Railways Act 1993

55 Orders for securing compliance. E+W+S

(1) Subject to subsections (2) to [F1 (5C)] and section 56 below, where the appropriate [F2 authority] is satisfied that a relevant operator is contravening, or is likely to contravene, any relevant condition or requirement, [F2 it] 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 [F3 subsections (5) to][F1 (5C)] below, where it appears to the appropriate [F2 authority]—

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

(b) that it is requisite that a provisional order be made,

[F2 it] shall (instead of taking steps towards the making of a final order) by a provisional order make such provision as appears to [F2 it] requisite for the purpose of securing compliance with that condition or requirement.

(3) In determining for the purposes of subsection (2)(b) above whether it is requisite that a provisional order be made, the appropriate [F2 authority] shall have regard, in particular, to the extent to which any person is likely to sustain loss or damage in consequence of anything which, in contravention of the relevant condition or requirement, is likely to be done, or omitted to be done, before a final order may be made.

(4) Subject to [F3 subsections (5) to][F1 (5C)] and section 56 below, the appropriate [F2 authority] shall confirm a provisional order, with or without modifications, if—

(a) [F2 it] is satisfied that the relevant operator to whom the order relates is contravening, or is likely to contravene, any relevant condition or requirement; and

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

(5) The appropriate [F2 authority] shall not make a final order, or make or confirm a provisional order, in relation to a relevant operator if [F2 it] is satisfied—

(a) that the duties imposed on [F2 it] by section 4 [F4 above or, as the case may be, section 207 of the Transport Act 2000] preclude the making or, as the case may be, the confirmation of the order;

F5 (b) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F5 (c) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F6 (5ZA) [F7 Neither the Secretary of State nor the Scottish Ministers shall] make a final order, or make or confirm a provisional order, in relation to a licence holder or person under closure restrictions unless—

(a) [F8 the Secretary of State has or (as the case may be) those Ministers have]given notice to [F9 the Office of Rail Regulation] specifying a period within which [F10 it] may give notice to [F11 him or them] if [F10 it] considers that the most appropriate way of proceeding is under the M1 Competition Act 1998;

(b) that period has expired; and

(c) [F9 the Office of Rail Regulation] has not given notice to [F12 the Secretary of State or (as the case may be) the Scottish Ministers]within that period that [F10 it] so considers (or, if [F10 it] has, [F10 it] has withdrawn it).]

[F13 (5A) [F9 the Office of Rail Regulation]shall not make a final order, or make or confirm a provisional order, F14 . . . if [F2 it] is satisfied that the most appropriate way of proceeding is under the Competition Act 1998.]

[F15 (5B) If the appropriate authority is satisfied—

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

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

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

[F16 (5C) Neither the Secretary of State nor the Scottish Ministers shall be required, in respect of any contravention or apprehended contravention of the terms of a franchise agreement, to make a final order, or to make or to confirm a provisional order, if he considers or (as the case may be) they consider—

(a) that the contravention or apprehended contravention is trivial; and

(b) that it would be inappropriate, for that reason, to make or to confirm the order.

(5D) The appropriate authority must comply with subsection (6)—

(a) in a case where the appropriate authority is the Secretary of State or the Scottish Ministers, if that authority decides not to make a final order, or not to make or to confirm a provisional order, because of provision contained in subsection (5) or (5ZA) above; or

(b) in the case of the Office of Rail Regulation, if it decides not to make a final order, or not to make or to confirm a provisional order, because of provision contained in subsection (5), (5A) or (5B) above.]

[F17 (6) Where the appropriate authority must comply with this subsection, it must—

(a) serve notice of its decision on the relevant operator; and]

(b) publish the notice in such manner as [F2 it] considers appropriate for the purpose of bringing the matters to which the notice relates to the attention of persons likely to be affected by them.

(7) A final or provisional order—

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

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

(c) may be revoked at any time by the appropriate [F2 authority].

[F18 (7A) The provision that may be made in a final or provisional order includes, in particular, provision requiring the relevant operator to pay [F19 in the event of a specified contravention of the order—

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

(b) in any other case, to the Secretary of State,

such] reasonable sum in respect of the contravention as is specified in, or determined in accordance with, the order in such manner, at such place and by such date as is so specified or determined.

(7B) The amount of the sum may not exceed 10 per cent. of the turnover of the relevant operator determined in accordance with an order made by the Secretary of State; and an order under this subsection shall not be made unless a draft of the statutory instrument containing it has been laid before and approved by a resolution of each House of Parliament.

(7C) If the whole or any part of the sum is not paid by the date by which it is to be paid, the unpaid balance from time to time shall carry interest at the rate for the time being specified in section 17 of the M2 Judgments Act 1838.]

