Railways Act 1993
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The Secretary of State shall appoint— for the purpose of carrying out the functions assigned or transferred to the Regulator, or (as the case may be) the Franchising Director, by or under this Act.
an officer to be known as “the Rail Regulator” (in this Act referred to as “the Regulator”), and
an officer to be known as “the Director of Passenger Rail Franchising” (in this Act referred to as “the Franchising Director”),
An appointment of a person to hold office as the Regulator or the Franchising Director shall be for a term not exceeding five years; but previous appointment to either of those offices shall not affect eligibility for re-appointment (or for appointment to the other of them).
The Secretary of State may remove any person from office as the Regulator or the Franchising Director on the ground of incapacity or misbehaviour.
Subject to subsections (2) and (3) above, a person appointed as the Regulator or the Franchising Director shall hold and vacate office as such in accordance with the terms of his appointment.
The Franchising Director shall be a corporation sole by the name of “The Director of Passenger Rail Franchising”.
The provisions of Schedule 1 to this Act shall have effect with respect to the Regulator and the Franchising Director.
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The Area Transport Users Consultative Committees established under section 56 of the Transport Act 1962 are hereby abolished and the London Regional Passengers' Committee established under section 40 of the London Regional Transport Act 1984 (which is treated by virtue of section 41 of that Act as such a committee for certain purposes) shall accordingly cease to be treated as one of those committees for any purpose.
The Regulator shall establish a number of committees, not exceeding nine at any one time, to be known as Rail Users' Consultative Committees (in this Part referred to as “consultative committees”).
There shall be one consultative committee for Scotland, and one for Wales.
In addition to the consultative committees established under subsection (2) above, the London Regional Passengers' Committee shall be treated as the consultative committee for the Greater London area for all purposes of this Part other than— and references in this Part to a consultative committee shall be construed accordingly.
subsections (2) and (3) above and subsections (6) to (8) below;
section 79 below; and
Schedule 2 to this Act;
Subject to subsections (3) and (4) above—
each consultative committee shall be appointed for such area as the Regulator may from time to time assign to it; and
the Regulator shall so assign areas to consultative committees as to secure that every place in Great Britain forms part of the area of a consultative committee, and that no place forms part of the area of two or more consultative committees.
Each consultative committee established under subsection (2) above shall consist of—
a chairman appointed by the Secretary of State after consultation with the Regulator; and
such other members, being not less than ten nor more than twenty in number, as the Regulator may from time to time appoint, after consultation with the Secretary of State and the chairman.
The chairman and other members of a consultative committee established under subsection (2) above shall hold and vacate office in accordance with the terms of the instruments appointing them and shall, on ceasing to hold office, be eligible for re-appointment.
The provisions of Schedule 2 to this Act shall have effect with respect to each of the consultative committees established under subsection (2) above.
Unless the Secretary of State, after consultation with the Regulator, otherwise directs, “the Greater London area” means, for the purposes of this section, the area for which, immediately before the coming into force of this section, the London Regional Passengers' Committee was treated, by virtue of section 41(1) of the London Regional Transport Act 1984, as the Area Transport Users Consultative Committee for the purposes there mentioned.
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The Central Transport Consultative Committee for Great Britain, established under section 56 of the Transport Act 1962, is hereby abolished.
There shall be a committee, to be known as the Central Rail Users' Consultative Committee (in this Part referred to as “the Central Committee”).
The Central Committee shall consist of—
a chairman, appointed by the Secretary of State after consultation with the Regulator;
every person who for the time being holds office as chairman of a consultative committee established under section 2(2) above or as chairman of the London Regional Passengers' Committee; and
not more than six other members, appointed by the Regulator after consultation with the Secretary of State and the chairman.
The chairman of the Central Committee and any members appointed under subsection (3)(c) above shall hold and vacate office in accordance with the terms of the instruments appointing them and shall, on ceasing to hold office, be eligible for re-appointment.
The provisions of Schedule 3 to this Act shall have effect with respect to the Central Committee.
The Office of Rail and Road shall have a duty to exercise the functions assigned or transferred to it under or by virtue of this Part or the Railways Act 2005 that are not safety functions in the manner which it considers best calculated—
otherwise to protect the interests of users of railway services;
to promote improvements in railway service performance;
to promote the use of the railway network in Great Britain for the carriage of passengers and goods, and the development of that railway network, to the greatest extent that it considers economically practicable;
to promote efficiency and economy on the part of persons providing railway services;
to promote competition in the provision of railway services for the benefit of users of railway services;
to contribute to the development of an integrated system of transport of passengers and goods;
to promote measures designed to facilitate the making by passengers of journeys which involve use of the services of more than one passenger service operator;
to contribute to the achievement of sustainable development;
to impose on the operators of railway services the minimum restrictions which are consistent with the performance of its functions under this Part or the Railways Act 2005 that are not safety functions;
to enable persons providing railway services to plan the future of their businesses with a reasonable degree of assurance.
Without prejudice to the generality of subsection (1)(a) above, the Office of Rail and Road shall have a duty, in particular, to exercise the functions assigned or transferred to it under or by virtue of this Part or the Railways Act 2005 that are not safety functions in the manner which it considers is best calculated to protect—
the interests of users and potential users of services for the carriage of passengers by railway provided by a private sector operator otherwise than under a franchise agreement, in respect of— . . . ; and
the prices charged for travel by means of those services, and
the quality of the service provided,
the interests of persons providing services for the carriage of passengers or goods by railway in their use of any railway facilities which are for the time being vested in a private sector operator, in respect of—
the prices charged for such use; and
the quality of the service provided.
The Office of Rail and Road shall be under a duty in exercising the functions assigned or transferred to it under or by virtue of this Part or the Railways Act 2005 that are not safety functions—
to take into account the need to protect all persons from dangers arising from the operation of railways, . . . ; and
to have regard to the effect on the environment of activities connected with the provision of railway services.
The Secretary of State shall also be under a duty, in exercising the functions assigned or transferred to him under or by virtue of this Part or the Railways Act 2005, to promote the award of franchise agreements to companies in which qualifying railway employees have a substantial interest, “qualifying railway employees” meaning for this purpose persons who are or have been employed in an undertaking which provides or provided the services to which the franchise agreement in question relates at a time before those services begin to be provided under that franchise agreement.
Subsections (1) to (3) above shall have effect in relation to the Secretary of State as in relation to the Office of Rail and Road except that in their application to the Secretary of State—
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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 . . . below and
the references in each of the subsections to the functions transferred or assigned under or by virtue of the Railways Act 2005 include only the functions transferred or assigned to the Secretary of State under or by virtue of the provisions of Part 4 of that Act other than section 39.
The Office of Rail and Road shall also be under a duty in exercising the functions assigned or transferred to it under this Part or the Railways Act 2005 that are not safety functions—
to have regard to any general guidance given to it by the Secretary of State about railway services or other matters relating to railways;
to act in a manner which it considers will not render it unduly difficult for persons who are holders of network licences to finance any activities or proposed activities of theirs in relation to which the Office of Rail and Road has functions under or by virtue of this Part or that Act (whether or not the activities in question are, or are to be, carried on by those persons in their capacity as holders of such licences); . . .
to have regard to any general guidance given to it by the Scottish Ministers about railway services wholly or partly in Scotland or about other matters in or as regards Scotland that relate to railways;
to have regard to the funds available to the Secretary of State for the purposes of his functions in relation to railways and railway services;
in having regard to any guidance falling within paragraph (aa), to give what appears to it to be appropriate weight to the extent (if any) to which the guidance relates to matters in respect of which expenditure is to be or has been incurred by the Scottish Ministers;
to have regard to any notified strategies and policies of the Welsh Ministers, so far as they relate to Welsh services or to any other matter in or as regards Wales that concerns railways or railway services;
to have regard to the ability of the Welsh Ministers to carry out the functions conferred or imposed on them by or under any enactment;
to have regard to the ability of the Mayor of London, . . . and Transport for London to carry out the functions conferred or imposed on them by or under any enactment
Subsections (1) to (3) above shall have effect in relation to the Scottish Ministers as in relation to the Office of Rail and Road except that, in relation to those Ministers—
the references in each of the subsections to functions transferred or assigned to those Ministers under or by virtue of Part 1 of this Act include only the functions transferred or assigned under or by virtue of sections 16A to 16G of this Act; and
the references in each of the subsections to the functions transferred or assigned under or by virtue of the Railways Act 2005 include only the functions transferred or assigned to those Ministers under or by virtue of Part 4 of that Act.
In performing its duty under subsection (1)(a) above so far as relating to services for the carriage of passengers by railway or to station services, the Office of Rail and Road shall have regard, in particular, to the interests of persons who are disabled.
Subsections (1) to (3) above shall have effect in relation to the Welsh Ministers as in relation to the Office of Rail and Road except that, in relation to the Welsh Ministers, the references in each of the subsections to functions transferred or assigned under or by virtue of Part 1 of this Act or the Railways Act 2005 include only the functions transferred or assigned to the Welsh Ministers under or by virtue of the provisions of Part 4 of that Act of 2005 other than section 39.
Without prejudice to the generality of paragraph (e) of subsection (1) above, any arrangements for the issue and use of through tickets shall be regarded as a measure falling within that paragraph.
The reference in subsection (3C) to functions transferred to the Welsh Ministers under or by virtue of Part 4 of the Railways Act 2005 includes a reference to functions which were transferred to the National Assembly for Wales under or by virtue of that Part and which became functions of the Welsh Ministers by virtue of paragraph 30 of Schedule 11 to the Government of Wales Act 2006.
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the expression includes a monopoly situation which is limited to the passenger transport market in some part of the United Kingdom; and
in the application of section 7 of the 1973 Act (monopoly situation in relation to the supply of services) for the purposes of paragraph (a) above, references in that section to the United Kingdom shall accordingly be taken to include references to a part of the United Kingdom.
In this section—
“the facility owner” means the facility owner mentioned in section 17(1) of this Act;
“prescribed” means prescribed by regulations made by the Secretary of State;
“the railway administration order provisions of this Act” means this section, sections 60 to 65 below and Schedules 6 and 7 to this Act.
a wholly owned subsidiary of the Board; or
“station services” means any service which consists of, or is comprised in, the provision or operation of a station;
“railway asset” has the meaning given by section 6(2) above;
“mixed activity” means any activity which is carried on by a person who is both a licence holder and a licence exempt operator and which is carried on by him in part as a licensed activity and in part as a licence exempt activity.
“relevant person”, in the case of any ... exemption, means a person who has the benefit of the ... exemption and who—
a ticket which is valid for a journey which involves use of the services of more than one passenger service operator; or
Before giving any guidance for the purposes of subsection (5)(a) above the Secretary of State must consult the Welsh Ministers.
In exercising its safety functions, other than its functions as an enforcing authority for the purposes of the Health and Safety at Work etc. Act 1974, the Office of Rail and Road shall be under a duty to have regard to any general guidance given to it by the Secretary of State.
In performing its duties under subsections (1) to (5A) above in relation to— the Office of Rail and Road must have regard, in particular, to the interests, in securing value for money, of the persons mentioned in paragraphs (a) and (b) above, of the persons who make available the resources and other funds mentioned in that subsection and of the general public.
any matter affecting the interests of users or potential users of railway services,
any matter affecting the interests of persons providing railway services, or
any matter not falling within paragraph (a) or (b) but falling within subsection (5D),
A matter falls within this subsection if the Office of Rail and Road has been informed that— are or are likely to become available to be applied for purposes connected with that matter.
public financial resources (within the meaning of paragraph 1D of Schedule 4A to this Act), or
funds that do not comprise such resources but are provided in whole or in part by Transport for London, the Welsh Ministers, a Passenger Transport Executive or any other body in receipt of such resources,
Where any general guidance is given to the Office of Rail and Road for the purposes of subsection (5)(a) or (aa) or (5B)—
it may be varied or revoked by the person giving it at any time; and
the guidance, and any variation or revocation of the guidance, must be published by that person in such manner as he considers appropriate.
Subsections (1) to (6) above do not apply in relation to anything done by the Office of Rail and Road in the exercise of functions assigned to it by section 67(3) below (“Competition Act functions”).
The Office of Rail and Road may nevertheless, when exercising any Competition Act function, have regard to any matter in respect of which a duty is imposed by any of subsections (1) to (6) above, if it is a matter to which the CMA could have regard when exercising that function.
It shall be the duty of the Franchising Director to exercise any functions assigned or transferred to him under or by virtue of this Act in the manner which he considers best calculated—
to fulfil, in accordance with such instructions and guidance as may be given to him from time to time by the Secretary of State, any objectives given to him from time to time by the Secretary of State with respect to—
the provision of services for the carriage of passengers by railway in Great Britain; or
the operation of additional railway assets under or by virtue of any franchise agreement or any provision of sections 30 and 37 to 49 below;
to ensure that any payments to which this paragraph applies are such as he reasonably considers will achieve economically and efficiently any objectives given to him by the Secretary of State under paragraph (a) above.
The payments to which paragraph (b) of subsection (1) above applies are—
any payments which the Franchising Director may be required to make pursuant to a franchise agreement;
any payments which the Franchising Director may make with a view to securing— in pursuance of any provision of sections 30, 37 to 42 and 52 below; and
the provision of any services, or
the operation of any network, station or light maintenance depot, or any part of a network, station or light maintenance depot,
any payments which it falls to the Franchising Director to make to passenger service operators as mentioned in section 136(7) below.
Where the Secretary of State gives the Franchising Director any objectives under subsection (1)(a) above, the Secretary of State shall—
lay a copy of a statement of those objectives before each House of Parliament; and
arrange for copies of that statement to be published in such manner as he may consider appropriate.
Any person who acts as the operator of a railway asset is guilty of an offence unless—
he is authorised to be the operator of that railway asset by a licence; or
he is exempt, by virtue of section 7 below, from the requirement to be so authorised.
In this Part—
“the applicant” means the person making the application for directions;
in a case where that decision is referred to the Secretary of State under section 44 below, the disposal of that reference by the Secretary of State;
“franchise period” has the meaning given by section 23(3) above;
There shall be paid to a holder of the office of the Regulator . . . such remuneration, and such travelling and other allowances, as the Secretary of State may determine. In the case of any such holder of the office of the Regulator . . . as may be determined by the Secretary of State, there shall be paid such pension, allowance or gratuity to or in respect of him, or such contributions or payments towards provision for such a pension, allowance or gratuity, as may be so determined. If, when any person ceases to hold office as the Regulator . . ., the Secretary of State determines that there are special circumstances which make it right that he should receive compensation, there may be paid to him a sum by way of compensation of such amount as may be determined by the Secretary of State. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
The Regulator . . . may . . ., with the approval of the Treasury as to numbers and terms and conditions of service, appoint such staff as the Regulator, . . ., may determine. Where a person who is, by reference to his employment as a member of the staff of the Regulator . . ., a participant in a scheme under section 1 of the Superannuation Act 1972 (superannuation schemes as respects civil servants etc) becomes a holder of the office of the Regulator . . ., the Treasury may determine that his term of office as such shall be treated for the purposes of the scheme as employment in the civil service of the State (whether or not any benefits are payable to or in respect of him by virtue of paragraph 1(2) above).
There shall be paid out of money provided by Parliament—
the remuneration of, and any travelling or other allowances payable under this Act to, the Regulator . . . or to any staff of the Regulator . . .;
except as otherwise provided by this Act, any sums payable under this Act to or in respect of the Regulator . . .; and
except as otherwise provided by this Act, any expenses duly incurred by the Regulator . . ., or by any staff of the Regulator . . ., in consequence of the provisions of this Act.
The Regulator . . . shall . . . have an official seal for the authentication of documents required for the purposes of his functions.
Anything authorised or required by or under this Act or any other enactment to be done by the Regulator . . . may be done by any member of the staff of the Regulator . . . who is authorised generally or specially in that behalf by the Regulator . . ..
The Documentary Evidence Act 1868 shall have effect as if—
the Regulator . . . were . . . included in the first column of the Schedule to that Act;
the Regulator, . . . and any person authorised to act on behalf of the Regulator . . . were mentioned in the second column of that Schedule; and
the regulations referred to in that Act included any document issued by the Regulator, . . . or any such person.
In the Parliamentary Commissioner Act 1967, in Schedule 2 (departments and authorities subject to investigation) the following entries shall be inserted at the appropriate places—
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“ The Rail Regulator ”.
In Part III of Schedule 1 to the House of Commons Disqualification Act 1975, the following entries shall be inserted at the appropriate places—
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“ The Rail Regulator ”.
Section 2.
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There shall be paid to the chairman and other members of a Rail Passengers’ Committee such remuneration, and such travelling and other allowances, as the Authority may . . . determine.
If a person ceases to hold office as chairman or another member of a Rail Passengers’ Committee by reason of the abolition of the Committee before his term of office would otherwise have expired, the Authority may, if it determines that there are special circumstances which make it right that he should receive compensation, pay to him such compensation as may be determined by the Authority.
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The Authority shall make arrangements for a Rail Passengers’ Committee to be provided with office accommodation and with such services as he considers appropriate to enable them to carry out their functions.
Subject to the following provisions of this paragraph and paragraph 6 below, a Rail Passengers’ Committee may regulate their own procedure, including quorum. A Rail Passengers’ Committee shall meet when convened by the chairman, and in any case shall meet at least twice a year. Without prejudice to the discretion of the chairman to call a meeting whenever he thinks fit, he shall call a meeting when required to do so by any three members of a Rail Passengers’ Committee. Minutes shall be kept of the proceedings at every meeting of a Rail Passengers’ Committee; and copies of those minutes shall be sent to the Rail Passengers’ Council and the Authority. A Rail Passengers’ Committee shall have regard to any general recommendations which the Rail Passengers’ Council may from time to time make with respect to any matter affecting the procedure or functions of Rail Passengers’ Committees. The validity of any proceedings of a Rail Passengers’ Committee shall not be affected by any vacancy amongst the members or by any defect in the appointment of a member.
Subject to sub-paragraph (2) below, meetings of a Rail Passengers’ Committee shall be open to the public. The public shall be excluded during any item of business where— where public disclosure of that matter would or might, in the opinion of a Rail Passengers’ Committee, seriously and prejudicially affect the interests of that individual or body. A Rail Passengers’ Committee shall give such notice— as they consider appropriate for the purpose of bringing the meeting to the attention of interested members of the public.
A Rail Passengers’ Committee may, . . .— Persons appointed under sub-paragraph (1) above who are not members of a Rail Passengers’ Committee may be reimbursed for their travelling expenses and such of their out-of-pocket expenses as do not relate to loss of remuneration.
There shall be paid by the Authority— The Authority may determine the financial duties of Rail Passengers’ Committees; and different determinations may be made for different functions of Rail Passengers’ Committees. The Authority shall give a Rail Passengers’ Committee notice of every determination of their financial duties; and such a determination may—
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Section 3.
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There shall be paid to the chairman and other members of the Rail Passengers’ Council such remuneration, and such travelling and other allowances, as the Authority may . . . determine.
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The Authority shall make arrangements for the Rail Passengers’ Council to be provided with office accommodation and with such services as he considers appropriate to enable them to carry out their functions.
Subject to the following provisions of this paragraph and paragraph 6 below, the Rail Passengers’ Council may regulate their own procedure, including quorum. The Rail Passengers’ Council shall meet when convened by the chairman, and in any case shall meet at least twice a year. Without prejudice to the discretion of the chairman to call a meeting whenever he thinks fit, he shall call a meeting when required to do so by any three members of the Rail Passengers’ Council. Minutes shall be kept of the proceedings at every meeting of the Rail Passengers’ Council; and copies of those minutes shall be sent to the Secretary of State and the Authority. A person who is a member of the Rail Passengers’ Council by virtue of being the chairman of a Rail Passengers’ Committee may appoint another member of that Rail Passengers’ Committee to attend any meeting of the committee in his stead. The validity of any proceedings of the committee shall not be affected by any vacancy amongst the members or by any defect in the appointment of a member.
Subject to sub-paragraph (2) below, meetings of the Rail Passengers’ Council shall be open to the public. The public shall be excluded during any item of business where— where public disclosure of that matter would or might, in the opinion of the Rail Passengers’ Council, seriously and prejudicially affect the interests of that individual or body. The Rail Passengers’ Council shall give such notice— as they consider appropriate for the purpose of bringing the meeting to the attention of interested members of the public.
The Rail Passengers’ Council may . . . — Persons appointed under sub-paragraph (1) above who are not members of the Rail Passengers’ Council may be reimbursed for their travelling expenses and such of their out-of-pocket expenses as do not relate to loss of remuneration.
There shall be paid by the Authority— The Authority may determine the financial duties of the Rail Passengers’ Council; and different determinations may be made for different functions of the Rail Passengers’ Council. The Authority shall give the Rail Passengers’ Council notice of every determination of its financial duties; and such a determination may—
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Sections 17 and 19.
In this Schedule— and, subject to that, expressions used in this Schedule and in section 17 of this Act have the same meaning in this Schedule as they have in that section.
Any application for directions must be made in writing to the Office of Rail and Road and must— The applicant may, by giving notice in writing to the Office of Rail and Road, withdraw or suspend the application at any time. In this paragraph “the required rights” means the permission to use the railway facility in question which it is sought to obtain by virtue of the application for directions.
The Office of Rail and Road shall— The Office of Rail and Road shall send a copy of any such representations received by it to the applicant and invite him to make further written representations within such period (being not less than 10 days from the date of issue of the invitation) as may be specified in the invitation. The Office of Rail and Road may from time to time request or invite further information, clarification or representations from the applicant or the facility owner.
Where the Office of Rail and Road receives an application for directions, it shall issue a direction to the facility owner requiring him to furnish the name and address of every interested person to the Office of Rail and Road within such period (being not less than 14 days from the date of issue of that direction) as may be specified in that direction. Where the name and address of an interested person is furnished pursuant to sub-paragraph (1) above, the Office of Rail and Road shall invite the interested person to make written representations to it within such period (being not less than 14 days from the date of issue of the invitation) as may be specified in the invitation. The Office of Rail and Road shall send a copy of any such representations received by it to the applicant and to the facility owner and invite each of them to make written representations within such period (being not less than 10 days from the date of issue of the invitation) as may be specified in the invitation. The Office of Rail and Road may from time to time request or invite further information, clarification or representations from any interested person.
The Office of Rail and Road shall inform the applicant, the facility owner and any interested person of its decision on an application for directions. If the Office of Rail and Road decides to give directions to the facility owner requiring him to enter into an access contract— Any compensation directed to be paid by virtue of sub-paragraph (2)(b) above shall be recoverable as a debt due. The facility owner shall be released from his duty to comply with the directions if the applicant fails to enter into an access contract on the terms required by the directions by the date specified for that purpose in the directions.
Any directions given on an application for directions or under this Schedule shall be binding on the person to whom they are given, notwithstanding any obligation or duty he may owe to an interested person and whether or not the interested person has had an opportunity to make representations. No interested person, and no successor to an interested person, shall take any step for the purpose of enforcing or exercising any right he may have against the facility owner in respect of, or in consequence of, the facility owner’s— whether or not the interested person had, or has had, an opportunity to make representations. The duty of the facility owner to furnish the Office of Rail and Road with the name and address of every interested person pursuant to a direction under paragraph 4 above is a duty owed to each interested person and (subject to the defences and incidents applying in actions for breach of statutory duty) any contravention of that duty shall be actionable at the suit or instance of the interested person and the facility owner shall be liable for any loss or damage suffered by the interested person as a result of any access contract which is entered into in consequence of the application for directions. It shall be a defence in any proceedings brought by virtue of sub-paragraph (3) above for the facility owner to show that he took all reasonable steps, and exercised all due diligence, to avoid contravening the duty in question. In this paragraph “successor”, in relation to an interested person, means any person—
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This Schedule applies in relation to any railway passenger services, or railway passenger services of a class or description, or any part of any such service, for the time being designated in an order under section 49(3) of this Act as railway passenger services in relation to which this Schedule is to have effect. In this Schedule “qualifying services” means any services, or part of a service, falling within sub-paragraph (1) above.
Where a person (in this Schedule referred to as “the operator”) who provides qualifying services proposes to discontinue the provision of all such services from any station or on any line (in this Schedule referred to as a closure), he shall, not less than six weeks before carrying the proposal into effect, publish in two successive weeks in two local newspapers circulating in the area affected, and in such other manner as appears to him appropriate, a notice— The operator shall also—
giving the date and particulars of the proposed closure, and particulars of any alternative services which it appears to him will be available and of any proposals of his for providing or augmenting such services; and
stating that objections to the proposed closure may be lodged in accordance with this Schedule within six weeks of a date specified in the notice, being the date on which the notice is last published in a local newspaper as required by this paragraph;
Where a notice has been published under paragraph 2 above, any user of any service affected, and any body representing such users, may within the period specified in the notice lodge with the appropriate Rail Passengers’ Committee an objection in writing. Where such an objection is lodged with a Rail Passengers’ Committee—
The Secretary of State may give his consent under paragraph 3(2)(b) above subject to such conditions as he thinks fit. The Secretary of State may at any time vary or revoke any conditions which are for the time being required to be complied with pursuant to sub-paragraph (1) above.
Where the Secretary of State has given his consent under paragraph 3(2)(b) above, he shall—
send a copy of it to every person who is the operator of a station within the area affected; and
require him to publish it at the station.
A Rail Passengers’ Committee with whom an objection has been lodged under paragraph 3(1) above shall— and the report may contain proposals for alleviating that hardship. Where objections with respect to any proposed closure have been lodged with more than one Rail Passengers’ Committee, the Rail Passengers’ Committees in question— The Secretary of State may require a Rail Passengers’ Committee to make a further report; and if in any case the Secretary of State considers that a report or further report has been unreasonably delayed he may, after consulting the Rail Passengers’ Committee concerned and making such enquiries as he thinks fit, consent to the proposed closure without awaiting the report or further report. Copies of every report under this paragraph shall be sent to the Rail Passengers’ Council and to the operator. Where for the purposes of sub-paragraph (1) or (2) above a Rail Passengers’ Committee decide to hear an objector orally, or to hear oral representations made on behalf of the operator, they shall hear the objector or the representations, as the case may be, in public.
For the purposes of this Schedule, the appropriate Rail Passengers’ Committee, in relation to a proposed closure, is the Rail Passengers’ Committee for the area affected. In this Schedule “the area affected” means the area in which the station or line, or any part of the line, affected by the proposed closure is situated. For the purposes of this Schedule, “railway” has its wider meaning.
This paragraph applies to any qualifying services— In the application of the other paragraphs of this Schedule in relation to qualifying London services, for any reference to the Secretary of State there shall be substituted a reference to the Mayor of London. Where the Mayor of London has given consent under paragraph 3(2)(b) above in respect of services provided wholly or partly outside Greater London, any person aggrieved by the decision to give consent may refer that decision to the Secretary of State. A referral under sub-paragraph (3) above shall be made by giving notice to the Secretary of State. Any notice under sub-paragraph (4) above must be given not later than 4 weeks after the date of the decision referred. On a reference under sub-paragraph (3) above, the Secretary of State may— Any person who refers a decision to the Secretary of State under sub-paragraph (3) above shall provide, with his notice under sub-paragraph (4) above, a statement of the reasons why he is aggrieved by the decision. On disposing of any reference under sub-paragraph (3) above, the Secretary of State shall give notice of his decision to— Before the expiration of the period of six weeks following the making of his decision on a reference under sub-paragraph (3) above, the Secretary of State shall publish notice of his decision— The Secretary of State shall also—
Section 59.
Where a railway administration order has been made, sections 11 to 23 and 27 of the 1986 Act (which relate to administration orders under Part II of that Act) shall apply, with the modifications specified in the following provisions of this Part of this Schedule—
as if references in those sections to an administration order were references to a railway administration order and references to an administrator were references to a special railway administrator;
where the company in relation to which the order has been made is a protected railway company which is not a company registered under the Companies Act 2006 in England and Wales or Scotland, as if references in those sections to a company included references to such a company.
as if references in those sections to the appropriate national authority were to be construed in accordance with section 59(6)(za) of this Act; and
In section 11 of the 1986 Act (effect of order), as applied by this Part of this Schedule,—
the requirement in subsection (1)(a) that any petition for the winding up of the company shall be dismissed shall be without prejudice to the railway administration order in a case where the order is made by virtue of section 61 of this Act; and
the reference in subsection (3)(d) to proceedings shall include a reference to any proceedings under or for the purposes of section 55 or 57A of this Act.
In section 13 of the 1986 Act (appointment of administrator), as applied by this Part of this Schedule, for subsection (3) there shall be substituted the following subsection—
In section 14 of the 1986 Act (general powers of administrator), as applied by this Part of this Schedule,—
in subsection (1)(b), the reference to the powers specified in Schedule 1 to that Act shall be taken to include a reference to a power to act on behalf of the company for the purposes of this Act or any provision of a local or private Act which confers any power, or imposes any duty or obligation, on the company; and
in subsection (4), the reference to a power conferred by the company’s articles of association —
shall be taken to include a reference to any power conferred by any provision of a local or private Act which confers any power, or imposes any duty or obligation, on the company; and
in the case of a company which is an unregistered company, shall be taken also to include a reference to any power conferred by the company’s constitution.
Section 15 of the 1986 Act (power to deal with charged property), as applied by this Part of this Schedule, shall have effect as follows. In subsection (5)(b) (amount to be paid to chargeholder not to be less than open market value), for the words “in the open market by a willing vendor" there shall be substituted the words “ for the best price which is reasonably available on a sale which is consistent with the purposes of the railway administration order ”.
Section 17 of the 1986 Act (duties of administrator), as applied by this Part of this Schedule, shall have effect in accordance with the following provisions of this paragraph. For subsection (2) there shall be substituted the following subsection— In subsection (3), paragraph (a) (right of creditors to require the holding of a creditors’ meeting) shall be omitted.
Section 18 of the 1986 Act (discharge and variation of administration order), as applied by this Part of this Schedule, shall have effect as follows. For subsections (1) and (2) there shall be substituted the following subsection— In subsection (3), the words “or vary” shall be omitted. In subsection (4), the words “or varied” and “or variation” shall be omitted and for the words “ to the registrar of companies ” there shall be substituted—
In section 21(2) of the 1986 Act (notice of order to be given by administrator), as applied by this Part of this Schedule, for the words “to the registrar of companies" there shall be substituted—
where the company— the words “to the Office of Rail and Road , the appropriate national authority and the registrar of companies”; and
is registered under the Companies Act 2006, or
is subject to a requirement imposed by regulations under section 1043 or 1046 of the Companies Act 2006 (unregistered UK companies or overseas companies) to deliver any documents to the registrar of companies,
where paragraph (a) above does not apply, the words “to the Office of Rail and Road and the appropriate national authority”.
In section 23 of the 1986 Act (statement of proposals), as applied by this Part of this Schedule, for subsections (1) and (2) there shall be substituted the following subsections—
Section 27 of the 1986 Act (protection of interests of creditors and members), as applied by this Part of this Schedule, shall have effect as follows. After subsection (1) there shall be inserted the following subsections— Subsection (3) (order not to prejudice or prevent voluntary arrangements or administrator’s proposals) shall be omitted. In subsection (4) (provision that may be made in an order), the words “Subject as above” shall be omitted and for paragraph (d) there shall be substituted— For subsection (6) there shall be substituted—
In the application of Schedule 1 to the 1986 Act (which sets out certain powers of the administrator) by virtue of section 14 of that Act, as applied by this Part of this Schedule in relation to a company which is an unregistered company, paragraph 22 shall be omitted.
Where a railway administration order has been made in relation to a company which is a foreign company, sections 11 to 23 and 27 of the 1986 Act (as applied by Part I of this Schedule) shall apply in relation to that foreign company with the further modifications set out in the following provisions of this Part of this Schedule. In this Part of this Schedule, “foreign company” means a company incorporated outside Great Britain.
Section 11 of the 1986 Act (effect of administration order), as applied by this Part of this Schedule in relation to a foreign company, shall have effect as follows. In subsection (1), paragraph (b) shall be omitted. Subsection (2) shall be omitted. In subsection (3)— and any reference to property or goods shall be taken as a reference to property or (as the case may be) goods for the time being situated within Great Britain. Subsections (4) and (5) shall be omitted. At the end of that section there shall be added—
In section 12 of the 1986 Act (notification of order), as applied by this Part of this Schedule in relation to a foreign company, the reference to a statement that the affairs, business and property of the company are being managed by the administrator shall be taken as a reference to a statement that— are being managed by the special railway administrator.
the affairs and business of the foreign company so far as carried on in Great Britain, and
the property of the foreign company so far as that property is for the time being situated within Great Britain,
Section 14 of the 1986 Act (general powers of administrator), as applied by this Part of this Schedule in relation to a foreign company, shall have effect as follows. In subsection (1)(a), the reference to the affairs, business and property of the company shall be taken as a reference to— Subsection (2)(a) shall be omitted. In subsection (4)—
In section 15 of the 1986 Act (power of administrator to deal with charged property etc), as applied by this Part of this Schedule in relation to a foreign company, any reference to property or goods shall be taken as a reference to property or (as the case may be) goods for the time being situated within Great Britain.
In section 17 of the 1986 Act (general duties of administrator), as applied by this Part of this Schedule in relation to a foreign company,—
in subsection (1), the reference to property shall be taken as a reference to property for the time being situated within Great Britain; and
in subsection (2), the reference to the affairs, business and property of the company shall be taken as a reference to—
the affairs and business of the foreign company so far as carried on in Great Britain, and
the property of that company so far as that property is for the time being situated within Great Britain.
In section 22(1) of the 1986 Act (power of administrator to require certain persons to provide him with a statement as to company’s affairs), as applied by this Part of this Schedule in relation to a foreign company, the reference to the affairs of the company shall be taken as a reference to the affairs of the foreign company so far as they are carried on in Great Britain, or relate to property of that company for the time being situated within Great Britain.
The powers conferred on a special railway administrator by virtue of Schedule 1 to the 1986 Act (which sets out certain powers of an administrator), as that Schedule applies by virtue of section 14 of that Act, as applied by this Part of this Schedule in relation to a foreign company, shall be exercisable only in relation to— In that Schedule, as it so applies,—
Subject to the preceding provisions of this Schedule, references in the 1986 Act (except in sections 8 to 10 and 24 to 26), or in any other enactment passed before this Act, to an administration order under Part II of that Act, to an application for such an order and to an administrator shall include references, respectively, to a railway administration order, to an application for a railway administration order and to a special railway administrator. Subject as aforesaid and to sub-paragraph (3) below, references in the 1986 Act, or in any other enactment passed before this Act, to an enactment contained in Part II of that Act shall include references to that enactment as applied by section 60, 61, 62 or 65 of this Act or Part I or II of this Schedule. Sub-paragraphs (1) and (2) above shall apply in relation to a reference in an enactment contained in Part II of the 1986 Act only so far as necessary for the purposes of the operation of the provisions of that Part as so applied. The provisions of this Schedule shall be without prejudice to the power conferred by section 411 of the 1986 Act (company insolvency rules), as modified by sub-paragraphs (1) and (2) above.
In this Schedule “the 1986 Act” means the Insolvency Act 1986. In this Schedule, and in any modification of the 1986 Act made by this Schedule, “special railway administrator”, in relation to a railway administration order, means any person appointed in relation to that order for the purposes of section 59(1) of this Act; and in any such modification “railway administration order” has the same meaning as in this Act.
Section 59.
This Schedule shall apply in any case where— In this Schedule— Any reference in this Schedule to “assignment” shall be construed in Scotland as a reference to assignation.
The existing appointee, acting with the consent of the new appointee and, in relation to the matters affecting them, of any other appointees, may make a scheme under this Schedule for the transfer of property, rights and liabilities from the existing appointee to the new appointee. A scheme under this Schedule shall not take effect unless it is approved by the appropriate national authority . Where a scheme under this Schedule is submitted to “the appropriate national authority, it may, with the consent of the new appointee, of the existing appointee and, in relation to the matters affecting them, of any other appointees, modify the scheme before approving it. If at any time after a scheme under this Schedule has come into force in relation to the property, rights and liabilities of any company the appropriate national authority considers it appropriate to do so and the existing appointee, the new appointee and, in relation to the provisions of the order which affect them, any other appointees consent to the making of the order, the appropriate national authority may by order provide that that scheme shall for all purposes be deemed to have come into force with such modifications as may be specified in the order. An order under sub-paragraph (4) above may make, with effect from the coming into force of the scheme to which it relates, any such provision as could have been made by the scheme and, in connection with giving effect to that provision from that time, may contain such supplemental, consequential and transitional provision as the appropriate national authority considers appropriate. In determining, in accordance with the appropriate national authority's duties under Part I of this Act, whether and in what manner to exercise any power conferred on him by this paragraph the appropriate national authority , shall have regard to the need to ensure that any provision for the transfer of property, rights and liabilities in accordance with a scheme under this Schedule allocates property, rights and liabilities to the different companies affected by the scheme in such proportions as appear to the appropriate national authority to be appropriate in the context of the different relevant activities of the existing appointee which will, by virtue of this Act, be carried out at different times on and after the relevant date by the new appointee, by the existing appointee and by any other appointees. It shall be the duty of the new appointee, of the existing appointee and of any other appointees to provide the appropriate national authority with all such information and other assistance as the appropriate national authority may reasonably require for the purposes of, or in connection with, the exercise of any power conferred . . . by this paragraph. Without prejudice to the other provisions of this Act relating to the special railway administrator of a company, anything which is required by this paragraph to be done by a company shall, where that company is a company in relation to which a railway administration order is in force, be effective only if it is done on the company’s behalf by its special railway administrator. A statutory instrument containing an order under this paragraph by the Scottish Ministers is subject to annulment in pursuance of a resolution of the Scottish Parliament. A statutory instrument containing an order under this paragraph made by the Welsh Ministers is subject to annulment in pursuance of a resolution of the National Assembly for Wales.
A scheme under this Schedule for the transfer of the existing appointee’s property, rights and liabilities shall come into force on the relevant date and, on coming into force, shall have effect, in accordance with its provisions and without further assurance, so as to transfer the property, rights and liabilities to which the scheme relates to the new appointee. For the purpose of making any division of property, rights or liabilities which it is considered appropriate to make in connection with the transfer of property, rights and liabilities in accordance with a scheme under this Schedule, the provisions of that scheme may— The property, rights and liabilities of the existing appointee that shall be capable of being transferred in accordance with a scheme under this Schedule shall include— The provision that may be made by virtue of sub-paragraph (2)(b) above includes— For the avoidance of doubt, it is hereby declared that the transfers authorised by paragraph (a) of sub-paragraph (3) above include transfers which, by virtue of that paragraph, are to take effect as if there were no such contravention, liability or interference with any interest or right as there would be, in the case of a transfer or assignment otherwise than in accordance with a scheme under this Schedule, by reason of any provision having effect (whether under any enactment or agreement or otherwise) in relation to the terms on which the existing appointee is entitled or subject to the property, right or liability in question.
A scheme under this Schedule may provide for a licence held by the existing appointee to have effect as if it had been granted to the new appointee. Different schemes under this Schedule may provide for a licence held by the same existing appointee to have effect as if it had been granted as a separate licence to each of the new appointees under those schemes. Sub-paragraphs (1) and (2) have effect in relation to a railway undertaking licence as they have effect in relation to a licence.
