Transport Act 2000

Changes over time for: Part IV

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Part IVU.K. Railways

Chapter IU.K. The Strategic Rail Authority

The AuthorityU.K.

201 The Authority.E+W+S

[F1(1)There shall be a body corporate known as the Strategic Rail Authority (but in this Part referred to as “the Authority”).

(2)The Authority shall not be regarded as the servant or agent of the Crown or as enjoying any status, immunity or privilege of the Crown; and its property shall not be regarded as property of, or held on behalf of, the Crown.]

Textual Amendments

F1Ss. 201-211 repealed (26.6.2005 for the repeal of s. 206, 1.12.2006 for the repeal of ss. 201-205, 207-211) by Railways Act 2005 (c. 14), s. 60(2), Sch. 13 Pt. 1 (with s. 14(4)(5), Sch. 11 para. 11(2)); S.I. 2005/1444, art. 2(2), Sch. 2; S.I. 2006/2911, Sch.

202 Membership and chairing.E+W+S

[F1(1)The Authority shall consist of—

(a)a member who is to chair it, and

(b)not fewer than seven, nor more than fourteen, other members.

(2)But the Secretary of State may by order alter either or both of the numbers for the time being specified in subsection (1); and an order under this subsection shall be made by statutory instrument which shall be subject to annulment in pursuance of a resolution of either House of Parliament.

(3)Both the member who is to chair the Authority and the other members shall be appointed by the Secretary of State; but the other members shall include—

(a)one person appointed by him after consultation with the Scottish Ministers, and

(b)one person appointed by him after consultation with the National Assembly for Wales.

(4)In making any appointment to membership of the Authority the Secretary of State shall have regard to the desirability of appointing a person who has experience of, and has shown capacity in, some matter relevant to the functions of the Authority.

(5)In making an appointment to membership after consultation with the Scottish Ministers or the National Assembly for Wales the Secretary of State shall also have regard to the desirability of appointing a person who is familiar with the special requirements and circumstances of Scotland, or of Wales.

(6)The Secretary of State shall consult the member appointed to chair the Authority before appointing any other person to membership of the Authority.]

Textual Amendments

203 Other senior appointments.E+W+S

[F1(1)The Secretary of State may, after consulting the member appointed to chair the Authority, appoint another of its members to act as deputy to that member.

(2)The Authority shall, with the approval of the Secretary of State, appoint a chief executive of the Authority.

(3)A person appointed as chief executive of the Authority shall (if not already a member of the Authority) be appointed as a member.]

Textual Amendments

204 Further provisions.U.K.

[F1Schedule 14 contains further provisions about the Authority.]

Textual Amendments

Purposes, strategies and exercise of functionsE+W+S

205 Purposes.E+W+S

[F1The purposes of the Authority are—

(a)to promote the use of the railway network for the carriage of passengers and goods,

(b)to secure the development of the railway network, and

(c)to contribute to the development of an integrated system of transport of passengers and goods.]

Textual Amendments

F1206 Strategies.E+W+S

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

Textual Amendments

207 Manner of exercise of functions.E+W+S

[F1(1)The Authority shall exercise its functions with a view to furthering its purposes and shall do so in accordance with any such strategies as it has formulated with respect to them (except when exercising the function of reviewing those strategies).

(2)In exercising its functions in accordance with subsection (1) the Authority shall act in the way best calculated—

(a)to protect the interests of users of railway services,

(b)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 measures designed to facilitate the making by passengers of journeys which involve the use of the services of more than one passenger service operator (including, in particular, arrangements for the issue and use of through tickets),

(e)to impose on the operators of railway services the minimum restrictions which are consistent with the performance of the Authority’s functions, and

(f)to enable persons providing railway services to plan the future of their businesses with a reasonable degree of assurance.

(3)In exercising its functions in accordance with subsections (1) and (2) the Authority shall have regard to—

(a)the need to protect all persons from dangers arising from the operation of railways (including, in particular, by taking into account any advice given by the Health and Safety Executive),

(b)the interests of persons who are disabled, and

(c)the effect on the environment of activities connected with the provision of railway services.

(4)The Authority shall secure that any grants or other payments or loans made by it, any guarantees given by it and any investment in bodies corporate by it are such as it reasonably considers will further its purposes (in accordance with any strategies which it has formulated) efficiently and economically.

(5)Subject to subsection (4), the Secretary of State may give the Authority—

(a)directions and guidance as to the manner in which it is to exercise any of its functions in order to comply with subsections (1) to (3), and

(b)directions not to exercise any of its functions in a particular manner (or not to do so without consulting, or obtaining the consent of, the Secretary of State).]

Textual Amendments

Modifications etc. (not altering text)

C1S. 207 excluded (1.2.2001) by 1996 c. 61, s. 42A (as inserted by 2000 c. 38, s. 252, Sch. 27 para. 55; S.I. 2001/57, art. 3, Sch. 2 Pt. I (subject to trransitional provision in Sch. 2 Pt. II))

208 Directions, guidance and advice by Scottish Ministers.E+W+S

[F1(1)The Scottish Ministers may give the Authority—

(a)directions and guidance in relation to services for the carriage of passengers by rail which start and end in Scotland and are provided under a franchise agreement,

(b)directions and guidance in relation to services for the carriage of passengers by rail which either start or end in Scotland, include sleeping facilities and are provided under a franchise agreement by a person who also provides services within paragraph (a), and

(c)advice in relation to services for the carriage of passengers by rail which either start or end in Scotland and are provided under a franchise agreement (other than services within paragraph (b)).

(2)The Authority shall not comply with any direction or have regard to any guidance given under subsection (1) to the extent that to do so would be inconsistent with any direction or guidance given under section 206(3) or 207(5) or with the Authority’s financial framework.

(3)The Authority need not comply with any direction or have regard to any guidance given under paragraph (b) of subsection (1) to the extent that to do so—

(a)would require the expenditure by the Authority of any money not provided to it out of the Scottish Consolidated Fund, or

(b)would adversely affect any railway services other than those mentioned in that subsection.]