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

(10) In this Part—

• “the appropriate [F20 authority]” means—

  (a)

  in relation to any relevant condition or requirement in the case of a licence holder, F21 . . . , F22 . . . [F9 the Office of Rail Regulation] ;

  (aa)

  [F23 in relation to any relevant condition or requirement in the case of—

  (i)

  a franchisee under a Scottish franchise agreement,

  (ii)

  a franchise operator in relation to such an agreement, or

  (iii)

  a person under Scottish closure restrictions,

  the Scottish Ministers; and

  (b)

  in relation to any relevant condition or requirement in the case of—

  (i)

  a franchisee not falling within paragraph (aa)(i),

  (ii)

  a franchise operator not falling within paragraph (aa)(ii), or

  (iii)

  a person under closure restrictions that are not Scottish closure restrictions,

  the Secretary of State;]

• “final order” means an order under this section, other than a provisional order [F24 or 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—

  (a)

  in the case of a licence holder, any condition of his licence;

  (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;

  (c)

  in the case of a person under closure restrictions—

  (i)

  the duty under section 37(1), 39(1) or 41(1) above not to discontinue a railway passenger service, or the operation of the whole or any part of a network, station or light maintenance depot, before the date stated by him in accordance with section 37(3), 39(4) or 41(3) above; and

  (ii)

  the duty under section 48(3) above not to discontinue an experimental passenger service before the expiry of the notice period;

[F25 (d) in the case of a person (other than the Authority) who is required to comply with closure conditions or has agreed to comply with conditions under section 37(1), 39(1) or 41(1) above, any of those conditions;]

“relevant operator” means any licence holder, franchisee, franchise operator who is a party to the franchise agreement [F26 , person under closure restrictions or person who is required to comply with closure conditions or has agreed to comply with conditions under section 37(1), 39(1) or 41(1) above].

(11) In [F27 subsections [F28 (5ZA)]and (10)]above, “person under closure restrictions” means a person—

(a) who proposes a closure in circumstances such that he is required by any provision of this Part to give notice of the proposal to the [F29 Authority]; or

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

F30 (12) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

F1 Words in s. 55(1)(2)(4) substituted (24.7.2005) by Railways Act 2005 (c. 14), ss. 1, 60, Sch. 1 para. 21(2); S.I. 2005/1909, art. 2

F2 Words in s. 55(1)-(7) substituted (1.2.2001) by 2000 c. 38, s. 215, Sch. 16 para. 35(2); 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))

F3 Words in s. 55(2)(4) substituted (1.2.2001) by 2000 c. 38, s. 252, Sch. 27 para. 30(3); S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to savings and transitional provisions in Sch. 2 Pt. II)

F4 Words in s. 55(5)(a) substituted (1.2.2001) by 2000 c. 38, s. 252, Sch. 27 para. 30(4); S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to savings and transitional provisions in Sch. 2 Pt. II)

F5 S. 55(5)(b)(c) repealed (1.2.2001) by 2000 c. 38, ss. 226(1)(a), 274, Sch. 31 Pt. IV (with Sch. 28 paras. 9, 17); S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to savings and transitional provisions in Sch. 2 Pt. II)

F6 S. 55(5ZA) inserted (1.2.2001) by 2000 c. 38, s. 216, Sch. 17 para. 11(2); S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to savings and transitional provisions in Sch. 2 Pt. II)

F7 Words in s. 55(5ZA) substituted (24.7.2005 for certain purposes and 16.10.2005 for certain further purposes and otherwise prosp.) by Railways Act 2005 (c. 14), ss. 1, 60, Sch. 1 para. 21(4)(a); S.I 2005/1909, {art. 2}, Sch.; S.I. 2005/2812, art. 2(1), Sch. 1

F8 Words in s. 55(5ZA)(a) substituted (24.7.2005 for certain purposes and 16.10.2005 for certain further purposes and otherwise prosp.) by Railways Act 2005 (c. 14), ss. 1, 60, Sch. 1 para. 21(4)(b); S.I 2005/1909, {art. 2}, Sch.; S.I. 2005/2812, art. 2(1), Sch. 1

F9 Words in s. 55 substituted (5.7.2004) by Railways and Transport Safety Act 2003 (c. 20), ss. 16, 120, {Sch. 2 para. 3(a) Table}; S.I. 2004/827, art. 4(g)

F10 Word in s. 55 substituted (5.7.2004) by Railways and Transport Safety Act 2003 (c. 20), ss. 16, 120, {Sch. 2 para. 3(b) Table}; S.I. 2004/827, art. 4(g)

F11 Words in s. 55(5ZA)(a) substituted (24.7.2005 for certain purposes and 16.10.2005 for certain further purposes and otherwise prosp.) by Railways Act 2005 (c. 14), ss. 1, 60, Sch. 1 para. 21(4)(b); S.I 2005/1909, {art. 2}, Sch.; S.I. 2005/2812, art. 2(1), Sch. 1

F12 Words in s. 55(5ZA)(c) substituted (24.7.2005 for certain purposes and 16.10.2005 for certain further purposes and otherwise prosp.) by Railways Act 2005 (c. 14), ss. 1, 60, Sch. 1 para. 21(4)(c); S.I 2005/1909, {art. 2}, Sch.; S.I. 2005/2812, art. 2(1), Sch. 1

F13 S. 55(5A) inserted (1.3.2000) by 1998 c. 41, s. 66(5), Sch. 10 Pt. IV para. 15(6) (with s. 73); S.I. 2000/344, art. 2, Sch.