A scheme under this Schedule may contain supplemental, consequential and transitional provision for the purposes of, or in connection with, the provision for the transfers or any other provision made by the scheme. Without prejudice to the generality of sub-paragraph (1) above, a scheme under this Schedule may provide—
A scheme under this Schedule may provide for the imposition of duties on the existing appointee and on the new appointee to take all such steps as may be requisite to secure that the vesting in the new appointee, by virtue of the scheme, of any foreign property, right or liability is effective under the relevant foreign law. The provisions of a scheme under this Schedule may require the existing appointee to comply with any directions of the new appointee in performing any duty imposed on the existing appointee by virtue of a provision included in the scheme under sub-paragraph (1) above. A scheme under this Schedule may provide that, until the vesting of any foreign property, right or liability of the existing appointee in the new appointee is effective under the relevant foreign law, it shall be the duty of the existing appointee to hold that property or right for the benefit of, or to discharge that liability on behalf of, the new appointee. Nothing in any provision included by virtue of this paragraph in a scheme under this Schedule shall be taken as prejudicing the effect under the law of any part of the United Kingdom of the vesting by virtue of the scheme in the new appointee of any foreign property, right or liability. A scheme under this Schedule may provide that, in specified cases, foreign property, rights or liabilities that are acquired or incurred by an existing appointee after the scheme comes into force are immediately to become property, rights or liabilities of the new appointee; and such a scheme may make the same provision in relation to any such property, rights or liabilities as can be made, by virtue of the preceding provisions of this paragraph, in relation to foreign property, rights and liabilities vested in the existing appointee when the scheme comes into force. References in this paragraph to any foreign property, right or liability are references to any property, right or liability as respects which any issue arising in any proceedings would have to be determined (in accordance with the rules of private international law) by reference to the law of a country or territory outside the United Kingdom. Any expenses incurred by an existing appointee in consequence of any provision included by virtue of this paragraph in a scheme under this Schedule shall be met by the new appointee. Duties imposed on a company by virtue of this paragraph shall be enforceable in the same way as if they were imposed by a contract between the existing appointee and the new appointee.
A scheme under this Schedule may provide that any functions of the existing appointee under a statutory provision— and different schemes under this Schedule may provide for any such functions of the same existing appointee to have effect as mentioned in paragraphs (a) to (c) above in relation to each of the new appointees under those schemes or of all or any of the other appointees. Sub-paragraph (1) above applies in relation to any function under a statutory provision if and to the extent that the statutory provision— Sub-paragraph (1) above does not apply to any function of the Board or of any of the Board’s subsidiaries under any provision of this Act or of— A scheme under this Schedule may define any functions of the existing appointee to be transferred or made concurrently exercisable by the scheme in accordance with sub-paragraph (1) above— In this paragraph “statutory provision” means a provision whether of a general or of a special nature contained in, or in any document made or issued under, any Act, whether of a general or a special nature.
Section 97.
The provisions of this paragraph and paragraph 2 below shall have effect where a transfer to which this Schedule applies is a transfer of all (or of all but so much as may be excepted) of the property, rights and liabilities comprised in a specified part of the transferor’s undertaking, but shall not apply to any such rights or liabilities under a contract of employment. Any property, right or liability comprised partly in the part of the transferor’s undertaking which is transferred to the transferee and partly in the part of that undertaking which is retained by the transferor shall, where the nature of the property, right or liability permits, be divided or apportioned between the transferor and the transferee in such proportions as may be appropriate; and, where any estate or interest in land falls to be so divided— shall be correspondingly apportioned or divided so that the one part is payable in respect of, or charged on, only one part of the estate or interest and the other part is payable in respect of, or charged on, only the other part of the estate or interest. Sub-paragraph (2) above shall apply, with any necessary modifications, in relation to any feuduty payable in respect of an estate or interest in land in Scotland as it applies in relation to any rents charged on an estate or interest in land. Any property, right or liability comprised as mentioned in sub-paragraph (2) above the nature of which does not permit its division or apportionment as so mentioned shall be transferred to the transferee or retained by the transferor according to— subject (in either case) to such arrangements for the protection of the other of them as may be agreed between them.
It shall be the duty of the transferor and the transferee, whether before or after the transfer date, so far as practicable to arrive at such written agreements and to execute such other instruments as are necessary or expedient to identify or define the property, rights and liabilities transferred to the transferee or retained by the transferor and as will— Any such agreement shall provide so far as it is expedient— If the transferor or the transferee represents to the Secretary of State, or if it appears to the Secretary of State without such a representation, that it is unlikely in the case of any matter on which agreement is required under sub-paragraph (1) above that such agreement will be reached, the Secretary of State may, whether before or after the transfer date, give a direction determining that matter and may include in the direction any provision which might have been included in an agreement under sub-paragraph (1) above; and any property, rights or liabilities required by the direction to be transferred to the transferee shall accordingly be regarded as having been transferred to, and vested in, the transferee by virtue of the scheme.
The provisions of this paragraph shall have effect where a transfer to which this Schedule applies is a transfer by virtue of a transfer scheme made otherwise than under section 86 of this Act. At any time before the end of the period of twelve months beginning with the transfer date, the transferor and the transferee of the specified part may, with the approval of the Secretary of State, agree in writing that— there shall be transferred from the transferee to, and vested in, the transferor any property, rights and liabilities specified in the agreement; but no such agreement shall have effect in relation to rights and liabilities under a contract of employment unless the employee concerned is a party to the agreement. Subject to sub-paragraphs (4) and (5) below, in the case of an agreement under sub-paragraph (2) above, the property, rights and liabilities in question shall be transferred and vest in accordance with the agreement. Any transfer effected in pursuance of an agreement under sub-paragraph (2) above shall have effect subject to the provisions of any enactment which provides for such transactions to be registered in any statutory register. The following provisions of this Schedule shall have effect as if—
This paragraph applies where, on any transfer to which this Schedule applies, the transferor is entitled to retain possession of any document relating in part to the title to, or to the management of, any land or other property transferred to the transferee. Where the land or other property is situated in England and Wales— Where the land or other property is situated in Scotland, subsections (1) and (2) of section 16 of the Land Registration (Scotland) Act 1979 (omission of certain clauses in deeds) shall have effect in relation to the transfer as if the transfer had been effected by deed and as if from each of those subsections the words “unless specially qualified" were omitted. Where the land or other property is situated in Northern Ireland—
This paragraph applies in any case where a transfer scheme provides for the transfer of any foreign property, rights or liabilities. It shall be the duty of the transferor and the transferee to take, as and when the transferee considers appropriate, all such steps as may be requisite to secure that the vesting in the transferee by virtue of the transfer scheme of any foreign property, right or liability is effective under the relevant foreign law. Until the vesting in the transferee by virtue of the transfer scheme of any foreign property, right or liability is effective under the relevant foreign law, it shall be the duty of the transferor to hold that property or right for the benefit of, or to discharge that liability on behalf of, the transferee. Nothing in sub-paragraphs (2) and (3) above shall be taken as prejudicing the effect under the law of the United Kingdom or of any part of the United Kingdom of the vesting in the transferee by virtue of a transfer scheme of any foreign property, right or liability. The transferor shall have all such powers as may be requisite for the performance of his duty under this paragraph, but it shall be the duty of the transferee to act on behalf of the transferor (so far as possible) in performing the duty imposed on the transferor by this paragraph. References in this paragraph to any foreign property, right or liability are references to any property, right or liability as respects which any issue arising in any proceedings would have been determined (in accordance with the rules of private international law) by reference to the law of a country or territory outside the United Kingdom. Duties imposed on the transferor or the transferee by this paragraph shall be enforceable in the same way as if the duties were imposed by a contract between the transferor and the transferee. Any expenses incurred by the transferor under this paragraph shall be met by the transferee.
In the case of any transfer to which this Schedule applies, a joint certificate by or on behalf of the transferor and the transferee that— is property, or (as the case may be) an interest, right or liability which was intended to be, and was vested by virtue of the scheme in such one of them as may be so specified (and, if it is the transferee who is so specified, that the property, interest, right or liability has not been transferred back to the transferor by virtue of an agreement under paragraph 3(2) above) shall be conclusive evidence for all purposes of that fact. If on the expiration of one month after a request from either the transferor or the transferee for the preparation of such a joint certificate as respects any property, interest, right or liability they have failed to agree on the terms of the certificate, they shall refer the matter to the Secretary of State and issue the certificate in such terms as he may direct. This paragraph is without prejudice to paragraph 14(6) and (7) below.
If the Secretary of State is satisfied on the representation of the transferor or the transferee— the Secretary of State may direct that this paragraph shall apply to such of that land as may be specified in the direction. While the direction mentioned in sub-paragraph (1) above remains in force— A person other than the transferor and the transferee dealing with, or with a person claiming under, either the transferor or the transferee shall not be concerned— and no transaction between a person other than the transferor or the transferee on the one hand, and the transferor, the transferee or a person claiming under either of them on the other, shall be invalid by reason of any failure to comply with those provisions.
This paragraph applies where, in the case of any transfer to which this Schedule applies, any rights or liabilities transferred are rights or liabilities under an agreement to which the transferor was a party immediately before the transfer date, whether in writing or not, and whether or not of such nature that rights and liabilities under the agreement could be assigned by the transferor. So far as relating to property, rights or liabilities transferred to the transferee, the agreement shall have effect on and after the transfer date as if—
Except as otherwise provided in any provision of this Act (whether expressly or by necessary implication), paragraph 8 above shall, so far as applicable, apply in relation to— if and so far as the provision in question relates to any of the transferred property, rights and liabilities, as it applies in relation to an agreement to which the transferor was a party. In relation to any such statutory or other provision as is mentioned in sub-paragraph (1) above, references in sub-paragraph (2)(b), (c) and (d) of paragraph 8 above to the transferor and to any persons employed by, persons engaged in the business of, or agents of, the transferor include references made by means of a general reference to a class of persons of which the transferor is one, without the transferor himself being specifically referred to.
On and after the transfer date for any transfer to which this Schedule applies, any statutory provision to which paragraph 2(3) of Schedule 6 to the Transport Act 1962 applies if and so far as the provision in question relates to any of the transferred property, rights and liabilities, shall have effect as if—
any of the references modified by paragraph (a) of the said paragraph 2(3) were, as respects anything falling to be done on or after the transfer date, a reference to such person as the transferee may appoint; and
any of the references modified by paragraph (b) of the said paragraph 2(3) were, as respects a period beginning with the transfer date, a reference to so much of the undertaking of the transferee as corresponds as mentioned in the said paragraph (b).
The transferee under a transfer to which this Schedule applies and any other person shall, as from the transfer date, have the same rights, powers and remedies (and in particular the same rights and powers as to the taking or resisting of legal proceedings or the making or resisting of applications to any authority) for ascertaining, perfecting or enforcing any right or liability vested in the transferee by virtue of the scheme as he would have had if that right or liability had at all times been a right or liability of the transferee. Any legal proceedings or applications to any authority pending on the transfer date by or against the transferor, in so far as they relate— shall be continued by or against the transferee to the exclusion of the transferor. This paragraph is without prejudice to the generality of the provisions of paragraphs 8 to 10 above.
If, in the case of any transfer to which this Schedule applies, the effect of any agreement (and, in particular, any agreement under the Railway Road Transport Acts of 1928 mentioned in paragraph 1 of Part II of Schedule 2 to the Transport Act 1962)— depends on whether the transferee has power to carry on any activity, it shall be assumed for the purposes of the agreement that any activity which requires the consent of the Secretary of State under the Transport Act 1962 or the Transport Act 1968 has been authorised by such a consent.
which was executed before the passing of this Act, and
to which the transferee is by virtue of this Act a party,
References in paragraphs 8 to 12 above to agreements to which the transferor was a party and to statutory provisions include, in particular, references to agreements to which the transferor became a party by virtue of the Transport Act 1962 and statutory provisions which applied to the transferor by virtue of that Act. The provisions of paragraphs 8 to 12 above shall have effect for the interpretation of agreements, statutory provisions and other instruments subject to the context, and shall not apply where the context otherwise requires.
Without prejudice to the provisions of paragraphs 8 to 13 above, any transaction effected between the transferor and the transferee in pursuance of paragraph 2(1) above or of a direction under paragraph 2(3) above shall be binding on all other persons, and notwithstanding that it would, apart from this sub-paragraph, have required the consent or concurrence of any other person. It shall be the duty of the transferor and the transferee, if they effect any transaction in pursuance of paragraph 2(1) above or a direction under paragraph 2(3) above, to notify any person who has rights or liabilities which thereby become enforceable as to part by or against the transferor and as to part by or against the transferee; and if, within 28 days of being notified, such a person applies to the Secretary of State and satisfies him that the transaction operated unfairly against him, the Secretary of State may give such directions to the transferor and the transferee as appear to him appropriate for varying the transaction. If in consequence of a transfer to which this Schedule applies or of anything done in pursuance of the provisions of this Schedule— such compensation as may be just shall be paid to that person by the transferor, the transferee or both. If it appears to the transferor that a person is or may be entitled to compensation under sub-paragraph (3) above, he shall— or, if the transferor is not aware of the name and address of the person concerned, shall publish, in such manner as he considers appropriate, a notice containing information about the interest affected and inviting any person who thinks that he is or may be entitled to compensation to make such representations to the transferor within such period (being not less than 28 days from the date of publication of the notice) as may be specified in the notice. Any dispute as to whether any, and (if so) how much, compensation is payable under sub-paragraph (3) above, or as to the person to or by whom it shall be paid, shall be referred to and determined by— Where, in the case of a transfer to which this Schedule applies, the transferor or the transferee purports by any conveyance or transfer to transfer to some person other than the transferor or the transferee for consideration any land or any other property transferred— the conveyance or transfer shall be as effective as if both the transferor and the transferee had been parties to it and had thereby conveyed or transferred all their interests in the property conveyed or transferred. Sub-paragraph (6) above applies in relation to the grant of any lease of, or any other estate or interest in, or right over any such land or other property as is there mentioned as it applies in relation to a transfer of any such land or other property; and references in that sub-paragraph to a conveyance or transfer shall be construed accordingly. If, in the case of any transfer to which this Schedule applies, it appears to the court at any stage in any court proceedings to which the transferor or the transferee and a person other than the transferor or the transferee are parties that the issues in the proceedings— the court may, if it thinks fit on the application of a party to the proceedings other than the transferor and the transferee, hear and determine the proceedings on the footing that such one of the transferor and the transferee as is a party to the proceedings represents and is answerable for the other of them, and that the transferor and the transferee constitute a single person, and any judgment or order given by the court shall bind both the transferor and the transferee accordingly. In the case of any transfer to which this Schedule applies, it shall be the duty of the transferor and the transferee to keep one another informed of any case where either of them may be prejudiced by sub-paragraph (6), (7) or (8) above, and if either the transferor or the transferee claims that he has been so prejudiced and that the other of them ought to indemnify or make a repayment to him on that account and has unreasonably failed to meet that claim, he may refer the matter to the Secretary of State for determination by him.
In this Schedule “statutory provision” means a provision whether of a general or of a special nature contained in, or in any document made or issued under, any Act, whether of a general or a special nature.
Section 112.
In this Schedule— For the purposes of this Schedule a transfer, instrument or agreement shall be regarded as made in pursuance of Schedule 8 to this Act if the making of that transfer, instrument or agreement is required or authorised by or under paragraph 2 or 3 of that Schedule.
Stamp duty shall not be chargeable on any restructuring scheme which is certified to the Inland Revenue by the Secretary of State as made by him or as made pursuant to a direction given by him under this Act. Stamp duty shall not be chargeable on any instrument or agreement which is certified to the Inland Revenue by the Secretary of State as made in pursuance of Schedule 8 to this Act, in connection with a restructuring scheme made— Stamp duty shall not be chargeable on any instrument or agreement which is certified to the Inland Revenue by the Secretary of State— Stamp duty shall not be chargeable on any instrument or agreement which is certified to the Inland Revenue by the Secretary of State as being a transfer, or an agreement for the transfer, to the Board or any of the Board’s subsidiaries of property, rights or liabilities of the Board or any such subsidiary, made for the purpose of facilitating a disposal required to be made pursuant to a direction given by him under this Act. No restructuring scheme or other instrument or agreement which is certified as mentioned in any of sub-paragraphs (1) to (4) above shall be taken to be duly stamped unless— Section 12 of the Finance Act 1895 (collection of stamp duty in cases of property vested by Act or purchased under statutory power) shall not operate to require— and shall not apply in relation to any instrument on which, by virtue of the preceding provisions of this paragraph, stamp duty is not chargeable.
An agreement to transfer chargeable securities, as defined in section 99 of the Finance Act 1986, to a person falling within paragraphs (a) to (e) of section 85(1) of this Act shall not give rise to a charge to stamp duty reserve tax if the agreement is made for the purposes of, or for purposes connected with, a restructuring scheme made— An agreement shall not give rise to a charge to stamp duty reserve tax if the agreement is made in pursuance of Schedule 8 to this Act in connection with a restructuring scheme made as mentioned in paragraph (a), (b) or (c) of sub-paragraph (1) above.
Section 53 of the British Transport Commission Act 1949 (which makes provision in relation to transport police, including provision with respect to their appointment, dismissal and resignation) shall in its application to England and Wales be amended in accordance with the provisions of this paragraph. For subsection (1) of that section, other than the proviso, there shall be substituted—. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
The said section 53 shall in its application to Scotland be amended in accordance with the provisions of this paragraph. In subsection (1) of that section, for the definition of the approved scheme there shall be substituted—. In subsection (4)(a), for the words “by any of the Boards or their wholly owned subsidiaries" there shall be substituted the wordsby—
In the Transport Act 1962, sections 69 (organisation of transport police), 70 (adaptation of certain references to, and relating to, transport police constables) and 71 (terms and conditions of employment of transport police) shall cease to have effect. Unless and until the Secretary of State by order revokes the British Transport Police Force Scheme 1963, that Scheme shall continue in force and shall be treated as if it had been made under section 132 of this Act; but the Secretary of State may, after consultation with the Authority and with— by order make such amendments in that Scheme as he thinks fit. In sub-paragraph (2) above, “the British Transport Police Force Scheme 1963” means the scheme for the organisation of transport police which is set out in the Second Schedule to the British Transport Police Force Scheme 1963 (Amendment) Order 1992 (being an order amending that scheme as it was set out in the Schedule to the British Transport Police Force Scheme 1963 (Approval) Order 1964).
Section 134.
In this Schedule— Any reference in this Schedule to a pension scheme includes a reference to the scheme as amended under or by virtue of this Schedule. Any power to make an order under or by virtue of this Schedule in relation to an existing scheme, the joint industry scheme, a new scheme, the Transport Police scheme, or a designated scheme within the meaning of paragraph 10 below shall be exercisable notwithstanding that the occupational pension scheme in question only becomes such a scheme by virtue of its establishment or designation as such in the instrument which contains the order in question; and references to such schemes shall be construed accordingly. Subject to sub-paragraph (1) above, expressions used in this Schedule and in Part I . . . of this Act have the same meaning in this Schedule as they have in that Part.
The Secretary of State may by order provide for the establishment, administration and management of one or more occupational pension schemes for the provision of pensions and other benefits for or in respect of eligible persons. Without prejudice to the generality of sub-paragraph (1) above, an order under that sub-paragraph may make provision with respect to— Any occupational pension scheme established under this paragraph shall be treated for all purposes as if it were a pension scheme established under an irrevocable trust.
The Secretary of State may by order amend— and any reference in this Schedule to amending an existing scheme accordingly includes a reference to amending any such trust deed, rules or other instrument. Without prejudice to the generality of sub-paragraph (1) above, an order under this paragraph may, in particular, amend an existing scheme so as to alter any provision, or so as to make provision, with respect to any of the matters specified in paragraphs (a) to (f) of paragraph 2(2) above. An order under this paragraph shall not make any amendment to a scheme— The Secretary of State shall not make an order under this paragraph except with the consent of the trustees of the occupational pension scheme to which the order relates.
Where persons with pension rights under any existing or new scheme (“the transferor scheme") are eligible to be members of another scheme (“the transferee scheme") which is either— the Secretary of State may by order make provision for those persons to be members of the transferee scheme instead of the transferor scheme and for their pension rights under the transferor scheme to be transferred so as to become pension rights under the transferee scheme. Where any pension rights are transferred under sub-paragraph (1) above, the Secretary of State may by order make provision for— as he may consider appropriate in consequence of that transfer to be correspondingly transferred so as to become assets or, as the case may be, liabilities in relation to the transferee scheme. Where any pension rights are transferred under sub-paragraph (1) above, the Secretary of State may by order— The Secretary of State may by order make provision for the winding up of the transferor scheme, whether in whole or in part, in connection with, or in consequence of, any transfers under this paragraph. The Secretary of State shall not make an order under this paragraph except with the consent of the trustees of the occupational pension schemes which are, or are to be, the transferor scheme and the transferee scheme.
In this Schedule “protected person” means—
any person who immediately before the passing of this Act—
is an employee of the Board or of a subsidiary of the Board; and
is participating in an existing scheme;
any person not falling within paragraph (a) above—
who either is, immediately before the passing of this Act, an employee of the Board or of a subsidiary of the Board or has at some earlier time been such an employee;
who has participated in an existing scheme before the passing of this Act; and
who fulfils prescribed conditions;
any person who, immediately before the passing of this Act, has pension rights under an existing scheme but is not participating in that scheme;
any person who, after the passing of this Act, acquires pension rights—
in consequence of the death of a person falling within paragraph (a), (b) or (c) above, and
by virtue of the participation of that other person in an existing scheme, or in an occupational pension scheme from which pension rights of that person have been transferred, whether directly or indirectly, to an existing scheme.
The Secretary of State may by order make provision for the purpose of protecting the interests of protected persons in respect of their pension rights. Without prejudice to the generality of sub-paragraph (1) above, an order under that sub-paragraph may make provision for the purpose of securing— and in paragraph (b) above “former scheme”, in relation to a protected person, means the existing scheme mentioned in paragraph (a) or (b), as the case may be, of paragraph 5 above. For the purposes of this paragraph, the “relevant pension rights" of a protected person are so much of his pension rights as consist of or otherwise represent— For the purposes of sub-paragraph (3) above, “the protected period” means— In determining a person’s relevant pension rights for the purposes of this paragraph, where the rules of a pension scheme make provision requiring pension rights which have accrued to a person to be enhanced in consequence of increases in remuneration after the accrual of the pension rights, that provision, and any enhancement resulting from it, shall be treated, so far as relating to any enhancement in consequence of increases in remuneration after the passing of this Act, as pension rights accruing at the time of the increase in remuneration in question. An order under this paragraph may make provision for and in connection with the making of elections in a prescribed manner by protected persons for orders under this paragraph (other than orders by virtue of this sub-paragraph) not to have effect with respect to them or their surviving dependants except to such extent (if any) as may be specified in the election or subject to such conditions (if any) as may be so specified. In sub-paragraph (6) above “surviving dependant”, in relation to a protected person, means any person who may acquire, in consequence of the death of the protected person, pension rights referable to relevant pension rights of the protected person. An order under this paragraph may make provision for such orders to cease to have effect in relation to a protected person if— except in such circumstances or to such extent as may be prescribed. Circumstances may be prescribed in which— shall be disregarded for prescribed purposes of this paragraph. Chapter I of Part XIV of the Employment Rights Act 1996, except section 218(6), shall apply for the purposes of this paragraph as it applies for the purposes of that Act.
Without prejudice to the generality of paragraph 6 above, an order under that paragraph may impose on any person falling within sub-paragraph (2) below duties with respect to— and may make provision requiring any person whose approval or consent is necessary in connection with the doing of anything required to be done by virtue of such an order, so far as relating to matters specified in paragraphs (a) to (h) above, to give that approval or consent. The persons mentioned in sub-paragraph (1) above are— An order under paragraph 5 or 6 above may include provision—
The Secretary of State may by order make provision conferring upon any person to whom this paragraph applies— the right to continue to participate in the joint industry scheme, in accordance with the rules of that scheme, unless and until the termination conditions become fulfilled in the case of that person. The persons to whom this paragraph applies are— For the purposes of this paragraph a person fulfils the “qualifying conditions” if— In sub-paragraph (3) above, the “intervening period” means the period which begins at the passing of this Act and ends— whichever is the later. The “termination conditions" become fulfilled for the purposes of this paragraph in the case of any person if— Circumstances may be prescribed in which— shall be disregarded for the purpose of determining whether the person fulfils the qualifying conditions or whether the termination conditions have become fulfilled in his case. The employers who are to be regarded for the purposes of this paragraph as “engaged in the railway industry” are those who carry on activities of a class or description specified for the purposes of this sub-paragraph by the Secretary of State in an order under this paragraph; and the Secretary of State may so specify any class or description of activity which, in his opinion, falls within, or is related to or connected with, the railway industry. An order under this paragraph may— An order under this paragraph may make provision for the purpose of preventing a person who would otherwise be entitled to the right conferred by virtue of sub-paragraph (1) above from continuing to participate in the joint industry scheme in circumstances where his continued participation in that scheme would in the opinion of a prescribed person— An order under this paragraph may include provision— An order under this paragraph may make provision for and in connection with the making of elections in a prescribed manner by persons who would otherwise be entitled by virtue of sub-paragraph (1) above to the right there mentioned for orders under this paragraph (other than orders by virtue of this sub-paragraph) not to have effect with respect to them. Sub-paragraph (10) of paragraph 6 above shall have effect for the purposes of this paragraph as it has effect for the purposes of that paragraph.
In section 52 of the Transport Act 1980, in subsection (1) (which requires the Secretary of State to make payments each year to B.R. pension schemes in respect of unfunded pension obligations owed by the Board), for the words “Subject to the provisions of this section and section 58," there shall be substituted the words “ Subject to the provisions of this section and sections 52A to 52D and 58, ”. After that section there shall be inserted—. After the section 52A inserted by sub-paragraph (2) above, there shall be inserted— In section 70 of that Act, in subsection (2) (interpretation), for the definition of “the Minister" there shall be substituted— “ “the Minister means the Secretary of State;” ”.
The Secretary of State may by order designate— as a pension scheme which is to be treated as included among those schemes for the purpose of requiring or enabling him to make to the persons administering the scheme payments under section 52(1), 52A, 52B or 52C of that Act in respect of qualifying pension rights transferred (whether under paragraph 4 above or otherwise) so as to become pension rights under that scheme. An order under sub-paragraph (1) above may make provision, in any case where qualifying pension rights of any persons are, or are to be, transferred as mentioned in that sub-paragraph, for treating those persons as constituting a section of the occupational pension scheme to which those qualifying pension rights are, or are to be, so transferred. No order shall be made under sub-paragraph (1) above except after consultation with the trustees of the occupational pension scheme to which the qualifying pension rights are, or are to be, transferred. Subject to the following provisions of this paragraph, Part III of the 1980 Act shall have effect as if any reference in that Part to a B.R. pension scheme included a reference to a designated scheme. Where qualifying pension rights are transferred to a designated scheme as mentioned in sub-paragraph (1) above, the proportion referred to in section 52(1)(a) of the 1980 Act in its application by virtue of this paragraph in relation to the designated scheme shall, instead of being determined under section 54 of that Act, be taken to be the proportion which has been determined under that section in relation to the B.R. pension scheme from which the qualifying pension rights are transferred; and references in Part III of that Act to that proportion shall be construed accordingly. In the application of Part III of the 1980 Act in relation to a designated scheme, references in that Part to “the relevant pension obligations" shall, in relation to the designated scheme, be construed— In the application of section 55 of the 1980 Act in relation to a designated scheme, paragraph (a) of subsection (1) (which requires the proportion of the scheme’s outgoings which corresponds to the relevant pension obligations to be determined before the beginning of each financial year or, in the case of the first financial year, as soon as practicable after the passing of that Act) shall be taken to require the proportion mentioned in that paragraph to be determined— and paragraph (b) of that subsection shall be construed accordingly. The power to give a direction under section 57 of the 1980 Act (which provides for certain determinations to be made as if no transfer had taken place and as if no payment representing the pension rights in question had been made) shall be exercisable in any case where the whole or any part of a person’s accrued pension rights under a B.R. pension scheme or a designated scheme are transferred (whether under paragraph 4 above or otherwise) to— as it is in the case of any such transfer as is mentioned in that section. Without prejudice to sub-paragraph (8) above, where in any financial year the whole or any part of a person’s accrued pension rights under a B.R. pension scheme are transferred to a designated scheme, it shall be assumed, for the purposes of any determination of the aggregate amount of the pensions, increases and expenses payable under or incurred in connection with the B.R. pension scheme in that financial year, that the payment of any sum representing those pension rights had not been made. Without prejudice to section 59(1) of the 1980 Act (which provides that the making of payments under section 52(1) does not discharge certain relevant pension obligations), the making of any payment under section 52(1) of the 1980 Act to the persons administering a designated scheme shall not discharge any relevant pension obligation, so far as it is an obligation to pay pensions or increases of pensions under that or any other designated scheme, or under a B.R. pension scheme, or is an obligation to secure the payment of those pensions or increases. Without prejudice to section 59(2) of the 1980 Act (power to amend pension scheme for certain purposes), if the persons administering an occupational pension scheme would not otherwise have power to do so, they may amend the scheme by instrument in writing for the purpose of enabling persons to be admitted as members of the scheme on the basis that payments will fall to be made under Part III of the 1980 Act in respect of qualifying pension rights of theirs which are transferred so as to become pension rights under the scheme. Where the persons administering an occupational pension scheme have power, apart from sub-paragraph (11) above, to amend the scheme for the purpose mentioned in that sub-paragraph, they may exercise that power for that purpose without regard to any limitations on the exercise of the power and without compliance with any procedural provisions applicable to its exercise. Any reference in Part III of the 1980 Act to a “financial year" shall, in relation to a designated scheme, be taken as a reference— Where any provision of Part III of the 1980 Act requires anything to be done in, or in relation to, the first financial year of a B.R. pension scheme, that provision shall (so far as so requiring) be disregarded in the application of that Part in relation to a designated scheme. In any case where— an order under sub-paragraph (1) above may provide for the benefit of that proportion of so much of those relevant pension obligations as are owed in respect of those pension rights to be transferred, so as to become relevant pension obligations owed by the Authority to the persons administering the pension scheme to which the pension rights are transferred. Where the benefit of any relevant pension obligations is transferred by virtue of sub-paragraph (15) above, the persons administering the pension scheme to which the benefit of those obligations is transferred shall have, in relation to the relevant pension obligations the benefit of which is so transferred, all the rights of the persons administering the pension scheme from which the benefit of those obligations is transferred. In this paragraph— and, subject to that, expressions used in this paragraph and in Part III of the 1980 Act have the same meaning in this paragraph as they have in that Part.
Subject to the following provisions of this paragraph, the Secretary of State— a guarantee in respect of their liabilities to make payments in respect of pension rights under the scheme. This paragraph applies in relation to a section of a new scheme as it applies in relation to a new scheme; and any reference in this paragraph to a new scheme, a closed scheme, a pension scheme or a member shall be construed accordingly. A new scheme satisfies the conditions in this sub-paragraph if— A new scheme satisfies the conditions in this sub-paragraph if— Classes or descriptions of person may be prescribed whose membership of, or participation in, a new scheme is to be disregarded for the purpose of determining whether the new scheme satisfies the conditions in sub-paragraph (3) or (4) above. The power to give a guarantee under sub-paragraph (1)(b) above becomes exercisable in the case of any new scheme if the Secretary of State is of the opinion that it is desirable to give such a guarantee for the purpose of ensuring that the trustees of the scheme are, or will be, able to meet their liabilities to make payments in respect of pension rights under the scheme as those liabilities fall to be met. The Secretary of State shall consider any representations made by the trustees of a new scheme which satisfies the conditions in sub-paragraph (4) above concerning their ability to meet their liabilities to make payments in respect of pension rights under the scheme. Any guarantee under this paragraph shall be given in such manner, and on such terms and conditions, as the Secretary of State may, after consultation with the trustees of, and the actuary to, the scheme in question, think fit; and, without prejudice to the generality of the foregoing provisions of this sub-paragraph, the terms and conditions on which a guarantee under this paragraph may be given include terms and conditions— and the sub-paragraphs of paragraphs (a) and (b) above are without prejudice to the generality of the preceding provisions of the paragraph in question. Any sums required by the Secretary of State to fulfil a guarantee given under this section shall be paid out of money provided by Parliament. In this paragraph—
If it appears to the Secretary of State necessary or expedient to do so, in consequence of any provision made by order under this Schedule, he may by provision made in the same manner—
repeal or amend, or modify the operation of, any private or local Act of Parliament; or
revoke or amend, or modify the operation of, any statutory instrument (whether local or general).
A statutory instrument containing an order under this Schedule, other than an order under paragraph 11 above, shall not be made unless a draft of the instrument has been laid before and approved by resolution of each House of Parliament. At or before the time when a draft of a statutory instrument containing an order under paragraph 3 or 4 above is laid before each House of Parliament pursuant to sub-paragraph (1) above, the Secretary of State shall also lay before each House of Parliament a copy of any comments on the order in question— but this sub-paragraph is without prejudice to the validity of the order in question. If, apart from the provisions of this sub-paragraph, the draft of an instrument containing an order under this Schedule would be treated for the purposes of the Standing Orders of either House of Parliament as a hybrid instrument, it shall proceed in that House as if it were not such an instrument.
In this Schedule, and in any amendment made by this Schedule to any other enactment,—
any reference to section 1 of the Pension Schemes Act 1993 shall, until the coming into force of that section, be construed as a reference to section 66(1) of the Social Security Pensions Act 1975;
any reference to Part III of the Pension Schemes Act 1993 shall, until the coming into force of that Part, be construed as a reference to Part III of the Social Security Pensions Act 1975; and
any reference to Part III of the Pension Schemes (Northern Ireland) Act 1993 shall, until the coming into force of that Part, be construed as a reference to Part IV of the Social Security Pensions (Northern Ireland) Order 1975.
Section 152.
Section 6 of the Regulation of Railways Act 1889 (which provides that every passenger ticket issued by any railway company in the United Kingdom shall show on its face the fare chargeable for the journey for which it was issued) shall cease to have effect.
In section 1 of the Railway Fires Act 1905 (liability of railway companies to make good damage to crops caused by their engines), after subsection (2) there shall be inserted— The expressions “light maintenance depot”, “network”, “operator”, “railway asset”, “station” and “track” have the same meaning as they have in Part I of the Railways Act 1993.
In section 2 of the Railway Fires Act (1905) Amendment Act 1923 (conditions precedent to application of the Act of 1905) after the words “any railway company" there shall be inserted the words “ (as defined in section 4 of that Act) ”.
Section 43 of the British Transport Commission Act 1950 (power to supply railway equipment to the Ulster Transport Authority) shall cease to have effect.
The Transport Act 1962 shall be amended in accordance with this paragraph. The following provisions shall cease to have effect, that is to say— In section 12 (power of the Boards to construct and operate pipe-lines), in subsection (1), after the words “the Boards" there shall be inserted the words “ , other than the Railways Board, ”. In section 14(4), after the words “Each of the Boards" there shall be inserted the words “ , except the Railways Board, ”.
The Transport Act 1968 shall be amended in accordance with this paragraph. In section 42 of that Act, subsection (3) (which confers power to vary commencing capital debt of the Board to take account of transfers under section 7(5) or (6) or 8(4) of that Act and which is spent) shall be omitted. Section 45 of that Act (duty of the Board periodically to review its organisation) shall cease to have effect. Section 48 of that Act (which confers power on the Boards and the new authorities to undertake activities including manufacture for sale) shall cease to have effect in relation to the Board. In section 50 of that Act— In section 55 of that Act (amendments concerning Transport Consultative Committees under section 56 of the Transport Act 1962), in subsection (1) (services and facilities in relation to which Consultative Committees’ duties are to apply)— and subsections (2), (3) and (4) (duties of Consultative Committees in relation to certain services and facilities provided in Scotland, and provision as to office accommodation for, defrayment of expenditure incurred by, and certain payments to members of, Consultative Committees) shall cease to have effect. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
after the words “the Director General of Electricity Supply for Northern Ireland” (which were inserted by paragraph 10(a) of Schedule 12 to the Electricity (Northern Ireland) Order 1992) there shall be inserted the words “the Rail Regulator”; and
after the words “Courts and Legal Services Act 1990” there shall be inserted the words “or the Railways Act 1993”.
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
after the words “Courts and Legal Services Act 1990” there shall be inserted the words “or the Railways Act 1993”; and
after the words “the Director General of Electricity Supply for Northern Ireland” (which were inserted by paragraph 14(b) of Schedule 12 to the Electricity (Northern Ireland) Order 1992) there shall be inserted the words “the Rail Regulator”.
In the Railways Act 1974, section 9 (which provides for an alternative basis of remuneration for chairmen of Consultative Committees set up under section 56 of the Transport Act 1962) shall cease to have effect.
In section 41(1) of the Restrictive Trade Practices Act 1976 (exceptions from the general restriction on the disclosure of information obtained under or by virtue of that Act), in paragraph (a)—
after the words “the Director General of Electricity Supply for Northern Ireland" (which were inserted by paragraph 16(a) of Schedule 12 to the Electricity (Northern Ireland) Order 1992) there shall be inserted the words “ the Rail Regulator ”; and
after the words “Courts and Legal Services Act 1990" there shall be inserted the words “ or the Railways Act 1993 ”.
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
after the words “Courts and Legal Services Act 1990” there shall be inserted the words “or the Railways Act 1993”; and
after the words “the Director General of Electricity Supply for Northern Ireland” (which were inserted by paragraph 20(b) of Schedule 12 to the Electricity (Northern Ireland) Order 1992) there shall be inserted the words “the Rail Regulator”.
In section 11 of the Competition Act 1980, in subsection (3) (public bodies and other persons who may be the subject of a reference to the Monopolies Commission under that section), after paragraph (a) there shall be inserted—. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
In subsection (2) of section 101 of the Telecommunications Act 1984 (which provides that the general restriction, in subsection (1) of that section, on the disclosure of information obtained under or by virtue of that Act does not apply in relation to the performance by certain authorities of their functions under the provisions listed in subsection (3) of that section) in paragraph (b), after the words “the Director General of Electricity Supply for Northern Ireland" (which were inserted by paragraph 29(a) of Schedule 12 to the Electricity (Northern Ireland) Order 1992) there shall be inserted the words “ the Rail Regulator ”. In subsection (3) of that section (list of provisions referred to in subsection (2) of that section) after paragraph (l) (which was inserted by paragraph 29(b) of Schedule 12 to the Electricity (Northern Ireland) Order 1992) there shall be added—.
Section 2 of the London Regional Transport Act 1984 (provision of passenger transport services for Greater London) shall be amended in accordance with the following provisions of this paragraph. In subsection (1) (which requires London Regional Transport, in conjunction with the Board, to provide or secure the provision of public passenger transport services in Greater London), before the words “in conjunction with the Railways Board" there shall be inserted the words “ (if and to the extent that the Railways Board continues to be under a duty by virtue of section 3 of the Transport Act 1962 to provide railway services in Greater London) ”. At the beginning of subsection (3) (duty of London Regional Transport and the Board to co-operate for the purpose of co-ordinating services etc) there shall be inserted the words “ If and so long as the Railways Board continues to be under a duty by virtue of section 3 of the Transport Act 1962 to provide railway services in Greater London, ”. After that subsection there shall be inserted— In subsection (4) (power of London Regional Transport and the Board to enter into arrangements for the purposes of the co-operation required by the section)— After that subsection there shall be inserted—
In section 7 of that Act (planning of passenger transport services for Greater London) in subsection (4) (which specifies the persons with whom London Regional Transport are to consult in preparing statements under that section)—
(aa) the Franchising Director;
(cc) such other persons as the Secretary of State may specify in a direction given to London Regional Transport; and
In section 31 of that Act (duty of Board to consult London Regional Transport as to fares and services in London) for the words “The Railways Board shall" there shall be substituted the words “ If and so long as the Railways Board continues to be under a duty by virtue of section 3 of the Transport Act 1962 to provide railway services in Greater London, the Board shall ”.