Textual Amendments

Modifications etc. (not altering text)

C2S. 208 excluded (1.2.2001) by 1996 c. 61, s. 42A (as inserted by 2000 c. 38, s. 252, Sch. 27 para. 55; S.I. 2001/57, art. 3, Sch. 2 Pt. I (subject to transitional provision in Sch. 2 Pt. II))

209 Directions, guidance and advice: supplementary.E+W+S

[F1(1)Any direction or guidance to the Authority under this Act, or any advice given under section 208(1)(c), shall be published by the person by whom it is given in such manner as he considers appropriate.

(2)The Authority shall comply with any direction given to it under this Act (but subject to section 208(2) and (3)).

(3)In exercising its functions the Authority shall have regard to any guidance given to it under this Act (but subject to section 208(2) and (3)).

(4)The Authority—

(a)shall take note of any advice given under section 208(1)(c), and

(b)in exercising its functions, may have regard to that advice (but subject to subsections (2) and (3)).

(5)Any power to give a direction or guidance to the Authority under this Act includes power to vary or revoke the direction or guidance.]

Textual Amendments

210 Validity of transactions.E+W+S

[F1(1)A transaction entered into by the Authority is not invalidated merely by reason of a contravention by the Authority of a requirement imposed by section 207(1), (2), (3) or (4) or 209(2), (3) or (4)(a).

(2)Subsection (1) applies whether or not any person who entered into the transaction with the Authority enquired whether the Authority was acting in contravention of such a requirement.]

Textual Amendments

Securing provision of railway services and assets etc.E+W+S

211 Financial assistance etc.E+W+S

[F1(1)The Authority may enter into agreements or other arrangements—

(a)for the purpose of securing the provision, improvement or development by others of any railway services or railway assets, or

(b)for any other purpose relating to any railway or railway services.

(2)Agreements or other arrangements entered into under this section may provide for the Authority—

(a)to make grants or other payments or loans,

(b)to give guarantees, or

(c)to invest in bodies corporate,

on such terms and subject to any such conditions as the Authority considers appropriate.

(3)The Authority shall not enter into agreements or other arrangements under this section with—

(a)the franchise operator,

(b)the franchisee, or

(c)any servant, agent or independent contractor of the franchise operator or franchisee,

in respect of any services provided under a franchise agreement otherwise than in accordance with the provisions of the franchise agreement.

(4)The Authority shall not enter into agreements or other arrangements under this section for the purpose of securing the provision, improvement or development in Scotland of—

(a)services for the carriage of goods by railway, or

(b)facilities for or in connection with the carriage of goods by railway or the loading or unloading of goods carried or intended to be carried by railway,

if the Scottish Ministers have power to do so under section 249.

(5)Schedule 15 contains provision for the transfer to the Authority of certain property, rights and liabilities of the Secretary of State in consequence of sections 137 and 139 of the M1Railways Act 1993 being superseded by this section.

(6)In this section—

“facilities” includes track, rolling stock, depots, access roads and equipment for use in connection with the carriage, loading or unloading of goods, and
“railway” has its wider meaning.]

Textual Amendments

Marginal Citations

M11993 c. 43.

212 Securing of services by franchising.E+W+S

(1)In section 23 of the M2Railways Act 1993, in subsection (1) (duty of Authority to designate passenger services as eligible for provision under franchise agreements), for the words after “designate” substitute “ such 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)In that section, after subsection (2) insert—

“(2A)A designation may be varied or revoked; but a variation or revocation of the designation of particular services, or services of a class or description, shall not affect any franchise agreement previously entered into with respect to those services or services of that class or description.

(2B)The Authority shall publish designations, and any variations or revocations of designations, in such manner as it considers appropriate.”

(3)In section 26 of that Act (invitations to tender for franchise), after subsection (3) insert—

“(4)The directions which may be given under subsection (1) above (at any time when the Secretary of State considers it inappropriate that the person who is to be the franchisee under a franchise agreement should be selected after an invitation to tender) include—

(a)a direction that that person is to be the person specified in the direction, and

(b)a direction requiring the Authority to select that person in such manner as is so specified,

(as well as a direction authorising the Authority to select that person in such other manner as it may consider appropriate).

(5)The Secretary of State shall prepare and publish a statement of policy with respect to directions under subsection (1) above.

(6)The statement shall (in particular) contain the Secretary of State’s policy about—

(a)when he will consider giving a direction (including, in particular, when he will consider doing so in relation to a franchise agreement which is to replace an earlier franchise agreement before the end of its franchise term); and

(b)the sorts of direction which he will consider giving in particular circumstances.

(7)In deciding whether to give a direction, and (if so) what direction to give, the Secretary of State shall have regard to the statement of policy.

(8)The Secretary of State—

(a)may at any time alter or replace a statement of policy; and

(b)shall publish the altered or replacement statement.

(9)The Secretary of State shall undertake appropriate consultation when preparing, altering or replacing a statement of policy.

(10)When a statement of policy is prepared, altered or replaced, a copy of the statement shall be laid before each House of Parliament.”

F2(4). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(5)For section 30 of that Act substitute—

“30 Duty of Authority in absence of franchise.

(1)The Authority shall provide, or secure the provision of, services for the carriage of passengers by railway where—

(a)a direction not to seek to secure the provision of the services under a franchise agreement has been given to the Authority under section 26A or 26B above (and not revoked); or

(b)a franchise agreement in respect of the services is terminated or otherwise comes to an end but no further franchise agreement has been entered into in respect of the services (otherwise than because of such a direction).

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

(3)Subsection (1) above does not—

(a)require the Authority to provide or secure the provision of services if and to the extent that, in its opinion, adequate alternative railway passenger services are available;

(b)preclude it from giving notice under subsection (5) of section 38 below in relation to any of the services, in which case its duty under this section to secure the provision of the services to which the notice relates will (subject to subsections (5) and (6) of that section) terminate on the day specified in the notice in pursuance of paragraph (b) of that subsection; or

(c)preclude it from ceasing to provide or secure the provision of any of the services in any case falling within any of paragraphs (a) to (d) of subsection (2) of that section.”