F14 Words in s. 55(5A) repealed (1.2.2001) by 2000 c. 38, s. 274, Sch. 31 Pt. IV; S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to savings and transitional provisions in Sch. 2 Pt. II)

F15 S. 55(5B) inserted (1.2.2001) by 2000 c. 38, s. 226(1)(b) (with Sch. 28 paras. 9, 17); S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to savings and transitional provisions in Sch. 2 Pt. II)

F16 S. 55(5C)(5D) inserted (24.7.2005 for certain purposes and 16.10.2005 for certain further purposes and otherwise prosp.) by Railways Act 2005 (c. 14), ss. 1, 60, Sch. 1 para. 21(5); S.I 2005/1909, {art. 2}, Sch.; S.I. 2005/2812, art. 2(1), Sch. 1

F17 S. 55(6): "words from the beginning to the end of paragraph (a)" substituted 24.7.2005 for certain purposes and 16.10.2005 for certain further purposes and otherwise prosp.) by virtue of Railways Act 2005 (c. 14), ss. 1, 60, Sch. 1 para. 21(6); S.I 2005/1909, {art. 2}, Sch.; S.I. 2005/2812, art. 2(1), Sch. 1

F18 S. 55(7A)(7B)(7C) substituted (1.2.2001) for s. 55(8) by 2000 c. 38, s. 225(2); S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to savings and transitional provisions in Sch. 2 Pt. II)

F19 Words in s. 55(7A) substituted 24.7.2005 for certain purposes and 16.10.2005 for certain further purposes and otherwise prosp.) by Railways Act 2005 (c. 14), ss. 1, 60, Sch. 1 para. 21(7); S.I 2005/1909, {art. 1}, Sch.; S.I. 2005/2812, art. 2(1), Sch. 1

F20 Words in s. 55(10) substituted (1.2.2001) by 2000 c. 38, s. 215, Sch. 16 para. 35(3); S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to savings and transitional provisions in Sch. 2 Pt. II) (which S.I. was amended by S.I. 2001/115, art. 2(2))

F21 S.55(10): words in definition of "the appropriate authority" repealed (24.7.2005) by Railways Act 2005 (c. 14), ss. 1, 59 60, Sch. 1 para. 21(4)(b), {Sch. 13 Pt. 1} (with s. 14(4)(5) Sch. 11 para. 11(2)); S.I 2005/1909, {art. 2}, Sch.

F22 Words in s. 55(10) repealed (1.2.2001) by 2000 c. 38, ss. 216, 274, Sch. 17 para. 26(a), Sch. 31 Pt. IV; S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to savings and transitional provisions in Sch. 2 Pt. II)

F23 S. 55(10): paras. (aa)(b) in definition of "the appropriate authority" substituted (24.7.2005 for certain purposes and 16.10.2005 for certain further purposes and otherwise prosp.) for para. (a) by Railways Act 2005 (c. 14), ss. 1, 60, Sch. 1 para. 21(8)(b); S.I. 2005/1909, art. 1, Sch. S.I. 2005/2812, {art. 2(1)}, Sch. 2

F24 S. 55(10): words in definition of "final order" inserted (24.7.2005) by Railways Act 2005 (c. 14), ss. 54, 60, Sch. 11 para. 7(2); S.I. 2005/1909, art. 2, Sch.

F25 S. 55(10): definition of

“relevant condition or requirement”

para. (d) inserted (1.2.2001) by 2000 c. 38, s. 236(3); S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to savings and transitional provisions in Sch. 2 Pt. II)

F26 S. 55(10): words in definition of

“relevant operator”

substituted (1.2.2001) by 2000 c. 38, s. 236(3); S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to savings and transitional provisions in Sch. 2 Pt. II)

F27 Words in s. 55(11) substituted (1.3.2000) by 1998 c. 41, s. 66(5), Sch. 10 Pt. IV para. 15(7)(b) (with s. 73); S.I. 2000/344, art. 2, Sch.

F28 Word in s. 55(11) substituted (1.2.2001) by 2000 c. 38, s. 216, Sch. 17 para. 11(4); S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to savings and transitional provisions in Sch. 2 Pt. II)

F29 Words in s. 55(11) substituted (1.2.2001) by 2000 c. 38, s. 215, Sch. 16 para. 35(4); S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to savings and transitional provisions in Sch. 2 Pt. II) (which S.I. was amended by S.I. 2001/115, art. 2(2))

F30 S. 55(12) repealed (1.2.2001) by 2000 c. 38, ss. 252, 274, Sch. 27 para. 30(5), Sch. 31 Pt. IV; S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to savings and transitional provisions in Sch. 2 Pt. II)

Modifications etc. (not altering text)

C1 S. 55 applied (with modifications) (28.11.2005) by The Railway (Licensing of Railway Undertakings) Regulations 2005 (S.I. 2005/3050), reg. 14, Sch. 3 para. 1(c)

C2 S. 55(5)(a) modified (28.1.2005) by The Railway (Licensing of Railway Undertakings) Regulations 2005 (S.I. 2005/3050), reg. 14, Sch. 3 para. 6

Marginal Citations

M1 1998 c. 41.

M2 1838 c. 110.