After that section there shall be inserted—
Section 40 of that Act shall have effect with the following amendments. Without prejudice to the continuing validity of appointments made before the coming into force of this sub-paragraph, for subsection (2) (appointment of chairman and members by the Secretary of State) there shall be substituted— In subsection (4), there shall be omitted— In subsection (5)— Subsection (6) (which precludes the committee from considering charges for services and questions relating to the discontinuance or reduction of railway services) shall be omitted. In subsection (7), paragraph (b) (which requires copies of the committee’s minutes, requirements and recommendations in the case of certain matters affecting the Board to be sent to the Board) shall be omitted. In subsection (8) (power of the Secretary of State to give directions to certain bodies) the words “or (as the case may require) to the Railways Board” shall be omitted. In subsection (9) (requirement for certain bodies and persons to give notice of certain decisions to the committee) the words “the Railways Board” shall be omitted. In subsection (10) (committee to make annual report to the Secretary of State), after the words “Secretary of State” where first occurring there shall be inserted the words “ and the Rail Regulator ”. In subsection (11) (certain companies not to be treated as subsidiaries of certain bodies), the words “or the Railways Board” shall be omitted.
Section 41 of that Act (which provides for the committee to be treated as an Area Transport Users’ Consultative Committee for certain purposes and which makes other provision in connection therewith) shall cease to have effect.
In section 59 of that Act (which confers power on London Borough Councils and the Common Council to enter into certain agreements with the Board) for the words “the Railways Board" there shall be substituted—.
In section 68 of that Act (interpretation) the following definitions shall be inserted at the appropriate places—
“ “franchise agreement” has the same meaning as in Part I of the Railways Act 1993; ”; and
“ “the Franchising Director” means the Director of Passenger Rail Franchising; ”.
The Committee shall prepare and send to the Secretary of State not less than two months, or such other period as the Secretary of State may specify, before the beginning of each financial year a statement of the expenses which they expect to incur in respect of that year for the purposes of, or in connection with, the carrying on of their functions. The Secretary of State shall consider any statement sent to him under sub-paragraph (3) above and shall either approve the statement or approve it with such modifications as he considers appropriate. In paragraph 9 of that Schedule, at the end of sub-paragraph (3) (which requires minutes to be kept of the proceedings of every meeting of the committee) there shall be added the words “ ; and copies of those minutes shall be sent to the Secretary of State, the Rail Regulator and the Central Rail Users’ Consultative Committee. ” In sub-paragraph (4) of that paragraph (power of committee to determine own procedure) after the words “Subject to the preceding provisions of this paragraph" there shall be inserted the words “ and the provisions of paragraph 11A below ” and after paragraph 11 of that Schedule there shall be inserted—.
In subsection (2) of section 74 of the Airports Act 1986 (which provides that the general restriction, in subsection (1) of that section, on the disclosure of information obtained under or by virtue of that Act does not apply in relation to the performance by certain authorities of their functions under the provisions listed in subsection (3) of that section) in paragraph (a), after the words “the Director General of Electricity Supply for Northern Ireland" (which were inserted by paragraph 30(a) of Schedule 12 to the Electricity (Northern Ireland) Order 1992) there shall be inserted the words “ the Rail Regulator ”. In subsection (3) of that section (list of provisions referred to in subsection (2) of that section) after paragraph (m) (which was inserted by paragraph 30(b) of Schedule 12 to the Electricity (Northern Ireland) Order 1992) there shall be added—.
In subsection (2) of section 42 of the Gas Act 1986 (which provides that the general restriction, in subsection (1) of that section, on the disclosure of information obtained under or by virtue of that Act does not apply in relation to the performance by certain authorities of their functions under the provisions listed in subsection (3) of that section) in paragraph (b), after the words “the Director General of Electricity Supply" there shall be inserted the words “ the Rail Regulator ”. In subsection (3) of that section (list of provisions referred to in subsection (2) of that section) after paragraph (m) there shall be added—.
In section 413 of the Insolvency Act 1986, at the end of subsection (2) (which imposes a requirement to consult with the Insolvency Rules Committee, except in the case of certain provisions there specified) there shall be added the words “ or by any of sections 59 to 65 of, or Schedule 6 or 7 to, the Railways Act 1993. ”
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In Schedule 6 to the Channel Tunnel Act 1987, in paragraph 2 (sections 4 and 6 of the Regulation of Railways Act 1889 not to apply to Concessionaires and through service operators, within the meaning of that Act), for the word “Sections" there shall be substituted the word “ Section ”.
In subsection (2) of section 57 of the Electricity Act 1989 (which provides that the general restriction, in subsection (1) of that section, on the disclosure of information obtained under or by virtue of that Act does not apply in relation to the performance by certain authorities of their functions under the provisions listed in subsection (3) of that section) in paragraph (b), after sub-paragraph (vii) there shall be inserted—. (nn) the Railways Act 1993
In section 10 of the New Roads and Street Works Act 1991 (application of the Fair Trading Act 1973 etc in relation to persons authorised by virtue of that Act to charge tolls for the use of roads), in subsection (2), paragraph (b) (which provides that, for certain purposes, section 51(3) of the Fair Trading Act 1973 is to have effect as if the Secretary of State for Transport were among the Ministers listed in that provision, and which is superseded by the amendment made by section 66(2) of this Act), and the word “and" immediately preceding it, shall cease to have effect.
In the Water Industry Act 1991 (subsection (3)(d) of section 206 of which provides that the general restriction contained in subsection (1) of that section on the disclosure of certain information obtained under or by virtue of that Act does not apply in relation to disclosures facilitating the performance by persons mentioned in Part I of Schedule 15 to that Act of their functions under the provisions listed in Part II of that Schedule), in Schedule 15—
The Rail Regulator
The Railways Act 1993
In the Water Resources Act 1991 (subsection (2)(d) of section 204 of which provides that the general restriction contained in subsection (1) of that section on the disclosure of certain information obtained under or by virtue of that Act does not apply in relation to disclosures facilitating the performance by persons mentioned in Part I of Schedule 24 to that Act of their functions under the provisions listed in Part II of that Schedule), in Schedule 24—
The Rail Regulator
The Railways Act 1993
The British Coal and British Rail (Transfer Proposals) Act 1993 (which provides for the Board and the British Coal Corporation to have certain powers to act to facilitate the implementation of proposals of the Secretary of State to transfer property, rights, liabilities or functions of the Board or that Corporation to other persons or bodies) shall cease to have effect, so far as relating to the Board.
Section 152.
Unless the Secretary of State otherwise directs, any person who, immediately before the coming into force of section 3 of this Act, is— shall, for the remainder of the period for which he was appointed as such, be the chairman or, as the case may be, one of the other members of the Central Committee. Any reference or representation— shall be treated as a reference or representation made to the Central Committee pursuant to paragraph (a) or (b) of subsection (2) of section 76 of this Act for the purposes of subsection (1) of that section. Any matter— shall be treated as a matter which ought to be considered by the Central Committee under subsection (1) of section 76 of this Act by virtue of subsection (2)(c) of that section. It shall be the duty of the former Central Committee to secure that all papers and other material relating to any representation, reference or matter falling within sub-paragraph (2) or (3) above are delivered up to the Central Committee as soon as reasonably practicable after the coming into force of section 3 of this Act. In any case where— he may, before the expiration of the period of twelve months beginning with the coming into force of that section, give a direction to any person providing a railway service whom he considers responsible for the matters dealt with in the recommendation. As respects the financial year at the beginning of which, or during which, section 3 of this Act comes into force— In this paragraph— For the purposes of this paragraph the matters which are within the competence of the Central Committee are any matters of a kind which, after the coming into force of section 3 of this Act, the Central Committee has power, or is under a duty, to investigate under section 76 of this Act.
Until such time as the Regulator otherwise directs— Unless the Regulator otherwise directs, any person who, immediately before the coming into force of section 2 of this Act, is the chairman or one of the other members of an Area Committee for any area shall, for the remainder of the period for which he was appointed as such, be the chairman or, as the case may be, one of the other members of the consultative committee for that area. Any reference or representation— shall be treated as a reference or representation made to the consultative committee pursuant to paragraph (a) or (b) of subsection (2) of section 77 of this Act for the purposes of subsection (1) of that section. Any matter— shall be treated as a matter which ought to be considered by the consultative committee under subsection (1) of section 77 of this Act by virtue of subsection (2)(c) of that section. It shall be the duty of the Area Committee for any area to secure that all papers and other material relating to any representation, reference or matter falling within sub-paragraph (3) or (4) above are delivered up to the consultative committee for that area as soon as reasonably practicable after the coming into force of section 2 of this Act. In any case where— he may, before the expiration of the period of twelve months beginning with the coming into force of that section, give a direction to any person providing a railway service whom he considers responsible for the matters dealt with in the recommendation. As respects the financial year at the beginning of which, or during which, section 2 of this Act comes into force— In this paragraph— For the purposes of this paragraph the matters which are within the competence of a consultative committee are any matters of a kind which, after the coming into force of section 2 of this Act, the committee has power, or is under a duty, to investigate under section 77 of this Act.
This paragraph applies in any case where— Where this paragraph applies, subsections (7) to (10) and (13) of section 56 of the 1962 Act (and, accordingly, section 54 of the 1968 Act) shall, notwithstanding anything in section 49(1) of this Act, continue to have effect in relation to the proposed closure in question, but with the substitution— and the closure provisions of this Act shall not have effect in relation to that proposed closure. In this paragraph—
Section 41 of the Channel Tunnel Act 1987 (which applies certain statutory functions of consumer committees to complaints about international railway passenger services as they apply in relation to services and facilities provided by the Board and its subsidiaries) shall continue to have effect as if section 78(1) of this Act and paragraphs 6(6)(b) and 18(3) to (8) and (10) of Schedule 12 to this Act had not been enacted. In the application of subsection (5) of section 40 of the London Regional Transport Act 1984 by virtue of section 41 of the Channel Tunnel Act 1987, for the words in that subsection from “those services or facilities are within the competence of the Committee" onwards there shall be substituted the words “ those services or facilities are provided within the area which is for the time being “the Greater London area” for the purposes of section 2 of the Railways Act 1993. ”
Section 152. Chapter Short title Extent of repeal 52 & 53 Vict. c. 57. The Regulation of Railways Act 1889. Section 6. 18 & 19 Geo. 5 c. ci. The London Midland and Scottish Railway (Road Transport) Act 1928. The whole Act. 18 & 19 Geo. 5 c. cii. The Great Western Railway (Road Transport) Act 1928. The whole Act. 18 & 19 Geo. 5 c. ciii. The London and North Eastern Railway (Road Transport) Act 1928. The whole Act. 18 & 19 Geo. 5 c. civ. The Southern Railway (Road Transport) Act 1928. The whole Act. 19 & 20 Geo. 5 c. liv. The Great Western Railway (Air Transport) Act 1929. The whole Act. 19 & 20 Geo. 5 c. lv. The London and North Eastern Railway (Air Transport) Act 1929. The whole Act. 19 & 20 Geo. 5 c. lvi. The London Midland and Scottish Railway (Air Transport) Act 1929. The whole Act. 19 & 20 Geo. 5 c. lvii. The Southern Railway (Air Transport) Act 1929. The whole Act. 14 Geo. 6 c. liii. The British Transport Commission Act 1950. Section 43. 1 & 2 Eliz. 2 c. 36. The Post Office Act 1953. In section 29(1), the words “Without prejudice to section forty-two of this Act" Sections 33 to 42. In section 87(1), the definitions of “railway undertakers", “regular mail train services" and “sorting carriage". 10 & 11 Eliz. 2 c. 46. The Transport Act 1962. In section 4, subsections (1)(b), (2) and (7). Section 5. Section 13(3). 10 & 11 Eliz. 2 c. 46.—contd. The Transport Act 1962.—contd. Section 53. Section 54(1)(b) and (2). In section 56, subsections (1) to (3), in subsection (5), the words from the beginning to “section; and", and subsections (7) to (10), (12) to (15) and (17). Section 56A. Sections 69, 70 and 71. In section 92(1), in the definition of “subsidiary", the words “(taking references in that section to a company as being references to any body corporate)". Schedule 2, Part II. 1968 c. 73. The Transport Act 1968. Sections 7 and 8. Section 40. In section 42, subsections (3) to (5) and (6)(b). Section 45. Section 50(2). Section 54. In section 55, in subsection (1), in paragraph (a), the words from “or provided" onwards, paragraph (b), paragraphs (i) and (iii) and the words from “and for the purposes" onwards, and subsections (2) to (4) In section 135(1)(a), the words “7, 8,". In section 136(4)(a), the words “7(5) or (6), 8(4)," In section 137, in subsection (1)(a), the words “the Railways Board,". In section 159(1), in the definition of “the Minister", the words “7(7), 8(5),". In section 160(5), the words “otherwise than by virtue of section 7(7)(b) thereof". In Schedule 17, in Part I, in the entry relating to Part IV, the word “40,". 1969 c. 48. The Post Office Act 1969. In section 20, subsection (1)(b) and (d), and, in subsection (2), in paragraph (a), the words 1969 c. 48.—contd. The Post Office Act 1969.—contd. “33 to 36, 38", paragraph (b) and the word “and" immediately preceding it. In Schedule 4, in paragraph 2(1), in the Table, the entries relating to sections 33, 34, 38, 41 and 42 of the Post Office Act 1953. 1971 c. xlv. The British Railways Act 1971. Section 34. 1974 c. 48. The Railways Act 1974. Section 3. In section 4(5)(b), the words “section 3 of the Transport Act 1981". Section 8. Section 9. In section 10(2), the definition of “the relevant transport regulations". 1977 c. 20. The Transport (Financial Provisions) Act 1977. The whole Act. 1978 c. 55. The Transport Act 1978. Section 16. 1980 c. 34. The Transport Act 1980. In Schedule 7, paragraphs 1, 2 and 4. 1981 c. 32. The Transport Act 1962 (Amendment) Act 1981. The whole Act. 1981 c. 56. The Transport Act 1981. Part I. Section 36. Schedule 1. 1982 c. 6. The Transport (Finance) Act 1982. Section 2. 1984 c. 32. The London Regional Transport Act 1984. Part II. In section 40, in subsection (4), paragraph (c) and the word “or" immediately preceding it; in subsection (5), the words following paragraph (c); subsection (6); in subsection (7), paragraph (b); in subsection (8), the words “or (as the case may require) to the Railways Board"; in subsection (9), the words “the Railways Board"; in subsection (11), the words “or the Railways Board" Section 41. In section 42, subsections (3), (4) and (5). In Schedule 6, paragraph 2. 1985 c. 67. The Transport Act 1985. Section 118(2)(a)(ii). 1987 c. 53. The Channel Tunnel Act 1987. Section 33(11). In section 41, in subsection (3)(b), the words “and section 41(3) and (5) to (7)", and subsection (5). In Schedule 6, in paragraph 2, the words from “and 6" to “the fare)". 1991 c. 22. The New Roads and Street Works Act 1991. In section 10(2), paragraph (b) and the word “and" immediately preceding it. 1991 c. 63. The British Railways Board (Finance) Act 1991. Section 2.
to be the operator of a light maintenance depot; and
“the beneficiary” means the person mentioned in paragraph (a) of the definition of “installation access contract” in subsection (9) above;
the Board;
This section does not apply to a person who acts as the operator of a railway asset to the extent that the asset is operated for the purpose of providing—
a service for which a railway undertaking licence is required; or
a Channel Tunnel service for which a railway undertaking licence or a European licence is required.
Any person who is guilty of an offence under this section shall be liable—
on summary conviction, to a fine not exceeding the statutory maximum;
on conviction on indictment, to a fine.
In this section—
No proceedings shall be instituted in England and Wales in respect of an offence under this section except by or on behalf of the Secretary of State or the Office of Rail and Road.
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The Secretary of State may, after consultation with the Office of Rail and Road ... , by order grant exemption from the requirement to be authorised by licence to be the operator of such railway assets, or of railway assets of such a class or description, as may be specified in the order, but subject to compliance with such conditions (if any) as may be so specified.
A licence exemption under subsection (1) above may be granted either— and a licence exemption granted to persons of a particular class or description shall be published in such manner as the Secretary of State considers appropriate for bringing it to the attention of persons of that class or description.
to persons of a particular class or description; or
to a particular person;
If any person makes an application under this subsection to the Office of Rail and Road for the grant of an exemption from the requirement to be authorised by licence to be the operator of such railway assets, or of railway assets of such a class or description, as he may specify in the application, the Office of Rail and Road, after consultation with the Secretary of State ... —
may either grant or refuse the exemption, whether wholly or to such extent as it may specify in the exemption; and
if and to the extent that it grants the exemption , may do so subject to compliance with such conditions (if any) as it may so specify.
Before granting a licence exemption under subsection (3) above, the Office of Rail and Road shall give notice— and shall consider any representations or objections which are duly made and not withdrawn.
stating that it proposes to grant the licence exemption,
stating the reasons why it proposes to grant the licence exemption; and
specifying the time (not being less than 28 days from the date of publication of the notice) within which representations or objections with respect to the proposed licence exemption may be made,
A notice under subsection (4) above shall be given by publishing the notice in such manner as the Office of Rail and Road considers appropriate for bringing it to the attention of persons likely to be affected by the grant of the licence exemption.
If any condition (the “broken condition") of a licence exemption is not complied with— may give to any relevant person a direction declaring that the licence exemption is revoked, so far as relating to that person, to such extent and as from such date as may be specified in the direction.
the Secretary of State, in the case of a licence exemption under subsection (1) above, or
the Office of Rail and Road, in the case of a licence exemption under subsection (3) above,
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For the purposes of this section—
“closure requirement” means a requirement imposed under section 33 of that Act;
in relation to a duty mentioned in subsection (11) which is imposed or arises in a case that is not a Scottish case or a Welsh case, the Secretary of State;
“the Board” means the British Railways Board;
a contract conferring an option, whether exercisable by the applicant or some other person, to require a facility owner to secure that—
so far as may be appropriate, any associate of that person,
a person (whether or not the applicant or that other), and
“railway facility” means any track, station or light maintenance depot;
so far as may be appropriate, any associate of that person,
any power conferred on the Secretary of State , the Welsh Ministers or the Scottish Ministers under or by virtue of section 1(2) of the Railways Act 2005; and
Where the Secretary of State or the Office of Rail and Road gives a direction under subsection (6) above to any person, he or it may also direct that person to refrain from being the operator of any railway assets or of such railway assets, or railway assets of such a class or description, as may be specified in the direction by virtue of this subsection.
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Subject to subsection (6) above, a licence exemption, unless previously revoked in accordance with any term contained in the licence exemption, shall continue in force for such period as may be specified in, or determined by or under, the licence exemption.
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the licence exemption is to come into force on the day on which section 6(1) above comes into force; or
the licence exemption is to be granted on or before that day but is not to come into force until after that day;
Any application for a licence exemption under subsection (3) above must be made in writing; and where any such application is made, the Office of Rail and Road may require the applicant to furnish him with such information as the Office of Rail and Road may consider necessary to enable it to decide whether to grant or refuse the licence exemption.
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Licence exemptions may make different provision, or be granted subject to compliance with different conditions, for different cases.
In this Part “licence exemption” means an exemption, granted under any provision of this section in respect of a railway asset or in respect of railway assets of any class or description, from the requirement to be authorised by licence to be the operator of that railway asset or, as the case may be, railway assets of that class or description.
Subject to the following provisions of this section— may grant to any person a licence authorising the person to be the operator of such railway assets, or of railway assets of such a class or description, as may be specified in the licence.
the Secretary of State after consultation with the Office of Rail and Road . . . , or
the Office of Rail and Road with the consent, or in accordance with a general authority, of the Secretary of State . . . ,
Any general authority given to the Office of Rail and Road under subsection (1)(b) above but a failure to comply with such a requirement shall not affect the validity of the licence.
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may include a requirement for the Office of Rail and Road either to consult the Secretary of State, or a requirement to obtain his approval before granting a licence;
Any application for a licence— and, on any such application, the Secretary of State or, as the case may be, the Office of Rail and Road may either grant or refuse the licence.
shall be made in the prescribed manner;
shall be accompanied by such fee (if any) as may be prescribed in the case of a licence of the description in question; and
shall, if the Secretary of State so requires, be published by the applicant in the prescribed manner and within such period as may be notified to the applicant by the Secretary of State;
Before granting a licence, the Secretary of State or the Office of Rail and Road shall give notice— and shall consider any representations or objections which are duly made and not withdrawn.
stating that he or it proposes to grant the licence,
stating the reasons why he or it proposes to grant the licence, and
specifying the time (not being less than 28 days from the date of publication of the notice) within which representations or objections with respect to the proposed licence may be made,
A notice under subsection (4) above shall be given by publishing the notice in such manner as the Secretary of State or the Office of Rail and Road considers appropriate for bringing it to the attention of persons likely to be affected by the grant of the licence.
A licence shall be in writing and, unless previously revoked or surrendered in accordance with any terms contained in the licence, shall continue in force for such period as may be specified in or determined by or under the licence; and a licence shall not be capable of being surrendered unless the Office of Rail and Road consents to the surrender if it is—
a passenger licence;
a network licence;
a station licence; or
a light maintenance depot licence.
As soon as practicable after the granting of a licence, the grantor shall send a copy—
in the case of a licence granted by the Secretary of State, to the Office of Rail and Road . . . ; or
in the case of a licence granted by the the Office of Rail and Road, to the Secretary of State . . . .
Any power to make regulations by virtue of subsection (3) above shall only be exercisable by the Secretary of State after consultation with the Office of Rail and Road . . .
Different fees may be prescribed under subsection (3) above in respect of licences authorising a person to be the operator of railway assets of different classes or descriptions.
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the requirement to consult imposed by subsection (1) above,
the requirements of paragraphs (a) to (c) of subsection (3) above, and
subsections (4) and (5) above,
Any sums received by the Secretary of State or the Office of Rail and Road under this section shall be paid into the Consolidated Fund.
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A licence may include—
such conditions (whether or not relating to the licence holder’s being the operator of railway assets under the authorisation of the licence) as appear to the grantor to be requisite or expedient having regard to the duties imposed by section 4 above; and
conditions requiring the rendering to— of a payment on the grant of the licence, or payments during the currency of the licence, or both, of such amount or amounts as may be determined by or under the licence.
the Secretary of State,
the Office of Rail and Road, or
any other person, or any other person of a class or description, specified in the licence, except a Minister of the Crown or Government department,
Conditions included in a licence by virtue of subsection (1)(a) above—
may require the licence holder to enter into any agreement with any person for such purposes as may be specified in the conditions; and
may include provision for determining the terms on which such agreements are to be entered into.
Conditions included in a licence by virtue of subsection (1)(a) above may require the licence holder—
to comply with any requirements from time to time imposed by a qualified person with respect to such matters as are specified in the licence or are of a description so specified;
except in so far as a qualified person consents to his doing or not doing them, not to do or to do such things as are specified in the licence or are of a description so specified;
to refer for determination by a qualified person such questions arising under the licence as are specified in the licence or are of a description so specified;
to refer for approval by a qualified person such things falling to be done under the licence as are specified in the licence or are of a description so specified;
to furnish to a qualified person such documents or other information as he may require for the purpose of exercising any functions conferred or imposed on him under or by virtue of the licence;
to furnish to the Secretary of State or the Office of Rail and Road such documents or other information as he or it may require for the purpose of exercising the functions assigned or transferred to him or it under or by virtue of this Part or Part 4 of the Railways Act 2005.
Conditions included in a licence may contain provision for the conditions to cease to have effect or be modified at such times, in such manner and in such circumstances as may be specified in or determined by or under the conditions; and any provision included by virtue of this subsection in a licence shall have effect in addition to the provision made by this Part with respect to the modification of the conditions of a licence.
Conditions included in a licence by virtue of subsection (1)(a) above may include provision about any matter which is dealt with (whether in the same or a different manner) by an access agreement.
Subsections (2) to (4) above are without prejudice to the generality of subsection (1)(a) above.
Any reference in subsection (3) above to a “qualified person” is a reference to— and includes a reference to a person nominated for that purpose by such a person pursuant to the licence.
a person specified in the licence in question for the purpose in question, or
a person of a description so specified,
Any sums received by the Secretary of State or the Office of Rail and Road in consequence of the provisions of any condition of a licence shall be paid into the Consolidated Fund.
If and so long as a person is a licence exempt operator—
there shall not be included in any licence granted to him any condition which relates to his licence exempt activities, except to the extent permitted by virtue of subsection (2) below; and
any such condition which is included in a licence which has been granted to him shall, except to that extent, be of no effect so far as so relating.
A condition which relates to both— may be included in a licence, but only if and to the extent that, in the opinion of the person granting the licence, the condition must, in consequence of the licensee’s carrying on of a mixed activity, necessarily have effect in relation to the whole, or some part, of so much of the mixed activity as consists of the licence exempt activity if the condition is to have full effect in relation to so much of the mixed activity as consists of the licensed activity.
a licensed activity carried on by a person (“the licensee"), and
a licence exempt activity carried on by him,
There shall not be included in a licence any condition relating to the fares that may be charged in respect of train journeys involving licence exempt travel, other than train journeys which also involve—
licensed travel; and
at least two consecutive scheduled calls at stations during any one continuous spell of licensed operation.
For the purposes of subsection (3) above and this subsection— . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . “licence exempt travel” means travel by means of a train whose operator is, by virtue of a licence exemption, exempt from the requirement to be authorised by licence to be the operator of that train for the whole, or for some part, of the train journey in question; “licensed travel” means travel by means of a train whose operator is authorised by licence to be the operator of that train for some part of the train journey in question; “spell of licensed operation”, in the case of any train journey, means any part of the journey throughout which the operator of the train in question lawfully acts as such by virtue only of holding one or more licences; “train journey” means a journey between any two stations which is scheduled to be made by means of one train (irrespective of where the train in question begins or ends its journey).
in the case of a person under closure restrictions, any duty mentioned in subsection (11) to which he is subject;
Subsection (3) above has effect notwithstanding anything in subsection (1) or (2) above; and section 9 above is subject to the provisions of this section.
In this section—
A licence shall be capable of being assigned, but only if it includes a condition authorising assignment.
A licence shall not be capable of being assigned except with the consent of—
the Secretary of State, if he is specified for the purpose in the licence; or
the Office of Rail and Road . . . , in any other case.
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the Secretary of State; and
the Regulator.
Any consent under subsection (2) above may be given subject to compliance with such conditions as are imposed by the person . . . giving the consent, which may include conditions modifying, or requiring or otherwise providing for the making of modifications to, the conditions of the licence.
A licence may include conditions which must be complied with before the licence can be assigned.
An assignment, or purported assignment, of a licence shall be void—
if the licence is not capable of assignment;
if the assignment, or purported assignment, is in breach of a condition of the licence; or
if there has, before the assignment or purported assignment, been a contravention of a condition subject to compliance with which the consent required by subsection (2) above is given.
A licence shall not be capable of being assigned under or by virtue of any other provision of this Act, other than paragraph 4 of Schedule 7 to this Act.
In this section “assignment” includes any form of transfer and cognate expressions shall be construed accordingly.
Any reference in this section to “assignment” shall be construed in Scotland as a reference to assignation.
Subject to the following provisions of this section, the Office of Rail and Road may modify the conditions of a licence if the holder of the licence consents to the modifications.
Before making modifications under this section, the Office of Rail and Road shall give notice— and shall, before making the modifications, consider any representations or objections which are duly made and not withdrawn.
stating that it proposes to make the modifications and setting out their effect,
stating the reasons why it proposes to make the modifications, and
specifying the period (not being less than 28 days from the date of publication of the notice) within which representations or objections with respect to the proposed modifications may be made,
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A notice under subsection . . . (2) above shall be given—
by publishing the notice in such manner as . . . the Office of Rail and Road considers appropriate for the purpose of bringing the notice to the attention of persons likely to be affected by the making of the modifications; and
by serving a copy of the notice on the holder of the licence.
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The Office of Rail and Road may make to the Monopolies and Mergers Commission (in this Act referred to as the CMA) a reference which is so framed as to require the CMA to investigate and report on the questions—
whether any matters which— operate, or may be expected to operate, against the public interest; and
relate to the provision of any railway services by means of a railway asset, or railway assets of a class or description, whose operator acts as such by virtue of a licence, and
are specified in the reference,
if so, whether the effects adverse to the public interest which those matters have or may be expected to have could be remedied or prevented by modifications of the conditions of the licence.
The Office of Rail and Road may, at any time, by notice given to the CMA vary a reference under this section by adding to the matters specified in the reference or by excluding from the reference some or all of the matters so specified; and on receipt of any such notice the CMA shall give effect to the variation.
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The Office of Rail and Road may specify in a reference under this section, or a variation of such a reference, for the purpose of assisting the CMA in carrying out the investigation on the reference—
any effects adverse to the public interest which, in its opinion, the matters specified in the reference or variation have or may be expected to have; and
any modifications of the conditions of the licence by which, in its opinion, those effects could be remedied or prevented.
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As soon as practicable after making a reference under this section or a variation of such a reference, the Office of Rail and Road—
shall serve a copy of the reference or variation on the holder of the licence; and
shall publish particulars of the reference or variation in such manner as it considers appropriate for the purpose of bringing the reference or variation to the attention of persons likely to be affected by it.
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The Office of Rail and Road shall also send a copy of a reference under this section, or a variation of such a reference, to the Secretary of State; and if, before the end of the period of 28 days beginning with the day on which the Secretary of State receives the copy of the reference or variation, the Secretary of State directs the CMA not to proceed with the reference or, as the case may require, not to give effect to the variation, the CMA shall comply with the direction.
It shall be the duty of the Office of Rail and Road, for the purpose of assisting the CMA in carrying out an investigation on a reference under this section, to give to the CMA — and the CMA, for the purpose of carrying out any such investigation, shall take account of any information given to them for that purpose under this subsection.
any information in the possession of the Office of Rail and Road which relates to matters falling within the scope of the investigation and—
is requested by the CMA for that purpose; or
is information which, in the opinion of the Office of Rail and Road, it would be appropriate for that purpose to give to the CMA without any such request; and
any other assistance which the CMA may require, and which it is within the power of the Office of Rail and Road to give, in relation to any such matters;
In determining for the purposes of this section whether any particular matter operates, or may be expected to operate, against the public interest, the CMA shall have regard to the matters as respects which duties are imposed on . . . the Office of Rail and Road by section 4 above.
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the functions of the Commission in relation to those references were functions under the 1973 Act;
the expression “merger reference” included a reference under this section;
in the said section 70, references to the Secretary of State were references to the Regulator and the reference to three months were a reference to six months;
in paragraph 11 of the said Schedule 3, the reference to section 71 of the 1973 Act were a reference to subsection (2) above; and
paragraph 16(2) of that Schedule were omitted.
Nothing in this section applies in relation to any term of a licence to the extent that it makes provision for the revocation or surrender of the licence.
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The functions of the CMA with respect to a reference under this section are to be carried out on behalf of the CMA by a group constituted for the purpose by the chair of the CMA under Schedule 4 to the Enterprise and Regulatory Reform Act 2013 (including functions relating to the making of modifications following a report on a reference, and functions under sections 109 to 115 of the Enterprise Act 2002, as applied by sections 13B and 15C).
In making a report on a reference under section 13 above, the CMA—
shall include in the report definite conclusions on the questions comprised in the reference together with such an account of their reasons for those conclusions as in their opinion is expedient for facilitating a proper understanding of those questions and of their conclusions;
where they conclude that any of the matters specified in the reference operate, or may be expected to operate, against the public interest, shall specify in the report the effects adverse to the public interest which those matters have or may be expected to have; and
where they conclude that any adverse effects so specified could be remedied or prevented by modifications of the conditions of the licence, shall specify in the report modifications by which those effects could be remedied or prevented.
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For the purposes of sections 15 to 15B below, a conclusion contained in a report of the CMA is to be disregarded if the conclusion is not that of at least two-thirds of the members of the group constituted by the chair of the CMA for the purpose of carrying out the functions of the CMA with respect to the reference.
For the purposes of the law relating to defamation, absolute privilege attaches to any report made by the CMA on a reference under section 13 above.
If a member of a group so constituted disagrees with any conclusions contained in a report made on a reference under section 13 above as the conclusions of the CMA, the report shall, if the member so wishes, include a statement of his disagreement and of his reasons for disagreeing.
A report of the CMA on a reference under section 13 above shall be made to the Office of Rail and Road.
Subject to subsection (6) below, the Office of Rail and Road—
shall, on receiving such a report, send a copy of it to the holder of the licence to which the report relates and to the Secretary of State; and
shall, not less than 14 days after that copy is received by the Secretary of State, publish the report in such manner as it considers appropriate for bringing the report to the attention of persons likely to be affected by it.
If it appears to the Secretary of State that the publication of any matter in such a report would be against the public interest or the commercial interests of any person, he may, before the end of the period of 14 days mentioned in paragraph (b) of subsection (5) above, direct the Office of Rail and Road to exclude that matter from every copy of the report to be published by virtue of that paragraph.
In making any report on a reference under section 13 above the CMA must have regard to the following considerations before disclosing any information.
Nothing in this section applies in relation to any term of a licence to the extent that it makes provision for the revocation or surrender of the licence.
The first consideration is the need to exclude from disclosure (so far as practicable) any information whose disclosure the CMA thinks is contrary to the public interest.
The second consideration is the need to exclude from disclosure (so far as practicable)—
commercial information whose disclosure the CMA thinks might significantly harm the legitimate business interests of the undertaking to which it relates, or
information relating to the private affairs of an individual whose disclosure the CMA thinks might significantly harm the individual’s interests.
The third consideration is the extent to which the disclosure of the information mentioned in subsection (3C)(a) or (b) above is necessary for the purposes of the report.
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Every reference under section 13 above shall specify a period (not longer than six months beginning with the date of the reference) within which a report on the reference is to be made.
A report of the CMA on a reference under section 13 above shall not have effect (and no action shall be taken in relation to it under section 15 below) unless the report is made before the end of the period specified in the reference or such further period (if any) as may be allowed by the Office of Rail and Road under subsection (3) below.
The Office of Rail and Road may, if it has received representations on the subject from the CMA and is satisfied that there are special reasons why the report cannot be made within the period specified in the reference, extend that period by no more than six months.
No more than one extension is possible under subsection (3) above in relation to the same reference.
The Office of Rail and Road shall, in the case of an extension made by it under subsection (3) above—
publish that extension in such manner as it considers appropriate for the purpose of bringing it to the attention of persons likely to be affected by it; and
send a copy of what has been published by it under paragraph (a) above to the holder of the licence.
This section applies where a report of the CMA on a reference under section 13 above— . . .
includes conclusions to the effect that any of the matters specified in the reference operate, or may be expected to operate, against the public interest,
specifies effects adverse to the public interest which those matters have or may be expected to have,
includes conclusions to the effect that those effects could be remedied or prevented by modifications of the conditions of the licence, and
specifies modifications by which those effects could be remedied or prevented,
Before making , or requiring the making of, modifications under this section, the Office of Rail and Road, . . . , shall have regard to the modifications specified in the report.
Where the report is made to the Office of Rail and Road it shall, subject to the following provisions of this section and to section 15A below, make such modifications of the conditions of the licence as appear to it requisite for the purpose of remedying or preventing the adverse effects specified in the report.
Before making modifications under subsection (1A) above, the Office of Rail and Road shall give notice— and shall consider any representations or objections which are duly made and not withdrawn.
stating that it proposes to make the modifications and setting out their effect,
stating the reasons why it proposes to make the modifications, and
specifying the period (not being less than 28 days from the date of publication of the notice) within which representations or objections with respect to the proposed modifications may be made,
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A notice under subsection (3) . . . above shall be given—
by publishing the notice in such manner as the Office of Rail and Road , . . . considers appropriate for the purpose of bringing the matters to which the notice relates to the attention of persons likely to be affected by the making of the modifications; and
by serving a copy of the notice on the holder of the licence.
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Nothing in this section applies in relation to any term of a licence to the extent that it makes provision for the revocation or surrender of the licence.
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Where (after considering any representations or objections which are duly made and not withdrawn) the Office of Rail and Road . . . proposes to make or require the making of modifications under this section, . . . it shall give notice to the CMA —
setting out the modifications it proposes to make or . . . require to be made; and
stating the reasons why it proposes to make the modifications or . . . require the making of them.
The Office of Rail and Road . . . shall include with the notice under subsection (4A) above a copy of any representations and objections which have been considered.
If the period within which a direction may be given by the CMA under section 15A below expires without such a direction being given, the Office of Rail and Road . . . shall make, or require the making of, the modifications set out in the notice given under subsection (4A) above.
If a direction is given by the CMA under section 15A(1)(b) below, the Office of Rail and Road . . . shall make, or require the making of, such of those modifications as are not specified in the direction.
The following sections of Part 3 of the Enterprise Act 2002 shall apply, as they had effect immediately before the relevant date and with the modifications mentioned in subsections (1A), (2) and (3) below, for the purposes of references under section 13 above as they applied immediately before that date for the purposes of references under that Part—
section 109 (attendance of witnesses and production of documents etc.);
section 110 (enforcement of powers under section 109: general);
section 111 (penalties);
section 112 (penalties: main procedural requirements);
section 113 (payments and interest by instalments);
section 114 (appeals in relation to penalties);
section 115 (recovery of penalties); and
section 116 (statement of policy).
Section 109 shall, in its application by virtue of subsection (1) above, have effect as if—
for subsection (A1), there were substituted—, and
subsection (8A) were omitted.
Section 110 shall, in its application by virtue of subsection (1) above, have effect as if—
subsection (2) were omitted; ...
after subsection (3), there were inserted—; and
in subsection (9) the words from “or section" to “section 65(3))" were omitted.
Section 111(5)(b) shall, in its application by virtue of subsection (1) above, have effect as if for sub-paragraph (ii) there were substituted—.
Section 117 of the Enterprise Act 2002 (false or misleading information) shall apply , as it had effect immediately before the relevant date, in relation to functions of the CMA in connection with references under section 13 as it applied immediately before that date in relation to its functions under Part 3 of that Act but as if, in subsections (1)(a) and (2), —
the words “, OFCOM or the Secretary of State” were omitted; and
for the words “their functions” there were substituted “ its functions ”.
Provisions of Part 3 of the Enterprise Act 2002 which , immediately before the relevant date, had effect for the purposes of sections 109 to 117 of that Act (including, in particular, provisions relating to offences and the making of orders), shall, for the purposes of the application of those sections by virtue of subsection (1) or (4) above, have effect in relation to those sections as applied by those subsections as those provisions had effect immediately before that date.
Accordingly, corresponding provisions of this Act shall not have effect in relation to those sections as applied by virtue of those subsections.
In this section “the relevant date” means the date on which section 143 of the Digital Markets, Competition and Consumers Act 2024 came into force.
Where the CMA or (as the case may be) the Secretary of State (in this section “the relevant authority”) makes a relevant order, the order may also provide for the modification of the conditions of a licence to such extent as may appear to the relevant authority to be requisite or expedient for the purpose of giving effect to, or taking account of, any provision made by the order.
Parts I and II of Schedule 8 to the 1973 Act, or
section 10(2)(a) of the 1980 Act,
In subsection (1) above “relevant order” means—
an order under section 75, 83 or 84 of, or paragraph 5, 10 or 11 of Schedule 7 to, the Enterprise Act 2002 where—
one or more than one of the enterprises which have, or may have, ceased to be distinct enterprises was engaged in the supply of services relating to railways; or
one or more than one of the enterprises which will or may cease to be distinct enterprises is engaged in the supply of services relating to railways; or
an order under section 160 or 161 of that Act where the feature, or combination of features, of the market or markets in the United Kingdom for goods or services which prevents, restricts or distorts competition relates to the supply of services relating to railways.
the circumstances are as mentioned in section 10(1) of the 1980 Act (order on report on competition reference) and the anti-competitive practice relates to the supply of any railway service.
As soon as practicable after making any modifications under this section, the relevant authority shall send a copy of those modifications to the Office of Rail and Road, the Authority and to the Health and Safety Executive.
Nothing in this section applies in relation to any term of a licence to the extent that it makes provision for the revocation or surrender of the licence.