(6)In section 18 of that Act (access agreements: contracts requiring approval of Regulator), after subsection (6) insert—

“(6A)The grounds on which the Regulator may reject, or approve subject to modifications, a proposed access contract submitted to him pursuant to subsection (5) above include that he 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 the Authority pursuant to its duty under section 30 below.”

Textual Amendments

F2S. 212(4) repealed (24.7.2005) by Railways Act 2005 (c. 14), s. 60(2), Sch. 13 Pt. 1 (with s. 14(4)(5), Sch. 11 para. 11(2)); S.I. 2005/1909, art. 2, Sch.

Commencement Information

I1S. 212 wholly in force at 1.2.2001, see s. 275(1)(2) and S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to the transitional provision and saving in Sch. 2 Pt. II)

Marginal Citations

M21993 c. 43.

F3213 Limited additional powers to provide railway services.E+W+S

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

Textual Amendments

F3S. 213 repealed (24.7.2005) by Railways Act 2005 (c. 14), s. 60(2), Sch. 1 para. 36(a), Sch. 13 Pt. 1 (with s. 14(4)(5), Sch. 11 para. 11(2)); S.I. 2005/1909, art. 2, Sch.

214 Securing provision of substitute bus and taxi services.E+W+S

(1)The Authority may secure the provision by other persons of services for the carriage of passengers by road, by means of public service vehicles or licensed taxis or private hire vehicles, where railway services have been temporarily interrupted or discontinued.

(2)Where it is not practicable for a service by road to correspond precisely to the railway service which has been interrupted or discontinued, it may deviate from the route of that railway service.

(3)Even where it is practicable for it to do so, the route and stopping places of a service by road provided where a railway service has been discontinued need not correspond precisely with the discontinued service so long as it broadly corresponds with the discontinued service in terms of the localities it serves.

(4)Before entering into any agreement with any person in pursuance of this section for the provision of a service by road in a case where a railway service has been discontinued, the Authority shall invite other persons to submit tenders to provide the service by road service for such period, and on such basis, as may be specified in the invitation to tender.

(5)Subsection (4)—

(a)does not apply in relation to an agreement for the provision of a service in a case where such a service provided under an agreement entered into by the Authority in pursuance of this section has been temporarily interrupted, and

(b)does not require the Authority to accept any tender submitted in response to an invitation to tender.

(6)In this section “licensed taxis or private hire vehicles” means—

(a)in England and Wales, vehicles licensed under section 37 of the M3Town Police Clauses Act 1847, section 6 of the M4Metropolitan Public Carriage Act 1869, section 48 of the M5Local Government (Miscellaneous Provisions) Act 1976 or section 7 of the M6Private Hire Vehicles (London) Act 1998 or under any similar enactment, and

(b)in Scotland, taxis or private hire cars licensed under section 10 of the M7Civic Government (Scotland) Act 1982.

(7)In this section—

“public service vehicles” has the meaning given by section 1 of the M8Public Passenger Vehicles Act 1981, and
“stopping places”, in relation to a service, means points at which passengers are taken up or set down in the course of the service.

Commencement Information

I2S. 214 wholly in force at 1.2.2001, see s. 275(1)(2) and S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to the transitional provision and saving in Sch. 2 Pt. II)

Marginal Citations

Functions of Franchising Director, Regulator and BoardU.K.

215 Assumption of functions of Franchising Director.U.K.

(1)Schedule 16 transfers to the Authority the functions of the Franchising Director.

(2)All the property, rights and liabilities of the Franchising Director (including any rights and liabilities relating to staff appointed by him) are by virtue of this section transferred to the Authority.

(3)Nothing in this Part affects the validity of anything done by or in relation to the Franchising Director.

(4)There may be continued by or in relation to the Authority anything (including legal proceedings) which is in the process of being done by or in relation to the Franchising Director when his functions, property, rights and liabilities are transferred to the Authority.

(5)Anything done by the Franchising Director which is in effect immediately before his functions, property, rights or liabilities are transferred to the Authority shall be treated as if done by the Authority.

(6)The Authority shall be substituted for the Franchising Director in private Acts, instruments made under Acts, other documents and legal proceedings.

(7)For the purposes of the M9Employment Rights Act 1996, where a person employed in the civil service of the state becomes an employee of the Authority by virtue of this section—

(a)his period of employment in the civil service of the state counts as a period of employment with the Authority, and

(b)the change of employment does not break the continuity of the period of employment.

(8)In consequence of the preceding provisions of this section the office of Franchising Director is abolished.

(9)If the Secretary of State determines that there are special circumstances which make it right that the person who is the Franchising Director immediately before the office is abolished should receive compensation, the Secretary of State shall pay to that person such compensation as may be determined by the Secretary of State.

Commencement Information

I3S. 215 wholly in force at 1.2.2001, see s. 275(1)(2) and S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to the transitional provision and saving in Sch. 2 Pt. II)

Marginal Citations

M91996 c. 18.

216 Assumption of certain functions of [F4Office of Rail Regulation].U.K.

Schedule 17 makes provision for the transfer to the Authority of certain functions of the [F4Office of Rail Regulation] and of associated property, rights and liabilities.

Textual Amendments

F4Words in s. 216 substituted (5.7.2004) by Railways and Transport Safety Act 2003 (c. 20), Sch. 2 para. 19(t)(ii); S.I. 2004/827, art. 4(g)

Commencement Information

I4S. 216 wholly in force at 1.2.2001; s. 216 not in force at Royal Assent see s. 275(1)(2); s. 216 in force (30.1.2001) for certain purposes by S.I. 2001/57, art. 2, Sch. 1; s. 216 in force (1.2.2001) in so far as it is not already in force by S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to the transitional provision and saving in Sch, 2 Pt. II)

217 Assumption of Board’s functions relating to transport police.U.K.

(1)Schedule 18 transfers to the Authority the functions of the Board relating to the British Transport Police and associated property, rights and liabilities.

(2)The Authority shall exercise its functions relating to the British Transport Police Force in such manner and to such extent as appears to the Authority to be best calculated to promote the efficiency and effectiveness of that Force; and section 207 does not apply to those functions.

