Part IU.K. The Provision of Railway Services

Modifications etc. (not altering text)

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

C2Pt. 1 (ss. 1-83) applied (S.) (27.4.2006) by Edinburgh Tram (Line Two) Act 2006 (asp. 6), s.78 (with s.75)

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

Commencement Information

I1Pt. I (ss. 1-83) applied (1.4.1994) by 1993 c. 43, ss. 36(2) (inserting s. 10(1)(viiia) in 1968 c. 73); S.I. 1994/571, art. 5

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

Enforcement by [F1the Office of Rail and Road] and the [F2Authority]E+W+S

Textual Amendments

F1Words 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

F2Words 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))

[F357A Penalties.E+W+S

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

(a)a relevant condition or requirement, or

(b)a final or provisional order made by the appropriate authority,

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

(2)A penalty is payable

[F4(a)in the case of a penalty imposed by the Scottish Ministers, to them; and

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

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

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

(5)[F5Neither the Secretary of State nor the Scottish Ministers shall] impose a penalty on a licence holder or person under closure restrictions unless—

(a)[F6the Secretary of State has or (as the case may be) those Ministers have] given notice to [F7the Office of Rail and Road] specifying a period within which [F8it] may give notice to [F9him or them] if [F8it] considers that the most appropriate way of proceeding is under the M1Competition Act 1998;

(b)that period has expired; and

(c)[F7the Office of Rail and Road] has not given notice to [F10the Secretary of State or (as the case may be) the Scottish Ministers] within that period that [F8it] so considers (or, if [F8it] has, [F8it] has withdrawn it).

[F11(6)Before imposing a penalty under this section, [F7the Office of Rail and Road] shall consider whether it would be more appropriate to proceed under the Competition Act 1998.]

[F11(7)[F7The 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.]]

Textual Amendments

F3Ss. 57A-57F inserted (1.2.2001) by 2000 c. 38, s. 225(1) (with Sch. 28 paras. 6-8, 17); S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to savings and transitional provisions in Sch. 2 Pt. II)

F4S. 57A(2)(a)(b) substituted (24.7.2005 for certain purposes and 16.10.2005 for certain further purposes and 1.12.2006 in so far as not already in force) for words by Railways Act 2005 (c. 14), ss. 1, 60, Sch. 1 para. 23(2); S.I 2005/1909, {art. 1}, Sch.; S.I. 2005/2812, art. 2(1), Sch. 1; S.I. 2006/2911, art. 2, Sch. (subject to the transitional and saving provisions in arts. 3-7)

F5Words in s. 57A(5) substituted (24.7.2005 for certain purposes and 16.10.2005 for certain further purposes and 1.12.2006 in so far as not already in force) by Railways Act 2005 (c. 14), ss. 1, 60, Sch. 1 para. 23(3)(a); S.I 2005/1909, {art. 1}, Sch.; S.I. 2005/2812, art. 2(1), Sch. 1; S.I. 2006/2911, art. 2, Sch. (subject to the transitional and saving provisions in arts. 3-7)

F6Words in s. 57A(5)(a) substituted (24.7.2005 for certain purposes and 16.10.2005 for certain further purposes and 1.12.2006 in so far as not already in force) by Railways Act 2005 (c. 14), ss. 1, 60, Sch. 1 para. 23(3)(b); S.I 2005/1909, {art. 1}, Sch.; S.I. 2005/2812, art. 2(1), Sch. 1; S.I. 2006/2911, art. 2, Sch. (subject to the transitional and saving provisions in arts. 3-7)

F8Word in s. 57A 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)

F9Words in s. 57A(5)(a) substituted (24.7.2005 for certain purposes and 16.10.2005 for certain further purposes and 1.12.2006 in so far as not already in force) by Railways Act 2005 (c. 14), ss. 1, 60, Sch. 1 para. 23(3)(b); S.I 2005/1909, {art. 1}, Sch.; S.I. 2005/2812, art. 2(1), Sch. 1; S.I. 2006/2911, art. 2, Sch. (subject to the transitional and saving provisions in arts. 3-7)

F10Words in s. 57A(5)(c) substituted (24.7.2005 for certain purposes and 16.10.2005 for certain further purposes and 1.12.2006 in so far as not already in force) by Railways Act 2005 (c. 14), ss. 1, 60, Sch. 1 para. 23(3)(c); S.I 2005/1909, {art. 1}, Sch.; S.I. 2005/2812, art. 2(1), Sch. 1; S.I. 2006/2911, art. 2, Sch. (subject to the transitional and saving provisions in arts. 3-7)

Modifications etc. (not altering text)

C4S. 57A applied (with modifications) (28.11.2005) by The Railway (Licensing of Railway Undertakings) Regulations 2005 (S.I. 2005/3050), reg. 15,{Sch. 3 para. 1(c)}

Marginal Citations