Expressions used in subsection (2) above and in Part 3 or (as the case may be) Part 4 of the Enterprise Act 2002 have the same meanings in that subsection as in that Part; and in subsection (2) above “services relating to railways” has the same meaning as in section 67(2A) of this Act.
The CMA may, within the period of four weeks beginning with the day on which they are given notice under section 15(4A) above, give a direction to the Office of Rail and Road . . . —
not to make, or require the making of, the modifications set out in the notice; or
not to make such of those modifications as are specified in the direction.
The Secretary of State may, if an application is made to him by the CMA within that period of four weeks, extend the period within which a direction may be given under this section to one of six weeks beginning with the day on which the CMA are given notice under section 15(4A) above.
The CMA may give a direction under this section only if the modifications to which it relates do not appear to them requisite for the purpose of remedying or preventing the adverse effects specified in their report on the reference under section 13 above.
If the CMA give a direction under this section, they shall give notice—
setting out the modifications contained in the notice given under section 15(4A) above;
setting out the direction; and
stating the reasons why they are giving the direction.
A notice under subsection (4) above shall be given—
by publishing the notice in such manner as the CMA consider appropriate for the purpose of bringing the matters to which the notice relates to the attention of persons likely to be affected by the direction; and
by serving a copy of the notice on the holder of the licence.
If the CMA give a direction under section 15A above, they shall themselves make such modifications of the conditions of the licence as appear to them requisite for the purpose of remedying or preventing—
the adverse effects specified in their report on the reference under section 13 above; or
such of those adverse effects as would not be remedied or prevented by the modifications made by the Office of Rail Regulation, . . . , under section 15(4D) above.
In exercising the function conferred by subsection (1) above, the CMA shall have regard to the matters as respects which duties are imposed on the Office of Rail and Road by section 4 above.
Before making modifications under this section, the CMA shall give notice— and shall consider any representations or objections which are duly made and not withdrawn.
stating that they propose to make the modifications and setting out their effect,
stating the reasons why they propose to make the modifications, and
specifying the period (not being less than 28 days from the date of publication of the notice) within which representations or objections may be made,
A notice under subsection (3) above shall be given—
by publishing the notice in such manner as the CMA consider appropriate for the purpose of bringing the matters to which the notice relates to the attention of persons likely to be affected by the making of the modifications; and
by serving a copy of the notice on the holder of the licence.
As soon as practicable after making any modifications under this section, the CMA shall send a copy of those modifications to the Office of Rail and Road, the Authority and the Health and Safety Executive.
For the purposes of the law relating to defamation, absolute privilege attaches to any notice under section 15A(4) or 15B(3) above.
In giving any notice under section 15A(4) or 15B(3) above, the CMA must have regard to the following considerations before disclosing any information.
The first consideration is the need to exclude from disclosure (so far as practicable) any information whose disclosure the CMA thinks is contrary to the public interest.
The second consideration is the need to exclude from disclosure (so far as practicable)—
commercial information whose disclosure the CMA thinks might significantly harm the legitimate business interests of the undertaking to which it relates, or
information relating to the private affairs of an individual whose disclosure the CMA thinks might significantly harm the individual’s interests.
The third consideration is the extent to which the disclosure of the information mentioned in subsection (2B)(a) or (b) above is necessary for the purposes of the notice.
The following sections of Part 3 of the Enterprise Act 2002 shall apply, as they had effect immediately before the relevant date and with the modifications mentioned in subsections (2DA), (2E) and (2F) below, for the purposes of any investigation by the CMA for the purposes of the exercise of its functions under section 15A or 15B above, as they applied immediately before that date for the purposes of any investigation on references under that Part—
section 109 (attendance of witnesses and production of documents etc.);
section 110 (enforcement of powers under section 109: general);
section 111 (penalties);
section 112 (penalties: main procedural requirements);
section 113 (payments and interest by instalments);
section 114 (appeals in relation to penalties);
section 115 (recovery of penalties); and
section 116 (statement of policy).
Section 109 shall, in its application by virtue of subsection (2D) above, have effect as if—
for subsection (A1), there were substituted—, and
subsection (8A) were omitted.
Section 110 shall, in its application by virtue of subsection (2D) above, have effect as if—
subsection (2) were omitted;
after subsection (3), there were inserted—; and
in subsection (9) the words from “or section" to “section 65(3))" were omitted.
Section 111(5)(b) shall, in its application by virtue of subsection (2D) above, have effect as if for sub-paragraph (ii) there were substituted—
if earlier, the day on which a copy of the modifications made by the CMA in connection with the reference concerned is sent to the Office of Rail and Road under section 15B(5) of the Railways Act 1993 or, if no direction is given by the CMA under section 15A(1) of that Act in connection with the reference concerned and within the period permitted for that purpose, the latest day on which such a direction may be given within the permitted period. ".
Section 117 of the Enterprise Act 2002 (false or misleading information) shall apply , as it had effect immediately before the relevant date, in relation to functions of the CMA in connection with the exercise of its functions under section 15A and 15B above as it applied immediately before that date in relation to its functions under Part 3 of that Act but as if, in subsections (1)(a) and (2), —
the words “, OFCOM or the Secretary of State” were omitted; and
or the words “their functions” there were substituted “ its functions ”.
Provisions of Part 3 of the Enterprise Act 2002 which , immediately before the relevant date, had effect for the purposes of sections 109 to 117 of that Act (including, in particular, provisions relating to offences and the making of orders) shall, for the purposes of the application of those sections by virtue of subsection (2D) or (2G) above, have effect in relation to those sections as applied by virtue of those subsections as those provisions had effect immediately before that date.
Accordingly, corresponding provisions of this Act shall not have effect in relation to those sections as applied by virtue of those subsections.
The provisions are—
sections 82(1) and (2) (general provisions as to reports), 85 (attendance of witnesses and production of documents) and 93B (false or misleading information) of the 1973 Act;
Part II of Schedule 7 to the Competition Act 1998 (performance of the Competition Commission’s general functions); and
section 24 of the 1980 Act (modification of provisions about performance of such functions).
For the purpose of assisting the CMA in exercising their functions under sections 15A and 15B above, the Office of Rail and Road. . . shall . . . give to the CMA any information in . . . its possession which relates to matters relevant to the exercise of those functions and— and any other assistance which the CMA may require, and which it is within . . . its power to give, in relation to any such matters.
is requested by the CMA for that purpose; or
is information which, in . . . its opinion, it would be appropriate for that purpose to give to the CMA without any such request;
For the purpose of exercising those functions, the CMA shall take account of any information given to them for that purpose under subsection (3) above.
In this section “the relevant date” means the date on which section 143 of the Digital Markets, Competition and Consumers Act 2024 came into force.
The Office of Rail and Road may, on the application of any person, give directions to a facility owner requiring him to enter into an access contract with the applicant for the purpose specified in subsection (2) below; but no such directions shall be given if and to the extent that—
the facility owner’s railway facility is, by virtue of section 20 below, an exempt facility;
performance of the access contract, if entered into, would necessarily involve the facility owner in being in breach of an access agreement . . . ; . . . or
as a result of an obligation or duty owed by the facility owner which arose before the coming into force of this section, the consent of some other person is required by the facility owner before he may enter into the access contract; . . .
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The purpose for which directions may be given is that of enabling the beneficiary to obtain (whether for himself alone or for himself and, so far as may be applicable, associates of his)— but this subsection is subject to the limitations imposed by subsection (3) below.
from a facility owner whose railway facility is track, permission to use that track for the purpose of the operation of trains on that track by the beneficiary;
from a facility owner whose railway facility is a station, permission to use that station for or in connection with the operation of trains by the beneficiary;
from a facility owner whose railway facility is a light maintenance depot, permission to use that light maintenance depot for the purpose of obtaining light maintenance services for or in connection with the operation of trains by the beneficiary, whether the facility owner is to provide those services himself or to secure their provision by another;
from any facility owner, permission to use the facility owner’s railway facility for the purpose of stabling, or otherwise temporarily holding, rolling stock in connection with the operation of trains on any track by the beneficiary; or
from any facility owner, permission to use the facility owner’s railway facility for or in connection with the operation of a network, station or light maintenance depot by the beneficiary;
In subsection (2) above—
paragraph (a) does not extend to obtaining permission to use track for the purpose of providing network services on that track;
paragraph (b) does not extend to obtaining permission to use a station for the purpose of operating that station;
paragraph (c) does not extend to obtaining permission to use a light maintenance depot for the purpose of enabling the beneficiary to carry out light maintenance;
if and to the extent that the railway facility mentioned in paragraph (e) is track, that paragraph does not extend to obtaining permission to use that track for the purpose— except where the purpose for which directions are sought is to enable the beneficiary to operate on behalf of the Secretary of State a network in which the track in question is comprised;
of providing network services on that track, or
of operating any network in which that track is comprised,
if and to the extent that the railway facility mentioned in that paragraph is a station, that paragraph does not extend to obtaining permission to use that station for the purpose— except where the purpose for which directions are sought is to enable the beneficiary to operate the station on behalf of the Secretary of State;
of providing station services at that station, or
of operating that station,
if and to the extent that the railway facility mentioned in that paragraph is a light maintenance depot, that paragraph does not extend to obtaining permission to use that light maintenance depot for the purpose— except where the purpose for which directions are sought is to enable the beneficiary to operate the light maintenance depot on behalf of the Authority.
of carrying out light maintenance at that light maintenance depot, or
of operating that light maintenance depot,
Any reference in this section to a person operating a network, station or light maintenance depot "on behalf of the Secretary of State, the Welsh Ministers is a reference to his operating the network, station or light maintenance depot in pursuance of any agreement or other arrangements made by the Secretary of State or the Scottish Ministers for the purpose of performing a duty imposed upon him or them, or exercising a power conferred upon him or them, under or by virtue of this Part or Part 4 of the Railways Act 2005 (network modifications etc.) to secure the operation of that network, station or light maintenance depot.
Nothing in this section authorises the Office of Rail and Road to give directions to any person requiring him to grant a lease of the whole or any part of a railway facility.
In this section—
Any reference in this section to obtaining permission to use a railway facility includes— and, in subsection (2)(c) above, the reference to obtaining permission to use a light maintenance depot includes a reference to obtaining power to obtain light maintenance services at that light maintenance depot, whether the facility owner is to provide those services himself or to secure their provision by another.
a reference to obtaining, in connection with any such permission, power to obtain the provision of ancillary services relating to that railway facility, whether the facility owner in question is to provide those services himself or to secure their provision by another; and
a reference to obtaining permission—
to enter upon the facility land, with or without vehicles,
to bring things on to that land and keep them there,
to carry out works on that land, and
to use and maintain any things kept, or buildings or other works constructed, on that land (whether by the beneficiary or another) or any amenities situated on that land,
Any reference in this section to obtaining permission to use a railway facility includes, where the facility is track, permission to connect other track to it.
Any reference in this section to a railway facility includes a reference to a part of a railway facility.
Schedule 4 to this Act shall have effect with respect to applications for directions.
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in relation to which the Franchising Director is the person who made the application under this section, or
under which an access option is exercisable by the Franchising Director,
A facility owner shall not enter into an access contract to which this section applies unless— and any access contract to which this section applies shall be void unless one of the conditions in paragraphs (a) to (c) above is satisfied.
he does so pursuant to directions under section 17 above; . . .
the Office of Rail and Road has approved the terms of the access contract and the facility owner enters into the contract pursuant to directions under this section; or
the access contract is of a class or description specified in a general approval given by the Office of Rail and Road;
The access contracts to which this section applies are those under which the beneficiary obtains, or, in the case of an access contract conferring an access option, may obtain, (whether for himself alone or for himself and associates of his)— but this subsection is subject to subsections (3) and (4) below.
from a facility owner whose railway facility is track, permission to use that track for the purpose of the operation of trains on that track by the beneficiary;
from a facility owner whose railway facility is a station, permission to use that station, for or in connection with the operation of trains by the beneficiary;
from a facility owner whose railway facility is a light maintenance depot, permission to use that light maintenance depot for the purpose of obtaining light maintenance services for or in connection with the operation of trains by the beneficiary, whether the facility owner is to provide those services himself or to secure their provision by another;
from any facility owner, permission to use the facility owner’s railway facility for the purpose of stabling, or otherwise temporarily holding, rolling stock in connection with the operation of trains on any track by the beneficiary; or
from any facility owner, permission to use the facility owner’s railway facility for or in connection with the operation of a network, station or light maintenance depot by the beneficiary;
This section does not apply to an access contract—
if and to the extent that the railway facility to which the access contract relates is, by virtue of section 20 below, an exempt facility; . . .
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In subsection (2) above—
paragraph (a) does not extend to permission to use track for the purpose of providing network services on that track;
paragraph (b) does not extend to permission to use a station for the purpose of operating that station;
paragraph (c) does not extend to permission to use a light maintenance depot for the purpose of enabling the beneficiary to carry out light maintenance;
if and to the extent that the railway facility mentioned in paragraph (e) is track, that paragraph does not extend to obtaining permission to use that track for the purpose— unless the purpose of entering into the access contract is to enable the beneficiary to operate on behalf of the Secretary of State a network in which the track in question is comprised;
of providing network services on that track, or
of operating any network in which that track is comprised,
if and to the extent that the railway facility mentioned in that paragraph is a station, that paragraph does not extend to obtaining permission to use that station for the purpose— unless the purpose of entering into the access contract is to enable the beneficiary to operate the station on behalf of the Secretary of State;
of providing station services at that station, or
of operating that station,
if and to the extent that the railway facility mentioned in that paragraph is a light maintenance depot, that paragraph does not extend to obtaining permission to use that light maintenance depot for the purpose— unless the purpose of entering into the access contract is to enable the beneficiary to operate the light maintenance depot on behalf of the Secretary of State.
of carrying out light maintenance at that light maintenance depot, or
of operating that light maintenance depot,
In any case where— it shall be for the facility owner to submit the proposed access contract to the Office of Rail and Road for approval of its terms.
a facility owner and another person (the “other party") have agreed the terms on which they propose to enter into an access contract to which this section applies, but
the circumstances are such that, by virtue of subsection (1)(b) above, those terms must be approved, and directions must be given, by the Regulator before the facility owner may enter into the proposed access contract,
If, on the submission of a proposed access contract pursuant to subsection (5) above, the Office of Rail and Road approves its terms, it shall issue directions to the facility owner— and the Office of Rail and Road shall send a copy of the directions to the other party.
requiring him to enter into the proposed access contract within such period as may be specified for the purpose in the directions; but
releasing him from his duty to do so if the other party fails to enter into the proposed access contract within such period as may be specified for the purpose in the directions;
If, on the submission of a proposed access contract pursuant to subsection (5) above, the Office of Rail and Road does not consider it appropriate to approve its terms without modification (or to reject it), it may, after consultation with the facility owner and the other party, issue directions to the facility owner— and the Office of Rail and Road shall send a copy of the directions to the other party.
approving the terms of the proposed access contract, but subject to such modifications as may be specified in the directions; and
requiring the facility owner to enter into the proposed access contract on those terms, as so modified; but
releasing him from his duty to do so if either—
the facility owner gives the Office of Rail and Road notice of objection before the expiration of the period of fourteen days beginning with the day after that on which the directions are issued; or
the other party fails to enter into the proposed access contract, on the terms as modified under this subsection, before the date specified for the purpose in the directions;
The grounds on which the Office of Rail and Road may reject, or approve subject to modifications, a proposed access contract submitted to it pursuant to subsection (5) above include that it considers that the use of the facility for which it provides might impede the provision of services—
under a franchise agreement; or
under an agreement entered into by the Secretary of State pursuant to his duty under section 30 below.
In this section, “associate”, “the beneficiary”,. . . and “lease” have the same meaning as they have in section 17 above.
The following provisions of section 17 above, that is to say— apply for the purposes of this section as they apply for the purposes of that section; and the words following paragraph (b) of subsection (8) of that section apply in relation to subsection (2)(c) of this section as they apply in relation to subsection (2)(c) of that section.
subsection (4),
subsection (8)(a) and (b), and
subsection (7A),
subsection (9),
Where the Office of Rail and Road gives or revokes a general approval under subsection (1)(c) above, it shall publish the approval or revocation in such manner as he considers appropriate.
This section shall not prevent a facility owner from granting a lease of any land which consists of or includes the whole or any part of his railway facility.
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.
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to which the Franchising Director is a party, but in relation to which he is not the facility owner, or
under which the Franchising Director is the person by whom an access option is exercisable,
The Office of Rail and Road may, on the application of any person, give directions to an installation owner requiring him to enter into an installation access contract with the applicant for the purpose of enabling the beneficiary to obtain (whether for himself alone or for himself and, so far as may be applicable, associates of his) permission to use the installation owner’s network installation for the purpose of operating, on behalf of the Secretary of State, the network in which the network installation is comprised.
Directions shall not be given under subsection (1) above in the case of any network installation if and to the extent that, as a result of an obligation or duty owed by the installation owner which arose before the coming into force of this section, the consent of some other person is required by the installation owner before he may enter into the installation access contract.
An installation owner shall not enter into an installation access contract to which this subsection applies unless— and any installation access contract to which this subsection applies shall be void unless one of the conditions in paragraphs (a) to (c) above is satisfied.
he does so pursuant to directions under subsection (1) above; . . .
the Office of Rail and Road has approved the terms of the installation access contract and the installation owner enters into the contract pursuant to directions given by virtue of subsection (5) below; or
the installation access contract is of a class or description specified in a general approval given by the Regulator;
The installation access contracts to which subsection (3) above applies are those under which the beneficiary obtains (whether for himself alone or for himself and associates of his) from an installation owner permission to use the installation owner’s network installation for the purpose of operating, on behalf of the Secretary of State , the network in which the network installation is comprised.
Subsections (5) to (7) of section 18 above shall apply in relation to installation access contracts to which subsection (3) of this section applies as they apply in relation to access contracts to which that section applies, but with the following modifications, that is to say—
for any reference to a facility owner there shall be substituted a reference to an installation owner;
for any reference to an access contract to which that section applies there shall be substituted a reference to an installation access contract to which subsection (3) above applies;
for the reference to subsection (1)(b) of that section there shall be substituted a reference to subsection (3)(b) of this section.
Nothing in this section—
authorises the Office of Rail and Road to give directions to an installation owner requiring him to grant a lease of the whole or any part of his network installation; or
prevents an installation owner from granting a lease of any land which consists of or includes the whole or any part of his network installation.
Where the Office of Rail and Road gives or revokes a general approval under subsection (3)(c) above, it shall publish the approval or revocation in such manner as it considers appropriate.
Any reference in this section to a person operating a network “on behalf of the Secretary of State” is a reference to his operating the network in pursuance of any agreement or other arrangements made by the Secretary of State, the Welsh Ministers for the purpose of performing a duty imposed upon him, or exercising a power conferred upon him, under or by virtue of this Part or Part 4 of the Railways Act 2005 (network modifications etc.) to secure the operation of that network.
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.
Any reference in this section to obtaining permission to use a network installation includes— and in paragraph (b) above “installation land” means the land which constitutes the network installation in question.
a reference to obtaining, in connection with any such permission, power to obtain the provision of ancillary services relating to that network installation, whether the installation owner in question is to provide those services himself or to secure their provision by another; and
a reference to obtaining permission—
to enter upon the installation land, with or without vehicles,
to bring things on to that land and keep them there,
to carry out works on that land, and
to use and maintain any things kept, or buildings or other works constructed, on that land (whether by the beneficiary or another) or any amenities situated on that land;
In this Part—
In this section—
Any reference in this section to a network installation includes a reference to a part of a network installation and to one which is proposed to be constructed or is in the course of construction..
Schedule 4 to this Act shall have effect with respect to applications for directions under subsection (1) above as it has effect with respect to applications for directions under section 17 above, but with the following modifications, that is to say—
for any reference to an access contract, there shall be substituted a reference to an installation access contract;
any reference to an application for directions under section 17 above shall be taken as a reference to an application for directions under subsection (1) above;
for any reference to the facility owner, there shall be substituted a reference to the installation owner mentioned in subsection (1) above;
for any reference to section 17 above (but not to any specific provision of that section) there shall be substituted a reference to this section.
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an installation access contract—
which is entered into pursuant to directions under subsection (1) above; and
in relation to which the Franchising Director is the person who made the application under this section; and
an installation access contract—
which is entered into pursuant to directions given by virtue of subsection (5) above; and
to which the Franchising Director is a party, but in relation to which he is not the installation owner.
The Secretary of State may, after consultation with the Office of Rail and Road, by order grant exemption from sections 17 and 18 above and section 22A below in respect of such railway facilities as may be specified in the order, but subject to compliance with such conditions (if any) as may be so specified.
A facility exemption under subsection (1) above may be granted— . . .
to persons of a particular class or description or to a particular person; and
in respect of railway facilities of a particular class or description or a particular railway facility, or in respect of part only of any such railway facilities or facility;
If a facility owner makes an application under this subsection to the Office of Rail and Road for the grant of an exemption from sections 17 and 18 above and section 22A below in respect of the whole or any part of his railway facility, the Office of Rail and Road, after consultation with the Secretary of State—
may either grant or refuse the exemption, whether wholly or to such extent as it may specify in the exemption; and
if and to the extent that it grants the exemption, may do so subject to compliance with such conditions (if any) as it may so specify.
Before granting a facility exemption under subsection (3) above, the Office of Rail and Road shall give notice— and shall consider any representations or objections which are duly made and not withdrawn.
stating that it proposes to grant the facility exemption,
stating the reasons why it proposes to grant the facility exemption, and
specifying the time (not being less than 28 days from the date of publication of the notice) within which representations or objections with respect to the proposed facility exemption may be made,
A notice under subsection (4) above shall be given by publishing the notice in such manner as the Office of Rail and Road considers appropriate for bringing it to the attention of persons likely to be affected by the grant of the facility exemption.
If any condition (the “broken condition") of a facility exemption is not complied with— may give to any relevant person a direction declaring that the facility exemption is revoked, so far as relating to that person, to such extent and as from such date as may be specified in the direction.
the Secretary of State, in the case of a facility exemption under subsection (1) above, or
the Office of Rail and Road, in the case of a facility exemption under subsection (3) above,
For the purposes of subsection (6) above—
“act of violence” means— the offence of murder, attempted murder, manslaughter, culpable homicide, assault, real injury or malicious mischief, or an offence under section 18, 20, 21, 22, 23, 24, 28 or 29 of the Offences against the Person Act 1861, under section 2 of the Explosive Substances Act 1883 or under section 1 of the Criminal Damage Act 1971;
Subject to subsection (6) above, a facility exemption, unless previously revoked in accordance with any term contained in the facility exemption, shall continue in force for such period as may be specified in, or determined by or under, the facility exemption.
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Any application for a facility exemption under subsection (3) above must be made in writing; and where any such application is made, the Office of Rail and Road may require the applicant to furnish it with such information as the Office of Rail and Road may consider necessary to enable it to decide whether to grant or refuse the facility exemption.
Facility exemptions may make different provision, or be granted subject to compliance with different conditions, for different cases.
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is proposed to be constructed; or
is in the course of construction;
In this Part “facility exemption” means an exemption from sections 17 and 18 above and section 22A below granted under any provision of this section in respect of the whole or any part of a railway facility; and a railway facility is an “exempt facility” if and to the extent that it is the subject of such an exemption.
Schedule 4A to this Act (which contains provision about the review of access charges by the Office of Rail and Road) shall have effect.
The Office of Rail and Road may prepare and publish model clauses for inclusion in access contracts.
Different model clauses may be prepared and published in relation to different classes or descriptions of railway facility.
The Office of Rail and Road may from time to time revise any model clauses published under this section and may publish those clauses as so revised.
In preparing or revising any model clauses under this section, the Office of Rail and Road may consult such persons as it thinks fit.
The Office of Rail and Road shall encourage, and may require, the use of any of its model clauses . . . in access contracts wherever it considers it appropriate.
Any amendment, or purported amendment, of an access agreement shall be void unless the amendment has been approved by the Office of Rail and Road or is made pursuant to directions under section 22A or 22C below or Schedule 4A to this Act.
The Office of Rail and Road may, for the purposes of subsection (1) above, give the parties to any particular access agreement its general approval to the making to that access agreement of amendments of a description specified in the approval; and any approval so given shall not be revoked.
The Office of Rail and Road may, for the purposes of subsection (1) above, give its general approval to the making to access agreements, or to access agreements of a particular class or description, of amendments of a description specified in the approval.
Where the Office of Rail and Road gives or revokes a general approval under subsection (3) above, it shall publish the approval or revocation (as the case may be) in such manner as it considers appropriate.
The revocation of a general approval given under subsection (3) above shall not affect the continuing validity of any amendment made in accordance with, and before the revocation of, that approval.
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Neither the CMA nor the Office of Rail and Road may exercise, in respect of an access agreement, the powers given by section 32 (enforcement directions) or section 35(2) (interim directions) of the Competition Act 1998.
Subsection (6A) does not apply to the exercise of the powers given by section 35(2) in respect of conduct—
which is connected with an access agreement; and
in respect of which section 35(1)(b) of that Act applies.
The Office of Rail and Road 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—
amendments permitting more extensive use of the railway facility or network installation by the applicant; and
any amendments which the Office of Rail and Road considers necessary or desirable in consequence of those amendments.
In subsection (1)(a) above “more extensive use” means— 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.
increased use for the purpose for which the applicant is permitted by the access agreement to use the railway facility or network installation, or
(in the case of a railway facility) use for any other permitted purpose,
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.
No directions shall be given under this section in relation to a railway facility if and to the extent that—
the railway facility is, by virtue of section 20 above, an exempt facility; or
performance of the access agreement as amended would necessarily involve the facility owner in being in breach of another access agreement . . . .
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.
Nothing in this section authorises the Office of Rail and Road to give directions to any person requiring him to grant a lease of the whole or any part of a railway facility or network installation.
In this section and section 22B below—
“lease” has the same meaning as in section 17 above; and
“network installation” has the same meaning as in section 19 above.
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).
In its application by virtue of this section Schedule 4 to this Act has effect with the following modifications— and the definition of “the required access contract", and the words following that definition, in paragraph 1 and paragraph 5(4) shall be omitted.
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";
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";
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";
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";
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
in paragraph 6(3), for “any access contract which is entered into" there shall be substituted “the amendments made";
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—
references to the railway facility shall have effect as references to the network installation;
references to the facility owner shall have effect as references to the installation owner; and
in the definition of “interested person" in paragraph 1, for “17" there shall be substituted “19".
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.
The Office of Rail and Road may give directions requiring the parties to an access agreement to make to the access agreement amendments which are, in its opinion, necessary to give effect to the conditions of a licence or otherwise required in consequence of the conditions of a licence.
The Office of Rail and Road shall not have power to direct or otherwise require amendments to be made to an access agreement except in accordance with section 22A above, subsection (1) above or Schedule 4A to this Act.
If an access agreement includes provision for any of its terms to be varied— 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.
by agreement of the parties, or
by direction or other requirement of the Office of Rail and Road,
The Office of Rail and Road may, on an application— give to the operator of a network, station or light maintenance depot a direction to provide a new railway facility if the Office of Rail and Road considers him to be an appropriate person to provide the new railway facility.
made by the appropriate facilities authority, or
made by any other person with the consent of the appropriate facilities authority,
The Office of Rail and Road may, on an application— 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 Office of Rail and Road considers him to be an appropriate person to improve or develop the railway facility.
made by the appropriate facilities authority, or
made by any other person with the consent of the appropriate facilities authority,
The consent of the appropriate facilities authority 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 Office of Rail and Road decides whether to give the direction).
In this section and sections 16B to 16G below “the appropriate facilities authority”—
in relation to facilities in Scotland, means the Scottish Ministers; and
in relation to any other facilities, means the Secretary of State.
The appropriate facilities authority may, after consultation with the Office of Rail and Road, 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.
An exemption under subsection (1) above may be granted in respect of— or in respect of part only of railway facilities of a particular class or description or a particular railway facility.
railway facilities of a particular class or description, or
a particular railway facility,
An exemption under subsection (1) above may be granted generally, to persons of a particular class or description or to a particular person.
If a person fails to comply with any condition subject to compliance with which an exemption was granted, the appropriate facilities authority 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.
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.
Exemptions may make different provision, or be granted subject to compliance with different conditions, for different cases.
A statutory instrument containing an order made under this section by the Scottish Ministers shall be subject to annulment in pursuance of a resolution of the Scottish Parliament.
An application for a direction under section 16A above must be made to the Office of Rail and Road in writing.
The application must—
specify the person to whom the direction would be given;
state what it would require him to do; and
give the applicant’s reasons for considering that person to be an appropriate person to do what the direction would require him to do.
The applicant may at any time vary what the direction would require that person to do by giving to the Office of Rail and Road notice in writing of the variation; but if the applicant is a person other than the appropriate facilities authority such a notice may only be given with the consent of the Authority.
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.
When the Office of Rail and Road has received the application or notice of a variation, it
send a copy to the person specified in the application, the appropriate facilities authority (if it is not the applicant) and any other persons who the Office of Rail and Road considers ought to be sent one; and
invite them to make written representations within a period specified in the invitation.
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 Office of Rail and Road must decide that issue in advance of considering any other matters which may be relevant in deciding whether to give the direction.
If that person makes such representations but the Office of Rail and Road decides that he is an appropriate person to do what the direction would require him to do, the Office of Rail and Road must—
notify him of that decision; and
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.
The Office of Rail and Road must—
send the applicant a copy of any representations received by it in response to any invitation under subsection (1) or (3) above; and
invite him to make further written representations within a period specified in the invitation.
Subject to subsection (6) below, the Office of Rail and Road may substitute as the applicant any other person if— consent to the substitution.
the applicant,
the other person, and
the appropriate facilities authority (if it is neither the applicant nor the other person),
The applicant may, by giving notice in writing to the Office of Rail and Road, withdraw or suspend the application at any time before the Office of Rail and Road decides whether to give the direction.
The Office of Rail and Road may direct— to provide him with any information required by him in order to decide whether to give the direction.
the person specified in the application,
the applicant, or
any other person (apart from the appropriate facilities authority),
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 Office of Rail and Road make such order as it thinks fit for requiring the failure to be made good.
Such an order may provide that all the costs or expenses of and incidental to the application shall be borne by—
the person who failed to comply; or
in the case of a company or other association, any officers who are responsible for the failure to comply.
The Office of Rail and Road 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.
In considering whether he is so satisfied the Office of Rail and Road shall take into account (in particular)—
any receipts obtained or likely to be obtained by the person (from the appropriate facilities 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
any other benefit obtained or likely to be obtained by him in consequence of its provision, improvement or development.
Representations made by the applicant for a direction— may, in particular, include representations as to matters which he considers the Office of Rail and Road 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.
under section 16C(4) above, or
in response to an invitation under section 16D(4) above,
If the Office of Rail and Road does not consider it right to give a direction under section 16A above in the terms applied for (or to reject the application), it may give a direction under that section in modified terms.
The Office of Rail and Road may include supplementary provisions in any direction under section 16A above, including (in particular)—
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
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).
Before giving a direction under section 16A above which is in modified terms or includes supplementary provisions, the Office of Rail and Road shall— and if the applicant makes representations that the direction should not be given, the Office of Rail and Road shall not give it.
notify its intention to give a direction to the applicant, the appropriate facilities authority (if it is not the applicant) and any other persons who the Regulator considers ought to be notified; and
invite them to make written representations within a period specified in the invitation;
Whatever the Office of Rail and Road’s decision on an application it shall notify the decision to—
the person specified in the application;
the applicant; and
any other persons who it considers ought to be notified.
the Office of Rail and Road may direct the person specified in the application or the applicant to pay to— any such amount as it considers appropriate in respect of costs incurred in connection with the application.
the other of those persons, or
any other person directed to provide information under section 16D(7) above,
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.
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.
A direction under section 16A above may only be revoked or varied by the Office of Rail and Road —
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
after consultation with the other persons with power to apply for a revocation or variation.
Such a direction may only be varied on an application by the applicant for the direction or the appropriate facilities authority if the Office of Rail and Road is satisfied that the person to whom the direction was given will be adequately rewarded for providing, improving or developing the railway facility in accordance with the varied direction, taking into account (in particular) the matters specified in section 16E(2) above.
The Office of Rail and Road may grant an application for the variation or revocation of a direction under section 16A above by the applicant for the direction or the appropriate facilities authority on condition that he or it secures that any such compensation as the Office of Rail and Road may specify is paid to the person to whom the direction was given in respect of any liabilities incurred, or other things done, by him in complying with the direction.
The Office of Rail and Road shall prepare, and from time to time revise, a code of practice supplementing sections 16A to 16G above and shall publish it in such manner as it considers appropriate.
The Office of Rail and Road shall have regard to the code of practice in the exercise of its functions under those sections.
The code of practice may (in particular)—
set out minimum periods to be specified in invitations to make representations;
include provision about requesting the provision of information prior to giving a direction under section 16D(7) above;
specify principles according to which directions to pay costs are to be given under section 16F(5) above; and
make provision about the consultation required by section 16G(3)(b) above.
References in sections 16A to 16H above and this section to a railway facility include part of a railway facility.
Nothing in any of those sections or a direction under section 16A above—
limits any power of the Office of Rail and Road under any other provision of this Act; or
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.
It shall be the duty of the appropriate designating authority from time to time to designate 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 sections 30 to 30C .
The appropriate designating authority may perform its duty under subsection (1) above by designating particular services or services of a class or description.
In this Part— “the appropriate designating authority”— in relation to Scotland-only services, means the Scottish Ministers; ... in relation to Wales-only services, means the Welsh Ministers; and in relation to all other services, means the Secretary of State; “the appropriate franchising authority”— in relation to a Scottish franchise agreement, means the Scottish Ministers; ... in relation to a Welsh franchise agreement to the extent that the franchised services under it are Wales-only services or Welsh components of Welsh services, means the Welsh Ministers; in relation to a Welsh franchise agreement to the extent that the franchised services under it are services other than Wales-only services or Welsh components of Welsh services, means the Secretary of State; in relation to any other franchise agreement, means the Secretary of State; “franchise agreement” means an agreement to which the Secretary of State, the Scottish Ministers or the Welsh Ministers is or are party, under which another party which is not a public sector company (as defined in section 30C) undertakes either— to provide, or to secure that a wholly owned subsidiary of his provides, throughout the franchise term those services for the carriage of passengers by railway to which the agreement relates; “franchise operator”, in relation to any franchise agreement, means the person (whether the franchisee or, as the case may be, the wholly owned subsidiary of the franchisee) who is to provide the franchised services; “franchise period”, in relation to any franchise agreement, means the franchise term, except where the franchise agreement is terminated before the end of that term, in which case it means so much of that term as ends with that termination; “franchise term”, in relation to any franchise agreement, means the period specified in the franchise agreement as the period throughout which the franchisee is to provide, or secure that a wholly owned subsidiary of his provides, the franchised services, and includes any such extension of that period as is mentioned in section 29(3) or 30A(2)(b) below; “franchised services”, in relation to any franchise agreement, means the services for the carriage of passengers by railway which are to be provided under that franchise agreement; “franchisee” means— in relation to a franchise agreement under which a party undertakes to secure that a wholly owned subsidiary of his provides the franchised services, the party so undertaking; or in relation to any other franchise agreement, the person who is to provide the franchised services.
Where the Scottish Ministers designate Scotland-only services, they may also designate cross-border services which—
they consider should be provided together with particular Scotland-only services or a particular class of them; and
are not exempt from designation under subsection (1) by virtue of section 24.
Any reference in this Part to the provision of services under a franchise agreement is a reference to the provision of those services by the franchise operator; and where the franchise operator is, or is to be, a wholly owned subsidiary of the franchisee, any reference to the provision of services by the franchisee under a franchise agreement shall accordingly be construed as a reference to his securing their provision by the franchise operator.
Nothing in this section requires the Secretary of State to designate a cross-border service already designated by the Scottish Ministers.
Before the Secretary of State or the Scottish Ministers designate a cross-border service he or they must consult the other.
Where the Welsh Ministers designate Wales-only services, they may also designate Welsh components of Welsh services which—
they consider should be provided together with particular Wales-only services or a particular class of Wales-only services; and
are not exempt from designation under subsection (1) by virtue of section 24.
Nothing in this section requires the Secretary of State to designate a Welsh service so far as already designated by the Welsh Ministers.
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.
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The appropriate designating authority may by order grant exemption from designation under section 23(1) above in respect of such services for the carriage of passengers by railway as may be specified in the order, but subject to compliance with such conditions (if any) as may be so specified.
An exemption under subsection (1) above may be granted— and an exemption granted to persons of a particular class or description shall be published in such manner as the appropriate designating authority considers appropriate for bringing it to the attention of persons of that class or description.
to persons of a particular class or description or to a particular person; and
in respect of services generally, services of a particular class or description or a particular service, or in respect of part only of any such services or service;
If a person who provides, or who proposes to introduce, services for the carriage of passengers by railway makes an application to the appropriate designating authority under this subsection for the grant of an exemption from designation under section 23(1) above in respect of any such service which he provides or proposes to introduce, the appropriate designating authority , after consultation with the Office of Rail and Road . . . —
may either grant or refuse the exemption, whether wholly or to such extent as the appropriate designating authority may specify in the exemption; and
if and to the extent that the appropriate designating authority grants it, may do so subject to compliance with such conditions (if any) as the appropriate designating authority may so specify.
Before granting an exemption under subsection (3) above, the appropriate designating authority shall give notice— and shall consider any representations or objections which are duly made and not withdrawn.
stating that it proposes to grant the ... exemption,
stating the reasons why it proposes to grant the ... exemption, and
specifying the time (not being less than 28 days from the date of publication of the notice) within which representations or objections with respect to the proposed ... exemption may be made,
Before granting an exemption in respect of a cross-border service, the Secretary of State must consult the Scottish Ministers.
A notice under subsection (4) above shall be given by publishing the notice in such manner as the appropriate designating authority considers appropriate for bringing it to the attention of persons likely to be affected by the grant of the ... exemption.
Before granting an exemption in respect of a Welsh service, the Secretary of State must consult the Welsh Ministers.
If any condition (the “broken condition") of an exemption granted by the appropriate designating authority is not complied with, it may give to any relevant person 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.
For the purposes of subsection (6) above—
Subject to subsection (6) above, an exemption granted under this section, 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.
Any application for an exemption under subsection (3) above must be made in writing; and where any such application is made, the appropriate designating authority may require the applicant to furnish it with such information as the appropriate designating authority may consider necessary to enable it to decide whether to grant or refuse the ... exemption.
Any ... exemption granted under subsection (3) above shall be in writing.
Subsections (1) and (3) above apply in relation to the grant of an exemption under this section whether it is to become effective on, or after, the day on which section 23(1) above comes into force.
An exemption under this section may make different provision for different cases.
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A statutory instrument containing an order under this section by the Scottish Ministers is subject to annulment in pursuance of a resolution of the Scottish Parliament.
A statutory instrument containing an order under this section made by the Welsh Ministers is subject to annulment in pursuance of a resolution of the National Assembly for Wales.
The following bodies and persons (in this Part referred to as “public sector operators”) shall not be franchisees—
any Minister of the Crown, Government department or other emanation of the Crown;
any local authority;
any metropolitan county passenger transport authority;
any body corporate whose members are appointed by a Minister of the Crown, a Government department, a local authority or a metropolitan county passenger transport authority or by a body corporate whose members are so appointed;
a company—
a majority of whose issued shares are held by or on behalf of any of the bodies or persons falling within paragraphs (a) to (d) above;
in which the majority of the voting rights are held by or on behalf of any of those bodies or persons;
a majority of whose board of directors can be appointed or removed by any of those bodies or persons; or
in which the majority of the voting rights are controlled by any of those bodies or persons, pursuant to an agreement with other persons;
a subsidiary of a company falling within paragraph (e) above.
