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

http://www.legislation.gov.uk/ukpga/1993/43/part/I

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

2024-05-24

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

I1 C764 General duties of the Secretary of State and F610the Office of Rail and Road

C1 C70 C73 C84 C881

F610The Office of Rail and RoadF5shall have a duty to exercise the functions assigned or transferred to F6it under or by virtue of this Part F7or the Railways Act 2005 that are not safety functions in the manner which F6it considers best calculated—

F8zb

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 F6 it considers economically practicable;

F9ba

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 F10for 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 F11its functions under this Part F12or 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.

C732

Without prejudice to the generality of subsection (1)(a) above, F610the Office of Rail and RoadF13shall have a duty, in particular, to exercise the functions assigned or transferred to F6it under or by virtue of this Part F7or the Railways Act 2005 that are not safety functions in the manner which F6it 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

b

any matter affecting the interests of persons providing railway services, or

c

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

F610the Office of Rail and Road 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.

C735D

A matter falls within this subsection if F610the Office of Rail and Road 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, F695the Welsh Ministers, 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.

C736

In performing F11its duty under subsection (1)(a) above so far as relating to services for the carriage of passengers by railway or to station services, F610the Office of Rail and Road 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.

F327ZA

Where any general guidance is given to F610the Office of Rail and Road 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.

F337A

Subsections (1) to (6) above do not apply in relation to anything done by F610the Office of Rail and Road in the exercise of functions assigned to F6it by section 67(3) below (“Competition Act functions”).

7B

F610The Office of Rail and Road 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 F535the CMA could have regard when exercising that function.

8

F34. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

9

In this section—

F35“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);
F36“notified strategies and policies”, in relation to F692the Welsh Ministers, means the strategies and policies of F693the Welsh Ministers that have been notified by F694them for the purposes of this section to F610the Office of Rail and Road;
“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;
F37“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 F610the Office of Rail and Road—
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.
F38. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F395. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Licensing of operators of railway assets

I26 Prohibition on unauthorised operators of railway assets.

C2 C71 C85 C891

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.

F7951A

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—

a

a service for which a railway undertaking licence is required; or

b

a Channel Tunnel service for which a railway undertaking licence or a European licence is required.

F7961B

In this section—

“Channel Tunnel service” means—
1. a
  a railway passenger service between Calais-Fréthun station in France and Ashford International station in the United Kingdom;
2. b
  a service for the carriage of goods by railway between Fréthun freight yard in France and Dollands Moor freight yard in the United Kingdom; or
3. c
  a railway passenger service or service for the carriage of goods by railway which originates or terminates somewhere other than one of those stations or freight yards, but only while it passes between them;
“European licence” means a licence granted pursuant to any action taken by an EEA state for the purpose of implementing—
1. a
  Council Directive 95/18/EC of 19 June 1995 on the licensing of railway undertakings, as amended by Directive 2001/13/EC of 26February 2001 and Directive 2004/49/EC of 29 April 2004, both of the European Parliament and of the Council; or
2. b
  Chapter III of Directive 2012/34/EU of the European Parliament and of the Council of 21 November 2012 establishing a single European railway area (recast).

2

In this Part—

F784. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F40. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
“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.
F785“railway undertaking licence” means a licence granted pursuant to the Railway (Licensing of Railway Undertakings) Regulations 2005;
F797“relevant European licence” means a European licence which an operator relies on to provide a Channel Tunnel service.

F7862A

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

3

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

if and to the extent that F42it grants F43the exemption , may do so subject to compliance with such conditions (if any) as F42it may so specify.

4

Before granting a licence exemption under subsection (3) above, F612the Office of Rail and Road shall give notice—

a

stating that F42it proposes to grant the licence exemption,

b

stating the reasons why F42it 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 F612the Office of Rail and Road considers appropriate for bringing it to the attention of persons likely to be affected by the grant of the licence exemption.

F445A

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

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

F612the Office of Rail and Road, 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.

F446A

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

7

For the purposes of F45this 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 F612the Office of Rail and Road gives a direction under subsection (6) above to any person, he F46or 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.

F448A

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

9

Subject to F47subsection (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.

F4810

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

11

Any application for a licence exemption under subsection (3) above must be made in writing; and where any such application is made, F612the Office of Rail and Road may require the applicant to furnish him with such information as F612the Office of Rail and Road may consider necessary to enable F42it 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.

F49. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

C48 Licences.

1

Subject to the following provisions of this section—

a

the Secretary of State after consultation with F613the Office of Rail and RoadF50. . . , 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 F613the Office of Rail and Road 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 F55unless F613the Office of Rail and RoadF56consents 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 F613the Office of Rail and RoadF57. . . ; 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 F614the Office of Rail and Road such documents or other information as he F62or it may require for the purpose of exercising the functions assigned or transferred to him F62or it under or by virtue of this Part F63or Part 4 of the Railways Act 2005.

F643A

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 F614the Office of Rail and Road 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—

F65. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
“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—

F66a

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

b

F608the Office of Rail and RoadF67. . . , in any other case.

F683

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

4

Any consent under subsection (2) above may be given subject to compliance with such conditions as F69are imposed by the person F70. . . 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, F609the Office of Rail and Road may modify the conditions of a licence if the holder of the licence consents to the modifications.

F711A

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

F711B

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

F711C

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

2

Before making modifications F72under this section, F609the Office of Rail and Road shall give notice—

a

stating that F73it proposes to make the modifications and setting out their effect,

b

stating the reasons why F73it 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 shallF74, before making the modifications, consider any representations or objections which are duly made and not withdrawn.

3

A notice under subsection F75. . . (2) above shall be given—

a

by publishing the notice in such manner as F76. . . F609the Office of Rail and Road 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

F77. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

C513 Modification references to the F521CMA

1

F615The Office of Rail and Road may make to the Monopolies and Mergers Commission (in this Act referred to as the F524CMA) a reference which is so framed as to require F525the CMA 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

c

section 111 (penalties);

d

section 112 (penalties: main procedural requirements);

e

section 113 (payments and interest by instalments);

f

section 114 (appeals in relation to penalties);

g

section 115 (recovery of penalties); and

h

section 116 (statement of policy).

F5381A

Section 109 shall, in its application by virtue of subsection (1) above, have effect as if—

a

for subsection (A1), there were substituted—

A1
For the purposes of this section, a permitted purpose is assisting the CMA in carrying out any functions exercisable by it in connection with a reference under section 13 of the Railways Act 1993.

b

subsection (8A) were omitted.