Commencement Information

I5S. 217 wholly in force at 1.2.2001, see s. 275(1)(2) and S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to the transitional provision and saving in Sch. 2 Pt. II)

218 Functions relating to Board’s property.U.K.

(1)Schedule 19 makes provision for the transfer to the Authority of other property, rights and liabilities of the Board.

(2)Any property, rights and liabilities which are transferred to the Authority by virtue of Schedule 19 but are not required by the Authority for the discharge of any of its other functions shall be disposed of or otherwise dealt with by the Authority—

(a)in accordance with directions given to it by the Secretary of State, and

(b)subject to that, in the way which appears to the Authority most economic and efficient.

(3)For the purposes of subsection (2) (and subject to directions given to it by the Secretary of State), the Authority may (in particular)—

(a)retain and manage property,

(b)develop land with a view to disposing of it, and

(c)acquire land for the purpose of developing it with the land which it adjoins.

(4)Section 207 does not apply to the functions in subsections (2) and (3).

Other powersU.K.

F5219 Power to make bye-laws.E+W+S

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

Textual Amendments

F5S. 219 repealed (16.10.2005) by Railways Act 2005 (c. 14), s. 60(2), Sch. 1 para. 36(c), Sch. 13 Pt. 1 (with s. 14(4)(5), 46(4), Sch. 11 para. 11(2), Sch. 13 para. 2); S.I. 2005/2812, art. 2(1), Sch. 1

220 Power to make transfer schemes.U.K.

Schedule 21 makes provision for the making of transfer schemes by the Authority.

Commencement Information

I6S. 220 wholly in force at 1.2.2001, see s. 275(1)(2) and S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to the transitional provision and saving in Sch. 2 Pt. II)

221 Power to promote and oppose Bills.E+W+S

The Authority—

(a)may promote in Parliament Bills relating to railways, and

(b)may oppose any Bill in Parliament.

Commencement Information

I7S. 221 wholly in force at 1.2.2001, see s. 275(1)(2) and S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to the transitional provision and saving in Sch. 2 Pt. II)

222 Other incidental powers.E+W+S

(1)The Authority may do anything which it considers—

(a)is necessary or appropriate for or for facilitating, or

(b)is incidental or conducive to,

the exercise of any of its functions.

(2)In particular, the Authority may—

(a)enter into agreements,

(b)acquire or dispose of property,

(c)invest money,

(d)form bodies corporate or acquire or dispose of interests in bodies corporate, and

(e)promote or assist in the promotion of publicity.

(3)This section has effect subject to any provision of this Part, or of any other enactment, limiting the powers of the Authority.

Chapter IIU.K. Other provisions about railways

Directions to provide etc. railway facilitiesE+W+S

223 Regulator’s power to require provision etc. of railway facilities.E+W+S

In the M10Railways Act 1993, after section 16 insert—

“ Directions to provide, improve or develop railway facilitiesE+W+S

16A Provision, improvement and development of railway facilities.

(1)The Regulator may, on an application—

(a)made by the Authority, or

(b)made by any other person with the consent of the Authority,

give to the operator of a network, station or light maintenance depot a direction to provide a new railway facility if the Regulator considers him to be an appropriate person to provide the new railway facility.

(2)The Regulator may, on an application—

(a)made by the Authority, or

(b)made by any other person with the consent of the Authority,

give to a person who has an estate or interest in, or right over, an existing railway facility a direction to improve or develop the railway facility if the Regulator considers him to be an appropriate person to improve or develop the railway facility.

(3)The Authority’s consent to the making by any other person of an application under subsection (1) or (2) above may be given subject to compliance with conditions (and may be withdrawn if any condition is not complied with before the Regulator decides whether to give the direction).

16B Exemption of railway facilities from section 16A.

(1)The Secretary of State may, after consultation with the Regulator, by order grant exemption from subsection (1) or (2) of section 16A above (or from both of those subsections) 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)An exemption under subsection (1) above may be granted in respect of—

(a)railway facilities of a particular class or description, or

(b)a particular railway facility,

or in respect of part only of railway facilities of a particular class or description or a particular railway facility.

(3)An exemption under subsection (1) above may be granted generally, to persons of a particular class or description or to a particular person.

(4)If a person fails to comply with any condition subject to compliance with which an exemption was granted, the Secretary of State may give a direction declaring that the 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.

(5)Subject to subsection (4) above, an exemption, unless previously revoked in accordance with any term contained in the exemption, shall continue in force for such period as may be specified in, or determined by or under, the exemption.

(6)Exemptions may make different provision, or be granted subject to compliance with different conditions, for different cases.

16C Making of applications for directions.

(1)An application for a direction under section 16A above must be made to the Regulator in writing.

(2)The application must—

(a)specify the person to whom the direction would be given;

(b)state what it would require him to do; and

(c)give the applicant’s reasons for considering that person to be an appropriate person to do what the direction would require him to do.

(3)The applicant may at any time vary what the direction would require that person to do by giving to the Regulator notice in writing of the variation; but if the applicant is a person other than the Authority such a notice may only be given with the consent of the Authority.

(4)The application or notice of a variation may be accompanied by any written representations which the applicant wishes to make in relation to the direction.

16D Procedure for considering applications.

(1)When the Regulator has received the application or notice of a variation, he must—

(a)send a copy to the person specified in the application, the Authority (if it is not the applicant) and any other persons who the Regulator considers ought to be sent one; and

(b)invite them to make written representations within a period specified in the invitation.

(2)If the person specified in the application makes representations that he is not an appropriate person to do what the direction would require him to do, the Regulator must decide that issue in advance of considering any other matters which may be relevant in deciding whether to give the direction.

(3)If that person makes such representations but the Regulator decides that he is an appropriate person to do what the direction would require him to do, the Regulator must—

(a)notify him of that decision; and

(b)invite him to make written representations within a period specified in the invitation about any other matters which may be relevant in deciding whether to give the direction.

(4)The Regulator must—

(a)send the applicant a copy of any representations received by him in response to any invitation under subsection (1) or (3) above; and

(b)invite him to make further written representations within a period specified in the invitation.