Expressions used in sub-paragraphs (i) to (iv) of subsection (1)(e) above and in section 736 of the Companies Act 1985 have the same meaning in those sub-paragraphs as they have in that section.
Subject to the following provisions of this section, subsection (1) above shall not prevent— from being a franchisee.
the British Railways Board (in this Act referred to as “the Board”), or
a wholly owned subsidiary of the Board,
Subject to the following provisions of this section, whenever the Franchising Director proposes to issue invitations to tender under section 26 below in respect of any particular services for the carriage of passengers by railway, he may, after consultation with the Board and the Regulator, determine that neither the Board nor any wholly owned subsidiary of the Board shall be eligible for inclusion among the persons to whom the invitations are to be issued or who may be selected as the franchisee.
The Franchising Director shall not make a determination under subsection (4) above unless he considers that it is desirable to do so—
for the purpose of promoting competition for franchises;
for the purpose of promoting the award of franchise agreements to companies in which qualifying railway employees have a substantial interest;
for the purpose of encouraging new entry to the passenger railway industry; or
for the purpose of preventing or reducing the dominance of any person or persons in the market for the provision in Great Britain, or in a part of Great Britain, of services for the carriage of passengers by railway.
The Franchising Director shall—
give notice of any determination under subsection (4) above to the Board; and
publish notice of the determination in such manner as he thinks fit.
Nothing in subsection (5) above shall be taken to affect the matters which the Franchising Director may take into account in determining the other persons whom he invites to tender for franchise agreements or whom he selects as franchisees.
No objectives, instructions or guidance shall be given under section 5 above by the Secretary of State to the Franchising Director with respect to the exercise of his functions under this section.
In this section—
Conditions specified in an order under section 24 made by the Secretary of State or the Welsh Ministers may, in particular, include conditions which are to apply to any person providing services under an operator agreement.
An order under section 24 made by the Secretary of State or the Welsh Ministers may include provision which, subject to any modifications that the Secretary of State considers appropriate or (as the case may be) that the Welsh Ministers consider appropriate, has an effect in connection with operator agreements which corresponds or is similar to the effect of the following provisions in connection with franchise agreements—
section 27(3) of this Act (restrictions on transfer or creation of security over assets);
section 27(5) of this Act (transactions entered into in breach of restrictions to be void);
section 27(6) and (7) of this Act (no execution or other legal process etc in respect of assets);
section 31 of this Act (disapplication of legislation: security of tenure of business premises);
sections 55 to 58 of this Act (enforcement);
section 12 of, and Schedule 2 to, the Railways Act 2005 (transfer schemes), subject to subsection (4) below.
Provision included in an order by virtue of subsection (2) may be made by applying the provision in question, subject to any modifications that the Secretary of State considers appropriate or (as the case may be) that the Welsh Ministers consider appropriate.
The provision which may be included in an order by virtue of subsection (2)(f) is subject to the following restrictions—
it is to be provision which applies only where an operator agreement is or has been in force to which one of the following is or was party—
a Passenger Transport Executive,
an STB,
a local transport authority, or
a relevant company;
the person entitled under the provision to make a transfer scheme is to be a Passenger Transport Executive, an STB or local transport authority which—
is or was party to the operator agreement, or
is the owner, or one of the owners, of a relevant company which is or was party to the operator agreement;
the persons to whom assets may be transferred under a scheme made under the provision are to be—
the Passenger Transport Executive, STB or local transport authority which makes the scheme;
any other Passenger Transport Executive, STB or local transport authority which—
is or was party to the operator agreement, or
is the owner, or one of the owners, of a relevant company which is or was party to the operator agreement;
a relevant company;
a person who is, or is to be, the operator under an operator agreement.
In this section—
Unless the Secretary of State otherwise directs, the person who is to be the franchisee under any franchise agreement shall be selected by the Franchising Director from among those who submit tenders in response to an invitation to tender under this section for the right to provide, or to secure that a wholly owned subsidiary provides, services for the carriage of passengers by railway under that franchise agreement.
The Franchising Director shall prepare any such invitation to tender and shall issue that invitation to such persons as he may, after consultation with the Regulator, think fit.
The Franchising Director shall not issue an invitation to tender under this section to (or entertain such a tender from) any person unless he is of the opinion that the person has, or is likely by the commencement of the franchise term to have, an appropriate financial position and managerial competence, and is otherwise a suitable person, to be the franchisee.
The franchise term in relation to a franchise agreement may not be extended except in accordance with section 30A (temporary continuation of existing franchises).
The Secretary of State may not enter into a franchise agreement except in accordance with section 30A.
The Welsh Ministers and the Scottish Ministers may not enter into a franchise agreement.
It shall be the duty of the responsible authority before entering into a franchise agreement to satisfy itself that if the franchise agreement is entered into—
the initial franchise assets (if any) for that franchise agreement will be vested in the person who is to be the franchise operator; and
if the franchise agreement is to be one under which the franchisee undertakes to secure that a wholly owned subsidiary of his provides the franchised services, that the franchise operator will be a wholly owned subsidiary of the franchisee.
After a franchise agreement has been entered into, it shall be the duty of the responsible authority, before any property, rights or liabilities are subsequently designated as franchise assets in accordance with the terms of, or by amendment to, the franchise agreement, to satisfy itself that, if the property, rights or liabilities in question are so designated, they will be vested in the franchise operator.
Without the consent of the responsible authority, the franchise operator shall not—
if and to the extent that the franchise assets are property or rights—
transfer or agree to transfer, or create or agree to create any security over, any franchise assets or any interest in, or right over, any franchise assets; or
create or extinguish, or agree to create or extinguish, any interest in, or right over, any franchise assets; and
if and to the extent that the franchise assets are liabilities, shall not enter into any agreement under which any such liability is released or discharged, or transferred to some other person.
Where the franchise agreement is one under which the franchisee undertakes to secure that a wholly owned subsidiary of his provides the franchised services, the franchisee shall not, without the consent of the responsible authority, take any action which would result in the franchise operator ceasing to be a wholly owned subsidiary of his.
Any transaction which is entered into in contravention of subsection (3) or (4) above shall be void.
In England and Wales, no execution or other legal process may be commenced or continued, and no distress may be levied and no power to use the procedure in Schedule 12 to the Tribunals, Courts and Enforcement Act 2007 may be exercised, against any property which is, or rights which are, franchise assets in the case of any franchise agreement.
In Scotland, no diligence or other legal process may be carried out or continued against any property which is, or rights which are, franchise assets in the case of any franchise agreement.
In any case where— the responsible authority shall ensure that the franchise agreement includes provision specifying, or providing for the determination of, amounts to be paid in respect of the property, rights and liabilities which, immediately before the end of the franchise period, constitute the franchise assets in relation to that franchise agreement if and to the extent that they are transferred by a scheme under section 12 of the Railways Act 2005 at or after the end of that period.
there are to be initial franchise assets in relation to a franchise agreement,
a franchise agreement is to be one which provides for subsequent designation of property, rights or liabilities as franchise assets, or
property, rights or liabilities are to be designated as franchise assets by an amendment made to a franchise agreement,
Without prejudice to the generality of the provisions that may be included in a franchise agreement with respect to the acquisition, provision, disposal or other transfer of property, rights or liabilities (whether franchise assets or not), the responsible authority may undertake in a franchise agreement to exercise its powers under section 12 of the Railways Act 2005 to transfer franchise assets to itself or another in such circumstances as may be specified in the franchise agreement.
The responsible authority shall ensure that every franchise agreement includes such provision (if any) as it may consider appropriate in the particular case for the purpose of securing—
that the franchise assets are adequately maintained, protected and preserved; and
that, at the end of the franchise period, possession of such of the franchise assets as may be specified for the purpose in the agreement, or by the Franchising Director in accordance with the agreement, is delivered up to the Franchising Director or such other person as may be so specified.
In this Part, “franchise assets”, in relation to any franchise agreement, means— but does not include any property, rights or liabilities which, in accordance with the terms of, or by an amendment made to, the franchise agreement, have for the time being ceased to be designated as franchise assets.
any property, rights or liabilities which are designated as franchise assets in the franchise agreement as originally made (in this section referred to as the “initial franchise assets”), and
any property, rights or liabilities which, after the making of the franchise agreement, are designated as franchise assets in accordance with the terms of, or by an amendment made to, the franchise agreement,
In this section the “responsible authority”—
in relation to a Scottish franchise agreement, means the Scottish Ministers;
in relation to a Welsh franchise agreement the franchised services under which consist of Wales-only services, means the Welsh Ministers; and
in relation to any other franchise agreement, means the Secretary of State.
No rights or liabilities under contracts of employment shall be designated as franchise assets.
In this section “security” has the meaning given by section 248(b) of the Insolvency Act 1986.
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The Authority shall give notice under subsection (2) below if—
it has issued an invitation to tender for the provision of any services under section 26 above (otherwise than in compliance with a direction under subsection (3)(b) below); but
although it has received a tender or tenders in response to the invitation, it considers that the services would be provided more economically and efficiently than under a franchise agreement entered into pursuant to the tender or any of the tenders if the Authority provided them or secured their provision otherwise than under a franchise agreement.
The notice shall be given to—
the Secretary of State; and
the person, or each of the persons, who submitted a tender.
On receipt of the notice under paragraph (a) of subsection (2) above the Secretary of State shall (after considering the matter and any representations duly made in response to a notice under paragraph (b) of that subsection and not withdrawn) give to the Authority— as he considers appropriate.
a direction to reconsider the tender or tenders with a view to selecting a franchisee, or
a direction to issue new invitations to tender for the provision of the services under section 26 above,
The Authority shall give notice under subsection (5) below if it has issued an invitation to tender for the provision of any services under section 26 above in compliance with a direction under subsection (3)(b) above but either—
it has received no tenders in response to the invitation; or
although it has received a tender or tenders in response to the invitation, it considers that the services would be provided more economically and efficiently than under a franchise agreement entered into pursuant to the tender or any of the tenders if the Authority provided them or secured their provision otherwise than under a franchise agreement.
The notice shall be given to—
the Secretary of State; and
if the Authority received a tender or tenders, the person, or each of the persons, who submitted a tender.
In a case where the Authority has received no tenders, on receipt of the notice under subsection (5)(a) above the Secretary of State shall give to the Authority a direction not to seek to secure the provision of the services under a franchise agreement.
In a case where the Authority has received a tender or tenders, on receipt of the notice under paragraph (a) of subsection (5) above the Secretary of State shall (after considering the matter and any representations duly made in response to a notice under paragraph (b) of that subsection and not withdrawn) give to the Authority— as he considers appropriate.
a direction to reconsider the tender or tenders with a view to selecting a franchisee, or
a direction not to seek to secure the provision of the services under a franchise agreement,
Any notice under subsection (2)(b) or (5)(b) above shall specify a period (not being less than 28 days from the date of the service of the notice) within which representations may be made to the Secretary of State.
The Secretary of State may at any time—
revoke a direction under subsection (6) or (7)(b) above; and
instead direct the Authority to issue new invitations to tender for the provision of the services under section 26 above.
A franchise agreement may include provision with respect to the fares to be charged for travel by means of the franchised services.
Subject to the other provisions of this Act, if it appears to the appropriate franchising authority that the interests of persons who use, or who are likely to use, franchised services so require, it shall ensure that the franchise agreement in question contains any such provision as it may consider necessary for the purpose of securing that any fares, or any fares of a class or description, which are to be charged are, in its opinion, reasonable in all the circumstances of the case.
Every franchise agreement shall include provision requiring the franchise operator— if and to the extent that the franchised services are services, or services of a class or description, in relation to which the approved discount fare scheme in question applies.
to participate in every approved discount fare scheme,
to charge fares, in cases to which such a scheme applies, at rates which are not in excess of the levels or, as the case may be, the maximum levels set by the scheme, and
otherwise to comply with the requirements of every such scheme,
The discount fare schemes which are to be regarded , in relation to a franchise agreement, for the purposes of this section as “approved” are those which are from time to time approved for the purposes of this section by the appropriate franchising authority .
In this section—
a service for the carriage of goods by railway between Fréthun freight yard in France and Dollands Moor freight yard in the United Kingdom; or
subsection (3) shall be disregarded;
in subsection (4)—
the reference to section 56(4) of the Transport Act 1962 shall be taken as a reference to section 76 or, as the case may be, section 77 below; and
the reference to the services and facilities provided by the Railways Board shall be taken as a reference to services for the carriage of passengers by railway;
in subsection (10), the reference to section 119 of that Act shall be taken to include a reference to section 37 or 38 above.
If the Secretary of State gives a direction under section 26B(3) or (7) above, he shall give notice to the person or persons who submitted the tender or tenders that he has done so.
An application for the review of a decision of the Secretary of State to give a direction under section 26B(3) or (7) above may be made to the court by any person who submitted a tender within 42 days from the date of service on him of the notice under subsection (1) above.
Except as provided by subsection (2) above, a direction under section 26A or 26B above shall not be questioned by any legal proceedings whatever.
In subsection (2) above “the court” means—
the High Court in relation to England and Wales; and
the Court of Session in relation to Scotland.
A franchise agreement may require—
the rendering to the Franchising Director by the franchisee or the franchise operator of payments of such amounts and at such intervals as may be specified in, or determined by or under, the franchise agreement; . . .
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A franchise agreement may include provision requiring the franchisee—
to operate any additional railway asset; or
to secure the operation of any additional railway asset by the franchise operator or any other wholly owned subsidiary of the franchisee.
A franchise agreement shall include provision specifying the franchise term and may include provision enabling that term to be extended by such further term as may be specified in the franchise agreement.
Without prejudice to the generality of the provisions relating to property, rights and liabilities that may be included in a franchise agreement, a franchise agreement may include provision requiring the franchise operator—
to acquire from such person as may be specified in the franchise agreement, and to use, such property or rights as may be so specified; or
to undertake such liabilities as may be so specified.
Subject to any requirements imposed by or under this Act, a franchise agreement may contain any such provisions as the appropriate franchising authority may think fit.
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In this Part, “additional railway asset” means any network, station or light maintenance depot, and any reference to an additional railway asset includes a reference to any part of an additional railway asset.
The relevant franchising authority shall provide, or secure the provision of, services for the carriage of passengers by railway where—
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a franchise agreement in respect of the services is terminated or otherwise comes to an end ... ....
In any case where a franchise agreement which includes provision in respect of the operation of any additional railway assets is terminated or otherwise comes to an end, but— the Franchising Director shall, subject to subsection (4) below, have the power to secure the operation of any additional railway asset with respect to the operation of which no further franchise agreement has been entered into, until such time as it again begins to be operated under or by virtue of a franchise agreement.
no further franchise agreement has been entered into which makes provision in respect of the operation of the additional railway assets formerly operated under or by virtue of that franchise agreement, or
such further franchise agreement as has been entered into in respect of the operation of those additional railway assets makes provision in respect of the operation of some but not all of those additional railway assets,
The relevant franchising authority may secure the provision of services for the purpose of fulfilling the duty under subsection (1) only by making a direct award of a public service contract to a public sector company in accordance with regulation 17 (general direct award provision for rail) of the 2023 Regulations.
Subsection (1) above does not—
require the relevant franchising authority to provide or secure the provision of services if and to the extent that, in its opinion, adequate alternative railway passenger services are available;
preclude it from making a proposal to which section 24 of the Railways Act 2005 (proposals to discontinue franchised or secured services) applies in relation to any of the services, in which case its duty under this section to secure the provision of the services to which the proposal relates will (subject to subsections (7) and (8) of that section) terminate on the date for the discontinuance of services specified in the proposal; or
require the Secretary of State or the Scottish Ministers to provide or secure the provision of a Welsh service where it appears to the Secretary of State or the Scottish Ministers (as the case may be) that the Secretary of State or the Scottish Ministers will not be receiving funds from the Welsh Ministers that are reasonably equivalent to those provided by the Welsh Ministers (whether directly to the previous franchisee or otherwise) in respect of the service provided by the previous franchisee;
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 (3) of that section.
require the Secretary of State to provide or secure the provision of a service within the area of a Passenger Transport Executive where it appears to him that he will not be receiving funds from the Executive that are reasonably equivalent to those provided by that Executive (whether directly to the previous franchisee or otherwise) in respect of the service provided by the previous franchisee;
require the Secretary of State to provide or secure the provision of a service that makes scheduled calls in Greater London where it appears to him that he will not be receiving funds from Transport for London that are reasonably equivalent to those that were provided by Transport for London (whether directly to the previous franchisee or otherwise) in respect of the service provided by the previous franchisee;
Regulation 22 (pre-award publication) of the 2023 Regulations does not apply in relation to an award made as mentioned in subsection (1A).
The Franchising Director’s power under subsection (2) above to secure the operation of any additional railway asset shall come to an end—
where the Franchising Director publishes a notice under subsection (5) of section 40 or subsection (4) of section 42 below in respect of the additional railway asset in question, on the date mentioned in paragraph (b) of the subsection in question;
where the Franchising Director discontinues the operation of the additional railway asset in question in circumstances in which he is entitled to do so without notice under or by virtue of subsection (2) of section 40 or 42 below, on the date on which that discontinuance takes place;
where the operator of the additional railway asset in question gives notice to the Franchising Director in respect of that additional railway asset under section 39 or 41 below, on the date specified by the operator pursuant to subsection (4)(b) of section 39 or subsection (3)(b) of section 41 below, as the case may be; or
where the operator of the additional railway asset in question discontinues the operation of that additional railway asset in circumstances in which he is entitled to do so without notice, under or by virtue of subsection (1), (2) or (3) of section 39 or subsection (1) or (2) of section 41 below, on the date on which that discontinuance takes place.
The duty in subsection (1) does not apply in respect of services at any time when they are being provided under section 30A (temporary continuation of existing franchises).
For the purposes of this section the Secretary of State, the Scottish Ministers and the Welsh Ministers shall each have power— and the Scottish Ministers shall have power to provide Scotland-only services and cross-border services, and the Welsh Ministers shall have power to provide Wales-only services and Welsh components of Welsh services..
to provide or operate network services, station services or light maintenance services; or
to store goods or consign them from a place to which they have been carried by rail;
In this section “relevant franchising authority” means the person who was the appropriate franchising authority in relation to the franchise agreement that has been terminated or otherwise come to an end.
In this section— “previous franchisee”, in relation to a railway passenger service, means the franchisee in relation to the franchise agreement under which the service was previously provided; ... ... and references in this section to a Passenger Transport Executive and to a service within the area of a Passenger Transport Executive are to be construed as they are to be construed for the purposes of section 13 of that Act.
In any case where— neither Part II of the Landlord and Tenant Act 1954 (security of tenure of business premises) nor the Tenancy of Shops (Scotland) Act 1949 (security of tenure of shop premises in Scotland) shall apply to that tenancy.
a franchise agreement makes provision for the franchisee, the franchise operator or a wholly owned subsidiary of the franchisee to enter into an agreement (“the contemplated agreement") with a person who has an interest in a network or a railway facility,
the network or railway facility is to be used for or in connection with the provision of any of the franchised services, and
the contemplated agreement creates a tenancy of any property which (whether in whole or in part) constitutes, or is comprised in, the network or railway facility,
For the purposes of this section, a person shall be regarded as having an interest in a network or railway facility if he has an estate or interest in, or right over, any of the property which constitutes, or is comprised in, the network or railway facility.
Any reference in this section to a network or a railway facility includes a reference to any part of a network or railway facility.
In this section—
This section applies where—
the Secretary of State is the appropriate franchising authority in relation to a franchise agreement (“the existing agreement”), and
the Secretary of State is satisfied that it will not be reasonably practicable to provide, or secure the provision of, the franchised services under section 30(1) when the existing agreement comes to an end.
Where this section applies—
the Secretary of State may enter into a new franchise agreement (“the new agreement”) for the provision of the services, or
the franchise term in relation to the existing agreement may be extended.
The Secretary of State may enter into the new agreement only if—
the franchise term in relation to the new agreement is to begin immediately after the end of the franchise period in relation to the existing agreement, and
the franchisee in relation to the new agreement is to be the same person as the franchisee in relation to the existing agreement.
The Secretary of State may by regulations repeal this section and section 30B.
A franchise agreement may be entered into under section 30A only by making a direct award of a public service contract in accordance with regulation 16 (emergency measures) of the 2023 Regulations.
A franchise term may be extended under section 30A only by means of a formal agreement to extend such a contract in accordance with regulation 16 of the 2023 Regulations.
For the purposes of this section the Secretary of State is to be treated as being entitled to take emergency measures under regulation 16 of the 2023 Regulations whether or not the requirements of paragraph (1) of that regulation are met.
In sections 30 to 30B and this section—
“direct award” and “public service contract” have the same meanings as in the 2023 Regulations (see regulation 2(1));
“public sector company” means a company that is—
wholly owned by the Secretary of State, the Welsh Ministers or the Scottish Ministers,
jointly owned by the Secretary of State and the Welsh Ministers, or
jointly owned by the Secretary of State and the Scottish Ministers;
“the 2023 Regulations” means the Public Service Obligations in Transport Regulations 2023 (S.I. 2023/1369).
Subsections (4) and (5) of section 58 of the Railways Act 2005 (meaning of “wholly owned” and “jointly owned”) apply for the purposes of this section as they apply for the purposes of that Act.
The Transport Act 1968 shall have effect with the following amendments, which are made for the purpose of enabling Passenger Transport Executives to enter into agreements under section 20(2)(b) of that Act (securing provision of railway services considered appropriate to meet public transport requirements for the Executive’s area) with wholly owned subsidiaries of the Board, as well as with the Board.
In section 10(1)(vi) (power of Executive to make payments to the Board for certain services)—
after the words “Railways Board” there shall be inserted the words “, or any wholly-owned subsidiary of that Board,”; and
after the words “the Board” there shall be inserted the words “or the subsidiary (as the case may be)”.
In section 15(1)(d) (Executive to obtain the Authority’s approval of any agreement proposed to be entered into otherwise than under section 20(2)(b) with the Board for the provision by the Board of certain services)—
after the words “Railways Board” there shall be inserted the words “or a wholly-owned subsidiary of that Board”; and
after the words “the Board” there shall be inserted the words “or the wholly-owned subsidiary”.
In section 20(2)(b)—
after the words “section 10 of this Act” there shall be inserted the words “and subject to sections 33 and 34 of the Railways Act 1993”;
after the words “that Board” there shall be inserted the words “, or with any wholly-owned subsidiary of that Board,”; and
for the words “the Board” there shall be substituted the words “, between them, the Board and their wholly-owned subsidiaries”.
In section 20(4) (payments to the Board)—
after the words “to the Railways Board” there shall be inserted the words “or a wholly-owned subsidiary of that Board”; and
after the words “provided by the Board” there shall be inserted the words “or the subsidiary”.
In section 20(6) (resolution of disputes)—
after the words “Railways Board” there shall be inserted the words “or any wholly-owned subsidiary of that Board”; and
after the words “the Board” there shall be inserted the words “or the subsidiary”.
It shall be the duty of the Board and of every Passenger Transport Authority and every Passenger Transport Executive to co-operate with each other with a view to reaching agreement about—
the changes that need to be made to existing section 20(2) agreements as a result of the provisions of this Act or anything done or to be done pursuant to any such provision;
whether those changes can best be made by amending the existing section 20(2) agreements or by terminating those agreements and entering into new section 20(2) agreements in their place; and
the amendments that need to be made to the existing section 20(2) agreements or, as the case may be, the provisions that need to be contained in the new section 20(2) agreements.
The Secretary of State may give notice to the Board, and to the Passenger Transport Authority and the Passenger Transport Executive for any passenger transport area, specifying the date by which they are—
to have reached agreement on the matters specified in paragraphs (a) to (c) of subsection (1) above, so far as relating to the existing section 20(2) agreement with which they are concerned; and
to have made to that existing section 20(2) agreement the amendments mentioned in paragraph (c) of that subsection or, as the case may be, to have entered into a new section 20(2) agreement, containing the provisions mentioned in that paragraph, in place of the existing section 20(2) agreement.
If, in a case where the Secretary of State has given notice under subsection (2) above, the requirements of paragraphs (a) and (b) of that subsection have not been complied with by the date specified in that notice, he may issue directions to the Board and to the Passenger Transport Executive in question requiring them— by such date as may be specified in the directions.
to make to the existing section 20(2) agreement in question amendments determined by him and specified in the directions, or
to enter into a new section 20(2) agreement, on terms determined by him and specified in the directions, in place of the existing section 20(2) agreement,
The Board or any Passenger Transport Executive may refer to the Secretary of State any dispute which arises in the course of negotiations concerning the matters specified in paragraphs (a) to (c) of subsection (1) above; and on any such reference the Secretary of State may give such directions as he thinks fit to the Board and to the Passenger Transport Executive in question.
Without prejudice to the generality of the directions that may be given on a reference under subsection (4) above, the Secretary of State may, on any such reference, give directions to the Board and to the Passenger Transport Executive in question requiring the Board and that Executive— by such date as may be specified in the directions.
to make to the existing section 20(2) agreement in question amendments determined by him and specified in the directions; or
to enter into a new section 20(2) agreement, on terms determined by him and specified in the directions, in place of the existing section 20(2) agreement,
Where the Secretary of State gives directions under this section with respect to the amendments that are to be made to an existing section 20(2) agreement or the terms on which a new section 20(2) agreement is to be entered into, any requirement for the consent of the Passenger Transport Authority in question to be obtained to the making of those amendments or that agreement shall be dispensed with.
This section shall apply in relation to any section 20(2) agreement which has been amended or entered into pursuant to this section as it applies in relation to an existing section 20(2) agreement, and “existing section 20(2) agreement” shall be construed accordingly.
In this section— and any reference to the Board includes a reference to a wholly owned subsidiary of the Board.
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The fact that any services for the carriage of passengers by railway are, or are to be, provided by the Board or a wholly owned subsidiary of the Board under a section 20(2) agreement does not preclude the designation of those services under section 23(1) above as eligible for provision under a franchise agreement.
Subsection (1) above does not affect the continuing validity of any section 20(2) agreement and, accordingly, no services provided, or to be provided, under such an agreement shall begin to be provided under a franchise agreement until such time as the section 20(2) agreement in question has terminated.
Subject to section 35(7) below, a Passenger Transport Executive shall continue to have power to enter into section 20(2) agreements with the Board or any wholly owned subsidiary of the Board for the provision of services for the carriage of passengers by railway until such time as the services in question first begin to be provided under a franchise agreement; and, accordingly, once the services first begin to be so provided, the Executive in question shall cease to have power to enter into a section 20(2) agreement for the provision of those services.
The Franchising Director— shall comply with the requirements imposed upon him by subsection (5) below.
before issuing an invitation to tender under section 26 above in respect of any services for the carriage of passengers by railway within the passenger transport area of a Passenger Transport Executive, or
in a case where the Secretary of State has given a direction under section 26(1) above which has effect in relation to any such services, before entering into a franchise agreement in respect of any of those services,
The requirements mentioned in subsection (4) above are that the Franchising Director must give notice to the Passenger Transport Executive for the area in question— and must, in either of the cases mentioned in paragraph (b) above, consult that Executive, which may, before the expiration of the period of 60 days immediately following the date specified in that notice as its date of issue, submit to him a statement under this subsection.
of his intentions with respect to the inclusion, in any franchise agreement contemplated by that subsection, of provisions relating to the operation of any additional railway assets wholly or partly within the area in question, and
of his intention—
in a case falling within paragraph (a) of that subsection, to issue the invitation to tender, or
in a case falling within paragraph (b) of that subsection, to enter into the franchise agreement,
A statement under subsection (5) above—
shall specify the services for the carriage of passengers by railway which the Passenger Transport Authority for the area in question considers it appropriate to secure to meet any public transport requirements within that area, so far as relating to the provision of services of the same description as those in respect of which the Franchising Director proposes— as the case may be;
to issue the invitation to tender mentioned in paragraph (b)(i) of that subsection, or
to enter into the franchise agreement mentioned in paragraph (b)(ii) of that subsection,
may specify the minimum level of quality to which any services so specified are to be provided;
may (subject to section 28(3) above) specify requirements with respect to the fares to be charged to persons using any services so specified; and
may specify the minimum level of quality with respect to the operation of any station (but not any other additional railway asset) which may be required by any such franchise agreement as is mentioned in subsection (5)(a) above.
A Passenger Transport Executive which has submitted a statement under subsection (5) above to the Franchising Director may from time to time amend that statement by giving notice of the amendments to the Franchising Director; and where any such statement is so amended, any reference in this section to the statement submitted under subsection (5) above shall be taken as a reference to that statement as for the time being amended.
Where a Passenger Transport Executive has submitted a statement under subsection (5) above to the Franchising Director, the Franchising Director shall ensure that the services, and any minimum levels of quality or requirements with respect to fares, specified in that statement—
in a case falling within paragraph (a) of subsection (4) above, are included in the specification of the services in respect of which the invitation to tender is issued; or
in a case falling within paragraph (b) of that subsection, are provided for in any franchise agreement into which he may enter in respect of the services mentioned in that paragraph.
A Passenger Transport Executive shall be a party to any franchise agreement which relates, whether in whole or in part, to the provision, within the Executive’s passenger transport area, of services specified in a statement under subsection (5) above.
The Franchising Director and any Passenger Transport Executive may enter into agreements with each other as to the terms on which franchise agreements to which the Executive is a party are to be entered into.
Before entering into a franchise agreement, a Passenger Transport Executive for a passenger transport area shall submit to the Passenger Transport Authority for that area, and obtain that Passenger Transport Authority’s approval of, the proposed franchise agreement.
It shall be the duty of every Passenger Transport Authority and every Passenger Transport Executive to facilitate the attainment by the Franchising Director of the objective of securing expeditiously that franchise agreements are entered into in respect of any services for the carriage of passengers by railway within their passenger transport area—
which are for the time being the subject of section 20(2) agreements; but
which are designated under section 23(1) above as eligible for provision under franchise agreements.
In any case where— the Passenger Transport Executive shall pay to the Franchising Director, at or before the time at which any such payment as is mentioned in paragraph (c) above is made, a sum equal to the amount of that payment.
any services (“the PTA services”) are included, in consequence of a statement under subsection (5) above, among those which are to be provided under a franchise agreement or a franchise agreement requires the operation of any additional railway assets as mentioned in paragraph (a) of that subsection,
the franchise agreement does not make provision for the Passenger Transport Executive for the area in question to make payments to the franchisee or the franchise operator in respect of the provision of the PTA services or the operation of the additional railway assets, and
payments by way of grant in respect of the provision of the PTA services or the operation of the additional railway assets fall to be made by the Franchising Director pursuant to conditions contained in the franchise agreement by virtue of section 29(1)(b) above,
Where, pursuant to section 30 above, the Franchising Director is under a duty to secure the provision of any services for the carriage of passengers by railway, or is empowered to secure the operation of any additional railway assets, within the passenger transport area of a Passenger Transport Executive, the Executive—
shall have power to enter into agreements with the Franchising Director with respect to the securing by him of— until such time as they are again provided under a franchise agreement;
the provision of any of the services in question, or
the operation of any of the additional railway assets in question,
shall make to the Franchising Director in respect of— payments of such amounts, and at such times, as may be agreed between the Executive and the Franchising Director or, in default of agreement, of such amounts and at such times as the Secretary of State may direct; but
the provision of any of the services in question whose provision he secures pursuant to section 30 above, and
the operation of any of the additional railway assets in question whose operation he secures pursuant to section 30 above,
shall not have power to enter into agreements with the Board or any wholly owned subsidiary of the Board for—
the provision of any of the services in question, or
the operation of any of the additional railway assets in question.
Without prejudice to the generality of the provisions which may be included in any agreement made between the Franchising Director and a Passenger Transport Executive under paragraph (a) of subsection (14) above, such an agreement may, in particular, contain provisions concerning—
the services for the carriage of passengers by railway which the Passenger Transport Authority for the passenger transport area in question considers it appropriate to secure to meet any public transport requirements within that area,
the minimum level of quality to which any such services are to be provided,
the fares to be charged to persons using any such services, or
the minimum level of quality to which the operation of any station (but not of any other additional railway asset) is to be secured under sub-paragraph (ii) of that paragraph.
The Secretary of State shall not direct a Passenger Transport Executive to make any payment under subsection (14)(b) above, except in respect of— “call” meaning for this purpose any stop at a station for the purpose of allowing passengers to board or leave the train (including the stops at the stations at the beginning and end of any journey to which the service relates).
any service—
which is provided under an agreement entered into by the Franchising Director pursuant to his duty under section 30 above, and
which under the terms of that agreement is required to involve calls at more than one station within the passenger transport area of the Executive, or
any additional railway asset which is operated under an agreement entered into by the Franchising Director pursuant to his power under that section,
If any dispute arises between the Franchising Director and a Passenger Transport Executive in connection with— either of them may refer the dispute to the Secretary of State for determination and on any such reference the Secretary of State may give to the Franchising Director or the Passenger Transport Executive such directions with respect to the dispute as he may think fit.
a proposal by the Franchising Director to issue an invitation to tender, or to enter into a franchise agreement, in respect of services for the carriage of passengers by railway within the passenger transport area of that Executive, or
any franchise agreement which has been entered into in respect of any such services, or in respect of any such services and any additional railway asset,
Without prejudice to subsection (17) above— and on any such application, the Secretary of State may give for that purpose such directions as he may think fit to the Franchising Director or the Executive.
if the Franchising Director considers it desirable to do so for the purpose of securing expeditiously that a franchise agreement is entered into in respect of services for the carriage of passengers by railway within the passenger transport area of a Passenger Transport Executive, he may apply to the Secretary of State for directions under this subsection; or
if a Passenger Transport Executive for any passenger transport area considers it desirable to do so for the purpose of securing expeditiously that a franchise agreement is entered into in respect of services for the carriage of passengers by railway within that passenger transport area, the Executive may apply to the Secretary of State for directions under this subsection;
Without prejudice to the generality of the directions that may be given under subsection (17) or (18) above, but subject to subsection (20) below, the Secretary of State may, in particular, give a direction under either of those subsections— and, without prejudice to any other provision of this Act, any reference in paragraph (b) or (c) above to a franchise agreement includes a reference to a proposed franchise agreement.
requiring the Franchising Director or the Executive to enter into a franchise agreement on such terms as may be specified in the direction;
providing that any one or more of subsections (4) to (11) and (13) above, or any part of any of those subsections, shall not have effect with respect to a franchise agreement; or
requiring the Executive to make payments in respect of—
the provision under a franchise agreement of services for the carriage of passengers by railway within their passenger transport area, whether or not the inclusion of those services among the services which are to be provided under the franchise agreement is in consequence of a statement submitted under subsection (5) above by the Executive and whether or not the Executive is a party to the franchise agreement; or
the operation under or by virtue of a franchise agreement of additional railway assets wholly or partly within their passenger transport area, whether or not the Executive is a party to the franchise agreement;
The Secretary of State shall not give a direction under subsection (19)(c) above requiring a Passenger Transport Executive to make payments in respect of the provision under a franchise agreement of services for the carriage of passengers by railway, or the operation under or by virtue of a franchise agreement of additional railway assets, except in respect of— “call” having the same meaning in this subsection as it has in subsection (16) above.
such of those services as are required by the terms of the franchise agreement—
to be provided during the relevant period in the case of that direction, and
to involve calls at more than one station within the passenger transport area of the Executive, or
such of those additional railway assets as are required by or under the terms of the franchise agreement to be operated during the relevant period in the case of that direction,
For the purposes of subsection (20) above, the “relevant period”, in the case of any direction, is the period which is made up of— “financial year” meaning for this purpose the period of twelve months ending with 31st March.
the financial year in which the direction is given,
the financial year immediately preceding that in which the direction is given, and
the financial year immediately following that in which the direction is given,
In this section—
Any sums received by the Franchising Director under this section shall be paid into the Consolidated Fund.
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This section applies in any case where services for the time being provided under a section 20(2) agreement by the Board or a wholly owned subsidiary of the Board have been designated under section 23(1) above as eligible for provision under a franchise agreement.
If, in a case where this section applies, a franchise agreement is entered into in respect of all the services for the time being provided under the section 20(2) agreement, the Franchising Director shall serve a notice on the parties to the section 20(2) agreement terminating that agreement on such date (“the termination date”) as may be specified in the notice.
Where notice is served under subsection (2) above, the parties to the section 20(2) agreement— and the section 20(2) agreement shall not have effect after the termination date, except so far as relating to anything done, or required to be done, pursuant to the agreement on or before that date.
shall be taken to have agreed to terminate that agreement on the termination date, and
shall accordingly be released from the performance of their obligations under that agreement after that date,
If, in a case where this section applies, a franchise agreement is entered into in respect of some, but not all, of the services for the time being provided under the section 20(2) agreement, the Franchising Director may serve a notice on the parties to the section 20(2) agreement varying the terms of that agreement.
Where notice is served under subsection (4) above—
the parties to the section 20(2) agreement shall be taken to have agreed to a variation of the section 20(2) agreement such that the services to be provided under the franchise agreement shall, after such date as may be specified in the notice, no longer be provided under the section 20(2) agreement; and
the section 20(2) agreement shall have effect with such further modifications which are necessary to give effect to, or are consequential on, the variation referred to in paragraph (a) above as the parties may agree or, in default of agreement, as may be determined on a reference to arbitration.
For the purposes of subsection (5)(b) above—
either party to the section 20(2) agreement may refer the matter in dispute to arbitration after giving the other not less than fourteen days' notice of his intention to do so; and
if the parties are unable to agree on the appointment of a person as the arbitrator, either of them, after giving the other not less than fourteen days' notice of his intention to do so, may by notice request the Franchising Director to appoint a person as the arbitrator.
Where a section 20(2) agreement is terminated or varied by virtue of this section, the Passenger Transport Executive in question shall not have power to enter into another such agreement for the provision of the services which are to be provided under the franchise agreement referred to in subsection (2) or (4) above (as the case may be) without the consent of the Franchising Director.
Where a section 20(2) agreement has been entered into, but services have not begun to be provided under it, this section shall have effect in relation to the services which are to be provided as it has effect in relation to services for the time being provided under a section 20(2) agreement.
Any reference in this section to an arbitrator shall, in Scotland, be taken as a reference to an arbiter.
In this section, “section 20(2) agreement” has the same meaning as it has in section 33 above.
(via) with the approval of the Authority, to enter into and carry out agreements with any person who is the operator of, or who has an estate or interest in, or right over, a network, station or light maintenance depot or some part of a network, station or light maintenance depot, in connection with the building, replacement, redevelopment, refurbishment, repair, maintenance, operation or staffing of the network, station or light maintenance depot or any part thereof;
After paragraph (viii) of that subsection there shall be inserted—.
In section 20(2) of that Act, in paragraph (a) (duty of Passenger Transport Executive to keep under review the railway passenger services provided by the Railways Board for meeting the needs of persons travelling between places in the Executive’s passenger transport area etc) for the words “by the Railways Board" there shall be substituted the words “ by passenger service operators (within the meaning of Part I of the Railways Act 1993) ”.
After section 23 of that Act there shall be inserted—.
In section 159(1) of that Act (general interpretation), in the definition of “subsidiary" and “wholly-owned subsidiary", for the words “subject to section 51(5)" there shall be substituted the words “ subject to sections 23A(2) and 51(5) ”.
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In any case where— then, unless the closure is certified by the Regulator as being a minor closure, the service operator shall give notice of the proposal to the Franchising Director not less than three months before the date specified pursuant to subsection (3)(b) below as that on which the service operator will cease providing the services (the “service operator’s withdrawal date”) and shall not discontinue those services before that date.
all the railway passenger services on any line or from any station are provided otherwise than in satisfaction of requirements imposed by a franchise agreement and otherwise than on behalf of the Franchising Director, and
the person providing those services (in this section referred to as “the service operator”) proposes to discontinue all such services on that line or from that station (in this section referred to as a closure),
In determining for the purposes of paragraph (a) of subsection (1) above whether all the railway passenger services on a line or from a station are provided as mentioned in that paragraph, there shall be left out of account any services— and this section shall not have effect in relation to any services falling within paragraphs (a) to (d) above.
which involve travel through the Channel Tunnel;
which are experimental passenger services, within the meaning of section 48 below, or which are provided on an experimental basis, for the purposes of section 56A of the Transport Act 1962;
which are provided otherwise than as regular scheduled services for that line or for that station, as the case may be; or
which are designated, or which are of a class or description designated, by order under section 49(2) below as services in relation to which this section is not to have effect;
A notice under subsection (1) above shall be accompanied by a statement of—
the service operator’s reasons for the proposal;
the date on which he will cease providing the services in question; and
any alternative transport services which appear to the service operator to be available.