2

Section 110 shall, in its application by virtue of subsection (1) above, have effect as if—

a

subsection (2) were omitted; F539...

F540aa

after subsection (3), there were inserted—

3A
No penalty shall be imposed by virtue of subsection (1) or (3) if more than 4 weeks have passed since the publication of the report of the CMA on the reference concerned; but this subsection shall not apply in relation to any variation or substitution of the penalty which is permitted by virtue of this Part.

b

in subsection (9) the words from “or section" to “section 65(3))" were omitted.

F5413

Section 111(5)(b) shall, in its application by virtue of subsection (1) above, have effect as if for sub-paragraph (ii) there were substituted—

ii
if earlier, the day on which the report of the CMA on the reference concerned is made or, if no such report is made within the period permitted for that purpose, the latest day on which the report may be made within the permitted period.

4

Section 117 of the Enterprise Act 2002 (false or misleading information) shall apply in relation to functions of the F542CMA in connection with references under section 13 as it applies in relation to its functions under Part 3 of that Act but as if, in subsections (1)(a) and (2), F543—

a

the words “, OFCOM or the Secretary of State” were omitted; and

b

for the words “their functions” there were substituted “ its functions ”.

5

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 F94it 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.

3A

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

4

A notice under subsection (3) F100. . . above shall be given—

a

by publishing the notice in such manner as F618the Office of Rail and Road , F100. . . 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.

F1014A

Where (after considering any representations or objections which are duly made and not withdrawn) F618the Office of Rail and RoadF97. . . proposes to make or require the making of modifications under this section, F102. . . it shall give notice to the F551CMA —

a

setting out the modifications F94it proposes to make or F103. . . require to be made; and

b

stating the reasons why F94it proposes to make the modifications or F103. . . require the making of them.

4B

F618The Office of Rail and RoadF97. . . 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 F552CMA under section 15A below expires without such a direction being given, F618the Office of Rail and RoadF97. . . 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 F552CMA under section 15A(1)(b) below, F618the Office of Rail and RoadF97. . . shall make, or require the making of, such of those modifications as are not specified in the direction.

5

F104. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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.

F107 C1315B Making of modifications by F523CMA .

1

If the F554CMA 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

information relating to the private affairs of an individual whose disclosure the F555CMA thinks might significantly harm the individual’s interests.

2C

The third consideration is the extent to which the disclosure of the information mentioned in subsection (2B)(a) or (b) above is necessary for the purposes of the notice.

2D

The following sections of Part 3 of the Enterprise Act 2002 shall apply, with the modifications mentioned in subsections F557(2DA), (2E) and (2F) below, for the purposes of any investigation by the F556CMA for the purposes of the exercise of its functions under section 15A or 15B above, as they apply for the purposes of any investigation on references under that Part—

a

section 109 (attendance of witnesses and production of documents etc.);

b

section 110 (enforcement of powers under section 109: general);

c

section 111 (penalties);

d

section 112 (penalties: main procedural requirements);

e

section 113 (payments and interest by instalments);

f

section 114 (appeals in relation to penalties);

g

section 115 (recovery of penalties); and

h

section 116 (statement of policy).

F5582DA

Section 109 shall, in its application by virtue of subsection (2D) above, have effect as if—

a

for subsection (A1), there were substituted—

A1
For the purposes of this section, a permitted purpose is assisting the CMA in carrying out any functions exercisable by it in connection with an investigation for the purposes of the exercise of its functions under section 15A or 15B of the Railways Act 1993.

b

subsection (8A) were omitted.

2E

Section 110 shall, in its application by virtue of subsection (2D) above, have effect as if—

a

subsection (2) were omitted;

F559b

after subsection (3), there were inserted—

3A
No penalty shall be imposed by virtue of subsection (1) or (3) if more than 4 weeks have passed since the sending of a copy to F621the Office of Rail and Road under section 15B(5) of the Railways Act 1993 of the modifications made by the CMA in connection with the reference concerned or, if no direction has been given by the CMA under section 15A(1) of that Act in connection with the reference concerned and within the period permitted for that purpose, the latest day on which it was possible to give such a direction within the permitted period; but this subsection shall not apply in relation to any variation or substitution of the penalty which is permitted by virtue of this Part.

and any other assistance which the F563CMA may require, and which it is within F114. . . its power to give, in relation to any such matters.

4

For the purpose of exercising those functions, the F563CMA shall take account of any information given to them for that purpose under subsection (3) above.

C1616 Modification by order under other enactments.

F1151

Where the F564CMA 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 F565or markets 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 F116relevant authority shall send a copy of those modifications to F624the Office of Rail and Road, ~~F117the 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.

F1185

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.

F144 Directions to provide, improve or develop railway facilities

Annotations:

Amendments (Textual)

F144

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

b

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

F12316B Exemption of railway facilities from section 16A.

the applicant,

b

the other person, and

c

the F131appropriate facilities authority (if it is neither the applicant nor the other person),

consent to the substitution.

6

notify F136its intention to give a direction to the applicant, the F137appropriate 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, F630the Office of Rail and Road shall not give it.

4

Whatever F630the Office of Rail and Road’s decision on an application F135it shall notify the decision to—

a

the person specified in the application;

b

the applicant; and

c

any other persons who F135it considers ought to be notified.

5

F630the Office of Rail and Road 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 F135it considers appropriate in respect of costs incurred in connection with the application.

F13816G 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 F631the Office of Rail and Road —

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 F139appropriate facilities authority if F631the Office of Rail and Road 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

F631The Office of Rail and Road may grant an application for the variation or revocation of a direction under section 16A above by the applicant for the direction or the F139appropriate facilities authority on condition that he or it secures that any such compensation as F631the Office of Rail and Road 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.

F14016H Code of practice.

1

F632The Office of Rail and Road 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 F141it considers appropriate.

2

F632The Office of Rail and Road shall have regard to the code of practice in the exercise of F142its 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 F149the 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 F149the 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 F150Authority.

4

Any reference in this section to a person operating a network, station or light maintenance depot "on behalf of the F151Secretary of StateF728, the Welsh Ministers is a reference to his operating the network, station or light maintenance depot in pursuance of any agreement or other arrangements made by the F152Secretary of State or the Scottish Ministers for the purpose of performing a duty imposed upon F153him or them, or exercising a power conferred upon F153him or them, under or by virtue of this Part F154or 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 F634the Office of Rail and Road 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;
F155but 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;
F156. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F156. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F156. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
“lease” includes an underlease or sublease and an agreement for a lease, underlease or sublease.