(5)Subject to subsection (6) below, the Regulator may substitute as the applicant any other person if—

(a)the applicant,

(b)the other person, and

(c)the Authority (if it is neither the applicant nor the other person),

consent to the substitution.

(6)The applicant may, by giving notice in writing to the Regulator, withdraw or suspend the application at any time before the Regulator decides whether to give the direction.

(7)The Regulator may direct—

(a)the person specified in the application,

(b)the applicant, or

(c)any other person (apart from the Authority),

to provide him with any information required by him in order to decide whether to give the direction.

(8)If a person fails to comply with a direction under subsection (7) above, the High Court or the Court of Session may, on the application of the Regulator, make such order as it thinks fit for requiring the failure to be made good.

(9)Such an order may provide that all the costs or expenses of and incidental to the application shall be borne by—

(a)the person who failed to comply; or

(b)in the case of a company or other association, any officers who are responsible for the failure to comply.

16E Decisions on applications: adequate reward.

(1)The Regulator may only give a direction to a person under section 16A above to provide, improve or develop a railway facility if he is satisfied that the person will be adequately rewarded for providing, improving or developing the railway facility in accordance with the direction.

(2)In considering whether he is so satisfied the Regulator shall take into account (in particular)—

(a)any receipts obtained or likely to be obtained by the person (from the Authority, passengers, operators of railway services or any other persons) in connection with, or as a result of, the provision, improvement or development of the railway facility; and

(b)any other benefit obtained or likely to be obtained by him in consequence of its provision, improvement or development.

(3)Representations made by the applicant for a direction—

(a)under section 16C(4) above, or

(b)in response to an invitation under section 16D(4) above,

may, in particular, include representations as to matters which he considers the Regulator should take into account in deciding whether the person to whom the direction would be given would be adequately rewarded for doing what it would require him to do.

16F Other provisions about decisions.

(1)If the Regulator does not consider it right to give a direction under section 16A above in the terms applied for (or to reject the application), he may give a direction under that section in modified terms.

(2)The Regulator may include supplementary provisions in any direction under section 16A above, including (in particular)—

(a)provision adding detail (for instance, as to the time by which, or standard to which, the person to whom it is given is to do anything which it requires him to do); and

(b)provision imposing requirements on the applicant (for instance, to make arrangements for rewarding the person to whom the direction is given or to make payments to him).

(3)Before giving a direction under section 16A above which is in modified terms or includes supplementary provisions, the Regulator shall—

(a)notify his intention to give a direction to the applicant, the 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, the Regulator shall not give it.

(4)Whatever the Regulator’s decision on an application he shall notify the decision to—

(a)the person specified in the application;

(b)the applicant; and

(c)any other persons who he considers ought to be notified.

(5)The Regulator 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 he considers appropriate in respect of costs incurred in connection with the application.

16G 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 the Regulator—

(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 Authority if the Regulator 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)The Regulator may grant an application for the variation or revocation of a direction under section 16A above by the applicant for the direction or the Authority on condition that he or it secures that any such compensation as the Regulator 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.

16H Code of practice.

(1)The Regulator 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 he considers appropriate.

(2)The Regulator shall have regard to the code of practice in the exercise of his 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.

16I Supplementary.

(1)References in sections 16A to 16H above and this section to a railway facility include part of a railway facility.

(2)Nothing in any of those sections or a direction under section 16A above—

(a)limits any power of the Regulator under any other provision of this Act; or

(b)affects any obligation to provide a new railway facility, or to improve or develop an existing railway facility, arising otherwise than from such a direction.”

Commencement Information

I8S. 223 in force at 15.10.2005 by S.I. 2005/2862, art. 3

Marginal Citations

M101993 c. 43.

Objectives of Regulator and Secretary of StateE+W+S

224 Amendment of objectives.E+W+S

(1)Section 4 of the M11Railways Act 1993 (general duties of Regulator and Secretary of State) is amended as follows.

(2)In subsection (1) (objectives)—

(a)for “Secretary of State and the Regulator shall each” substitute “ Regulator shall ”,

F6(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(c)after paragraph (b) insert—

“(ba)to contribute to the development of an integrated system of transport of passengers and goods;

(bb)to contribute to the achievement of sustainable development;”,

and

(d)in paragraph (d) (promotion of competition in provision of railway services), insert at the end “ for the benefit of users of railway services ”.

(3)In subsection (2) (objectives)—

(a)for “Secretary of State and the Regulator shall each” substitute “ Regulator shall ”, and

(b)omit “the Secretary of State or, as the case may be,”.

(4)In subsection (3) (safety and the environment), for “Secretary of State and the Regulator shall each” substitute “ Regulator shall ”.

(5)After that subsection insert—

“(3A)Subsections (1) to (3) above shall have effect in relation to the Secretary of State as in relation to the Regulator, except that in their application to the Secretary of State—

(a)paragraph (za) of subsection (1) above shall be disregarded; and

(b)the references in each of the subsections to the functions transferred or assigned to the Secretary of State under or by virtue of this Part include only the functions transferred or assigned to him under or by virtue of sections 6 to 22 and 37 to 50 below.”

(6)In subsection (5) (additional duties of Regulator), for paragraph (a) (duty until 31st December 1996 to take account of guidance of Secretary of State) substitute—

“(a)to have regard to any general guidance given to him by the Secretary of State about railway services or other matters relating to railways;”.

(7)After subsection (7) insert—

“(7ZA)Any general guidance given by the Secretary of State to the Regulator about railway services or other matters relating to railways—

(a)shall be published by the Secretary of State in such manner as he considers appropriate; and

(b)may be varied or revoked.”

Textual Amendments

F6S. 224(2)(b) repealed (24.7.2005) by Railways Act 2005 (c. 14), s. 60(2), Sch. 13 Pt. 1 (with s. 14(4)(5), Sch. 11 para. 11(2)); S.I. 2005/1909, art. 2, Sch.

Commencement Information

I9S. 224 wholly in force at 1.2.2001, see s. 275(1)(2) and S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to the transitional provision and saving in Sch. 2 Pt. II)

Marginal Citations

M111993 c. 43.