Where notice is given to the Franchising Director under subsection (1) above, he must consider, and form an opinion on, the question whether the proposed closure should or should not be permitted to take effect.
If the Franchising Director is of the opinion that the proposed closure should not be permitted to take effect, he shall be under a duty to secure the provision of the services in question after the service operator’s withdrawal date.
If the Franchising Director is of the opinion that the proposed closure should be permitted to take effect, he shall publish in two successive weeks in a local newspaper circulating in the area affected and in two national newspapers, and in such other manner as appears to him to be appropriate, a notice containing— and shall be under a duty during the interim period to secure the provision of the services to which the proposed closure relates.
particulars of the proposal to effect the closure,
particulars of the date on which it is proposed that the closure will take effect,
particulars of any alternative transport services which appear to him to be available,
the addresses of the premises at which a statement of the reasons for the proposed closure can be inspected, or from which a copy of that statement can be obtained, and any fees payable for copies of the statement,
a statement that objections to the proposed closure may be lodged with the Regulator within such period as may be specified for the purpose in the notice (being not less than six weeks from the date of the last publication of the notice in a local newspaper),
The reasons contained in the statement referred to in subsection (6)(d) above may consist of or include the reasons included in the statement under subsection (3) above, with or without other reasons of the Franchising Director's.
Without prejudice to the provisions of section 38 below in relation to the services in question—
if the final decision on the closure question is that the proposed closure will not be allowed to take effect, the Franchising Director shall be under a duty to secure the provision of those services after the interim period; and
if the final decision on the closure question is that the proposed closure will be allowed to take effect subject to compliance with conditions, the Franchising Director shall be under a duty to comply with those conditions or to secure that they are complied with.
In this section—
The railway passenger services which are to be regarded for the purposes of this section as provided on behalf of the Franchising Director are those whose provision he is for the time being under a duty to secure in consequence of—
section 30 above,
subsection (5) or (8)(a) above,
section 38(6)(a) below, or
any closure condition imposed under section 43(9) or 44(2) below.
Any sums received by the Franchising Director under this section shall be paid into the Consolidated Fund.
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This section applies in any case where— and any reference in this section to a closure is a reference to a discontinuance falling within paragraph (a) or (b) above.
any railway passenger services on any line or from any station are provided on behalf of the Franchising Director and he proposes to discontinue those services, or
any railway passenger services on any line or from any station are provided in satisfaction of requirements imposed by a franchise agreement, but—
the person so providing those services intends not to continue to provide them when the requirement so to provide them comes to an end, and
the Franchising Director proposes that they should then be discontinued;
If in a case to which this section applies— the Franchising Director may discontinue the services in question, notwithstanding any duty imposed on him by or under this Part to secure their provision, and subsections (5) and (6) below shall not apply in relation to the closure.
the closure is certified by the Regulator as being a minor closure,
the closure in question is one in respect of which, in consequence of the application of section 49(6) below, neither section 37 above nor Schedule 5 to this Act is to apply,
the closure is one in respect of which neither of the conditions in subsection (3) below is satisfied, and any requirement imposed by a franchise agreement to provide the services in question has come to an end, or
the services in question fall within any of paragraphs (a) to (c) of subsection (4) below,
The conditions mentioned in subsection (2)(c) above are—
that all the railway passenger services on the line or from the station in question are provided on behalf of the Franchising Director and he proposes to discontinue all such services on that line or from that station; or
that all the railway passenger services on the line or from the station in question are provided in satisfaction of requirements imposed by a franchise agreement, and—
the person so providing those services intends not to continue providing them when the requirement so to provide them comes to an end, and
the Franchising Director proposes that all such services on that line or from that station should then be discontinued.
In determining, for the purposes of paragraph (a) or (b) of subsection (3) above, whether all the railway passenger services on a line or from a station are provided as mentioned in that paragraph there shall be left out of account any services— and this section shall not have effect in relation to any services falling within paragraph (d) above.
which involve travel through the Channel Tunnel;
which are provided otherwise than as regular scheduled services for that line or for that station, as the case may be;
which are designated, or which are of a class or description designated, by order under section 49(2) below as services in relation to which section 37 above is not to have effect; or
which are experimental passenger services, within the meaning of section 48 below, or which are provided on an experimental basis, for the purposes of section 56A of the Transport Act 1962;
Subject to subsection (2) above, where this section applies, the Franchising Director shall publish in two successive weeks in a local newspaper circulating in the area affected and in two national newspapers, and in such other manner as appears to him to be appropriate, a notice containing— and shall be under a duty during the interim period to secure the provision of the services to which the proposed closure relates.
particulars of the proposal to effect the closure,
the date on which it is proposed that the closure will take effect,
particulars of any alternative transport services which appear to him to be available,
the addresses of the premises at which a statement of the reasons for the proposed closure can be inspected, or from which a copy of that statement can be obtained, and any fees payable for copies of the statement,
a statement that objections to the proposed closure may be lodged with the Regulator within such period as may be specified for the purpose in the notice (being not less than six weeks from the date of the last publication of the notice in a local newspaper),
Without prejudice to any subsequent application of this section in relation to the services in question—
if the final decision on the closure question is that the proposed closure will not be allowed to take effect, the Franchising Director shall be under a duty to secure the provision of those services after the interim period; and
if the final decision on the closure question is that the proposed closure will be allowed to take effect subject to compliance with conditions, the Franchising Director shall be under a duty to comply with those conditions or to secure that they are complied with.
In this section—
The services which are to be regarded for the purposes of this section as provided on behalf of the Franchising Director are the same services as are to be so regarded for the purposes of section 37 above.
Any sums received by the Franchising Director under this section shall be paid into the Consolidated Fund.
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Subject to subsection (2) below, in any case where— then, unless the closure is certified by the Regulator as being a minor closure, the operator shall give notice of the proposal to the Franchising Director not less than three months before the date specified pursuant to subsection (4)(b) below as the date on which it is proposed that the closure should take effect and shall not discontinue the operation of the network or, as the case may be, the part of the network in question before that date.
the operator of a network proposes to discontinue the operation of the network or some part of it (in this section referred to as a “closure”),
the network or, as the case may be, the part of the network in question has, at any time within the preceding five years, been used for or in connection with the provision of any services for the carriage of passengers by railway, and
the network or, as the case may be, the part of the network in question is not one which is operated on behalf of the Franchising Director,
This section does not apply if and to the extent that the proposal mentioned in subsection (1) above is a proposal to discontinue the operation of part of a multiple track railway between any two places, where the circumstances are such that the railway line in question will continue to be at least a single track railway between those two places.
In determining for the purposes of subsection (1)(b) above whether the network or, as the case may be, the part of the network in question has at any time within the period there mentioned been used for or in connection with the provision of services for the carriage of passengers by railway, there shall be left out of account any use for or in connection with the provision of services— and this section shall not have effect in relation to any networks which are designated, or which are of a class or description designated, by order under section 49(4) below as networks in relation to which this section is not to have effect.
which involve travel through the Channel Tunnel;
which are experimental passenger services, within the meaning of section 48 below, or which are provided on an experimental basis, for the purposes of section 56A of the Transport Act 1962; or
which are provided otherwise than as regular scheduled services on that network or, as the case may be, the part of the network in question;
A notice under subsection (1) above shall be accompanied by a statement of—
the operator’s reasons for the proposal;
the date on which it is proposed that the closure will take effect; and
any alternative transport services which appear to him to be available.
Where notice is given to the Franchising Director under subsection (1) above, he must consider, and form an opinion on, the question whether the proposed closure should or should not be permitted to take effect.
If the Franchising Director is of the opinion that the proposed closure should not be permitted to take effect, he shall be under a duty to secure the continued operation of the network or, as the case may be, the part of the network in question after the date on which the operator proposes that the closure should take effect.
If the Franchising Director is of the opinion that the proposed closure should be permitted to take effect, he shall publish in two successive weeks in a local newspaper circulating in the area affected and in two national newspapers, and in such other manner as appears to him to be appropriate, a notice containing— and shall be under a duty during the interim period to secure the operation of the network or, as the case may be, the part of the network to which the proposed closure relates.
particulars of the proposal to effect the closure,
the date on which it is proposed that the closure will take effect,
particulars of any alternative transport services which appear to him to be available,
the addresses of the premises at which a statement of the reasons for the proposed closure can be inspected, or from which a copy of that statement can be obtained, and any fees payable for copies of the statement,
a statement that objections to the proposed closure may be lodged with the Regulator within such period as may be specified for the purpose in the notice (being not less than six weeks from the date of the last publication of the notice in a local newspaper),
The reasons contained in the statement referred to in subsection (7)(d) above may consist of or include the reasons included in the statement under subsection (4) above, with or without other reasons of the Franchising Director's.
Without prejudice to the provisions of section 40 below in relation to the network or the part of the network in question—
if the final decision on the closure question is that the proposed closure will not be allowed to take effect, the Franchising Director shall be under a duty to secure the operation of the network or, as the case may be, the part of the network after the interim period; and
if the final decision on the closure question is that the proposed closure will be allowed to take effect subject to compliance with conditions, the Franchising Director shall be under a duty to comply with those conditions or to secure that they are complied with.
In this section—
The networks, and the parts of networks, which are to be regarded for the purposes of this section as operated on behalf of the Franchising Director are those whose operation he is for the time being under a duty to secure, in consequence of— and those whose operation he is for the time being securing in pursuance of his power under section 30 above.
subsection (6) or (9)(a) above,
section 40(6)(a) below, or
any closure condition imposed under section 43(9) or 44(2) below,
Any sums received by the Franchising Director under this section shall be paid into the Consolidated Fund.
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This section applies in any case where—
a network or a part of a network is operated on behalf of the Franchising Director; and
the Franchising Director proposes to discontinue the operation of the network or, as the case may be, the part of the network in question (in this section referred to as a “closure”).
If in a case where this section applies— the Franchising Director may discontinue the operation of the network or, as the case may be, the part of the network in question, notwithstanding any duty imposed upon him by or under this Part to secure its operation, and subsections (5) and (6) below shall not apply in relation to the closure.
the closure is certified by the Regulator as being a minor closure,
the closure is one to which subsection (3) below applies,
the network or, as the case may be, the part of the network in question has at no time within the preceding five years been used for or in connection with the provision of any services for the carriage of passengers by railway, or
the network in question is one of those which are designated, or which are of a class or description designated, by order under section 49(4) below as networks in relation to which section 39 above is not to have effect,
This subsection applies to a closure if and to the extent that it is the closure of part of a multiple track railway running between any two places, where the circumstances are such that the railway line in question will continue to be at least a single track railway between those two places.
In determining for the purposes of subsection (2)(c) above whether the network or, as the case may be, the part of the network in question has at any time within the period there mentioned been used for or in connection with the provision of services for the carriage of passengers by railway, there shall be left out of account any use for or in connection with the provision of services—
which involve travel through the Channel Tunnel;
which are experimental passenger services, within the meaning of section 48 below, or which are provided on an experimental basis, for the purposes of section 56A of the Transport Act 1962; or
which are provided otherwise than as regular scheduled services on that network or, as the case may be, the part of the network in question.
Subject to subsection (2) above, where this section applies, the Franchising Director shall publish in two successive weeks in a local newspaper circulating in the area affected and in two national newspapers, and in such other manner as appears to him to be appropriate, a notice containing— and shall be under a duty during the interim period to secure the operation of the network or, as the case may be, the part of the network to which the proposed closure relates.
particulars of the proposal to effect the closure,
the date on which it is proposed that the closure will take effect,
particulars of any alternative transport services which appear to him to be available,
the addresses of the premises at which a statement of the reasons for the proposed closure can be inspected, or from which a copy of that statement can be obtained, and any fees payable for copies of the statement,
a statement that objections to the proposed closure may be lodged with the Regulator within such period as may be specified for the purpose in the notice (being not less than six weeks from the date of the last publication of the notice in a local newspaper),
Subject to subsection (2) above and without prejudice to any subsequent application of this section in relation to the network or the part of the network in question—
if the final decision on the closure question is that the proposed closure will not be allowed to take effect, the Franchising Director shall be under a duty to secure the operation of the network or, as the case may be, the part of the network after the interim period; and
if the final decision on the closure question is that the proposed closure will be allowed to take effect subject to compliance with conditions, the Franchising Director shall be under a duty to comply with those conditions or to secure that they are complied with.
In this section—
“operator agreement” means any agreement which a person who has the benefit of an exemption under section 24 may enter into for another person (“the operator”) to provide the services (or any part of the services) in respect of which the exemption is granted;
any reference to the Secretary of State shall be taken as a reference to the Regulator;
in subsection (1), for paragraphs (a) and (c) there shall be substituted respectively—; and ;
The networks and parts of networks that are to be regarded for the purposes of this section as operated on behalf of the Franchising Director are the same networks and parts of networks as are to be so regarded for the purposes of section 39 above.
Any sums received by the Franchising Director under this section shall be paid into the Consolidated Fund.
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In any case where— then, unless the closure is certified by the Regulator as being a minor closure, the operator shall give notice of the proposal to the Franchising Director not less than three months before the date specified pursuant to subsection (3)(b) below as the date on which it is proposed that the closure should take effect and shall not terminate the use of the relevant facility or, as the case may be, the part of the relevant facility in question before that date.
the operator of a station or light maintenance depot (“the relevant facility”) proposes to terminate the use of that station or light maintenance depot, or some part of it, as such (in this section referred to as a “closure”),
the relevant facility or, as the case may be, the part of the relevant facility in question has, at any time within the preceding five years, been used in connection with the provision of any services for the carriage of passengers by railway, and
the relevant facility or, as the case may be, the part of the relevant facility in question is not one which is operated on behalf of the Franchising Director,
In determining for the purposes of subsection (1)(b) above whether the relevant facility or, as the case may be, the part of the relevant facility in question has at any time within the period there mentioned been used in connection with the provision of services for the carriage of passengers by railway, there shall be left out of account any use in connection with the provision of services— and this section shall not have effect in relation to any stations or light maintenance depots which are designated, or which are of a class or description designated, by order under section 49(5) below as stations or light maintenance depots in relation to which this section is not to have effect.
which involve travel through the Channel Tunnel;
which are experimental passenger services, within the meaning of section 48 below, or which are provided on an experimental basis, for the purposes of section 56A of the Transport Act 1962; or
which are provided otherwise than as regular scheduled services;
A notice under subsection (1) above shall be accompanied by a statement of—
the operator’s reasons for the proposal;
the date on which it is proposed that the closure will take effect; and
any alternative facilities which appear to the operator to be available for the provision of services corresponding to those provided by means of the relevant facility or, as the case may be, the part of the relevant facility in question.
Where notice is given to the Franchising Director under subsection (1) above, he must consider, and form an opinion on, the question whether the proposed closure should or should not be permitted to take effect.
If the Franchising Director is of the opinion that the proposed closure should not be permitted to take effect, he shall be under a duty to secure the continued operation of the relevant facility or, as the case may be, the part of the relevant facility in question after the date on which the operator proposes that the closure should take effect.
If the Franchising Director is of the opinion that the proposed closure should be permitted to take effect, he shall publish in two successive weeks in a local newspaper circulating in the area affected and in two national newspapers, and in such other manner as appears to him to be appropriate, a notice containing— and shall be under a duty during the interim period to secure the operation of the relevant facility or, as the case may be, the part of the relevant facility to which the proposed closure relates.
particulars of the proposal to effect the closure,
the date on which it is proposed that the closure will take effect,
particulars of any alternative facilities which appear to him to be available for the provision of services corresponding to those provided by means of the relevant facility or, as the case may be, the part of the relevant facility in question,
the addresses of the premises at which a statement of the reasons for the proposed closure can be inspected, or from which a copy of that statement can be obtained, and any fees payable for copies of the statement,
a statement that objections to the proposed closure may be lodged with the Regulator within such period as may be specified for the purpose in the notice (being not less than six weeks from the date of the last publication of the notice in a local newspaper),
The reasons contained in the statement referred to in subsection (6)(d) above may consist of or include the reasons included in the statement under subsection (3) above, with or without other reasons of the Franchising Director's.
Without prejudice to the provisions of section 42 below in relation to the relevant facility or the part of the relevant facility in question—
if the final decision on the closure question is that the proposed closure will not be allowed to take effect, the Franchising Director shall be under a duty to secure the operation of the relevant facility or, as the case may be, the part of the relevant facility after the interim period; and
if the final decision on the closure question is that the proposed closure will be allowed to take effect subject to compliance with conditions, the Franchising Director shall be under a duty to comply with those conditions or to secure that they are complied with.
In this section—
The stations and light maintenance depots, and the parts of stations or light maintenance depots, which are to be regarded for the purposes of this section as operated on behalf of the Franchising Director are those whose operation he is for the time being under a duty to secure, in consequence of— and those whose operation he is for the time being securing in pursuance of his power under section 30 above.
subsection (5) or (8)(a) above,
section 42(5)(a) below, or
any closure condition imposed under section 43(9) or 44(2) below,
Any sums received by the Franchising Director under this section shall be paid into the Consolidated Fund.
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This section applies in any case where—
the whole or some part of a station or light maintenance depot (“the relevant facility”) is operated on behalf of the Franchising Director; and
the Franchising Director proposes to discontinue the operation of the relevant facility or of some part of the relevant facility (in this section referred to as a “closure”).
If in a case where this section applies— the Franchising Director may discontinue the operation of the relevant facility or, as the case may be, the part of the relevant facility in question, notwithstanding any duty imposed upon him by or under this Part to secure its operation, and subsections (4) and (5) below shall not apply in relation to the closure.
the closure is certified by the Regulator as being a minor closure,
the relevant facility or, as the case may be, the part of the relevant facility in question has at no time within the preceding five years been used in connection with the provision of any services for the carriage of passengers by railway, or
the relevant facility is, or is part of, one of those stations or light maintenance depots which are designated, or which are of a class or description designated, by order under section 49(5) below as stations or light maintenance depots in relation to which section 41 above is not to have effect,
In determining for the purposes of subsection (2)(b) above whether the relevant facility or, as the case may be, the part of the relevant facility in question has at any time within the period there mentioned been used in connection with the provision of services for the carriage of passengers by railway, there shall be left out of account any use in connection with the provision of services—
which involve travel through the Channel Tunnel;
which are experimental passenger services, within the meaning of section 48 below, or which are provided on an experimental basis, for the purposes of section 56A of the Transport Act 1962; or
which are provided otherwise than as regular scheduled services.
Subject to subsection (2) above, where this section applies, the Franchising Director shall publish in two successive weeks in a local newspaper circulating in the area affected and in two national newspapers, and in such other manner as appears to him to be appropriate, a notice containing— and shall be under a duty during the interim period to secure the operation of the relevant facility or, as the case may be, the part of the relevant facility to which the proposed closure relates.
particulars of the proposal to effect the closure,
the date on which it is proposed that the closure will take effect,
particulars of any alternative facilities which appear to him to be available for the provision of services corresponding to those provided by means of the relevant facility or, as the case may be, the part of the relevant facility in question,
the addresses of the premises at which a statement of the reasons for the proposed closure can be inspected, or from which a copy of that statement can be obtained, and any fees payable for copies of the statement,
a statement that objections to the proposed closure may be lodged with the Regulator within such period as may be specified for the purpose in the notice (being not less than six weeks from the date of the last publication of the notice in a local newspaper),
Subject to subsection (2) above and without prejudice to any subsequent application of this section in relation to the relevant facility or the part of the relevant facility in question—
if the final decision on the closure question is that the proposed closure will not be allowed to take effect, the Franchising Director shall be under a duty to secure the operation of the relevant facility or, as the case may be, the part of the relevant facility after the interim period; and
if the final decision on the closure question is that the proposed closure will be allowed to take effect subject to compliance with conditions, the Franchising Director shall be under a duty to comply with those conditions or to secure that they are complied with.
In this section—
The stations and light maintenance depots and the parts of stations and light maintenance depots that are to be regarded for the purposes of this section as operated on behalf of the Franchising Director are the same stations and light maintenance depots and parts of stations and light maintenance depots as are to be so regarded for the purposes of section 41 above.
Any sums received by the Franchising Director under this section shall be paid into the Consolidated Fund.
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Where the Franchising Director is required by any provision of sections 37 to 42 above to publish any notice, he shall also send the following documents, that is to say— to the Regulator and to every consultative committee whose area consists of or includes the whole or any part of the area affected by the proposed closure.
a copy of the notice,
a copy of the statement of reasons to which the notice refers, and
a statement of his recommendations with respect to the conditions (if any) to be attached to any consent to the closure,
The Regulator shall send to every consultative committee whose area consists of or includes the whole or any part of the area affected a copy of every objection to the proposed closure which is lodged with him in accordance with the terms of the statement published pursuant to paragraph (e) of whichever of sections 37(6), 38(5), 39(7), 40(5), 41(6) or 42(4) above is applicable in the case of that proposed closure.
On receipt of the copy of the notice referred to in subsection (1)(a) above, a consultative committee shall— and, for the purposes of paragraph (b) above, a consultative committee shall not conclude that any particular means of alleviating hardship is reasonable unless, balancing the cost to the Franchising Director (or any other public authority) of employing those means against the benefit of any alleviation thereby secured, the committee is of the opinion, on the basis of the information available to it, that the expenditure involved represents good value for money.
consider whether or not the proposed closure will cause any hardship;
identify any reasonable means of alleviating any such hardship; and
prepare, and send to the Regulator, a report of the conclusions which it has reached in the discharge of its functions under paragraphs (a) and (b) above;
Any consultative committee which has prepared a report under subsection (3)(c) above shall send a copy of the report to the Central Committee and may publish the report in any manner which it considers appropriate.
For the purpose of facilitating the discharge of its functions under subsection (3) above, a consultative committee may, after consultation with the Regulator, hold public hearings.
In deciding whether to hold a public hearing for the purposes of this section, and in conducting any such hearing, a consultative committee shall take into account such matters as may be notified to it by the Regulator.
The report required by subsection (3)(c) above shall be sent to the Regulator before the expiration of the period of 12 weeks, or such longer period as the Regulator may allow in any particular case, immediately following the end of the period within which objections to the proposed closure may be lodged with the Regulator.
The Regulator shall only allow a longer period for the purposes of subsection (7) above if, on an application made to him by the consultative committee in question, he considers it appropriate to do so in the circumstances of the particular case.
It shall be for the Regulator to decide whether the proposed closure should, or should not, be allowed to take effect; and a decision may be given allowing the proposed closure to take effect subject to compliance with such conditions (if any) as the Regulator may see fit to impose.
Before deciding whether or not to allow the proposed closure to take effect, or whether to impose any and, if so, what conditions, the Regulator shall consider—
the reasons for the proposed closure set out in the copy of the statement sent to him pursuant to subsection (1)(b) above;
any objections to the proposed closure which have been lodged with him; and
every report relating to the proposed closure which is sent to him by a consultative committee pursuant to subsection (3)(c) above.
The Regulator shall make his decision with respect to the proposed closure before the expiration of the period of 26 weeks, or such longer period as the Secretary of State may at the request of the Regulator allow in any particular case, immediately following the day on which he receives the documents sent to him pursuant to subsection (1) above.
When the Regulator has made a decision with respect to the proposed closure, he shall send a copy of the decision to— and shall publish notice of the decision at every station within the area affected.
the Secretary of State,
the Franchising Director,
every such consultative committee as is mentioned in subsection (1) above, and
either—
in a case falling within section 37 above, the service operator, within the meaning of that section, or
in a case falling within section 39 or 41 above, the operator of the network, station or light maintenance depot in question who gave the notice required by subsection (1) of the section in question,
In this section, “the area affected”, in relation to a proposed closure, shall be construed in accordance with the section under or by virtue of which the Franchising Director is required to publish the notice referred to in subsection (1) above.
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Any person aggrieved by a decision of the Regulator in relation to a proposed closure may refer that decision to the Secretary of State by notice in writing given to the Secretary of State not later than 4 weeks after the date of the decision.
On a reference under this section, the Secretary of State may—
confirm the decision given by the Regulator;
in the case of a decision of the Regulator to allow a proposed closure to take effect subject to compliance with conditions, confirm the decision to allow the proposed closure to take effect but modify the conditions; or
substitute his decision for that of the Regulator.
Any person who refers a decision to the Secretary of State under this section shall provide, with his notice under subsection (1) above, a statement of the reasons why he is aggrieved by the decision of the Regulator.
On disposing of any reference under this section, the Secretary of State shall give notice of his decision to— and shall publish notice of his decision on the reference at every station at which the Regulator was required by section 43(12) above to publish notice of his decision.
the Regulator,
the Franchising Director,
every consultative committee to which notice of the Regulator’s decision was required to be given by paragraph (c) of subsection (12) of section 43 above,
any person to whom notice of the Regulator’s decision was required to be given by paragraph (d) of that subsection, and
if not falling within paragraphs (a) to (d) above, the person who referred the Regulator’s decision to the Secretary of State under subsection (1) above,
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In this Part, “closure conditions” means the conditions subject to compliance with which consent to a closure is given.
Closure conditions—
may impose requirements on the Franchising Director with respect to the times at which, or stages by which, a closure is to take effect;
may require the Franchising Director to secure the provision of a bus substitution service, within the meaning of sections 119 to 124 of the Transport Act 1985.
The provisions of this section are without prejudice to the generality of the closure conditions that may be imposed in any case.
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The Regulator may from time to time vary or revoke any conditions for the time being required to be complied with in connection with a closure, other than— whether or not those conditions have been imposed, modified or confirmed by the Secretary of State under section 44 above and whether the closure took place before or after the coming into force of this section.
a condition imposed by the Secretary of State under Schedule 5 to this Act, or
a condition requiring the Franchising Director to secure the provision of a bus substitution service (within the meaning of sections 119 to 124 of the Transport Act 1985),
Where, in exercise of his power under subsection (1) above, the Regulator decides to vary or revoke any closure condition, he shall send a copy of his decision to— and shall publish notice of the decision at every station within the area affected by the closure to which the condition relates.
the Secretary of State,
the Franchising Director,
every consultative committee whose area consists of or includes the whole or any part of the area affected by the closure to which the condition relates, and
either—
if the closure in question is one falling within section 37 above, the service operator, within the meaning of that section, or
if the closure in question is one falling within section 39 or 41 above, the operator of the network, station or light maintenance depot in question who gave the notice required by subsection (1) of the section in question,
Any person aggrieved by a decision of the Regulator under subsection (1) above may refer that decision to the Secretary of State in accordance with section 44 above; and that section shall apply in relation to the reference of any such decision to vary or revoke a condition as it applies in relation to the reference of a decision in connection with a proposed closure, but taking any reference to proposed closure as a reference to variation or revocation of a condition.
In this section—
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There are hereby transferred to the Franchising Director (so as to be exercisable concurrently with the Board) the functions of the Board under— so far as relating to services which have been temporarily interrupted or discontinued.
section 4A of the Transport Act 1962 (provision of road passenger transport services), and
sections 119 to 124 of the Transport Act 1985 (bus substitution services etc),
In their application to the Franchising Director by virtue of subsection (1) above, the sections there mentioned shall have effect—
as if any reference to the Board were a reference to the Franchising Director;
as if any reference to the imposition of a condition by the Secretary of State were a reference to the imposition of a closure condition under this Part by the Secretary of State or the Regulator;
in the case of sections 119 to 122 of the Transport Act 1985, with the modifications set out in subsection (3) below; and
in the case of section 123 of that Act, with the modifications set out in subsection (4) below.
The modifications of sections 119 to 122 are that—
any reference to the Secretary of State (other than a reference to the imposition of a condition by him) shall be taken as a reference to the Regulator;
any reference to section 54(5) of the Transport Act 1968 shall be taken as a reference to section 43(9) or 44(2) above;
in subsection (1)(a) of section 119, the words “by the Board” shall be treated as omitted; and
subsections (4) and (5) of section 122 shall be disregarded.
In sections 23 to 31 above, any reference to services for the carriage of passengers by railway includes a reference to bus substitution services required to be provided in place of any such services.
Where the Board is subject to a condition requiring the securing of the provision of a bus substitution service, the duty to comply with that condition shall, without prejudice to the generality of section 85 below, be regarded as a liability that may be transferred by a scheme under that section; and where there is such a transfer, any reference to the Board in sections 119 to 124 of the Transport Act 1985 shall accordingly be taken to include a reference to the transferee.
In this section “bus substitution service” has the same meaning as it has in sections 120 to 124 of the Transport Act 1985.
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Sections 37, 38, 43 and 44 above shall not apply in relation to any proposal to discontinue an experimental passenger service on any line or from any station.
In any case where— the Franchising Director shall give due notice if he proposes not to secure its continued provision.
an experimental passenger service on any line or from any station is provided in satisfaction of requirements imposed by a franchise agreement,
the requirement so to provide that service comes to an end, and
the operator intends to discontinue that service,
In any case where— he shall give due notice of that proposal and shall not discontinue that service before the expiry of the notice period.
an experimental passenger service on any line or from any station is provided otherwise than as mentioned in subsection (2)(a) above, and
the operator proposes to discontinue that service,
For the purposes of subsection (2) above, the Franchising Director shall be taken to have given due notice of a proposal if, and only if, after consultation with every consultative committee whose area consists of or includes the whole or any part of the area affected, he has, not less than six weeks before giving effect to the proposal,—
published a notice giving details of the proposal in two successive weeks in a local newspaper circulating in the area affected and in two national newspapers and in such other manner as may appear to him appropriate; and
sent a copy of that notice to every such consultative committee.
For the purposes of subsection (3) above, the operator shall be taken to have given due notice of a proposal if, and only if, not less than six weeks before giving effect to the proposal, he has published in two successive weeks in a local newspaper circulating in the area affected and in two national newspapers, and in such other manner as may appear to him appropriate, a notice giving details of the proposal.
In this Part “experimental passenger service”, in relation to any line or station, means a railway passenger service on that line or from that station which is designated by the Franchising Director as experimental and which either—
was so designated before its introduction; or
before being designated under this section as experimental, was at some time provided on an experimental basis, within the meaning of section 56A of the Transport Act 1962.
Where the Franchising Director decides to designate a service as experimental, he shall—
if the service is to be provided otherwise than in satisfaction of requirements imposed by a franchise agreement, give notice of the designation to the person who is to be the operator of the service;
send a copy of that notice to the Regulator and to every consultative committee whose area consists of or includes the whole or any part of the area affected; and
publish notice of the designation in two successive weeks in a local newspaper circulating in the area affected and in two national newspapers.
No service may be designated as experimental for a period exceeding 5 years.
Where a service is designated as experimental for a period of less than 5 years, the designation may subsequently be extended, but the aggregate of the periods for which a service is designated as experimental shall not exceed 5 years.
In determining for the purposes of subsection (8) or (9) above the period or periods for which a service is designated as experimental—
there shall be left out of account so much of any period when the service was designated as experimental as falls before the day on which the service was introduced; but
if the service is one which has been provided on an experimental basis, within the meaning of section 56A of the Transport Act 1962, every period during which it was so provided, or during which the provisions of that section had effect in relation to it by virtue of subsection (11)(b) below, shall be counted as a period during which the service was designated as experimental.
Where, immediately before the coming into force of section 49(1) below so far as relating to section 56A of the Transport Act 1962 (proposals to discontinue services provided on an experimental basis), a railway passenger service is being provided on an experimental basis within the meaning of the said section 56A—
none of the following provisions, that is to say, sections 37 and 38 above, section 49(2) and (3) below and Schedule 5 to this Act, shall have effect in relation to that service until such time as a franchise agreement is entered into in respect of that service or in respect of some or all of the other railway passenger services provided in the area in which, or on the line on which, that service is provided; and
the provisions of the said section 56A shall continue to have effect with respect to that service— whichever first occurs.
until the time mentioned in paragraph (a) above, or
until the service becomes an experimental passenger service under this section,
In this section—
In this Part, “notice period”, in relation to the duty of an operator to give due notice of a proposed discontinuance of an experimental passenger service, means the period of six weeks immediately following the fulfilment by the operator of that duty.
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The former closure provisions, that is to say— shall, subject to the provisions of this Act, cease to have effect.
section 56(7) to (10) and (13) of the Transport Act 1962,
section 56A of that Act,
section 54 of the Transport Act 1968, and
any other enactment (including an enactment comprised in local legislation) to the extent that it applies the enactments specified in paragraphs (a) to (c) above, with or without modification,
Section 37 above shall not have effect in relation to any railway passenger services, or any railway passenger services of a class or description, which the Secretary of State may by order designate as services in relation to which that section is not to have effect.
Schedule 5 to this Act (which makes similar provision to that made by section 56(7) to (10) and (13) of the Transport Act 1962) shall have effect in relation to such of the railway passenger services, or railway passenger services of a class or description, in relation to which section 37 above does not have effect as the Secretary of State may by order designate as railway passenger services in relation to which that Schedule is to have effect.
Section 39 above shall not have effect with respect to any networks, or any networks of a class or description, which the Secretary of State may by order designate as networks in relation to which that section is not to have effect.
Section 41 above shall not have effect in relation to any stations or light maintenance depots, or stations or light maintenance depots of a class or description, which the Secretary of State may by order designate as stations, or (as the case may be) light maintenance depots, in relation to which that section is not to have effect.
Where any enactment or instrument passed or made before the relevant date contains provision to the effect that section 56 of the Transport Act 1962 is not to apply in respect of the discontinuance of specified railway passenger services or railway passenger services of a specified class or description, that provision shall (notwithstanding anything in subsection (1) above) have effect in relation to any such discontinuance after the relevant date as if references in that provision to that section were references— and in this subsection “the relevant date” means the date on which the provisions mentioned in paragraphs (a) and (b) above come into force.
to section 37 above; and
to Schedule 5 to this Act;
Any reference in this section to railway passenger services, networks, stations or light maintenance depots includes a reference to part of a railway passenger service, network, station or light maintenance depot, as the case may be.
For the purposes of this section, “railway” has its wider meaning.
The obligations of the Secretary of State and of the Welsh Ministers and of the Scottish Ministers, so far as imposed by or under any provision of this Part— shall not give rise to any form of duty or liability enforceable by civil proceedings for breach of statutory duty.
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to secure the provision of any services, or
to secure the operation of any additional railway asset,
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any service operator (within the meaning of section 37 above), imposed by or under section 37(1) above, not to discontinue any railway passenger services,
any operator (within the meaning of section 48 above), imposed by or under section 48(3) above, not to discontinue any experimental passenger services, or
any operator of an additional railway asset, imposed by or under section 39(1) or 41(1) above, not to discontinue the operation of any additional railway asset,
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Where the Franchising Director is under a duty to secure the provision of any services or the operation of any additional railway assets, or is empowered by section 30 above to secure the operation of any additional railway assets, he may perform that duty or exercise that power by entering into agreements or arrangements under which other persons (in this section referred to as “sub-contractors”) are to provide the services or, as the case may be, operate the additional railway assets in question.
The Franchising Director may enter into an agreement or arrangement such as is mentioned in subsection (1) above notwithstanding that the sub-contractor in question is a company which is wholly owned by the Franchising Director.
Any agreement or arrangement such as is mentioned in subsection (1) above may include such provisions, including provision with respect to the fares or other charges that may be imposed by the sub-contractor in question, as the Franchising Director may think fit.
Any sums required by the Franchising Director for the purpose of performing any such duty, or exercising any such power, as is mentioned in subsection (1) above shall be paid by the Secretary of State out of money provided by Parliament.
Any sums received by the Franchising Director in consequence of the performance of any such duty, or the exercise of any such power, as is mentioned in subsection (1) above shall be paid into the Consolidated Fund.
The Franchising Director may enter into agreements with the Board or any wholly owned subsidiary of the Board for the provision by the Board or subsidiary of any railway passenger services which are not provided under a franchise agreement.
Any sums required by the Franchising Director for the making of payments under any agreement entered into by virtue of this section shall be paid by the Secretary of State out of money provided by Parliament.
Any sums received by the Franchising Director under any such agreement shall be paid into the Consolidated Fund.
The Franchising Director may form companies for the purpose of facilitating the performance of any functions assigned or transferred to him under or by virtue of this Act.
The Franchising Director may—
hold interests in any company which he forms as mentioned in subsection (1) above;
exercise rights conferred by the holding of interests in any such company; and
provide financial or other assistance to or in respect of any such company, including assistance by way of guarantee of its obligations.
The Franchising Director may (whether by exercising his powers to make a transfer scheme or otherwise and whether or not for any consideration) acquire or dispose of any property, rights or liabilities which have been, or which are intended to be,—
designated as franchise assets by or under any franchise agreement,
used for the purpose of providing franchised services,
used for the purpose of operating any additional railway asset under a franchise agreement, or
used for the purpose of providing any services, or operating any additional railway asset, in pursuance of a duty or power to secure the provision of such services or the operation of such an additional railway asset.
Any sums required by the Franchising Director for making payments in consequence of the exercise of any such powers as are mentioned in this section shall be paid by the Secretary of State out of money provided by Parliament.
Any sums received by the Franchising Director in consequence of the exercise of any such powers as are mentioned in this section shall be paid into the Consolidated Fund.
The Secretary of State , the Welsh Ministers or the Scottish Ministers—
in exercising or deciding whether or not to exercise any of his or their franchising functions, may take into account the desirability of encouraging railway investment; and
may exercise any such functions for the purpose of encouraging railway investment or for purposes which include that purpose.
The Secretary of State , the Welsh Ministers and the Scottish Ministers shall each have power to enter into agreements under which an undertaking is given by him or them—
to exercise his or their franchising functions;
to refrain from exercising them; or
to exercise them in a particular manner.
In this section—
Subject to subsections (2) to (5C) and section 56 below, where the appropriate authority is satisfied that a relevant operator is contravening, or is likely to contravene, any relevant condition or requirement, it shall by a final order make such provision as is requisite for the purpose of securing compliance with that condition or requirement.
Subject to subsections (5) to(5C) below, where it appears to the appropriate authority— it shall (instead of taking steps towards the making of a final order) by a provisional order make such provision as appears to it requisite for the purpose of securing compliance with that condition or requirement.
that a relevant operator is contravening, or is likely to contravene, any relevant condition or requirement, and
that it is requisite that a provisional order be made,
In determining for the purposes of subsection (2)(b) above whether it is requisite that a provisional order be made, the appropriate 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.
Subject to subsections (5) to(5C) and section 56 below, the appropriate authority shall confirm a provisional order, with or without modifications, if—
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
the provision made by the order (with any modifications) is requisite for the purpose of securing compliance with that condition or requirement.
The appropriate authority shall not make a final order, or make or confirm a provisional order, in relation to a relevant operator if it is satisfied—
that the duties imposed on it by section 4 above . . . preclude the making or, as the case may be, the confirmation of the order;
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Where the appropriate authority must comply with this subsection, it must—
serve notice of its decision on the relevant operator; and
publish the notice in such manner as 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.
Neither the Secretary of State nor the Scottish Ministers nor the Welsh 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—
the Secretary of State, the Scottish Ministers or the Welsh Ministers (as the case may be) has or have given notice to the Office of Rail and Road specifying a period within which it may give notice to him or them if it considers that the most appropriate way of proceeding is under the Competition Act 1998;
that period has expired; and
the Office of Rail and Road has not given notice to the Secretary of State, the Scottish Ministers or the Welsh Ministers (as the case may be) within that period that it so considers (or, if it has, it has withdrawn it).