F1577A

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.

F15811

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

C2018 Access agreements: contracts requiring the approval of F606the Office of Rail and Road.

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; F159. . .

b

F606the Office of Rail and Road has approved the terms of the access contract and the facility owner enters into the contract pursuant to directions under this section; F160or

c

the access contract is of a class or description specified in a general approval given by F606the Office of Rail and Road;

and any access contract to which this section applies F161shall 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; F162. . .

b

F162. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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 F163the 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 F163the 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 F163the 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 F606the Office of Rail and Road for approval of its terms.

6

If, on the submission of a proposed access contract pursuant to subsection (5) above, F606the Office of Rail and Road approves its terms, F164it 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 F606the Office of Rail and Road shall send a copy of the directions to the other party.

F1656A

The grounds on which F606the Office of Rail and Road may reject, or approve subject to modifications, a proposed access contract submitted to F164it pursuant to subsection (5) above include that F164it 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 F163the Secretary of State pursuant to F166his duty under section 30 below.

7

If, on the submission of a proposed access contract pursuant to subsection (5) above, F606the Office of Rail and Road does not consider it appropriate to approve its terms without modification (or to reject it), F164it 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 F606the Office of Rail and Road 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 F606the Office of Rail and Road shall send a copy of the directions to the other party.

F1677A

Where F606the Office of Rail and Road gives or revokes a general approval under subsection (1)(c) above, F164it 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”,F168. . . 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),

F169aa

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.

F17011

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

19 Access agreements: contracts for the use, on behalf of F171the Secretary of State, of installations comprised in a network.

C221

F635The Office of Rail and Road 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 F171the 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; F172. . .

b

F635the Office of Rail and Road 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; F173or

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;
F178but 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 F179and 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.

F18013

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

19AF181 Review of access charges by F607the Office of Rail and Road.

Schedule 4A to this Act (which contains provision about the review of access charges by F607the Office of Rail and Road) shall have effect.

C2320 Exemption of railway facilities from sections 17 F182, 18 and 22A.

1

The Secretary of State may, after consultation with F636the Office of Rail and Road, by order grant exemption from sections 17 and 18 above F183and section 22A below in respect of such railway facilities as may be specified in the order, but subject to compliance with such conditions (if any) as may be so specified.

2

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;

F184. . .

3

If a facility owner makes an application under this subsection to F636the Office of Rail and Road for the grant of an exemption from sections 17 and 18 above F183and section 22A below in respect of the whole or any part of his railway facility, F636the Office of Rail and Road, after consultation with the Secretary of State—

a

may either grant or refuse the exemption, whether wholly or to such extent as F185it may specify in the exemption; and

b

if and to the extent that F185it grants F186the exemption, may do so subject to compliance with such conditions (if any) as F185it may so specify.

4

Before granting a facility exemption under subsection (3) above, F636the Office of Rail and Road shall give notice—

a

stating that F185it proposes to grant the facility exemption,

b

stating the reasons why F185it 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 F636the Office of Rail and Road 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

F636the Office of Rail and Road, 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.

F1879

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

10

Any application for a facility exemption under subsection (3) above must be made in writing; and where any such application is made, F636the Office of Rail and Road may require the applicant to furnish F185it with such information as F636the Office of Rail and Road may consider necessary to enable F185it 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.

F18812

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

13

In this Part “facility exemption” means an exemption from sections 17 and 18 above F183and 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

F637The Office of Rail and Road 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

F637The Office of Rail and Road 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, F637the Office of Rail and Road may consult such persons as F189it thinks fit.

5

F637The Office of Rail and Road shall encourage, and may require, the use of any F190of its model clauses F191. . . in access contracts wherever F189it 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 F638the Office of Rail and RoadF192or is made pursuant to directions under section 22A or 22C below or Schedule 4A to this Act.

2

F638The Office of Rail and Road may, for the purposes of subsection (1) above, give the parties to any particular access agreement F193its 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

F638The Office of Rail and Road may, for the purposes of subsection (1) above, give F193its 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 F638the Office of Rail and Road gives or revokes a general approval under subsection (3) above, F194it shall publish the approval or revocation (as the case may be) in such manner as F194it 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 F639the Office of Rail and Road 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

F199“lease” has the same meaning as in section 17 above; and

b

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

F20022B 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.

F20122C Amendment: supplementary.

C241

F640The Office of Rail and Road may give directions requiring the parties to an access agreement to make to the access agreement amendments which are, in F202its opinion, necessary to give effect to the conditions of a licence or otherwise required in consequence of the conditions of a licence.

2

F640The Office of Rail and Road 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 F640the Office of Rail and Road,

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 F203appropriate designating authority from time to time to designate F204such 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 F203appropriate designating authority may perform F205its duty under subsection (1) above by designating particular services or services of a class or description.

F2062ZA

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.

F6972ZD

Where the Welsh Ministers designate Wales-only services, they may also designate Welsh components of Welsh services which—

a

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

b

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

2ZE

Nothing in this section requires the Secretary of State to designate a Welsh service so far as already designated by the Welsh Ministers.

F2072A

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.

F2082B

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

3

In this Part—

F209“the appropriate designating authority”—
1. a
  in relation to Scotland-only services, means the Scottish Ministers; F730...
2. aa
  F731in relation to Wales-only services, means the Welsh Ministers; and
3. 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; F699...
2. aa
  F700in relation to a Welsh franchise agreement to the extent that the franchised services under it are Wales-only services or Welsh components of Welsh services, means the Welsh Ministers;
3. ab
  in relation to a Welsh franchise agreement to the extent that the franchised services under it are services other than Wales-only services or Welsh components of Welsh services, means the Secretary of State;
4. b
  in relation to any other franchise agreement, means the Secretary of State;
“franchise agreement” means an agreement F698to which the Secretary of State, the Scottish Ministers or the Welsh Ministers is or are party, 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 F210appropriate 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 F210appropriate 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 F210appropriate 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 F210appropriate designating authority , after consultation with F641the Office of Rail and RoadF211. . . —

a

may either grant or refuse the exemption, whether wholly or to such extent as F212the appropriate designating authority may specify in the exemption; and

b

if and to the extent that F212the appropriate designating authority grants it, may do so subject to compliance with such conditions (if any) as F212the appropriate designating authority may so specify.

F2133A

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

F7323B

Before granting a franchise exemption in respect of a Welsh service, the Secretary of State must consult the Welsh Ministers.

