), 17); S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to savings and transitional provisions in Sch. 2 Pt. II)

F4Words in s. 72(2)(a)(vii) substituted (1.2.2001) by 2000 c. 38, s. 216, Sch. 17 para. 15(c) (with Sch. 28 paras. 5(2), 17); S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to savings and transitional provisions in Sch. 2 Pt. II)

F5S. 72(2)(a)(viii) inserted (1.2.2001) by 2000 c. 38, s. 216, Sch. 17 para. 15(d) (with Sch. 28 paras. 5(2), 17); S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to savings and transitional provisions in Sch. 2 Pt. II)

F6S. 72(2)(a)(ix)(x) inserted (1.2.2001) by 2000 c. 38, s. 252, Sch. 27 para. 36(2); S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to savings and transitional provisions in Sch. 2 Pt. II)

F7Words in s. 72(2)(b)(v) inserted (1.2.2001) by 2000 c. 38, s. 230(5); S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to savings and transitional provisions in Sch. 2 Pt. II)

F8S. 72(2)(b)(va)(vb) inserted (1.2.2001) by 2000 c. 38, s. 252, Sch. 27 para. 36(3); S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to savings and transitional provisions in Sch. 2 Pt. II)

F9S. 72(2)(c) repealed (1.2.2001) by 2000 c. 38, ss. 216, 274, Sch. 17 para. 27(2), Sch. 31 Pt. IV (with Sch. 28 para. 14); S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to savings and transitional provisions in Sch. 2 Pt. II)

F10Words in s. 72(9) substituted (1.2.2001) by 2000 c. 38, s. 215, Sch. 16 para. 43(a); 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))

F11Word in s. 72(9) substituted (1.2.2001) by 2000 c. 38, s. 215, Sch. 16 para. 43(b); 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))

73 Keeping of register by the [F12Authority].E+W+S

(1)The [F13Authority] shall, at such premises and in such form as [F14it] may determine, maintain a register for the purposes of this Part.

(2)Subject to subsection (3) and to any direction given under subsection (4) below, the [F15Authority] shall cause to be entered in the register the provisions of—

(a)every franchise exemption;

(b)every franchise agreement;

F16(c). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(d)every amendment (however described) of a franchise agreement [F17other 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.];

[F18(da)every closure consent and closure condition, every determination under section 37(1), 38(2), 39(1), 40(2), 41(1) or 42(2) above that a closure is a minor closure, every condition imposed under section 37(1), 39(1) or 41(1) above, every general determination under section 46A above and every revocation of a general determination under that section;]

(e)every final or provisional order [F19made by the Authority in relation to a licence or] a franchise agreement [F20or to any closure or proposed closure or to any closure consent or closure condition], every revocation of such an order and every notice given by the [F15Authority] under section 55(6) above that [F21it] is satisfied that [F21it] does not need to make such an order;

[F22(f)every penalty imposed by the Authority under section 57A above;

(g)every statement of policy published by the Authority under that section;]

[F23(h)every licence with conditions relating to consumer protection, every licence exemption with such conditions and every approval given by the Authority to such conditions of a licence or licence exemption;

(i)every assignment of a licence to which the Authority has consented;

(j)every requirement to modify conditions of a licence imposed by the Authority on the Regulator;

(k)every requirement to revoke a licence exemption imposed by the Authority on the Regulator;

(l)every requirement imposed, or consent or approval given, by the Authority under a licence;

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

and, without prejudice to the generality of paragraph (d) above, “amendment" in that paragraph includes any variation of the property, rights and liabilities which from time to time constitute the franchise assets in relation to the franchise agreement in question, whether the variation is effected in accordance with the terms of, or by an amendment made to, the franchise agreement.

(3)In entering any provision in the register, the [F24Authority] shall have regard to the need for excluding, so far as that is practicable, the matters specified in paragraphs (a) and (b) of section 71(2) above, for this purpose taking references in those paragraphs to the Regulator as references to the [F24Authority].