A final or provisional order—
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;
shall take effect at such time, being the earliest practicable time, as is determined by or under the order; and
may be revoked at any time by the appropriate authority.
Before making a final order or making or confirming a provisional order, the Office of Rail and Road shall consider whether it would be more appropriate to proceed under the Competition Act 1998.
Without prejudice to the generality of the power conferred by subsection (1) above, the provision that may be made in a final order includes, in particular, the imposition by the appropriate officer on the relevant operator to whom the order relates of a requirement to pay to the appropriate officer a monetary penalty of such amount as may be appropriate, in all the circumstances of the case, in respect of the contravention in question.
The Office of Rail and Road shall not make a final order or make or confirm a provisional order if it considers that it would be more appropriate to proceed under the Competition Act 1998.
Without prejudice to section 44 of the Railways Act 2005 (exclusion of liability for breach of statutory duty) , nothing in this section or in sections 56 to 58 below shall exclude the availability of any remedy in respect of any contravention or apprehended contravention of a relevant condition or requirement.
If the appropriate authority is satisfied— it shall only make a final order, or make or confirm a provisional order, if it considers it appropriate to do so.
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
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,
In this Part—
Neither the Secretary of State nor the Scottish Ministers nor the Welsh 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—
that the contravention or apprehended contravention is trivial; and
that it would be inappropriate, for that reason, to make or to confirm the order.
In subsections (5ZA) and (10) above, “person under closure restrictions” means a person who is under—
a duty under section 22(8), 26(8), 29(8) or 37(2) of the Railways Act 2005 not to discontinue a railway passenger service or an experimental passenger service or not to discontinue the operation or use of a network or station, or part of a network or station;
a duty to comply with any requirement imposed under section 33(2)(i) of that Act (closure requirements imposed on operators); or
a duty to comply with conditions to which he has agreed under section 34(5) of that Act (conditions of minor modification determination).
The appropriate authority must comply with subsection (6)—
in a case where the appropriate authority is the Secretary of State or the Scottish Ministers or the Welsh 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
in the case of the Office of Rail and Road, 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), (5AA) or (5B) above.
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The provision that may be made in a final or provisional order includes, in particular, provision requiring the relevant operator to pay in the event of a 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.
in the case of an order made by the Scottish Ministers, to them, ...
in the case of an order made by the Welsh Ministers, to them, and
in any other case, to the Secretary of State,
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.
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 Judgments Act 1838.
In the definition of “the appropriate authority” in subsection (10) above the reference to a relevant condition or requirement in the case of a person under Scottish closure restrictions is a reference to a relevant condition or requirement which— ...
falls within paragraph (c) of the definition in that subsection;
is imposed or arises in the case of a closure; and
is so imposed or so arises in a Scottish case;
In this section, “a Scottish case”, in relation to a closure, means—
a case in which the Scottish Ministers are the national authority for the purposes of provisions of Part 4 of the Railways Act 2005 relating to the proposal for the closure;
a case in which it is the Scottish Ministers who make a determination under section 34 of that Act (minor modifications) in relation to the closure; or
a case in which the closure is a closure notice of which is given under section 37 of that Act (experimental passenger services) and the proposal relates to a Scotland-only service.
In subsection (10) “a Welsh case”, in relation to a closure, means—
a case in which the Welsh Ministers are the national authority for the purposes of provisions of Part 4 of the Railways Act 2005 relating to the proposal for the closure;
a case in which it is the Welsh Ministers who make a determination under section 34 of that Act (minor modifications) in relation to the closure; or
a case in which the closure is a closure of which notice is given under section 37 of that Act (experimental passenger services) and the proposal relates to a Wales-only service.
Before it makes a final order or confirms a provisional order, the appropriate authority shall give notice— and shall consider any representations or objections which are duly made and not withdrawn.
stating that it proposes to make or confirm the order and setting out its effect,
setting out—
the relevant condition or requirement for the purpose of securing compliance with which the order is to be made or confirmed,
the acts or omissions which, in its opinion, constitute or would constitute contraventions of that condition or requirement, and
the other facts which, in its opinion, justify the making or confirmation of the order, and
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 order or proposed confirmation may be made,
A notice under subsection (1) above shall be given—
by publishing the notice in such manner as the appropriate authority 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; and
by serving a copy of the notice, and a copy of the proposed order or of the order proposed to be confirmed, on the relevant operator to whom the order relates.
The appropriate authority shall not make a final order with modifications, or confirm a provisional order with modifications, except—
with the consent to the modifications of the relevant operator to whom the order relates; or
after complying with the requirements of subsection (4) below.
Where the Office of Rail and Road serves a copy of a notice under subsection (1) above on a licence holder, he shall also serve a copy on the Secretary of State and on the Scottish Ministers and the Welsh Ministers.
The requirements mentioned in subsection (3) above are that the appropriate authority shall—
serve on the relevant operator to whom the order relates such notice as appears to him requisite of its proposal to make or confirm the order with modifications;
unless the proposed modifications are trivial, in that notice specify a period (not being less than seven from the date of service of the notice) within which representations or objections with respect to the proposed modifications may be made; and
consider any representations or objections which are duly made and not withdrawn.
As soon as practicable after making a final order or making or confirming a provisional order, the appropriate authority shall—
serve a copy of the order on the relevant operator to whom the order relates; and
publish the order in such manner as it considers appropriate for the purpose of bringing it to the attention of persons likely to be affected by it.
Before revoking a final order or a provisional order which has been confirmed, the appropriate authority shall give notice— and shall consider any representations or objections which are duly made and not withdrawn.
stating that it proposes to revoke the order and setting out the effect of its revocation, and
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 revocation may be made,
If, after giving notice under subsection (6) above, the appropriate authority decides not to revoke the order to which the notice relates, it shall give notice of its decision.
A notice under subsection (6) or (7) above shall be given—
by publishing the notice in such manner as the appropriate authority 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; and
by serving a copy of the notice on the relevant operator to whom the order relates.
If the relevant operator to whom a final or provisional order relates is aggrieved by the order and desires to question its validity on the ground— he may, within 42 days from the date of service on him of a copy of the order, make an application to the court under this section.
that its making or confirmation was not within the powers of section 55 above, or
that any of the requirements of section 56 above have not been complied with in relation to it,
On any such application the court, if satisfied that the making or confirmation of the order was not within those powers or that the interests of the relevant operator have been substantially prejudiced by a failure to comply with those requirements—
may quash the order or any provision of the order; . . .
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Except as provided by this section, the validity of a final or provisional order shall not be questioned by any legal proceedings whatever.
If such an application is made in relation to a provision of an order requiring the payment of a sum in the event of a contravention and the sum would be payable before the time when the application is determined, it need not be paid until that time.
The obligation to comply with a final or provisional order shall be a duty owed to any person who may be affected by a contravention of the order.
Where such an application is so made the court, if satisfied as mentioned in subsection (2) above, may (instead of quashing the order or the provision of the order) make provision under either or both of paragraphs (a) and (b) of subsection (2C) below.
Where a duty is owed by virtue of subsection (4) above to any person, any breach of the duty which causes that person to sustain loss or damage shall be actionable at the suit or instance of that person.
The provision referred to in subsection (2B) above is—
provision substituting for the sum, or provision for determining a sum, specified in the order such lesser sum, or such other provision for determining a sum, as the court considers appropriate in all the circumstances of the case; and
provision substituting for the date by which the sum is to be paid specified in or determined in accordance with the order such later date as the court considers appropriate in all the circumstances of the case.
In any proceedings brought against a relevant operator in pursuance of subsection (5) above, it shall be a defence for him to prove that he took all reasonable steps and exercised all due diligence to avoid contravening the order.
Where the court substitutes a lesser sum, or different provision for determining a sum, it may require the payment of interest on the new sum at such rate, and from such date, as it determines; and where it specifies as the date by which the sum is to be paid a date before the determination of the application it may require the payment of interest on the sum from that date at such rate as it determines.
Without prejudice to any right which any person may have by virtue of subsection (5) above to bring civil proceedings in respect of any contravention or apprehended contravention of a final or provisional order, compliance with any such order shall be enforceable by civil proceedings by the appropriate authority for an injunction or for interdict or for any other appropriate relief or remedy.
Where a relevant operator to whom a final or provisional order relates has made an application pursuant to subsection (1) above questioning the validity of that order, the making of that application shall not affect—
his obligation to comply with the order, or
the right which any person may have to bring civil proceedings against him in pursuance of subsection (5) or (7) above.
In this section and sections 57F and 58 below “the court” means the High Court in relation to England and Wales and the Court of Session in relation to Scotland.
Where it appears to the appropriate authority that a relevant operator may have contravened or be contravening— the appropriate authority may, for any purpose connected with such of its functions under section 55 or 57A above as are exercisable in relation to that matter, serve a notice under subsection (2) below on any person.
a relevant condition or requirement, or
a final or provisional order made by the appropriate authority,
A notice under this subsection is a notice signed by the appropriate authority and—
requiring the person on whom it is served to produce, at a time and place specified in the notice, to the appropriate authority or to any person appointed by the appropriate authority for the purpose, any documents which are specified or described in the notice and are in that person’s custody or under his control; or
requiring that person, if he is carrying on a business, to furnish, at a time and place and in the form and manner specified in the notice, to the appropriate authority such information as may be specified or described in the notice.
No person shall be required under this section to produce any documents which he could not be compelled to produce in civil proceedings in the court or, in complying with any requirement for the furnishing of information, to give any information which he could not be compelled to give in evidence in any such proceedings.
A person who without reasonable excuse fails to do anything required of him by notice under subsection (2) above is guilty of an offence and shall be liable on summary conviction to a fine not exceeding level 5 on the standard scale.
A person who intentionally alters, suppresses or destroys any document which he has been required by any notice under subsection (2) above to produce is guilty of an offence and shall be liable—
on summary conviction, to a fine not exceeding the statutory maximum;
on conviction on indictment, to a fine.
If a person makes default in complying with a notice under subsection (2) above, the court may, on the application of the appropriate authority, make such order as the court thinks fit for requiring the default to be made good; and any such order may provide that all the costs or expenses of and incidental to the application shall be borne by the person in default or by any officers of a company or other association who are responsible for its default.
Any reference in this section to the production of a document includes a reference to the production of a legible and intelligible copy of information recorded otherwise than in legible form; and the reference to suppressing a document includes a reference to destroying the means of reproducing information recorded otherwise than in legible form.
If the appropriate authority is satisfied that a relevant operator has contravened or is contravening— the appropriate authority may impose on the relevant operator a penalty of such amount as is reasonable.
a relevant condition or requirement, or
a final or provisional order made by the appropriate authority,
A penalty is payable
in the case of a penalty imposed by the Scottish Ministers, to them; ...
in the case of a penalty imposed by the Welsh Ministers, to them; and
in any other case, to the Secretary of State.
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.
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.
Neither the Secretary of State nor the Scottish Ministers nor the Welsh Ministers shall impose a penalty on a licence holder or person under closure restrictions unless—
the Secretary of State, the Scottish Ministers or the Welsh Ministers (as the case may be) has or have given notice to the Office of Rail and Road specifying a period within which it may give notice to him or them if it considers that the most appropriate way of proceeding is under the Competition Act 1998;
that period has expired; and
the Office of Rail and Road has not given notice to the Secretary of State, the Scottish Ministers or the Welsh Ministers (as the case may be) within that period that it so considers (or, if it has, it has withdrawn it).
Before imposing a penalty under this section, the Office of Rail and Road shall consider whether it would be more appropriate to proceed under the Competition Act 1998.
The Office of Rail and Road shall not impose a penalty under this section if it considers that it would be more appropriate to proceed under the Competition Act 1998.
The Secretary of State, the Scottish Ministers, the Welsh Ministers and the Office of Rail and Road shall each prepare and publish a statement of policy with respect to the imposition of penalties and the determination of their amount.
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—
the desirability of securing compliance with that relevant condition or requirement or order;
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
the desirability of deterring contraventions of relevant conditions and requirements and final and provisional orders.
In deciding whether to impose a penalty, and in determining the amount of any penalty, in respect of a contravention the Secretary of State, the Scottish Ministers, the Welsh Ministers and Regulator shall have regard to any statement of his, their or its . . . policy published at the time when the contravention occurred.
The Secretary of State, the Scottish Ministers, the Welsh Ministers and the Office of Rail and Road —
may at any time alter or replace a statement of his, their or. . . its policy; and
shall publish the altered or replacement statement.
The Secretary of State, the Scottish Ministers, the Welsh Ministers and the Office of Rail and Road shall undertake appropriate consultation when preparing, altering or replacing a statement of policy.
The Secretary of State, the Scottish Ministers, the Welsh Ministers and the Office of Rail and Road 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.
This section applies in relation to sums required to be paid by virtue of section 55(7A) above as to penalties, but as if—
references to the imposition of penalties were to the inclusion in an order of a requirement to pay a sum;
references to relevant conditions or requirements were omitted; and
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.
Before it imposes a penalty on a relevant operator, the appropriate authority shall give notice— and shall consider any representations or objections which are duly made and not withdrawn.
stating that it proposes to impose a penalty on the relevant operator and the amount of the penalty proposed,
setting out the relevant condition or requirement or order in question,
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,
specifying the manner in which, and place at which, it is proposed to require the penalty to be paid, and
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,
A notice under subsection (1) above shall be given—
by publishing the notice in such manner as the appropriate authority considers appropriate; and
by serving a copy of the notice on the relevant operator.
Where the Office of Rail and Road serves a copy of a notice under subsection (1) above on a licence holder, he shall also serve a copy on the Secretary of State and on the Scottish Ministers and the Welsh Ministers.
The appropriate authority shall not modify a proposal to impose a penalty except—
with the consent of the relevant operator;
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
after complying with the requirements of subsection (5) below.
The requirements mentioned in subsection (4)(c) above are that the appropriate authority shall—
give to the relevant operator such notice as appears to it requisite of its modified proposal;
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
consider any representations or objections which are duly made and not withdrawn.
As soon as practicable after imposing a penalty, the appropriate authority shall give notice—
stating that it has imposed a penalty on the relevant operator and its amount;
setting out the relevant condition or requirement or order in question;
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 the penalty and its amount;
specifying the manner in which, and place at which, the penalty is to be paid; and
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.
A notice under subsection (6) above shall be given—
by publishing the notice in such manner as the appropriate authority considers appropriate; and
by serving a copy of the notice on the relevant operator.
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.
No penalty may be imposed in respect of a contravention by a relevant operator— 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.
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
by virtue of paragraph (b) of that subsection,
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—
within three months of the confirmation of the provisional order or the making of the final order; or
where the provisional order is not confirmed, within six months of the making of the provisional order.
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 Judgments Act 1838.
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.
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.
If the relevant operator to whom a penalty notice relates is aggrieved by a penalty and desires to question its validity on the ground— he may make an application to the court under this section.
that it was not within the powers of section 57A above,
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
that it was unreasonable of the appropriate authority not to grant an application under section 57C(8) above;
An application under this section by a person shall be made—
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
in any other case, within 42 days from the date of service on him of the notice under section 57C(6) above.
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.
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.
The provision referred to in subsection (4) above is—
provision substituting a penalty of such lesser amount as the court considers appropriate in all the circumstances of the case; and
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.
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.
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.
Except as provided by this section, the validity of a penalty shall not be questioned by any legal proceedings whatever.
A “railway administration order” is an order of the court made in accordance with section 60, 61 or 62 below in relation to a protected railway company and directing that, during the period for which the order is in force, the affairs, business and property of the company shall be managed, by a person appointed by the court,—
for the achievement of the purposes of such an order; and
in a manner which protects the respective interests of the members and creditors of the company.
The purposes of a railway administration order made in relation to any company shall be—
the transfer to another company, or (as respects different parts of its undertaking) to two or more different companies, as a going concern, of so much of the company’s undertaking as it is necessary to transfer in order to ensure that the relevant activities may be properly carried on; and
the carrying on of those relevant activities pending the making of the transfer.
Schedule 6 to this Act shall have effect for applying provisions of the Insolvency Act 1986 where a railway administration order is made.
Schedule 7 to this Act shall have effect for enabling provision to be made with respect to cases in which, in pursuance of a railway administration order, another company is to carry on all or any of the relevant activities of a protected railway company in place of that company.
Without prejudice to paragraph 20 of Schedule 6 to this Act, the power conferred by section 411 of the Insolvency Act 1986 to make rules shall apply for the purpose of giving effect to the railway administration order provisions of this Act as it applies for the purpose of giving effect to Parts I to VII of that Act, but taking any reference in that section to those Parts as a reference to those provisions.
For the purposes of this Part—
“protected railway company” means a company which is both a private sector operator and the holder of—
a passenger licence or a railway undertaking licence which authorises the carriage of passengers by railway (or both); or
a network licence, a station licence or a light maintenance depot licence; . . .
“appropriate national authority”—
in relation to a Scottish protected railway company or a company subject to a railway administration order that was such a company when the order was made, means the Scottish Ministers; ...
in relation to a Welsh protected railway company or a company subject to a railway administration order that was such a company when the order was made, means the Welsh Ministers; and
in relation to any other protected railway company or company subject to a railway administration order, means the Secretary of State;
the “relevant activities”, in relation to a protected railway company, are—
in the case of a company which is the holder of a or a European licence which authorises the carriage of passengers by railway (or both) passenger licence, the carriage of passengers by railway; or
in the case of a company which is the holder of a network licence, a station licence or a light maintenance depot licence, the management of a network, a station or a light maintenance depot, according to the description of licence in question.
“Scottish protected railway company” means a protected railway company that is such a company only in respect of activities carried on by it as franchise operator in relation to a Scottish franchise agreement.
“Welsh protected railway company” means a protected railway company that is such a company only in respect of activities carried on by it as franchise operator in relation to a Welsh franchise agreement the franchised services under which consist of Wales-only services.
In this section—
If, on an application relating to a protected railway company the court is satisfied that either or both of the grounds specified in subsection (2) below is satisfied in relation to that protected railway company, the court may make a railway administration order in relation to that company.
by the Secretary of State, or
if the petition relates to a protected railway company which is the holder of a passenger licence, by the Franchising Director with the consent of the Secretary of State,
The grounds mentioned in subsection (1) above are, in relation to any company,—
that the company is or is likely to be unable to pay its debts;
that, in a case in which the Secretary of State has certified that it would be appropriate for him to petition for the winding up of the company under section 124A of the 1986 Act (petition by the Secretary of State following inspectors’ report etc), it would be just and equitable, as mentioned in that section, for the company to be wound up.
Notice of any petition under this section for a railway administration order shall be given forthwith to such persons and in such manner as may be prescribed by rules made under section 411 of the 1986 Act; and no such petition shall be withdrawn except with the leave of the court.
Subsections (4) and (5) of section 9 of the 1986 Act (powers on application for administration order) shall apply on the hearing of the petition for a railway administration order in relation to any company as they apply on the hearing of a petition for an administration order.
Subsections (1), (2), (4) and (5) of section 10 of the 1986 Act (effect of petition) shall apply in the case of a petition for a railway administration order in relation to any company as if—
the reference in subsection (1) to an administration order were a reference to a railway administration order;
paragraph (b) of that subsection did require the leave of the court for the taking of any of the steps mentioned in paragraphs (b) and (c) of subsection (2) (appointment of, and exercise of functions by, administrative receiver); and
the reference in paragraph (c) of subsection (1) to proceedings included a reference to any proceedings under or for the purposes of section 55 or 57A above.
For the purposes of this section a company is unable to pay its debts if—
it is a company which is deemed to be so unable under section 123 of the 1986 Act (definition of inability to pay debts); or
it is an unregistered company, within the meaning of Part V of the 1986 Act, which is deemed, by virtue of any of sections 222 to 224 of that Act, to be so unable for the purposes of section 221 of that Act (winding up of unregistered companies).
In this section—
Where a petition for the winding up of a protected railway company is presented by a person other than the Secretary of State, the court shall not make a winding-up order in relation to that company on that petition unless—
notice of the petition has been served on—
the appropriate national authority ; and
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
a period of at least fourteen days has elapsed since the service of that notice.
Where a petition for the winding up of a protected railway company has been presented— may, at any time before a winding-up order is made on the petition, make an application to the court for a railway administration order in relation to that company; and where such an application is made the court may, if it is satisfied as mentioned in section 60(1) above, make a railway administration order instead of a winding-up order.
the appropriate national authority , . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Where, on a petition for the winding up of a protected railway company, the court makes, or proposes to make, a railway administration order by virtue of subsection (2) above, subsections (4) and (5) of section 9 of the Insolvency Act 1986 (powers on application for administration order) shall apply on the hearing of that petition as they apply on the hearing of a petition for an administration order.
In this section “the court” has the same meaning as in section 59 above.
No resolution for voluntary winding up shall be passed by a protected railway company without leave of the court granted on an application made for the purpose by the company.
No such leave shall be granted unless—
notice of the application has been served on—
the appropriate national authority ; and
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
a period of at least fourteen days has elapsed since the service of that notice.
Where an application for leave under subsection (1) above has been made by a protected railway company— may, at any time before leave has been granted under subsection (1) above, make an application to the court for a railway administration order in relation to that company; and where such an application is made the court may, if it is satisfied as mentioned in section 60(1) above, make a railway administration order instead of granting leave under subsection (1) above.
the appropriate national authority , . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Where, on an application for leave under subsection (1) above, the court makes, or proposes to make, a railway administration order by virtue of subsection (3) above, subsections (4) and (5) of section 9 of the Insolvency Act 1986 (powers on application for administration order) shall apply on the hearing of that application as they apply on the hearing of a petition for an administration order.
No administration order under Part II of the Insolvency Act 1986 shall be made in relation to a protected railway company unless—
notice of the application for the order has been served on—
the appropriate national authority ; and
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
a period of at least fourteen days has elapsed since the service of that notice.
Where an application for an administration order under Part II of the Insolvency Act 1986 has been made in the case of a protected railway company— may, at any time before such an order has been made on that application, make an application to the court for a railway administration order in relation to that company; and where such an application is made the court may, if it is satisfied as mentioned in section 60(1) above, make a railway administration order instead of an administration order under Part II of the Insolvency Act 1986.
the appropriate national authority , . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
No step shall be taken by any person to enforce any security over a protected railway company’s property, except where that person has served fourteen days’ notice of his intention to take that step on—
the appropriate national authority ; . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
In this section—
Where a railway administration order is for the time being in force in relation to a company other than a Scottish protected railway company or a Welsh protected railway company, the Secretary of State may, with the consent of the Treasury—
make to the company grants or loans of such sums as appear to him to be appropriate for the purpose of facilitating the achievement of the purposes of the order;
agree to indemnify a relevant person in respect of—
liabilities incurred by that person in connection with the carrying out by the railway administrator of his functions under the order; and
loss or damage incurred by that person in that connection.
The Secretary of State may, with the consent of the Treasury, guarantee,. . . the repayment of the principal of, the payment of interest on and the discharge of any other financial obligation in connection with any sum which is borrowed from any person by a company where that company— a railway administration order is in force at the time when the guarantee is given.
is a company in relation to which a railway administration order is in force at the time when the guarantee is given; and
is not a Scottish protected railway company or a Welsh protected railway company.
Without prejudice to any provision applied in relation to the company by Schedule 6 to this Act—
the terms and conditions on which a grant is made to any company under this section may require the whole or a part of the grant to be repaid to the Secretary of State if there is a contravention of the other terms and conditions on which the grant is made; and
any loans which the Secretary of State makes to a company under this section shall be repaid to him at such times and by such methods, and interest on the loans shall be paid to him at such rates and at such times, as he may, with the consent of the Treasury, from time to time direct.
A grant, loan, indemnity or guarantee under this section may be made or given in whatever manner, and on whatever terms and subject to whatever conditions, the Secretary of State considers appropriate.
Any grant or loan made under this section and any sums required to be paid by the Secretary of State in respect of an indemnity given under this section shall be paid out of money provided by Parliament.
Any sums received under subsection (3) above by the Secretary of State shall be paid into the Consolidated Fund.
The power of the Secretary of State under this section to agree to indemnify a relevant person—
is confined to a power to agree to indemnify that person in respect of liabilities, loss and damage incurred or sustained by him as a relevant person; but
includes power to agree to indemnify persons (whether or not they are identified or identifiable at the time of the agreement) who subsequently become relevant persons.
A person is a relevant person for the purposes of this section if he is—
the railway administrator;
an employee of the railway administrator;
a member or employee of a firm of which the railway administrator is a member;
a member or employee of a firm of which the railway administrator is an employee;
a member of a firm of which the railway administrator was an employee or member at a time when the order was in force;
a body corporate which is the employer of the railway administrator; or
an officer, employee or member of such a body corporate.
For the purposes of this section—
the references in this section to the railway administrator, in relation to a railway administration order, are references to the person appointed to achieve the purposes of the order and, where two or more persons are so appointed, are to be construed as references to any one or more of them; and
the references to a firm of which a person was a member or employee at a particular time include references to a firm which holds itself out to be the successor of a firm of which he was a member or employee at that time.
If sums are paid by the Secretary of State in consequence of an indemnity agreed to under this section in the case of a company in relation to which a railway administration order is in force, the company must pay him—
such amounts in or towards the repayment to him of those sums as he may direct; and
interest, at such rates as he may direct, on amounts outstanding under this subsection.
Payments to the Secretary of State under subsection (4A) must be made at such times and in such manner as he may determine.
Subsection (4A) does not apply in the case of a sum paid by the Secretary of State for indemnifying a person in respect of a liability to the company in relation to which the railway administration order in question was made.
The consent of the Treasury is required for the giving of a direction under subsection (4A) and for the making of a determination under subsection (4B).
This section applies in relation to any guarantee given by the Secretary of State under section 63 above.
Immediately after a guarantee to which this section applies is given, the Secretary of State shall lay a statement of the guarantee before each House of Parliament.
Where any sum is paid out for fulfilling a guarantee to which this section applies, the Secretary of State shall, as soon as possible after the end of each financial year (beginning with that in which the sum is paid out and ending with that in which all liability in respect of the principal of the sum and in respect of the interest thereon is finally discharged), lay before each House of Parliament a statement relating to that sum.
Any sums required by the Secretary of State for fulfilling a guarantee to which this section applies shall be paid out of money provided by Parliament.
Without prejudice to any provision applied in relation to the relevant company by Schedule 6 to this Act, if any sums are paid out in fulfilment of a guarantee to which this section applies, the relevant company shall make to the Secretary of State, at such times and in such manner as the Secretary of State may from time to time direct— and the consent of the Treasury shall be required for the giving of a direction under this subsection.
payments of such amounts as the Secretary of State may so direct in or towards repayment of the sums so paid out; and
payments of interest, at such rate as the Secretary of State may so direct, on what is outstanding for the time being in respect of sums so paid out;
Any sums received by the Secretary of State under subsection (5) above shall be paid into the Consolidated Fund.
In subsection (5) above “the relevant company” in relation to a guarantee, means the company which borrowed the sums in respect of which the guarantee was given.
In the railway administration order provisions of this Act—
“relevant condition or requirement” means—
In the application of section 59(1) above in a case where the protected railway company there mentioned is a foreign company, the reference to the affairs, business and property of the company shall be taken as a reference to the affairs and business of the company, so far as carried on in Great Britain, and the property of the company within Great Britain.
In the application of section 9(5) of the 1986 Act by virtue of subsection (4) of section 60 above or subsection (3) of section 61 above where the petition mentioned in the subsection in question relates to a company which is a foreign company, the reference to restricting the exercise of any powers of the directors or of the company shall be taken as a reference to restricting—
the exercise within Great Britain of the powers of the directors or of the company; or
any exercise of those powers so far as relating to the affairs, business or property of the company in Great Britain.
In the application of provisions in section 10 of the 1986 Act by virtue of subsection (5) of section 60 above where the company mentioned in that subsection is a foreign company—
paragraph (a) of subsection (1) shall be omitted;
any reference in paragraph (b) or (c) of that subsection to property or goods shall be taken as a reference to property or (as the case may be) goods for the time being situated within Great Britain;
in paragraph (c) of that subsection—
the reference to the commencement or continuation of proceedings shall be taken as a reference to the commencement or continuation of proceedings in Great Britain; and
the reference to the levying of distress against the company shall be taken as a reference to the levying of distress against the foreign company to the extent of its property in England and Wales; and
any reference in subsection (2) to an administrative receiver shall be taken to include a reference to any person performing, in relation to the foreign company, functions equivalent to those of an administrative receiver, within the meaning of section 251 of the 1986 Act.
Subsections (1) to (4) of section 62 above shall not have effect in relation to a protected railway company which is a foreign company.
In the application of subsection (7) of that section where the protected railway company there mentioned is a foreign company, the reference to the company’s property shall be taken as a reference to such of its property as is for the time being situated in Great Britain.
In this section—
Where a railway administration order is for the time being in force in relation to a Scottish protected railway company or a Welsh protected railway company, the Scottish Ministers or the Welsh Ministers (as the case may be) may—
make grants or loans to the company of such sums as appear to them to be appropriate for the purpose of facilitating the achievement of the purposes of the order; or
agree to indemnify a relevant person in respect of—
liabilities incurred by that person in connection with the carrying out by the railway administrator of his functions under the order; and
loss or damage incurred by that person in that connection.
The Scottish Ministers or the Welsh Ministers (as the case may be) may guarantee—
the repayment of the principal of any sum borrowed by a Scottish protected railway company or Welsh protected railway company in relation to which a railway administration order is in force when the guarantee is given;
the payment of interest on a sum so borrowed; and
the discharge of any other financial obligation in relation to a sum so borrowed.
A grant, loan, indemnity or guarantee under this section may be made or given in whatever manner, and on whatever terms and subject to whatever conditions, the Scottish Ministers or the Welsh Ministers (as the case may be) consider appropriate.
The terms on which a grant may be made under this section include, in particular, terms requiring the whole or a part of the grant to be repaid to the Scottish Ministers or the Welsh Ministers (as the case may be) if there is a contravention of the other terms on which the grant is made.
The terms on which a loan may be made under this section include, in particular, terms requiring— as the Scottish Ministers or the Welsh Ministers (as the case may be) may from time to time direct.
the loan to be repaid at such times and by such methods, and
interest to be paid on the loan at such rates and at such times,
The power of the Scottish Ministers and the Welsh Ministers under this section to agree to indemnify a relevant person—
is confined to a power to agree to indemnify that person in respect of liabilities, loss and damage incurred or sustained by him as a relevant person; but
includes power to agree to indemnify persons (whether or not they are identified or identifiable at the time of the agreement) who subsequently become relevant persons.
A person is a relevant person for the purposes of this section if he is—
the railway administrator;
an employee of the railway administrator;
a member or employee of a firm of which the railway administrator is a member;
a member or employee of a firm of which the railway administrator is an employee;
a member of a firm of which the railway administrator was an employee or member at a time when the order was in force;
a body corporate which is the employer of the railway administrator; or
an officer, employee or member of such a body corporate.
In this section—
references to the railway administrator, in relation to a railway administration order, are references to the person appointed to achieve the purposes of the order and, where two or more persons are so appointed, are to be construed as references to any one or more of them; and
the references to a firm of which a person was a member or employee at a particular time include references to a firm which holds itself out to be the successor of a firm of which he was a member or employee at that time.
If sums are paid out by the Scottish Ministers or the Welsh Ministers in respect of an indemnity or guarantee under this section, the company in relation to which the indemnity or guarantee was given must pay the Scottish Ministers or the Welsh Ministers (as the case may be) —
such amounts in or towards the repayment to them of those sums as they may direct; and
interest, at such rates as they may direct, on amounts outstanding under this subsection.
Payments to the Scottish Ministers or the Welsh Ministers under subsection (9) must be made at such times and in such manner as they may determine.
Subsection (9) does not apply in the case of a sum paid by the Scottish Ministers or the Welsh Ministers for indemnifying a person in respect of a liability to the company in relation to which the railway administration order in question was made.
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
For the purposes of Part 3 of the Enterprise Act 2002 (merger references), where a person enters into a franchise agreement as a franchisee, there shall be taken to be brought under his control an enterprise engaged in the supply of the railway services to which the agreement relates.
In section 137 of the 1973 Act, in subsection (3) (meaning of the expression “the supply of services"), after paragraph (f) there shall be inserted the wordsand .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Expressions used in subsection (3) above and in Part 3 of the Enterprise Act 2002 have the same meaning in that subsection as they have in that Part.
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
The functions to which subsection (2A) below applies shall be concurrent functions of the Office of Rail and Road and the CMA.
the functions of the Director under sections 44 and 45 of the 1973 Act, and
the functions of the Director under sections 50, 52, 53, 86 and 88 of that Act,
The Office of Rail and Road shall be entitled to exercise, concurrently with the CMA, the functions of the CMA under the provisions of Part 1 of the Competition Act 1998 (other than sections 31D(1) to (6) , 35C, 38(1) to (6) , 40B(1) to (4) and 51), so far as relating to— which relate to the supply of services relating to railways.
agreements, decisions or concerted practices of the kind mentioned in section 2(1) of that Act,
conduct of the kind mentioned in section 18(1) of that Act, or
transferred EU anti-trust commitments or transferred EU anti-trust directions (as defined in section 40ZA of that Act),
This subsection applies to the functions of the CMA under Part 4 of the Enterprise Act 2002 (other than sections 166 , 167C , 171 and 174E) so far as those functions—
are exercisable by the CMA Board (within the meaning of Schedule 4 to the Enterprise and Regulatory Reform Act 2013), and
relate to the supply of services relating to railways.
Before the CMA or the Office of Rail and Road first exercises in relation to any matter functions which are exercisable concurrently by virtue of subsection (2) above, that person shall consult the other.
paragraph (a) of subsection (2) above,
paragraph (b) of that subsection, and
subsection (3) above,
So far as necessary for the purposes of, or in connection with, subsections (2) and (2A) above—
references in Part 4 of the Act of 2002 to the CMA (including references in provisions of that Act applied by that Part) shall be construed as including references to the Office of Rail and Road (except in sections 166 , 167C , 171 and 174E of that Act and in any other provision of that Act where the context otherwise requires);
references in that Part to section 5 of the Act of 2002 are to be construed as including references to section 69(1) of this Act.
It shall be the duty of the Office of Rail and Road, for the purpose of assisting a CMA group in carrying out an investigation on a reference falling within subsection (6) below, to give to the group — and the group shall, for the purposes of carrying out any such investigation, take into account any information given to them for that purpose under this subsection.
any information which is in its possession and which relates to matters falling within the scope of the investigation and—
is requested by the group for that purpose; or
is information which in its opinion it would be appropriate for that purpose to give to the group without any such request; and
any other assistance which the group may require and which it is within its power to give, in relation to any such matters;
Section 130A of the Act of 2002 is to have effect in its application in relation to the Office of Rail and Road by virtue of subsections (2) and (2A)—
as if for subsection (1) of that section there were substituted—, and
as if in subsection (2)(a) of that section, for “the acquisition or supply of goods or services of one or more than one description in the United Kingdom” there were substituted “the supply of services relating to railways within the meaning of section 67(3ZA) of the Railways Act 1993”.
The references which fall within this subsection are—
any market investigation reference made by the Office of Rail and Road (under section 131 of the Enterprise Act 2002) by virtue of subsection (2) or (3) above; and
any reference made to the CMA by the Secretary of State under section 11 of the 1980 Act, if the person who is the subject of the reference is—
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
a publicly owned railway company which supplies network services or station services.
A copy of any report of the CMA under section 136 or 142 of the Enterprise Act 2002 which relates to the supply of services relating to railways may be transmitted by the CMA to the Office of Rail and Road, notwithstanding that the reference . . . could not have been made by the Office of Rail and Road.
In subsections (2A) and (3) above “services relating to railways” means—
railway services;
the provision or maintenance of rolling stock;
the development, maintenance or renewal of a network, station or light maintenance depot; and
the development, provision or maintenance of information systems designed wholly or mainly for facilitating the provision of railway services.
If any question arises as to whether subsection (2) or (3) above applies to any particular case , that question shall be referred to and determined by the Secretary of State; and no objection shall be taken to anything done under— by or in relation to the Office of Rail and Road on the ground that it should have been done by or in relation to the CMA.
Part 4 of the Enterprise Act 2002, or
Part I of the Competition Act 1998 (other than sections 31D(1) to (6) , 35C, 38(1) to (6) , 40B(1) to (4) and 51),
The Secretary of State may by order amend subsection (3ZA) above; and an order under this subsection shall not be made unless a draft of the statutory instrument containing it has been laid before and approved by a resolution of each House of Parliament.
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
So far as necessary for the purposes of, or in connection with, the provisions of subsection (3) above, references in Part I of the Competition Act 1998 (including references in provisions of the Enterprise Act 2002 applied by that Part) to the CMA are to be read as including a reference to the Office of Rail and Road (except in sections 31D(1) to (6) , 35C, 38(1) to (6) , 40B(1) to (4), 51, 52(6) and (8) and 54 of that Act and in any other provision of that Act where the context otherwise requires).
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Neither the CMA nor the Office of Rail and Road shall exercise in relation to any matter functions which are exercisable concurrently by virtue of subsection (2) above if functions which are so exercisable have been exercised in relation to that matter by the other.
In subsection (5) “CMA group” has the same meaning as in Schedule 4 to the Enterprise and Regulatory Reform Act 2013.
In making any decision, or otherwise taking action, for the purposes of any of its functions that— the Office of Rail and Road must have regard to the need for making a decision, or taking action, as soon as reasonably practicable.
by virtue of this section, are functions exercisable concurrently with the CMA, and
in the case of functions under the Competition Act 1998, are functions within Schedule 4A to the Enterprise and Regulatory Reform Act 2013 by virtue of paragraph 5 of that Schedule,
Subject to subsection (2) below, it shall be the duty of the Office of Rail and Road to investigate any alleged or apprehended contravention of— if the alleged or apprehended contravention is the subject of a representation (other than one appearing to him to be frivolous or vexatious) made to it by or on behalf of a person who appears to the Office of Rail and Road to have an interest in the matter.
a condition of a licence . . . , . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
The Office of Rail and Road may, if it thinks fit, require the Passengers’ Council to investigate and report to it on any matter falling within subsection (1) above which relates to— and which it would otherwise have been its duty to investigate.
the provision of services for the carriage of passengers by railway, or
the provision of station services,
It shall be the duty of the Office of Rail and Road, so far as it appears to it practicable from time to time to do so—
to keep under review the provision, both in Great Britain and elsewhere, of railway services; and
to collect information with respect to the provision of those services, with a view to facilitating the exercise of its functions under this Part.
The Secretary of State may give general directions indicating—
considerations to which the Office of Rail and Road should have particular regard in determining the order of priority in which matters are to be brought under review in performing its duty under subsection (1)(a) or (b) above; and
considerations to which, in cases where it appears to the Office of Rail and Road that any of its functions under this Part are exercisable, it should have particular regard in determining whether to exercise those functions.
It shall be the duty of the Office of Rail and Road, where either it considers it expedient or it is requested by the Secretary of State or the CMA to do so, to give information, advice and assistance to the Secretary of State or the CMA with respect to any matter in respect of which any function of the Office of Rail and Road under this Part is exercisable.
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is requested to do so by the Franchising Director, or
considers it appropriate to do so,
The Regulator shall— a code of practice for protecting the interests of users of railway passenger services or station services who are disabled.
prepare and from time to time revise, and
publish and otherwise encourage the adoption and implementation of,
In preparing or revising the code of practice, the Regulator shall consult the Disabled Persons Transport Advisory Committee, established under section 125 of the Transport Act 1985.
The Office of Rail and Road may arrange for the publication, in such form and in such manner as it considers appropriate, of such information and advice as it may appear to it expedient to give to users or potential users of railway services in Great Britain.