4

Before granting a franchise exemption under subsection (3) above, the F210appropriate designating authority shall give notice—

a

stating that F214it proposes to grant the franchise exemption,

b

stating the reasons why F214it 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 F210appropriate 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 F215granted 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 F210appropriate designating authority may require the applicant to furnish F216it with such information as the F210appropriate designating authority may consider necessary to enable F216it 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.

F21712A

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.

F73312B

A statutory instrument containing an order under this section made by the Welsh Ministers is subject to annulment in pursuance of a resolution of the National Assembly for Wales.

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.

any other Passenger Transport ExecutiveF665, STB or local transport authority which—

a

is or was party to the operator agreement, or

b

is the owner, or one of the owners, of a relevant company which is or was party to the operator agreement;

iii

a relevant company;

iv

a person who is, or is to be, the operator under an operator agreement.

5

In this section—

“local transport authority” has the same meaning as in Part 2 of the Transport Act 2000 (see section 108(4) of that Act);
“operator agreement” means any agreement which a person who has the benefit of a franchise exemption may enter into for another person (“the operator”) to provide the services (or any part of the services) in respect of which the exemption is granted;
“Passenger Transport Executive” means a body which is such an Executive for the purposes of Part 2 of the Transport Act 1968;
“relevant company” means—
1. a
  a company that is wholly owned by a Passenger Transport ExecutiveF666, an STB or a local transport authority, or
2. b
  a company of which each owner is a Passenger Transport ExecutiveF667, an STB or a local transport authority.
F668“STB” means a sub-national transport body established under section 102E of the Local Transport Act 2008.

I4 C7225F669England and Wales: 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;

F218bb

the Greater London Authority;

F219bc

Transport for London;

c

any ~~F509metropolitan county passenger transport authority~~F509Integrated Transport Authority for an integrated transport area in England;

F513ca

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

F800cb

any combined county authority established under section 9 (1) of the Levelling-up and Regeneration Act 2023;

d

any body corporate whose members are appointed by a Minister of the Crown, a Government department, a local authorityF220, the Greater London Authority, Transport for London or ~~F683a metropolitan county passenger transport authority~~ F514, an Integrated Transport Authority for an integrated transport area in England F801, a combined authority or a combined county 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.

F5102

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.

F6702A

Subsection (1) does not prevent a public sector operator from being a franchisee in relation to a Scottish franchise agreement.

F2213

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

F2214

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

F2215

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

F2216

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

F2217

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

F2218

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

F2219

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

in the case of a statement prepared, altered or replaced by the Scottish Ministers, before the Scottish Parliament.

F22726ZA No adequate tender for franchise received.

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.

F22826B No adequate tenders for franchise.

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

but does not include any property, rights or liabilities which, in accordance with the terms of, or by an amendment made to, the franchise agreement, have for the time being ceased to be designated as franchise assets.

12

No rights or liabilities under contracts of employment shall be designated as franchise assets.

13

In this section “security” has the meaning given by section 248(b) of the M2Insolvency Act 1986.

F23514

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

F23515

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

28 Fares and approved discount fare schemes.

1

A franchise agreement may include provision with respect to the fares to be charged for travel by means of the franchised services.

2

Subject to the other provisions of this Act, if it appears to the F236appropriate franchising authority that the interests of persons who use, or who are likely to use, franchised services so require, F237it shall ensure that the franchise agreement in question contains any such provision as F237it may consider necessary for the purpose of securing that any fares, or any fares of a class or description, which are to be charged are, in F237its opinion, reasonable in all the circumstances of the case.

3

Every franchise agreement shall include provision requiring the franchise operator—

a

to participate in every approved discount fare scheme,

b

to charge fares, in cases to which such a scheme applies, at rates which are not in excess of the levels or, as the case may be, the maximum levels set by the scheme, and

c

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 F238, 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 F239appropriate 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.

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

F2427

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

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.

F24330 Duty of Authority in absence of franchise.

1

The F675relevant franchising authority shall provide, or secure the provision of, services for the carriage of passengers by railway where—

F679a

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

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 F674....

2

The duty in subsection (1) above in relation to any services ceases if the services F681begin to be provided again under a franchise agreement.

3

Subsection (1) above does not—

a

require the F675relevant franchising 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;

F682aa

require F738the Secretary of State or the Scottish Ministers to provide or secure the provision of a Welsh service where it appears to F739the Secretary of State or the Scottish Ministers (as the case may be) that the Secretary of State or the Scottish Ministers will not be receiving funds from F710the Welsh Ministers that are reasonably equivalent to those provided by F711the Welsh Ministers (whether directly to the previous franchisee or otherwise) in respect of the service provided by the previous franchisee;

ab

require the Secretary of State to provide or secure the provision of a service within the area of a Passenger Transport Executive where it appears to him that he will not be receiving funds from the Executive that are reasonably equivalent to those provided by that Executive (whether directly to the previous franchisee or otherwise) in respect of the service provided by the previous franchisee;

ac

require the Secretary of State to provide or secure the provision of a service that makes scheduled calls in Greater London where it appears to him that he will not be receiving funds from Transport for London that are reasonably equivalent to those that were provided by Transport for London (whether directly to the previous franchisee or otherwise) in respect of the service provided by the previous franchisee;

b

preclude it from F677making a proposal to which section 24 of the Railways Act 2005 (proposals to discontinue franchised or secured services) applies 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 F603proposal relates will (subject to F678subsections (7) and (8) of that section) terminate on F604the date for the discontinuance of services specified in the proposal; 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 F605subsection (3) of that section.

F6763A

For the purposes of this section the Secretary of StateF740, the Scottish Ministers and the Welsh Ministers shall each have power—

a

to provide or operate network services, station services or light maintenance services; or

b

to store goods or consign them from a place to which they have been carried by rail;

and the Scottish Ministers shall have power to provide Scotland-only services and cross-border servicesF741, and the Welsh Ministers shall have power to provide Wales-only services and Welsh components of Welsh services..

3B

In this section “relevant franchising authority” means the person who was the appropriate franchising authority in relation to the franchise agreement that has been terminated or otherwise come to an end.

F6803C

In this section—

“previous franchisee”, in relation to a railway passenger service, means the franchisee in relation to the franchise agreement under which the service was previously provided; F712...
F712...

and references in this section to a Passenger Transport Executive and to a service within the area of a Passenger Transport Executive are to be construed as they are to be construed for the purposes of section 13 of that Act.