Enforcement regimeU.K.

225 Penalties.U.K.

(1)In the M12Railways Act 1993, after section 57 insert—

“57A 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.

(2)A penalty is payable to the Authority.

(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)The Authority shall not impose a penalty on a licence holder or person under closure restrictions unless—

(a)it has given notice to the Regulator specifying a period within which he may give notice to it if he considers that the most appropriate way of proceeding is under the M13Competition Act 1998;

(b)that period has expired; and

(c)the Regulator has not given notice to the Authority within that period that he so considers (or, if he has, he has withdrawn it).

(6)The Regulator shall not impose a penalty if he is satisfied that the most appropriate way of proceeding is under the M14Competition Act 1998.

57B Statement of policy.

(1)The Authority and the Regulator shall each prepare and publish a statement of policy with respect to the imposition of penalties and the determination of their amount.

(2)A statement of policy may include provision for a decision whether to impose a penalty, or the determination of the amount of any penalty, in respect of the contravention of any relevant condition or requirement or order to be influenced by—

(a)the desirability of securing compliance with that relevant condition or requirement or order;

(b)the consequences or likely consequences of anything which has been or is being done or omitted to be done in contravention of that relevant condition or requirement or order; and

(c)the desirability of deterring contraventions of relevant conditions and requirements and final and provisional orders.

(3)In deciding whether to impose a penalty, and in determining the amount of any penalty, in respect of a contravention the Authority and Regulator shall have regard to any statement of its or his policy published at the time when the contravention occurred.

(4)The Authority and Regulator—

(a)may at any time alter or replace a statement of his or its policy; and

(b)shall publish the altered or replacement statement.

(5)The Authority and Regulator shall undertake appropriate consultation when preparing, altering or replacing a statement of policy.

(6)The Authority and Regulator shall publish a statement of policy in the manner that appears most suitable for bringing it to the attention of those likely to be affected by it.

(7)This section applies in relation to sums required to be paid by virtue of section 55(7A) above as to penalties, but as if—

(a)references to the imposition of penalties were to the inclusion in an order of a requirement to pay a sum;

(b)references to relevant conditions or requirements were omitted; and

(c)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.

57C 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)specifying the period (not being less than 21 days from the date of publication of the notice) within which representations or objections with respect to the proposed penalty may be made,

and shall consider any representations or objections which are duly made and not withdrawn.

(2)A notice under subsection (1) 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.

(3)Where the Regulator serves a copy of a notice under subsection (1) above on a licence holder, he shall also serve a copy on the Authority; and where the Authority so serves a copy of such a notice, it shall also serve a copy on the Regulator.

(4)The appropriate authority shall not modify a proposal to impose a penalty except—

(a)with the consent of the relevant operator;

(b)where the modifications consist of a reduction of the amount of the penalty or a deferral of the date by which it is to be paid; or

(c)after complying with the requirements of subsection (5) below.

(5)The requirements mentioned in subsection (4)(c) above are that the appropriate authority shall—

(a)give to the relevant operator such notice as appears to it requisite of its modified proposal;

(b)unless the proposed modifications are trivial, in that notice specify a period (not being less than seven days from the date of service of the notice) within which representations or objections with respect to the proposed modifications may be made; and

(c)consider any representations or objections which are duly made and not withdrawn.

(6)As soon as practicable after imposing a penalty, the appropriate authority shall give notice—

(a)stating that it has imposed a penalty on the relevant operator and its amount;

(b)setting out the relevant condition or requirement or order in question;

(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.

57D Time limits.

(1)No penalty may be imposed in respect of a contravention by a relevant operator—

(a)by virtue of paragraph (a) of subsection (1) of section 57A above in a case where no final or provisional order has been made in relation to the contravention, or

(b)by virtue of paragraph (b) of that subsection,

unless a copy of the notice relating to the penalty under section 57C(1) above is served on the relevant operator within two years of the time of the contravention.

(2)No penalty may be imposed in respect of a contravention by a relevant operator by virtue of section 57A(1)(a) above in a case where a final or provisional order has been made in relation to the contravention unless a copy of the notice relating to the penalty under section 57C(1) above is served on the relevant operator—

(a)within three months of the confirmation of the provisional order or the making of the final order; or

(b)where the provisional order is not confirmed, within six months of the making of the provisional order.

57E 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 M15Judgments 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.

57F Validity and effect of penalties.

(1)If the relevant operator to whom a penalty order 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.”

(2)In section 55 of that Act (orders for securing compliance), for subsection (8) substitute—

“(7A)The provision that may be made in a final or provisional order includes, in particular, provision requiring the relevant operator to pay to the Authority in the event of any specified contravention of the order 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 M16Judgments Act 1838.”

Commencement Information

I10S. 225 wholly in force at 1.2.2001, see s. 275(1)(2) and S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to the transitional provision and saving in Sch. 2 Pt. II)

Marginal Citations

226 Orders for securing compliance.U.K.

(1)In section 55 of the M17Railways Act 1993 (orders for securing compliance)—

(a)in subsection (5) (cases where order shall not be made or confirmed) omit paragraphs (b) and (c),

(b)after subsection (5A) insert—

“(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.”,

F7...

F7(c). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(2)In section 56 of that Act (procedural requirements about orders)—

(a)in subsection (1)(c) (requirement of at least 28 days’ notice for making representations or objections to proposed final order or proposed confirmation of provisional order), for “28” substitute “ 21 ”,

(b)in subsection (4)(b) (requirement of at least 28 days’ notice for making representations or objections to proposed modifications), for “in that notice specify the period (not being less than 28” substitute “ unless the proposed modifications are trivial, in that notice specify a period (not being less than seven ”, and

(c)in subsection (6)(b) (requirement of at least 28 days’ notice for making representations or objections to proposal to revoke order), for “28” substitute “ 21 ”.

Textual Amendments

F7S. 226(1)(c) and preceding word repealed (24.7.2005) by Railways Act 2005 (c. 14), s. 60(2), Sch. 13 Pt. 1 (with s. 14(4)(5), Sch. 11 para. 11(2)); S.I. 2005/1909, art. 2, Sch.