(4)If it appears to the Secretary of State that the entry of any provision in the register would be against the public interest or the commercial interests of any person, he may direct the [F24Authority] not to enter that provision in the register.

(5)The contents of the register shall be available for inspection by the public during such hours and subject to the payment of such fee as may be specified in an order made by the Secretary of State.

(6)Any person may, on the payment of such fee as may be specified in an order so made, require the [F24Authority] 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 [F24Authority] to be a true copy or extract.

(7)The contents of the register shall be available for inspection at any time by the Regulator, without payment of any fee; and the Regulator may require the [F24Authority], 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 [F24Authority] to be a true copy or extract.

F16(8). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

F12Word in the sidenote to s. 73 substituted (1.2.2001) by 2000 c. 38, s. 215, Sch. 16 para. 44(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))

F13Words in s. 73(1) substituted (1.2.2001) by 2000 c. 38, s. 215, Sch. 16 para. 44(2)(a); 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))

F14Word in s. 73(1) substituted (1.2.2001) by 2000 c. 38, s. 215, Sch. 16 para. 44(2)(b); 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))

F15Words in s. 73(2) substituted (1.2.2001) by 2000 c. 38, s. 215, Sch. 16 para. 44(3)(a); 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))

F16S. 73(2)(c)(8) repealed (1.2.2001) by 2000 c. 38, s. 274, Sch. 31 Pt. IV; S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to savings and transitional provisions in Sch. 2 Pt. II)

F17Words in s. 73(2)(d) inserted (1.2.2001) by 2000 c. 38, s. 252, Sch. 27 para. 37(2); S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to savings and transitional provisions in Sch. 2 Pt. II)

F18S. 73(2)(da) inserted (1.2.2001) by 2000 c. 38, s. 216, Sch. 17 para. 27(1)(a); S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to savings and transitional provisions in Sch. 2 Pt. II)

F19Words in s. 73(2)(e) substituted (1.2.2001) by 2000 c. 38, s. 216, Sch. 17 para. 16(a); S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to savings and transitional provisions in Sch. 2 Pt. II)

F20Words in s. 73(2)(e) inserted (1.2.2001) by 2000 c. 38, s. 216, Sch. 17 para. 27(1)(b); S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to savings and transitional provisions in Sch. 2 Pt. II)

F21Words in s. 73(2) substituted (1.2.2001) by 2000 c. 38, s. 215, Sch. 16 para. 44(3)(b); 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))

F22S. 73(2)(f)(g) inserted (1.2.2001) by 2000 c. 38, s. 252, Sch. 27 para. 37(3); S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to savings and transitional provisions in Sch. 2 Pt. II)

F23S. 73(2)(h)-(m) inserted (1.2.2001) by 2000 c. 38, s. 216, Sch. 17 para. 16(b); S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to savings and transitional provisions in Sch. 2 Pt. II)

F24Words in s. 73(3)(4)(6)(7) substituted (1.2.2001) by 2000 c. 38, s. 215, Sch. 16 para. 44(4); 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))

Valid from 16/10/2005

[F2573AKeeping of register by the Scottish MinistersE+W+S

(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.]

Textual Amendments

74 Annual and other reports of the Regulator.E+W+S

(1)The Regulator shall, as soon as practicable after the end of the first relevant financial year and of each subsequent financial year, make to the Secretary of State a report on—

(a)his activities during that year; and

(b)the [F26Competition Commission’s] activities during that year, so far as relating to references made by the Regulator.

(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 the Regulator’s functions;

F27(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(c)a statement setting out any general directions given to the Regulator during that year under section 69(2) above; F27. . .

(d). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(3)The Secretary of State shall lay a copy of every report made by the Regulator 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.

[F28(3A)Where a report is made by the Regulator 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)The Regulator may also prepare such other reports as he thinks fit with respect to any matter falling within the scope of his functions.

(5)The Regulator may arrange for copies of any report prepared under subsection (4) above to be published in such manner as he may consider appropriate.