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

F24432. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F24533. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

34 Passenger Transport Authorities and Executives: franchising.

F246. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .C26 C27

35 Termination and variation of section 20(2) agreements by the F247Authority.

F248. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .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.

F249. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

38 Proposals to discontinue franchised etc. passenger services.

F250. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

39 Notification of proposals to close operational passenger networks.

F251. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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

F252. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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

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

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

F254. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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

F255. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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

F256. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

45 Closure conditions: general.

F257. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

46 Variation of closure conditions.

F258. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

46A General determinations of minor closures.

F259. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

46B Notification of minor closures to Regulator.

F260. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

47 Withdrawal of bus substitution service.

F261. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

47A Objections to withdrawal of bus substitution service.

F262. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

47B Revocation or variation of bus substitution conditions.

F263. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

48 Experimental railway passenger services.

F264. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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

F265. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

C2950 Exclusion of liability for breach of statutory duty.

1

The obligations of the F266Secretary of State F742and of the Welsh Ministers and of the Scottish Ministers, so far as imposed by or under any provision of this Part—

a

F267. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

b

F268. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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

F267. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Supplementary powers of the Franchising Director etc.

F26951. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F27052. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F27153. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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

1

The F272Secretary of State F713, the Welsh Ministers or the Scottish Ministers—

a

in exercising or deciding whether or not to exercise any of F273his 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.

F2742

The Secretary of State F714, the Welsh Ministers 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 F275Secretary of State F715, the Welsh Ministers or the Scottish Ministers, means—
1. a
  any F276of the functions of the Secretary of State F724or of the Welsh Ministers or of the Scottish Ministers under sections 17 to 19, 23, 24, 26 to F27731F278. . . above;
2. b
  any power conferred on the F275Secretary of State F716, the Welsh Ministers or the Scottish Ministers under or by virtue of F279section 1(2) of the Railways Act 2005; and
3. c
  any other functions of the F275Secretary of State F716, the Welsh Ministers 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;
~~F280 “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 F673the Office of Rail and Road and the F345Authority

Annotations:

Amendments (Textual)

F673

Words in s. 55 cross-heading substituted (16.10.2015) by virtue of The Office of Rail Regulation (Change of Name) Regulations 2015 (S.I. 2015/1682), Sch. para. 1

F345

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))

C30 C7455 Orders for securing compliance.

1

Subject to subsections (2) to F281(5C) and section 56 below, where the appropriate F282authority is satisfied that a relevant operator is contravening, or is likely to contravene, any relevant condition or requirement, F282it 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 F283subsections (5) toF281(5C) below, where it appears to the appropriate F282authority—

a

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

b

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 F296section 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 F297authority” means—
1. a
  in relation to any relevant condition or requirement in the case of a licence holder, F298. . . , F299. . . F645the Office of Rail and Road;
2. aa
  F300in 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. ab
  F747in relation to a term of a Welsh franchise agreement, where the term relates solely to providing or securing the provision of a Wales-only service or a Welsh component of a Welsh service, the Welsh Ministers;
4. ac
  in relation to a term of a Welsh franchise agreement, where the term does not relate solely to providing or securing the provision of a Wales-only service or a Welsh component of a Welsh service, the Secretary of State;
5. ad
  in relation to a term of a franchise agreement that is not a Scottish franchise agreement or a Welsh franchise agreement, the Secretary of State;
6. ae
  in relation to a duty mentioned in subsection (11) which is imposed or arises in a Welsh case, the Welsh Ministers;
7. af
  in relation to a duty mentioned in subsection (11) which is imposed or arises in a case that is not a Scottish case or a Welsh case, the Secretary of State;
“final order” means an order under this section, other than a provisional order F301or 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
  F302in the case of a person under closure restrictions, any duty mentioned in subsection (11) to which he is subject;
F303“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 F304subsections F305(5ZA) and (10) above, “person under closure restrictions” means a personF306 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

a duty to comply with any requirement imposed under section 33(2)(i) of that Act (closure requirements imposed on operators); or

c

a duty to comply with conditions to which he has agreed under section 34(5) of that Act (conditions of minor modification determination).

F30711A

In the definition of “the appropriate authority” in subsection (10) above the reference to a relevant condition or requirement in the case of a person under Scottish closure restrictions is a reference to a relevant condition or requirement which—

a

falls within paragraph (c) of the definition in that subsection;

b

is imposed or arises in the case of a closure; and

c

is so imposed or so arises in a Scottish case;

F750...

11B

F751In this section, “a Scottish case”, in relation to a closure, means—

a

a case in which the Scottish Ministers are the national authority for the purposes of provisions of Part 4 of the Railways Act 2005 relating to the proposal for the closure;

b

a case in which it is the Scottish Ministers who make a determination under section 34 of that Act (minor modifications) in relation to the closure; or

c

a case in which the closure is a closure notice of which is given under section 37 of that Act (experimental passenger services) and the proposal relates to a Scotland-only service.

F74311C

In subsection (10) “a Welsh case”, in relation to a closure, means—

a

a case in which the Welsh Ministers are the national authority for the purposes of provisions of Part 4 of the Railways Act 2005 relating to the proposal for the closure;

b

a case in which it is the Welsh Ministers who make a determination under section 34 of that Act (minor modifications) in relation to the closure; or

c

a case in which the closure is a closure of which notice is given under section 37 of that Act (experimental passenger services) and the proposal relates to a Wales-only service.

F30812

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

C32 C7456 Procedural requirements F309for section 55 orders.

1

Before F310it makes a final order or confirms a provisional order, the appropriate F311authority shall give notice—

a

stating that F310it proposes to make or confirm the order and setting out its effect,

b

setting out—

i

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

ii

the acts or omissions which, in F312its opinion, constitute or would constitute contraventions of that condition or requirement, and

iii

the other facts which, in F312its opinion, justify the making or confirmation of the order, and

c

a

stating that F310it proposes to revoke the order and setting out the effect of its revocation, and

b

specifying the period (not being less than F31721 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 F311authority decides not to revoke the order to which the notice relates, F310it shall give notice of F312its 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.

C33 C7457 Validity and effect of F318section 55 orders.

1

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

a

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

b

9

In this section and F323sections 57F and 58 below “the court” means the High Court in relation to England and Wales and the Court of Session in relation to Scotland.

C74 C3457AF324 Penalties.

1

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

a

a relevant condition or requirement, or

b

a final or provisional order made by the appropriate authority,

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

C782

A penalty is payable

F325a

in the case of a penalty imposed by the Scottish Ministers, to them; F755...