Commencement Information

I11S. 226 wholly in force at 1.2.2001, see s. 275(1)(2) and S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to the transitional provision and saving in Sch. 2 Pt. II)

Marginal Citations

M171993 c. 43.

Consultative committeesU.K.

227 Renaming of committees.E+W+S

F8(1). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(2)Schedule 22 makes amendments in consequence of subsection (1).

(3)References in private Acts, instruments made under Acts, other documents and legal proceedings to the Central Rail Users’ Consultative Committee shall have effect as references to the Rail Passengers’ Council F9... .

Textual Amendments

F8S. 227(1) repealed (24.7.2005) by Railways Act 2005 (c. 14), s. 60(2), Sch. 13 Pt. 1 (with s. 14(4)(5), Sch. 11 para. 11(2)); S.I. 2005/1909, art. 2, Sch.

F9Words in s. 227(3) repealed (24.7.2005) by Railways Act 2005 (c. 14), s. 60(2), Sch. 13 Pt. 1 (with s. 14(4)(5), Sch. 11 para. 11(2)); S.I. 2005/1909, art. 2, Sch.

Commencement Information

I12S. 227 wholly in force at 1.2.2001, see s. 275(1)(2) and S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to the transitional provision and saving in Sch. 2 Pt. II)

228 Extension of functions.E+W+S

(1)[F10Section 76] of the M18Railways Act 1993 (duties of Central Committee and consultative committees) [F10is amended] as follows.

(2)In subsection (1) F11..., for paragraph (a) (duty to investigate any matter which relates to the provision of railway passenger services by the Board or a subsidiary, under a franchise agreement or on behalf of the Franchising Director) substitute—

“(a)to the provision of railway passenger services, or”.

(3)In—

(a)subsection (5)(b) of section 76, F12...

F12(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(matters to be referred), after “that” insert “ a franchisee is contravening, or is likely to contravene, any term of the franchise agreement or that ”.

(4)After subsection (7) of section 76 insert—

“(7A)It shall also be the duty of the Rail Passengers’ Council, so far as it appears expedient from time to time to do so—

(a)to keep under review matters affecting the interests of the public in relation to railway passenger services and station services;

(b)to make representations to, and consult, such persons as they think appropriate about those matters; and

(c)to co-operate with other bodies representing the interests of users of public passenger transport services.

(7B)The Secretary of State may, after consultation with the Rail Passengers’ Council, make an order excluding services from the duties imposed by this section; and an order under this subsection—

(a)may exclude services of a particular class or description, particular services or services provided by a particular person;

(b)may provide that services are excluded subject to compliance with specified conditions; and

(c)may not revoke an exclusion except for breach of condition or in accordance with the order which made it.

(7C)The Secretary of State may, after consultation with the Rail Passengers’ Council, make an order providing that the duties imposed by this section apply to services of a particular class or description, particular services or services provided by a particular person—

(a)only to such extent as is specified by the order; or

(b)with such modifications as are so specified.”

F13(5). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

F10Words in s. 228(1) substituted (24.7.2005) by Railways Act 2005 (c. 14), s. 60(2), Sch. 12 para. 17(3); S.I. 2005/1909, art. 2, Sch.

F11Words in s. 228(2) repealed (24.7.2005) by Railways Act 2005 (c. 14), s. 60(2), Sch. 13 Pt. 1 (with s. 14(4)(5), Sch. 11 para. 11(2)); S.I. 2005/1909, art. 2, Sch.

F12S. 228(3)(b) and word repealed (24.7.2005) by Railways Act 2005 (c. 14), s. 60(2), Sch. 13 Pt. 1 (with s. 14(4)(5), Sch. 11 para. 11(2)); S.I. 2005/1909, art. 2, Sch.

F13S. 228(5) repealed (24.7.2005) by Railways Act 2005 (c. 14), s. 60(2), Sch. 13 Pt. 1 (with s. 14(4)(5), Sch. 11 para. 11(2)); S.I. 2005/1909, art. 2, Sch.

Commencement Information

I13S. 228 in force at 29.7.2003 by S.I. 2003/1694, art. 2

Marginal Citations

M181993 c. 43.

229 Financial and procedural changes.U.K.

Schedule 23 makes amendments of the provisions about the finances and procedures of consultative committees.

Commencement Information

I14S. 229 wholly in force at 1.2.2001, see s. 275(1)(2) and S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to the transitional provision and saving in Sch. 2 Pt. II)

Access agreementsU.K.

230 Regulator’s general approvals of access agreements etc.U.K.

(1)In subsection (1) of section 18 of the M19Railways Act 1993 (access contracts requiring approval of Regulator), after paragraph (b) insert “or

(c)the access contract is of a class or description specified in a general approval given by the Regulator;”;

and for the words from “which is” to the end substitute “ shall be void unless one of the conditions in paragraphs (a) to (c) above is satisfied. ”

(2)After subsection (7) of that section insert—

“(7A)Where the Regulator gives or revokes a general approval under subsection (1)(c) above, he 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.”

(3)In subsection (3) of section 19 of that Act (installation access contracts requiring approval of Regulator), after paragraph (b) insert “or

(c)the installation access contract is of a class or description specified in a general approval given by the Regulator;”;

and for the words from “which is” to the end substitute “ shall be void unless one of the conditions in paragraphs (a) to (c) above is satisfied. ”

(4)After subsection (5) of that section insert—

“(5A)Where the Regulator gives or revokes a general approval under subsection (3)(c) above, he shall publish the approval or revocation in such manner as he considers appropriate.

(5B)The revocation of a general approval given under subsection (3)(c) above shall not affect the continuing validity of any installation access contract to which it applied.”

(5)In section 72(2)(b)(v) of that Act (provisions of general approvals under section 22(3) to be entered in register kept by Regulator), after “section” insert “ 18(1)(c), 19(3)(c) or ”.

(6)In section 83(1) of that Act (interpretation), in the definition of “access agreement”—

(a)in paragraph (a), for “entered into pursuant to directions under section 17 or 18” substitute “ which satisfies one of the conditions in paragraphs (a) to (c) of section 18(1) ”, and

(b)in paragraph (b), for “entered into pursuant to directions under section 19” substitute “ which satisfies one of the conditions in paragraphs (a) to (c) of section 19(3) ”.