(6)In making or preparing any report under this section, the Regulator shall have regard to the need for excluding, so far as that is practicable, the matters specified in section 71(2)(a) and (b) above.

(7)Section 125(1) of the 1973 Act (annual and other reports) shall not apply to activities of the [F26Competition Commission] on which the Regulator is required to report by this section.

(8)In this section—

Textual Amendments

F26Words in s. 74(1)(b)(7) substituted (1.4.1999) by S.I. 1999/506, art. 33(b)

F27S. 74(2)(b)(d) and the word “and" before s. 74(2)(d) repealed (1.2.2001) by 2000 c. 38, s. 274, Sch. 31 Pt. IV; S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to savings and transitional provisions in Sch. 2 Pt. II)

Modifications etc. (not altering text)

C3S. 74(1)(3): certain functions made exercisable by the Scottish Ministers concurrently with the Ministers concerned (1.7.1999) by S.I. 1999/1750, arts. 1(1), 3, Sch. 2; S.I. 1998/3178, art. 3

75 Annual reports of the Franchising Director.E+W+S

(1)The [F29Authority] shall, as soon as practicable after the end of [F30each financial year,] make to the Secretary of State a report on—

(a)[F31its] activities during that year; and

(b)the general performance of franchisees during that year in carrying out their functions under their franchise agreements.

[F32(1A)Every such report shall include—

(a)general surveys of any developments during that year which relate to—

(i)the provision of railway passenger services or station services for, or the use of such services by, persons who are disabled; or

(ii)the employment by licence holders of persons who are disabled; and

(b)a general survey of the activities during that year of the Rail Passengers’ Council and the Rail Passengers’ Committees and a summary of any reports made to the Authority by the Rail Passengers’ Council or any Rail Passengers’ Committee.]

(2)The Secretary of State shall lay a copy of every report made by the [F33Authority] 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.

[F34(2A)Where a report is made by the [F33Authority] under subsection (1) above to the Scottish Ministers (by virtue of provision made under section 63 of the Scotland Act 1998), the Scottish Ministers shall lay a copy of the report before the Scottish Parliament and shall arrange for copies to be published in such manner as they consider appropriate.]

(3)In making or preparing any report under this section, the [F33Authority] shall have regard to the need for excluding, so far as that is practicable, the matters specified in paragraphs (a) and (b) of section 71(2) above, for this purpose taking references in those paragraphs to the Regulator as references to the [F33Authority].

(4)In this section—

Textual Amendments

F29Word in s. 75(1) substituted (1.2.2001) by 2000 c. 38, s. 215, Sch. 16 para. 45(2)(a); 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))

F30Words in s. 75(1) substituted (1.2.2001) by 2000 c. 38, s. 215, Sch. 16 para. 45(2)(b); 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))

F31Word in s. 75(1)(a) substituted (1.2.2001) by 2000 c. 38, s. 215, Sch. 16 para. 45(2)(c); 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))

F32S. 75(1A) inserted (1.2.2001) by 2000 c. 38, s. 216, 275(1), Sch. 17 para. 29(1); S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to savings and transitional provisions in Sch. 2 Pt. II)

F33Words in s. 75(2)(2A)(3) substituted (1.2.2001) by 2000 c. 38, s. 215, 275(1), Sch. 16 para. 45(3); 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))

F35S. 75(4): definition of

first relevant financial year

and the preceding word “and" repealed (1.2.2001) by 2000 c. 38, s. 274, Sch. 31 Pt. IV; S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to savings and transitional provisions in Sch. 2 Pt. II)

F36S. 75(4): definition of “first relevant financial year" repealed (1.2.2001) by 2000 c. 38, s. 215, Sch. 16 para. 45(4); 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))

Modifications etc. (not altering text)

C4S. 75(1)(2): certain functions made by the Scottish Ministers concurrently with Ministers concerned (1.7.1999) by 1999/1750, arts. 1(1), 3, Sch. 2; S.I. 1998/3178, art. 3