F756aa

in the case of a penalty imposed by the Welsh Ministers, to them; and

b

in any other case, to the Secretary of State.

C783

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

F326Neither the Secretary of State nor the Scottish Ministers F757nor the Welsh Ministers shall impose a penalty on a licence holder or person under closure restrictions unless—

a

F758the Secretary of State, the Scottish Ministers or the Welsh Ministers (as the case may be) has or have given notice to F649the Office of Rail and Road specifying a period within which F327it may give notice to F328him or them if F327it considers that the most appropriate way of proceeding is under the M11Competition Act 1998;

b

that period has expired; and

c

F649the Office of Rail and Road has not given notice to F759the Secretary of State, the Scottish Ministers or the Welsh Ministers (as the case may be) within that period that F327it so considers (or, if F327it has, F327it has withdrawn it).

C78F5696

Before imposing a penalty under this section, F649the Office of Rail and Road shall consider whether it would be more appropriate to proceed under the Competition Act 1998.

C78F5697

F649The Office of Rail and Road shall not impose a penalty under this section if it considers that it would be more appropriate to proceed under the Competition 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.

F334 C36 C74 C8057C 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.

F336 C37 C7457D Time limits.

C811

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.

F337 C38 C74 C8257E 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 M12Judgments 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.

F338 C39 C74 C8357F Validity and effect of penalties.

1

If the relevant operator to whom a F339penalty 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.

C40 C7458 Power to require information etcF340for purposes of sections 55 and 57A.

1

Where it appears to the appropriate F341authority that a relevant operator F342may have contravened or be contravening—

a

a relevant condition or requirement, or

b

a final or provisional order made by the appropriate authority,

F354. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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 M17Insolvency 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 F355appropriate national authority ; and

ii

F356. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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 F355appropriate national authority , F357. . .

b

F357. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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 M18Insolvency 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 M19Insolvency 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 F355appropriate national authority ; and

ii

F358. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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 M20Insolvency Act 1986 has been made in the case of a protected railway company—

a

the F355appropriate national authority , F359. . .

b

F359. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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 M21Insolvency 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 F355appropriate national authority ; F360. . .

b

F360. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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 M22Insolvency Act 1986;
“security” and “property” have the same meaning as in the M23Insolvency 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 F361other than a Scottish protected railway companyF766or a Welsh 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;

F362b

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,F363. . . 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 F364 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.

64AF368Financial assistance by Scottish Ministers F726or Welsh Ministers

1

Where a railway administration order is for the time being in force in relation to a Scottish protected railway company F768or a Welsh protected railway company, the Scottish Ministers or the Welsh Ministers (as the case may be) 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 F769or the Welsh Ministers (as the case may be) may guarantee—

a

the repayment of the principal of any sum borrowed by a Scottish protected railway company F770or Welsh 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 F771or the Welsh Ministers (as the case may be) 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 F772or the Welsh Ministers (as the case may be) 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 F773or the Welsh Ministers (as the case may be) may from time to time direct.

6

The power of the Scottish Ministers F774and the Welsh 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 F775or the Welsh 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 F783the Scottish Ministers or the Welsh Ministers (as the case may be) —

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 F776or the Welsh 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 F777or the Welsh 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.

F5121

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 M24Insolvency 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

F369. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

2

F369. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

C48F3703

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

F371. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F3726

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.

67F520Competition functions of F652the Office of Rail and Road

F3731

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

C49 C50F3742

The functions to which subsection (2A) below applies shall be concurrent functions of F652the Office of Rail and Road and the F570CMA.

2A

This subsection applies to the functions of the F571CMA under Part 4 of the Enterprise Act 2002 (other than sections 166F573, 171 and 174E) so far as F574those functions—

a

are exercisable by the CMA Board (within the meaning of Schedule 4 to the Enterprise and Regulatory Reform Act 2013), and

b

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 F582the CMA are to be read as including a reference to F652the Office of Rail and Road (F379except in sections 31D(1) to (6), 38(1) to (6)F581, 40B(1) to (4) , 51, 52(6) and (8) and 54 of that Act and in any other provision of that Act where the context otherwise requires).

F380C514

Before the F579CMA or F652the Office of Rail and Road 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 F580CMA nor F652the Office of Rail and Road 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 F652the Office of Rail and Road, for the purpose of assisting F583a CMA group in carrying out an investigation on a reference falling within subsection (6) below, to give to the F584group —

a

any information which is in F381its possession and which relates to matters falling within the scope of the investigation and—

i

is requested by the F584group for that purpose; or

ii

is information which in F381its opinion it would be appropriate for that purpose to give to the F584group without any such request; and

b

any other assistance which the F584group may require and which it is within F381its power to give, in relation to any such matters;

and the F584group 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 F585market investigation reference made by F652the Office of Rail and Road (under section 131 of the Enterprise Act 2002) by virtue of subsection (2) F382or (3) above; and

b

any reference made to the F586CMA by the Secretary of State under section 11 of the 1980 Act, if the person who is the subject of the reference is—

i

F383. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

ii

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

F5876A

In subsection (5) “CMA group” has the same meaning as in Schedule 4 to the Enterprise and Regulatory Reform Act 2013.

7

A copy of any report of the F588CMAF384under section 136 or 142 of the Enterprise Act 2002 which relates to F385the supply of services relating to railways may be transmitted by the F589CMA to F652the Office of Rail and Road, notwithstanding that the reference F386. . . could not have been made by F652the Office of Rail and Road.

8

F592If any question arises as to whether subsection (2) or (3) above applies to any particular case , that question shall be referred to and determined by the Secretary of State; and no objection shall be taken to anything done under—

a

F387Part 4 of the Enterprise Act 2002, or

F388b

Part I of the Competition Act 1998 (F389other than sections 31D(1) to (6), 38(1) to (6)F593, 40B(1) to (4) and 51),

by or in relation to F652the Office of Rail and Road on the ground that it should have been done by or in relation to F590the CMA .

F3909

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 F652the Office of Rail and Road by virtue of subsection (2) above as if the references in section 117(1)(a) and (2) to the F591CMA included references to F652the Office of Rail and Road.

F39110

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

Other functions of F672the Office of Rail and Road

Annotations:

Amendments (Textual)

F672

Words in s. 68 cross-heading substituted (16.10.2015) by virtue of The Office of Rail Regulation (Change of Name) Regulations 2015 (S.I. 2015/1682), Sch. para. 1

C5268 Investigatory functions.

1

Subject to subsection (2) below, it shall be the duty of F653the Office of Rail and Road to investigate any alleged or apprehended contravention of—

a

a condition of a licence F392. . . , F393. . .