Commencement Information

I15S. 230 wholly in force at 1.2.2001, see s. 275(1)(2) and S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to the transitional provision and saving in Sch. 2 Pt. II)

Marginal Citations

M191993 c. 43.

231 Review of access charges by Regulator.U.K.

(1)In the M20Railways Act 1993, after section 19 insert—

“19A Review of access charges by Regulator.

Schedule 4A to this Act (which contains provision about the review of access charges by the Regulator) shall have effect.”

(2)After Schedule 4 to that Act insert, as Schedule 4A, the Schedule set out in Schedule 24 to this Act.

Marginal Citations

M201993 c. 43.

232 Amendment of access agreements.U.K.

(1)In subsection (1) of section 22 of the M21Railways Act 1993 (amendment of access agreement void unless approved by Regulator), insert at the end “ or is made pursuant to directions under section 22A or 22C below or Schedule 4A to this Act. ”

(2)After that section insert—

“22A Directions to require amendment permitting more extensive use.

(1)The Regulator may, on the application of the person permitted by an access agreement to use the whole or part of a railway facility or network installation, give directions requiring the parties to the access agreement to make to the agreement—

(a)amendments permitting more extensive use of the railway facility or network installation by the applicant; and

(b)any amendments which the Regulator considers necessary or desirable in consequence of those amendments.

(2)In subsection (1)(a) above “more extensive use” means—

(a)increased use for the purpose for which the applicant is permitted by the access agreement to use the railway facility or network installation, or

(b)(in the case of a railway facility) use for any other permitted purpose,

and if the applicant is permitted to use only part of the railway facility or network installation, includes use for the purpose for which he is permitted to use it, or (in the case of a railway facility) for any other permitted purpose, of any other part of the railway facility or network installation.

(3)In subsection (2) above “permitted purpose”, in relation to a railway facility, means a purpose for which directions may be given in relation to the railway facility under section 17 above.

(4)No directions shall be given under this section in relation to a railway facility if and to the extent that—

(a)the railway facility is, by virtue of section 20 above, an exempt facility; or

(b)performance of the access agreement as amended would necessarily involve the facility owner in being in breach of another access agreement or an international railway access contract.

(5)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 the Regulator 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)“international railway access contract” and “lease” have the same meaning as in section 17 above; and

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

22B 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.

22C Amendment: supplementary.

(1)The Regulator may give directions requiring the parties to an access agreement to make to the access agreement amendments which are, in his opinion, necessary to give effect to the conditions of a licence or otherwise required in consequence of the conditions of a licence.

(2)The Regulator 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 the Regulator,

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.”

Commencement Information

I16S. 232 wholly in force at 1.2.2001, see s. 275(1)(2) and S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to the transitional provision and saving in Sch. 2 Pt. II)

Marginal Citations

M211993 c. 43.

233 Prospective facility owners, proposed facilities etc.U.K.

(1)In section 17(6) of the M22Railways Act 1993 (directions requiring facility owners to enter into contracts for use of their railway facilities), in the definition of “facility owner”, after paragraph (b) insert “ but also includes a person before he becomes a facility owner; ”.

(2)In section 19 of that Act (contracts for use of installations comprised in a network)—

(a)in subsection (9), in the definition of “installation owner”, after paragraph (b) insert “ but also includes a person before he becomes an installation owner; ”, and

(b)in subsection (11), insert at the end “ and to one which is proposed to be constructed or is in the course of construction. ”

(3)In section 83 of that Act (interpretation of Part I), after subsection (1) insert—

“(1A)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.”

Commencement Information

I17S. 233 wholly in force at 1.2.2001, see s. 275(1)(2) and S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to the transitional provision and saving in Sch. 2 Pt. II)

Marginal Citations

M221993 c. 43.

ClosuresE+W+S

234 Transfer of Regulator’s functions to Secretary of State.E+W+S

(1)In sections 37(6), 38(5), 39(7), 40(5), 41(6) and 42(4) of the M23Railways Act 1993 (lodging of objections to proposed closures with Regulator), for “Regulator” substitute “ Secretary of State ”.

(2)In sections 37(9), 38(7), 39(10), 40(7), 41(9) and 42(6) of that Act, in the definition of “the final decision on the closure question”, for paragraphs (a) and (b) substitute “ the Secretary of State’s decision under section 43(9) below with respect to the proposed closure; ”.

(3)In section 43 of that Act (notification to, and functions of, Regulator)—

(a)for “Regulator” (in each place except subsection (11)) substitute “ Secretary of State ”,

(b)omit subsection (11) (time limit for making of decisions by Regulator), and

(c)in subsection (12), for “Secretary of State” substitute “ Regulator ”.

(4)Omit section 44 of that Act (reference of Regulator’s decisions to Secretary of State).

(5)In section 46 of that Act (variation of closure conditions)—

(a)in subsection (1), for “Regulator” substitute “ Secretary of State ” and omit the words from “, other than” to the end,

(b)in subsection (2), for “Regulator” substitute “ Secretary of State ” and for “Secretary of State” substitute “ Regulator ”, and

(c)omit subsection (3).

(6)In section 48 of that Act (experimental services)—

(a)in subsection (1), for “, 43 and 44” substitute “ and 43 ”, and

(b)in subsection (7), for “Regulator” substitute “ Secretary of State ”.

(7)In section 68 of that Act (investigatory functions of Regulator), omit subsection (1)(b) (duty to investigate contravention of condition of closure consent).

Commencement Information

I18S. 234 wholly in force at 1.2.2001, see s. 275(1)(2) and S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to the transitional provision and saving in Sch. 2 Pt. II)

Marginal Citations

M231993 c. 43.

235 Publication of proposed closures at stations.E+W+S

(1)In section 43 of the M24Railways Act 1993 (notification of proposed closures), after subsection (1) insert—

“(1A)The Authority shall also—

(a)send a copy of the notice to every person who is the operator of a station within the area affected; and