F394b

F4004

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

F40170. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

71 Publication of information and advice.

1

F655The Office of Rail and Road may arrange for the publication, in such form and in such manner as F402it considers appropriate, of such information and advice as it may appear to F402it 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 F655the Office of Rail and Road 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 F655the Office of Rail and Road, 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 F655the Office of Rail and Road, seriously and prejudicially affect the interests of that body.

3

F595The CMA shall consult F655the Office of Rail and Road before publishing under F403section 6 of the Enterprise Act 2002 any information or advice which may be published by F655the Office of Rail and Road under this section.

F407 Other functions of the Authority

Annotations:

Amendments (Textual)

F407

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.

F404. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

71BF405 Code of practice for protection of interests of rail users who are disabled.

1

The F406Secretary 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 F406Secretary of State shall consult the Disabled Persons Transport Advisory Committee established under section 125 of the M25Transport Act 1985.

Registers and reports of F671the Office of Rail and Road and the F456Authority

Annotations:

Amendments (Textual)

F671

Words in s. 72 cross-heading substituted (16.10.2015) by virtue of The Office of Rail Regulation (Change of Name) Regulations 2015 (S.I. 2015/1682), Sch. para. 1

F456

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))

C8672 Keeping of register by F656the Office of Rail and Road.

C531

F656The Office of Rail and Road shall, at such premises and in such form as F408it may determine, maintain a register F409. . . .

2

Subject to subsection (3) and to any direction given under subsection (4) below, F656the Office of Rail and Road shall cause to be entered in the register—

C54a

in relation to licences F410and F790railway undertaking licences, the provisions of—

C55i

every licenceF411, every licence exemption and every F790railway undertaking licence;

ii

every assignment of a licence of which notice is received by F656the Office of Rail and Road;

iii

every modification or revocation of a licence F412, everyF413requirement to modify conditions of a licence imposed on F656the Office of Rail and Road by the AuthorityF414, and every modification or revocation of a F790railway undertaking licence;

iv

every revocation of a licence exemption F415and every requirement to revoke a licence exemption imposed on F656the Office of Rail and Road by the Authority;

v

every requirement imposed, or consent or approval given, by F656the Office of Rail and Road under a licence F416or F790railway undertaking licence;

vi

every requirement imposed, or consent or approval given, under a licence by any person (other than F656the Office of Rail and Road) 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 F656the Office of Rail and Road pursuant to a condition of the licence;

vii

every final or provisional order F417made by F656the Office of Rail and Road in relation to a licence, every revocation of such an order and every notice given by F656the Office of Rail and Road under section 55(6) above that he is satisfied that he does not need to make such an order;

F418viii

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

F419ix

every penalty imposed by F656the Office of Rail and Road 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 F656the Office of Rail and Road to supply him with a copy of, or extract from, any part of the register, being a copy or extract which is certified by F656the Office of Rail and Road to be a true copy or extract.

9

The contents of the register shall be available for inspection at any time by the F427Authority, without payment of any fee; and the F427Authority may require F656the Office of Rail and Road, without payment of any fee, to supply F428itwith a copy of, or extract from, any part of the register, being a copy or extract which is certified by F656the Office of Rail and Road 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 F656the Office of Rail and Road under this section shall be paid into the Consolidated Fund.

73 Keeping of register by the F429Secretary of State.

1

The F429Secretary of State shall, at such premises and in such form as F430he may determine, maintain a register F431. . . .

2

Subject to F432subsections (3) and (4) below, the F429Secretary of State shall cause to be entered in the register F433(except so far as they are required to be entered in the register maintained under section 73A F778or the register maintained under section 73B below) the provisions of—

a

every franchise exemption;

b

every franchise agreement;

F434c

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

d

every amendment (however described) of a franchise agreement F435other 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.;

F436da

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 F437made by the F429Secretary of State in relation to F438. . . a franchise agreement F439or to any closure or proposed closure or to any closure requirement , every revocation of such an order and every notice given by the F429Secretary of State under section 55(6) above that F440he is satisfied that F440he does not need to make such an order;

F441f

every penalty imposed by the F429Secretary of State under section 57A above;

g

every statement of policy published by the F429Secretary of State under that section;

F442ga

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

h

F443. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

i

F443. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

j

F443. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

k

F443. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

l

F443. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

m

F443. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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.

F4443

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 F445he may decide not to enter that provision in the register.

5

F446. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

6

F446. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

7

The contents of the register shall be available for inspection at any time by F447the Scottish MinistersF779, the Welsh Ministers orF657the Office of Rail and Road, without payment of any fee; and F448the Scottish MinistersF779, the Welsh Ministers and F657the Office of Rail and Road may each require the F429Secretary 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 F429Secretary of State to be a true copy or extract.

F4348

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

73AF457Keeping 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 StateF780, the Welsh Ministers or F658the Office of Rail and Road.

7

The Secretary of StateF781, the Welsh Ministers and F658the Office of Rail and Road may each require the Scottish Ministers to supply F782him, them or it (as the case may be) 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.

73BF727Keeping of register by the Welsh Ministers

1

The Welsh Ministers must maintain a register.

2

The register must be kept in such form and at such premises as the Welsh Ministers determine.

3

Subject to subsections (4) and (5), the Welsh 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 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 as it relates to a Wales-only service or a Welsh component of a Welsh service, other than amendments which are unlikely to have a material effect on the provision of services under the agreement or on any 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 a decision not to make such an order;

k

every penalty imposed by them under section 57A;

l

every statement of policy published by them under section 57B.

4

The Welsh 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 Welsh 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 Welsh Ministers’ opinion, seriously and prejudicially affect the interests of that body.

5

If it appears to the Welsh 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, the Scottish Ministers or the Office of Rail and Road.

7

The Secretary of State, the Scottish Ministers and the Office of Rail and Road may each require the Welsh Ministers to supply them with a certified copy of a part of the register, or with a certified extract from it, free of charge.

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 Welsh Ministers to be a true copy or extract.

9 74 Annual and other reports of F659the Office of Rail and Road.

C611

F659The Office of Rail and Road shall, as soon as practicable F449after the end of each financial year,, make to the Secretary of State F718and the Welsh Ministers a report on—

a

his activities during that year; and

b

the F598CMA's activities during that year, so far as relating to references made by F659the Office of Rail and Road.

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 F450its functions;

F451b

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

c

a statement setting out any general directions given to F659the Office of Rail and Road during that year under section 69(2) above; F451. . .

d

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

C613

The Secretary of State shall lay a copy of every report made by F659the Office of Rail and Road 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.

F7173ZA

The Welsh Ministers must lay a copy of every report made to them under subsection (1) before the National Assembly for Wales and must arrange for copies to be published in such manner as they consider appropriate.

F4523A

Where a report is made by F659the Office of Rail and Road 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

F659The Office of Rail and Road may also prepare such other reports as F453it thinks fit with respect to any matter falling within the scope of F450its functions.

5

F659The Office of Rail and Road may arrange for copies of any report prepared under subsection (4) above to be published in such manner as F453it may consider appropriate.

6

In making or preparing any report under this section, F659the Office of Rail and Road 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.

F5977

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

8

In this section—

“financial year” means a period of twelve months ending with 31st March; and
F454. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

75 Annual reports of the Franchising Director.

F455. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

The F479F515Passengers’ Council and Rail Passengers’ Committees

Annotations:

Amendments (Textual)

F479

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)

F515

Words in s. 76 cross-heading substituted (25.2.2010) by The Passengers’ Council (Non-Railway Functions) Order 2010 (S.I. 2010/439), art. 1, Sch. para. 6(4)

C62 C63 C64 C7576F516General railway duties of Passengers’ Council .

1

It shall be the duty of F518the Passengers’ Council to investigate any matter which relates—

F458a

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 F518the Passengers’ Council by a user or potential user of railway passenger services and does not appear to F518the Passengers’ Council to be frivolous or vexatious;

b

the matter is referred to F518the Passengers’ Council by the F459Secretary of State; or

c

the matter appears to F518the Passengers’ Council to be one which it ought to investigate.

F4602A

If any matter falling within subsection (2)(a) appears to F518the 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 F518the 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

F4728

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

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; F473. . . .

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

77 General duties of F474Rail Passengers’ Committees.

F475. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

78 Functions under section 56 of the Transport Act 1962.

F4761

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

F4762

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

F4763

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

F4764

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

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.

F4766

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

F4767

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

79 Annual reports by the F477Rail Passengers’ Council and the Rail Passengers’ Committees.

F478. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Information

C67 C77 C8780 Duty of certain persons to furnish information to the F481Secretary of State, F684the Welsh Ministers, the Scottish Ministers or F661the Office of Rail and Road on request.

1

F482Licence holders shall be under a duty to furnish to the F481Secretary of State, F720the Welsh Ministers, the Scottish Ministers or F661the Office of Rail and Road in such form and manner as F483he, they or it may by notice request such information as F483he, they or it may so request, being information which the F481Secretary of State, F720the Welsh Ministers, the Scottish Ministers or F661the Office of Rail and Road considers necessary for the purpose of facilitating the performance of any F484functions of the Secretary of State, F720the Welsh Ministers, the Scottish Ministers or (as the case may be) that Office under this Part F485, 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.

F4861A

Holders of F791railway undertaking licencesF798, and holders of relevant European licences, shall be under a duty to furnish to F661the Office of Rail and Road in such form and manner as it may by notice request such information as it may so request, being information which F661the Office of Rail and Road considers necessary for the purpose of facilitating the performance of any of its functions under F792the Railway (Licensing of Railway Undertakings) Regulations 2005.

2

A request under subsection (1) F487or (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

F488If a request under subsection (1) above is not complied with, the F481Secretary of State, F720the Welsh Ministers, the Scottish Ministers or F661the Office of Rail and Road may serve a notice under subsection (4) below on the person from whom the information was requested under subsection (1) above.

F4893A

If a request under subsection (1A) above is not complied with, F661the Office of Rail and Road 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 F481Secretary of State, F720the Welsh Ministers, the Scottish Ministers or F661the Office of Rail and Road and—

a

requiring the person on whom it is served to produce, at a time and place specified in the notice, to the F481Secretary of State F721, the Welsh Ministers, the Scottish Ministers or F661the Office of Rail and Road 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. F490In 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 F4916

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

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 F481Secretary of State, F722the Welsh Ministers, the Scottish Ministers or F661the Office of Rail and RoadF492in the case of a request under subsection (1) above, or F661the Office of Rail and Road 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 M26Transport 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 M27Transport 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 M28Fair Trading Act 1973;
“the 1980 Act” means the M29Competition Act 1980;
“access agreement” means—
1. a
  an access contract F493which satisfies one of the conditions in paragraphs (a) to (c) of section 18(1) above; or
2. b
  an installation access contract F494which 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;

F495“appropriate authority” has the meaning given by section 55(10) above;
F496“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;
F497“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);
F498. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F499“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;
F500. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F599“the CMA” means the Competition and Markets Authority;
F501“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;
F498. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F502. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F793. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
“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;
F503“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;
F500. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F600. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
“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;
F794“railway undertaking licence” has the meaning given by section 6(2);
“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;
F799“relevant European licence” has the meaning given by section 6(2);
“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;
F504“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;
F505“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.
F723“Wales-only service” has the meaning given by section 57 of the Railways Act 2005;
“Welsh component of a Welsh service” has the meaning given by section 57 of the Railways Act 2005;
“Welsh franchise agreement” means a franchise agreement the franchised services under which consist of or include Wales-only services;
“Welsh protected railway company” has the meaning given by section 59(6)(d);
“Welsh service” has the meaning given by section 57 of the Railways Act 2005;

F5061A

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.

F5073

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

I8C68C69 Part I The Provision of Railway Services

Introductory

1 The Rail Regulator. . ..

2F2Passengers’ Committees.

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

I1C764 General duties of the Secretary of State and F610the Office of Rail and Road

C1C70C73C84C881

F8zb

a

b

F9ba

bb

c

d

e

f

g

C732

a

i

ii

b

i

ii

C733

a

b

C73F173A

a

b

c

C73F213B

a

b

C733C

F6853D

C734

C735

F24a

F25aa

ab

b

F28c

ca

cb

F29d

C73F315A

C735B

C735C

a

b

c

C735D

a

b

C736

7

F327ZA

a

b

F337A

7B

8

9

F395. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Licensing of operators of railway assets

I26 Prohibition on unauthorised operators of railway assets.

C2C71C85C891

a

b

F7951A

a

b

F7961B

2

F7862A

3

a

b

4

I8 C68 C69 Part I The Provision of Railway Services

I1 C764 General duties of the Secretary of State and F610the Office of Rail and Road

C1 C70 C73 C84 C881

C2 C71 C85 C891