In arranging for the publication of any such information or advice the Office of Rail and Road shall have regard to the need for excluding, so far as that is practicable—
any matter which relates to the affairs of an individual, where publication of that matter would or might, in the opinion of the Office of Rail and Road, seriously and prejudicially affect the interests of that individual; and
any matter which relates specifically to the affairs of a particular body of persons, whether corporate or unincorporate, where publication of that matter would or might, in the opinion of the Office of Rail and Road, seriously and prejudicially affect the interests of that body.
The CMA shall consult the Office of Rail and Road before publishing under section 6 of the Enterprise Act 2002 any information or advice which may be published by the Office of Rail and Road under this section.
The Office of Rail and Road shall, at such premises and in such form as it may determine, maintain a register . . . .
Subject to subsection (3) and to any direction given under subsection (4) below, the Office of Rail and Road shall cause to be entered in the register—
in relation to licences and railway undertaking licences, the provisions of— and notice of every surrender of a licence or railway undertaking licence;
every licence, every licence exemption and every railway undertaking licence;
every assignment of a licence of which notice is received by the Office of Rail and Road;
every modification or revocation of a licence , every requirement to modify conditions of a licence imposed on the Office of Rail and Road by the Authority, and every modification or revocation of a railway undertaking licence;
every revocation of a licence exemption and every requirement to revoke a licence exemption imposed on the Office of Rail and Road by the Authority;
every requirement imposed, or consent or approval given, by the Office of Rail and Road under a licence or railway undertaking licence;
every requirement imposed, or consent or approval given, under a licence by any person (other than the Office of Rail and Road) who is a qualified person, within the meaning of section 9(3) above, for the purpose in question, being a requirement, consent or approval whose provisions have been notified to the Office of Rail and Road pursuant to a condition of the licence;
every final or provisional order made by the Office of Rail and Road in relation to a licence, every revocation of such an order and every notice given by the Office of Rail and Road under section 55(6) above that he is satisfied that he does not need to make such an order;
every scheme made by the Secretary of State under section 7A(4) above or paragraph 2 of Schedule 28 to the Transport Act 2000;
every penalty imposed by the Office of Rail and Road under section 57A above;
every statement of policy published by the Office of Rail and Road under that section;
in relation to access agreements, access contracts and installation access contracts, the provisions of—
every facility exemption granted under section 20(3) above;
every direction to enter into an access contract or an installation access contract;
every access agreement;
every amendment (however described) of an access agreement;
every general approval given under section 18(1)(c), 19(3)(c) or 22(3) above which is for the time being in force;
every document issued or made by the Office of Rail and Road under an access agreement;
every direction under section 22A above;
every notice given by or to the Office of Rail and Road or the CMA under Schedule 4A to this Act;
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every closure consent and every closure condition; and
every final or provisional order made by the Regulator which relates to any closure or proposed closure or to any closure consent or closure condition, every revocation of such an order and every notice given by the Regulator under section 55(6) above that he is satisfied that he does not need to make such an order;
in relation to experimental passenger services, within the meaning of Part 4 of the Railways Act 2005, the provisions of—
every designation under section 36 of that Act of a service as experimental;
every notice under section 37(1) or (2) of that Act of the proposed discontinuance of a service designated as experimental;
every final or provisional order made by the Regulator which relates to the provision or discontinuance of any such service, every revocation of such an order and every notice given by the Regulator under section 55(6) above that he is satisfied that he does not need to make such an order; and
the provisions of every railway administration order and of every discharge of such an order.
in relation to closures, the provisions of—
every closure ratification notice or closure non-ratification notice (within the meaning of Part 4 of the Railways Act 2005) issued by it;
every closure requirement imposed by it;
In entering any provision in the register, the Office of Rail and Road shall have regard to the need for excluding, so far as that is practicable, the matters specified in section 71(2)(a) and (b) above.
If it appears to the Secretary of State that the entry of any provision in the register would be against the public interest or the commercial interests of any person, he may direct the Office of Rail and Road not to enter that provision in the register.
Where an access agreement is entered into or amended, the facility owner or installation owner concerned shall send a copy of the access agreement or amendment to the Office of Rail and Road not later than 14 days after the date on which the access agreement is entered into or the amendment is made, as the case may be.
A person who fails to comply with subsection (5) above is guilty of an offence and shall be liable on summary conviction to a fine not exceeding level 3 on the standard scale.
The contents of the register shall be available for inspection by the public during such hours and subject to the payment of such fee as may be specified in an order made by the Secretary of State.
Any person may, on the payment of such fee as may be specified in an order so made, require the Office of Rail and Road to supply him with a copy of, or extract from, any part of the register, being a copy or extract which is certified by the Office of Rail and Road to be a true copy or extract.
The contents of the register shall be available for inspection at any time by the Authority, without payment of any fee; and the Authority may require the Office of Rail and Road, without payment of any fee, to supply itwith a copy of, or extract from, any part of the register, being a copy or extract which is certified by the Office of Rail and Road to be a true copy or extract.
Any reference in this section to “assignment” shall be construed in Scotland as a reference to assignation.
Any sums received by the Office of Rail and Road under this section shall be paid into the Consolidated Fund.
The Secretary of State shall, at such premises and in such form as he may determine, maintain a register . . . .
Subject to subsections (3) and (4) below, the Secretary of State shall cause to be entered in the register (except so far as they are required to be entered in the register maintained under section 73A or the register maintained under section 73B below) the provisions of— and, without prejudice to the generality of paragraph (d) above, “amendment" in that paragraph includes any variation of the property, rights and liabilities which from time to time constitute the franchise assets in relation to the franchise agreement in question, whether the variation is effected in accordance with the terms of, or by an amendment made to, the franchise agreement.
every exemption under section 24;
every franchise agreement;
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every amendment (however described) of a franchise agreement other than any which are not likely to have a material effect on the provision of services under the agreement or on any sums payable under the agreement.;
every final or provisional order made by the Secretary of State in relation to . . . a franchise agreement or to any closure or proposed closure or to any closure requirement , every revocation of such an order and every notice given by the Secretary of State under section 55(6) above that he is satisfied that he does not need to make such an order;
every determination made by him under section 34 of the Railways Act 2005 that a closure is a minor modification or that closures of a particular description are minor modifications;
every revocation of a determination made by him under that section in relation to a description of closures;
every condition agreed to under subsection (5) of that section in connection with a determination made by him;
every penalty imposed by the Secretary of State under section 57A above;
every statement of policy published by the Secretary of State under that section;
every designation under section 23 and every variation or revocation of such a designation;
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The Secretary of State may enter the provisions of anything in the register in a manner that excludes, so far as practicable, so much of the details of those provisions as he considers it appropriate to exclude for the purpose of maintaining the confidentiality of—
matters relating to the affairs of an individual the publication of which would or might, in the Secretary of State's opinion, seriously and prejudicially affect the interests of that individual; and
matters relating specifically to the affairs of a particular body of persons the publication of which would or might, in the Secretary of State's opinion, seriously and prejudicially affect the interests of that body.
If it appears to the Secretary of State that the entry of any provision in the register would be against the public interest he may decide not to enter that provision in the register.
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The contents of the register shall be available for inspection at any time by the Scottish Ministers, the Welsh Ministers or the Office of Rail and Road, without payment of any fee; and the Scottish Ministers, the Welsh Ministers and the Office of Rail and Road may each require the Secretary of State, without payment of any fee, to supply him with a copy of, or extract from, any part of the register, being a copy or extract which is certified by the Secretary of State to be a true copy or extract.
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The Office of Rail and Road shall, as soon as practicable after the end of each financial year,, make to the Secretary of State and the Welsh Ministers a report on—
his activities during that year; and
the CMA's activities during that year, so far as relating to references made by the Office of Rail and Road.
Every such report shall include—
a general survey of developments, during the year to which it relates, in respect of matters falling within the scope of its functions;
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the provision of railway passenger services or station services for, or the use of such services by, persons who are disabled; or
the employment by licence holders of persons who are disabled;
a statement setting out any general directions given to the Office of Rail and Road during that year under section 69(2) above; . . .
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The Secretary of State shall lay a copy of every report made by the Office of Rail and Road under subsection (1) above before each House of Parliament and shall arrange for copies of every such report to be published in such manner as he may consider appropriate.
The Office of Rail and Road may also prepare such other reports as it thinks fit with respect to any matter falling within the scope of its functions.
The Welsh Ministers must lay a copy of every report made to them under subsection (1) before the National Assembly for Wales and must arrange for copies to be published in such manner as they consider appropriate.
The Office of Rail and Road may arrange for copies of any report prepared under subsection (4) above to be published in such manner as it may consider appropriate.
Where a report is made by the Office of Rail and Road under subsection (1) above to the Scottish Ministers (by virtue of provision made under section 63 of the Scotland Act 1998), the Scottish Ministers shall lay a copy of the report before the Scottish Parliament and shall arrange for copies to be published in such manner as they consider appropriate.
In making or preparing any report under this section, the Office of Rail and Road shall have regard to the need for excluding, so far as that is practicable, the matters specified in section 71(2)(a) and (b) above.
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In this section—
“first relevant financial year” means the financial year in which is made the first appointment of a person as the Regulator.
The Scottish Ministers must maintain a register.
The register must be kept in such form and at such premises as the Scottish Ministers determine.
Subject to subsections (4) and (5) below, the Scottish Ministers must cause the provisions of each of the following to be entered in the register—
every designation made by them under section 23 of this Act, and every variation or revocation of such a designation;
every exemption under section 24 granted by them;
every franchise agreement to which they are a party;
every amendment of such a franchise agreement, other than those that are unlikely to have a material effect on the provision of services under the agreement or on the sums payable under it;
every determination made by them under section 34 of the Railways Act 2005 that a closure is a minor modification or that closures of a particular description are minor modifications;
every revocation of a determination made by them under that section in relation to a description of closures;
every condition agreed to under subsection (5) of that section in connection with a determination made by them;
every final or provisional order made by them;
every revocation by them of such an order;
every notice given by them under section 55(6) of this Act of a decision not to make such an order;
every penalty imposed by them under section 57A of this Act;
every statement of policy published by them under section 57B of this Act.
The Scottish Ministers may enter the provisions of anything in the register in a manner that excludes, so far as practicable, so much of the details of those provisions as they consider it appropriate to exclude for the purpose of maintaining the confidentiality of—
matters relating to the affairs of an individual the publication of which would or might, in the Scottish Ministers' opinion, seriously and prejudicially affect the interests of that individual; and
matters relating specifically to the affairs of a particular body of persons the publication of which would or might, in the Scottish Ministers' opinion, seriously and prejudicially affect the interests of that body.
If it appears to the Scottish Ministers that the entry of any provision in the register would be against the public interest, they may decide not to enter it in the register.
The contents of the register must be available for inspection, at any time and free of charge, by the Secretary of State, the Welsh Ministers or the Office of Rail and Road.
The Secretary of State, the Welsh Ministers and the Office of Rail and Road may each require the Scottish Ministers to supply him, them or it (as the case may be) free of charge with a certified copy of a part of the register or with a certified extract from it.
The references in subsection (7) to a certified copy or a certified extract are references to a copy or extract that has been certified by the Scottish Ministers to be a true copy or extract.
In subsection (3)(d) “amendment”, in relation to a franchise agreement, means any amendment however described, including variations (whether or not effected in accordance with the terms of the agreement or by a modification of it) of the property, rights and liabilities which from time to time constitute the franchise assets.
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The Franchising Director shall, as soon as practicable after the end of the first relevant financial year, and of each subsequent financial year, make to the Secretary of State a report on—
his activities during that year; and
the general performance of franchisees during that year in carrying out their functions under their franchise agreements.
The Secretary of State shall lay a copy of every report made by the Franchising Director under subsection (1) above before each House of Parliament and shall arrange for copies of every such report to be published in such manner as he may consider appropriate.
In making or preparing any report under this section, the Franchising Director shall have regard to the need for excluding, so far as that is practicable, the matters specified in paragraphs (a) and (b) of section 71(2) above, for this purpose taking references in those paragraphs to the Regulator as references to the Franchising Director.
In this section—
The Welsh Ministers must maintain a register.
The register must be kept in such form and at such premises as the Welsh Ministers determine.
Subject to subsections (4) and (5), the Welsh Ministers must cause the provisions of each of the following to be entered in the register—
every designation made by them under section 23 and every variation or revocation of such a designation;
every exemption under section 24 granted by them;
every franchise agreement to which they are a party;
every amendment of such a franchise agreement as it relates to a Wales-only service or a Welsh component of a Welsh service, other than amendments which are unlikely to have a material effect on the provision of services under the agreement or on any sums payable under it;
every determination made by them under section 34 of the Railways Act 2005 that a closure is a minor modification or that closures of a particular description are minor modifications;
every revocation of a determination made by them under that section in relation to a description of closures;
every condition agreed to under subsection (5) of that section in connection with a determination made by them;
every final or provisional order made by them;
every revocation by them of such an order;
every notice given by them under section 55(6) of a decision not to make such an order;
every penalty imposed by them under section 57A;
every statement of policy published by them under section 57B.
The Welsh Ministers may enter the provisions of anything in the register in a manner that excludes, so far as practicable, so much of the details of those provisions as they consider it appropriate to exclude for the purpose of maintaining the confidentiality of—
matters relating to the affairs of an individual the publication of which would or might, in the Welsh Ministers’ opinion, seriously and prejudicially affect the interests of that individual; and
matters relating specifically to the affairs of a particular body of persons the publication of which would or might, in the Welsh Ministers’ opinion, seriously and prejudicially affect the interests of that body.
If it appears to the Welsh Ministers that the entry of any provision in the register would be against the public interest they may decide not to enter it in the register.
The contents of the register must be available for inspection, at any time and free of charge, by the Secretary of State, the Scottish Ministers or the Office of Rail and Road.
The Secretary of State, the Scottish Ministers and the Office of Rail and Road may each require the Welsh Ministers to supply them with a certified copy of a part of the register, or with a certified extract from it, free of charge.
The references in subsection (7) to a certified copy or a certified extract are references to a copy or extract that has been certified by the Welsh Ministers to be a true copy or extract.
In subsection (3)(d) “amendment”, in relation to a franchise agreement, means any amendment however described, including variations (whether or not effected in accordance with the terms of the agreement or by a modification of it) of the property, rights and liabilities which from time to time constitute the franchise assets.
It shall be the duty of the Passengers’ Council to investigate any matter which relates— if the condition specified in subsection (2) below is satisfied in relation to the matter in question.
to the provision of railway passenger services, or
by the Board or any subsidiary of the Board,
under a franchise agreement, or
on behalf of the Franchising Director, or
to the provision of station services by any person in a case where the operator of the station in question is authorised by a licence to be the operator of that station,
The condition mentioned in subsection (1) above is satisfied if—
the matter is the subject of a representation made to the Passengers’ Council by a user or potential user of railway passenger services and does not appear to the Passengers’ Council to be frivolous or vexatious;
the matter is referred to the Passengers’ Council by the Secretary of State; or
the matter appears to the Passengers’ Council to be one which it ought to investigate.
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If any matter falling within subsection (2)(a) appears to the Passengers’ Council to relate only to— that Council must refer the matter to the London Transport Users' Committee.
the provision of railway passenger services wholly within the London railway area (within the meaning of section 252A of the Greater London Authority Act 1999), or
the provision of station services within that area,
If, on investigating any matter, the Passengers’ Council considers it appropriate to do so, the Passengers’ Council shall make representations to the person providing the secured service (within the meaning of Part 4 of the Railways Act 2005) which is in question and— about the matter, or any matter to which it relates or which appears to the Passengers’ Council to be relevant to the subject of the matter investigated.
in the case of a service provided under a franchise agreement, to the franchisee, or
in the case of a service provided on behalf of the Secretary of State, to the Secretary of State,
Where the Passengers’ Council— the Passengers’ Council shall, unless representations about the matter have been made to the Secretary of State by the Passengers’ Council, refer it to the Secretary of State with a view to the Secretary of State exercising such of his powers as he considers appropriate in the circumstances of the case..
having made representations under subsection (4) above, is of the opinion that it is unable to achieve a satisfactory resolution of the matter by that means, or
on investigating any matter, has reason to believe that a franchisee is contravening, or is likely to contravene, any term of the franchise agreement or that the holder of a passenger licence or a station licence is contravening, or is likely to contravene, any condition of the licence,
Where the Passengers’ Council investigates any matter—
it may prepare, and send to the Secretary of State or the Welsh Ministers . . . , a report of its findings; and
it may publish any such report, unless the matter in question is one which was referred to the Passengers’ Council by the Secretary of State as mentioned in subsection (2)(b) above.
Where the Passengers’ Council has investigated any matter under this section, it shall neither— unless, balancing the cost of taking those steps against the benefits which the Passengers’ Council considers will be enjoyed by any person in consequence of the taking of those steps, the Passengers’ Council is of the opinion, on the basis of the information available to it, that the expenditure involved represents good value for money.
include in any report or representations a proposal for any steps to be taken by any person in relation to that matter, nor
refer the matter to the Secretary of State under subsection (5)(a) above by reason only of the failure of any person to take any steps in relation to that matter,
But if the Secretary of State considers that it would be more appropriate for a matter referred to it by the Passengers’ Council to be considered by the Office of Rail and Road, the Secretary of State shall refer it to the Office of Rail and Road, with a view to it exercising such of its powers as it considers appropriate in the circumstances of the case.
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In this section, any reference to railway passenger services includes a reference to bus substitution services required to be provided in place of any such services; . . . .
It shall also be the duty of the Passengers’ Council, so far as it appears expedient from time to time to do so—
to keep under review matters affecting the interests of the public in relation to railway passenger services and station services;
to make representations to, and consult, such persons as they think appropriate about those matters; and
to co-operate with other bodies representing the interests of users of public passenger transport services.
The Secretary of State may, after consultation with the Passengers’ Council, make an order excluding services from the duties imposed by this section; and an order under this subsection—
may exclude services of a particular class or description, particular services or services provided by a particular person;
may provide that services are excluded subject to compliance with specified conditions; and
may not revoke an exclusion except for breach of condition or in accordance with the order which made it.
The Secretary of State may, after consultation with the 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—
only to such extent as is specified by the order; or
with such modifications as are so specified.
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It shall be the duty of each consultative committee to investigate any matter which relates— if the condition specified in subsection (2) below is satisfied in relation to the matter in question.
to the provision of railway passenger services—
by the Board or any subsidiary of the Board,
under a franchise agreement, or
on behalf of the Franchising Director, or
to the provision of station services by any person in a case where the operator of the station in question is authorised by a licence to be the operator of that station,
The condition mentioned in subsection (1) above is satisfied if the matter—
is the subject of a representation made to the committee by a user or potential user of railway passenger services and does not appear to the committee to be frivolous or vexatious;
is referred to the committee—
by the Regulator under section 68(2) above; or
by the Central Committee under section 76(3) above; or
appears to the committee to be one which it ought to investigate.
If, on investigating any matter, a consultative committee considers it appropriate to do so, the committee shall make representations to the person providing the service in question and— about the matter, or any matter to which it relates or which appears to the committee to be relevant to the subject of the matter investigated.
in the case of a service provided under a franchise agreement, to the franchisee, or
in the case of a service provided on behalf of the Franchising Director, to the Franchising Director,
Where a consultative committee— the committee shall refer the matter to the Regulator (or, in the case of a matter that was referred to the committee by the Regulator, refer it back to the Regulator) with a view to his exercising such of his powers as he considers appropriate in the circumstances of the case.
having made representations under subsection (3) above, is of the opinion that it is unable to achieve a satisfactory resolution of the matter by that means, or
on investigating any matter, has reason to believe that the holder of a passenger licence or a station licence is contravening, or is likely to contravene, any condition of the licence,
Where a consultative committee investigates any matter pursuant to subsections (1) to (3) above—
it may prepare, and send to the Central Committee, a report of its findings; and
it may publish any such report, unless the matter in question is one which was referred to the consultative committee by the Regulator as mentioned in subsection (2)(b)(i) above.
At the request of the Regulator, a consultative committee shall make a report to him on such matters relating to the quality of the railway passenger services, and the station services, provided in the committee’s area as may be specified in the request.
The Regulator may arrange for the publication of any report under subsection (6) above in such manner as he may consider appropriate.
If the Franchising Director, after consultation with the Regulator, so requests, a consultative committee shall assist the Franchising Director, to such extent and in such respects as may be specified in the request, in ascertaining whether, in the case of any franchise agreement, the franchise operator is attaining the standards set for the provision of the franchised services.
Where a consultative committee has investigated any matter pursuant to subsections (1) to (3) or subsection (6) above, it shall neither— unless, balancing the cost of taking those steps against the benefits which the committee considers will be enjoyed by any person in consequence of the taking of those steps, the committee is of the opinion, on the basis of the information available to it, that the expenditure involved represents good value for money.
include in any report or representations a proposal for any steps to be taken by any person in relation to that matter, nor
refer the matter to the Regulator under subsection (4)(a) above by reason only of the failure of any person to take any steps in relation to that matter,
The services which are to be regarded for the purposes of this section as provided on behalf of the Franchising Director are the same services as are to be so regarded for the purposes of section 37 above.
In this section, any reference to railway passenger services includes a reference to bus substitution services required to be provided in place of any such services; and in this subsection, “bus substitution services” has the same meaning as it has in sections 120 to 124 of the Transport Act 1985.
The Passengers’ Council and any other public body may enter into an agreement for that other body to be responsible, in accordance with the agreement, for —
determining what is expedient for the purposes of subsection (7A) of section 76 above in relation to an area specified in the agreement; and
otherwise performing that Council's duties under that subsection in relation to that area.
So long as an agreement under this section is in force—
the duties of the Passengers’ Council under subsection (7A) of section 76 above shall be deemed, in relation to the area specified in the agreement, to fall on the other party to it, instead of on that Council; but
that Council is not to be prevented from doing anything mentioned in that subsection in relation to that area.
An agreement under this section—
may be entered into on such terms and conditions as the parties to it may agree; and
may contain provision for determining for the purposes of this section in what circumstances things done under or for the purposes of section 76(7A) are to be treated as done in relation to the area specified in the agreement.
The consent of the Secretary of State is required before the Passengers’ Council and another public body may enter into an agreement under this section.
In this section “public body” means any authority or other body on which functions are conferred by or under an enactment.
In subsection (5) “enactment” includes an enactment comprised in an Act of the Scottish Parliament.
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the functions of the former Central Committee under subsections (4) to (6A) of section 56 of that Act are hereby transferred to the Central Committee; and
the functions of the former Area Committees under those subsections are hereby transferred to the consultative committees.
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any reference in those subsections to the former Central Committee shall be taken as a reference to the Central Committee; and
for the words “each Area Committee”, “any Area Committee”, “Area Committees”, “an Area Committee” and “An Area Committee”, wherever occurring in those subsections, there shall be substituted respectively the words “each consultative committee”, “any consultative committee”, “consultative committees”, “a consultative committee” and “A consultative committee”.
After subsection (6) of that section there shall be inserted—
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Each committee shall, as soon as practicable after the end of the first relevant financial year and of each subsequent financial year— and the Secretary of State shall lay before each House of Parliament a copy of the reports sent to him pursuant to paragraph (b) above.
make a report to the Regulator on the committee’s activities during that year; and
in the case of the Central Committee and the consultative committees for Scotland and for Wales, send a copy of that report to the Secretary of State;
Each committee may arrange for any report which it makes under subsection (1) above to be published in such manner as the committee considers appropriate.
In arranging for the publication of any report under this section, a committee shall have regard to the need for excluding, so far as that is practicable, the matters specified in paragraphs (a) and (b) of section 71(2) above, for this purpose taking references in those paragraphs to the Regulator as references to the committee.
In this section—
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The Secretary of State shall— a code of practice for protecting the interests of users of railway passenger services or station services who are disabled
prepare and from time to time revise, and
publish and otherwise promote the adoption and implementation of,
In preparing or revising the code of practice, the Secretary of State shall consult the Disabled Persons Transport Advisory Committee established under section 125 of the Transport Act 1985.
Licence holders shall be under a duty to furnish to the Secretary of State, the Welsh Ministers, the Scottish Ministers or the Office of Rail and Road in such form and manner as he, they or it may by notice request such information as he, they or it may so request, being information which the Secretary of State, the Welsh Ministers, the Scottish Ministers or the Office of Rail and Road considers necessary for the purpose of facilitating the performance of any functions of the Secretary of State, the Welsh Ministers, the Scottish Ministers or (as the case may be) that Office under this Part , the Transport Act 2000 or the Railways Act 2005 or any other function or activity of his, theirs or its in relation to railway services.
the Board,
any wholly owned subsidiary of the Board, or
any person who is the holder of a network licence or a station licence,
A request under subsection (1) or (1A) above must be complied with within such time (being not less than 28 days from the making of the request) as may be specified in the request.
Holders of railway undertaking licences , and holders of relevant European licences, shall be under a duty to furnish to the Office of Rail and Road in such form and manner as it may by notice request such information as it may so request, being information which the Office of Rail and Road considers necessary for the purpose of facilitating the performance of any of its functions under the Railway (Licensing of Railway Undertakings) Regulations 2005.
If a request under subsection (1) above is not complied with, the Secretary of State, the Welsh Ministers, the Scottish Ministers or the Office of Rail and Road may serve a notice under subsection (4) below on the person from whom the information was requested under subsection (1) above.
A notice under this subsection is a notice signed by the Secretary of State, the Welsh Ministers, the Scottish Ministers or the Office of Rail and Road and—
requiring the person on whom it is served to produce, at a time and place specified in the notice, to the Secretary of State , the Welsh Ministers, the Scottish Ministers or the Office of Rail and Road or to any person appointed by the Franchising Director for the purpose, any documents which are specified or described in the notice and are in that person’s custody or under his control; or
requiring that person to furnish, at a time and place and in the form and manner specified in the notice, to the Franchising Director such information as may be specified or described in the notice. In its application to a notice served by virtue of subsection (3A) above this subsection has effect with the omission of the references to the Secretary of State and the Scottish Ministers.
No person shall be required under this section to produce any documents which he could not be compelled to produce in civil proceedings in the court or, in complying with any requirement for the furnishing of information, to give any information which he could not be compelled to give in evidence in any such proceedings.
If a request under subsection (1A) above is not complied with, the Office of Rail and Road may serve a notice under subsection (4) below on the person from whom the information was requested under subsection (1A) above.
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A person who intentionally alters, suppresses or destroys any document which he has been required by any notice under subsection (4) above to produce is guilty of an offence and shall be liable—
on summary conviction, to a fine not exceeding the statutory maximum;
on conviction on indictment, to a fine.
If a person makes default in complying with a notice under subsection (4) above, the court may, on the application of the Secretary of State, the Welsh Ministers, the Scottish Ministers or the Office of Rail and Road in the case of a request under subsection (1) above, or the Office of Rail and Road in the case of a request under subsection (1A) above, make such order as the court thinks fit for requiring the default to be made good; and any such order may provide that all the costs or expenses of and incidental to the application shall be borne by the person in default or by any officers of a company or other association who are responsible for its default.
Any reference in this section to the production of a document includes a reference to the production of a legible and intelligible copy of information recorded otherwise than in legible form; and the reference to suppressing a document includes a reference to destroying the means of reproducing information recorded otherwise than in legible form.
In this section “the court” means the High Court, in relation to England and Wales, and the Court of Session, in relation to Scotland.
Subject to subsection (2) below, the definition of “railway” in section 67(1) of the Transport and Works Act 1992 shall have effect for the purposes of this Part as it has effect for the purposes of that Act, and cognate expressions shall be construed accordingly.
Where it is stated for the purposes of any provision of this Part that railway has its wider meaning, “railway” shall be taken, for the purposes of that provision, to mean— and cognate expressions shall be construed accordingly.
a railway,
a tramway, or
a transport system which uses another mode of guided transport but which is not a trolley vehicle system,
In paragraphs (a) to (c) of subsection (2) above “guided transport”, “railway”, “tramway” and “trolley vehicle system” have the meaning given by section 67(1) of the Transport and Works Act 1992.
In this Part, “railway services” means services of any of the following descriptions, that is to say—
services for the carriage of passengers by railway;
services for the carriage of goods by railway;
light maintenance services;
station services;
network services.
In this Part— and, for the purposes of the above definitions of “network services" and “station services", where a person permits another to use any land or other property comprised in a network or station he shall be regarded as providing a service which falls within the meaning of “network services" or “station services", as the case may be.
Without prejudice to the generality of the definition in subsection (2) above, “network services” includes services of any of the following descriptions, that is to say— and it is immaterial for the purposes of this subsection and that subsection whether or not the person who provides the service in question also provides or operates a network, or any of the track or other installations comprised in a network, or provides the service on behalf of a person who does so.
the construction, maintenance, re-alignment, re-configuration or renewal of track,
the installation, operation, maintenance or renewal of a railway signalling system or of any other railway communication equipment,
the construction, control, maintenance or renewal of electrical conductor rails or overhead lines, of any supports for such rails or lines, and of any electrical substations or power connections used or to be used in connection therewith, and the provision of electrical power by means thereof,
the provision and operation of services for the recovery or repair of locomotives or other rolling stock in connection with any accident, malfunction or mechanical or electrical failure,
the provision and operation of services for keeping track free from, or serviceable notwithstanding, obstruction (whether by snow, ice, water, fallen leaves or any other natural or artificial obstacle or hindrance) or for removing any such obstruction,
the provision, operation, maintenance and renewal of any plant, equipment or machinery used in carrying on any of the activities specified in paragraphs (a) to (e) above,
the exercise of day to day control over train movements over or along any track comprised in the network,
the preparation of a timetable for the purposes of such control as is referred to in paragraph (g) above,
In determining whether any service is a station service, it is immaterial whether or not the person who provides the service also provides or operates a station, or any part of a station, or provides the service on behalf of a person who does so.
In this section, “maintenance” includes the detection and rectification of any faults.
“Railway” has its wider meaning in the application of this section in relation to any provision of this Part for the purposes of which “railway” has that meaning.
In this Part, unless the context otherwise requires—
For the purposes of this Part, a person shall be regarded as providing or operating services for the carriage of goods by railway notwithstanding that he provides or operates the services solely for the carriage of his own goods or otherwise for his own benefit.
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.
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The Board shall have power to form, or take part in forming, companies—
for the purposes of the Board’s business;
for the purpose of facilitating the disposal of—
the whole or any part of the undertaking, or any property, rights or liabilities, of the Board or of any wholly owned subsidiary of the Board; or
without prejudice to the generality of sub-paragraph (i) above, any securities of any subsidiary of the Board;
for the purpose of facilitating the performance by the Franchising Director of his functions under sections 23 to 36 above;
for such other purposes as may be specified by the Secretary of State in a direction to the Board.
The Secretary of State may, after consultation with the Board, direct the Board to exercise any power conferred by paragraph (a), (b), (c) or (d) of subsection (1) above; and, if he so directs, he may also give the Board directions with respect to—
the nature and objects of the company which is to be formed;
the manner in which, and time within which, it is to be formed.
The Board shall not exercise any power conferred by subsection (1) above, except—
in the case of the power conferred by paragraph (a), with the consent of, or pursuant to a direction given under subsection (2) above by, the Secretary of State; or
in any other case, pursuant to such a direction.
Each of the powers conferred on the Board by this section— and nothing in this section shall be construed as authorising the disregard by the Board of any enactment or rule of law.
is in addition to, and not in derogation from, any other powers of the Board; and
relates only to the capacity of the Board as a statutory corporation;
The Board shall have power to make schemes for the transfer of the whole or any part of the undertaking, or any property, rights or liabilities, of— to any other person falling within paragraphs (a) to (e) above or to a franchise company.
the Board,
any wholly owned subsidiary of the Board,
any publicly owned railway company,
the Franchising Director, or
any company which is wholly owned by the Franchising Director,
In relation to the transfer or disposal (or the proposed transfer or disposal) of the whole or any part of an undertaking, any reference in this Part to property, rights or liabilities includes a reference to the undertaking or part (and, accordingly, to the property, rights and liabilities comprised in that undertaking or part).
The powers conferred on the Board by subsection (1) above shall only be exercisable— and paragraph (a) above accordingly applies only in relation to transfers between the Board and any of its wholly owned subsidiaries or between two or more of its wholly owned subsidiaries.
for the purposes of the Board’s business, or to facilitate a disposal in the ordinary course of that business;
for the purpose of effecting or facilitating the disposal of such property, rights or liabilities as the Secretary of State may direct; or
for the purpose of facilitating the performance by the Franchising Director of his functions under sections 23 to 36 above,
The Secretary of State may, after consultation with the Board, direct the Board to exercise any power conferred by subsection (1) above; and, if he does so, he may also give the Board directions with respect to—
the manner in which, and time within which, the power is to be exercised;
the property, rights or liabilities to be transferred;
the person to whom the transfer is to be made.
The Board shall not exercise the power conferred by subsection (1) above—
for a purpose falling within paragraph (a) of subsection (3) above, except with the consent of, or pursuant to a direction given under subsection (4) above by, the Secretary of State; or
for a purpose specified in paragraph (b) or (c) of subsection (3) above, except pursuant to such a direction.
Subject to the following provisions of this Part, on the day on which a scheme under subsection (1) above comes into force (in this Part referred to as the “transfer date”) the property, rights and liabilities affected by the scheme shall, subject to section 97 below, be transferred and vest by virtue of, and in accordance with, the scheme.
Each of the powers conferred on the Board by this section— and nothing in this section shall be construed as authorising the disregard by the Board of any enactment or rule of law.
is in addition to, and not in derogation from, the other powers so conferred and the other powers of the Board; and
relates only to the capacity of the Board as a statutory corporation;
In this Part, “franchise company” means any body corporate which is, or is to be, the franchisee or the franchise operator under a franchise agreement.
Expressions used in subsection (8) above and in Part I above have the same meaning in that subsection as they have in that Part.
The Franchising Director shall have power to make schemes for the transfer, at or after the end of the franchise period, of property, rights and liabilities which, immediately before the end of that period, are for the time being designated as franchise assets for the purposes of the franchise agreement in question to—
the Franchising Director;
a company which is wholly owned by the Franchising Director; or
a franchise company.
In the following provisions of this section—
the “transferor” means the person from whom any such property, rights or liabilities as are mentioned in subsection (1) above are transferred by a scheme under this section; and
the “transferee” means the person to whom any such property, rights or liabilities are so transferred.
Subject to any contrary agreement or arrangements which may be made between the transferor and the transferee, where any property, rights or liabilities are transferred by a scheme under this section, there shall be paid by the transferee to the transferor or, as the case may require, by the transferor to the transferee, on the day on which the scheme comes into force such sums as may be specified in, or determined in accordance with, the franchise agreement mentioned in subsection (1) above.
Subject to the following provisions of this Part, on the day on which a scheme under this section comes into force, the property, rights and liabilities affected by the scheme shall, subject to section 97 below, be transferred and vest by virtue of and in accordance with the scheme.
Except as otherwise provided by this Act—
any reference in this Act to a “transfer scheme” shall be taken as including a reference to a scheme under this section;
in the application of any provision of this Act in relation to a scheme under this section, any reference to the “transfer date” shall be taken as a reference to the date on which the scheme comes into force.
In this section “franchise agreement”, “franchise period” and “designated as franchise assets” have the same meaning as they have in Part I above.
Any sums required by the Franchising Director for the purpose of making payments in respect of property, rights or liabilities transferred by a scheme under this section shall be paid by the Secretary of State out of money provided by Parliament.
Any sums received by the Franchising Director in respect of property, rights or liabilities so transferred shall be paid into the Consolidated Fund.
The Secretary of State may by order transfer any functions of the Board under section 85 above to himself or to the Franchising Director.
An order under this section may provide for the transfer of the function in question for all purposes or for such purposes as may be specified in the order.
Where any function is transferred to the Franchising Director under this section, the Secretary of State may, after consultation with the Franchising Director, direct the Franchising Director to exercise the function by making a scheme for the transfer of an undertaking or part of an undertaking, or any property, rights or liabilities, to a publicly owned railway company, a company wholly owned by the Franchising Director or a franchise company; and, if the Secretary of State gives such a direction, he may also—
give the Franchising Director directions with respect to any matter specified in paragraph (a), (b) or (c) of section 85(4) above; or
if the transfer is directed to be made to a publicly owned railway company which has not yet been formed, direct the Franchising Director to form, or take part in forming, a company for the purpose.
In relation to any function transferred to the Franchising Director under this section, subsection (3) above shall have effect in substitution for subsection (4) of section 85 above and any reference in this Act to a direction under the said subsection (4) shall be construed accordingly.
An order under this section may make such modifications of this Part as may be consequential upon, or incidental or supplemental to, the transfer effected by the order.
Where the Secretary of State gives the Board directions— the wholly owned subsidiary of the Board shall remain such until the transfer under the scheme has taken effect.
under section 84 above, with respect to the formation of a wholly owned subsidiary of the Board, and
under section 85 above, with respect to the making of a scheme for the transfer of anything to that wholly owned subsidiary,
Where the Secretary of State gives the Board directions under section 85 above with respect to the making of a scheme for the transfer of anything to a company which is wholly owned by the Crown, that company shall remain wholly owned by the Crown until the transfer under the scheme has taken effect.
Where the Secretary of State gives the Franchising Director directions under or by virtue of section 87 above with respect to the making of a scheme for the transfer of anything to a publicly owned railway company, that company shall remain a publicly owned railway company until the transfer under the scheme has taken effect.
Where a wholly owned subsidiary of the Board is formed pursuant to a direction under section 84 above, none of the following persons, that is to say, the Board, any wholly owned subsidiary of the Board or any person acting on behalf of the Board or its wholly owned subsidiaries, shall dispose of any interests in that subsidiary except—
with the consent of the Secretary of State and subject to compliance with such conditions (if any) as he may impose in connection with that consent; or
pursuant to a direction of the Secretary of State under subsection (6) below or section 89 below.
None of the following persons, that is to say, the Franchising Director, any company which is wholly owned by the Franchising Director or any person acting on behalf of the Franchising Director or any such company, shall dispose of any interests in a company which is wholly owned by the Franchising Director except—
with the consent of the Secretary of State and subject to compliance with such conditions (if any) as he may impose in connection with that consent; or
pursuant to a direction of the Secretary of State under subsection (7) below.
The Secretary of State may at any time direct the Board to transfer, or arrange for there to be transferred, to him or such other person as may be specified in the direction any interests in a company so specified, being a wholly owned subsidiary of the Board formed pursuant to a direction under section 84 above, which are for the time being held by or on behalf of the Board.
The Secretary of State may at any time direct the Franchising Director to transfer, or arrange for there to be transferred, to the Secretary of State or such other person as may be specified in the direction any interests in any company so specified which are for the time being held by the Franchising Director, any company which is wholly owned by the Franchising Director or any person acting on behalf of the Franchising Director or any such company.
Where the Secretary of State gives a direction under subsection (6) or (7) above, it shall be the duty of the Board or, as the case may be, the Franchising Director to secure that the interests in question are transferred in accordance with the terms of the direction in such manner, and on or before such date, as may be specified for the purpose in the direction, and notwithstanding any duty imposed upon the Board by section 3(1) of the Transport Act 1962.
If the Secretary of State, after consultation with the Board, so directs, the Board shall dispose or secure the disposal (whether by way of sale, lease or exchange and, if by way of sale or lease, whether for nominal or valuable consideration) of—
the whole or any part of the undertaking, or any property, rights or liabilities, of the Board or of any wholly owned subsidiary of the Board; or
without prejudice to paragraph (a) above, any securities of any subsidiary of the Board which are held by or on behalf of the Board or any other subsidiary of the Board.
The directions that may be given under this section by the Secretary of State include directions specifying—
the manner in which, and time within which, the disposal is to be effected;
that which is to be disposed of;
the person to whom the disposal is to be made.
No disposal shall be made by the Board, or by any subsidiary of the Board, in pursuance of a direction under this section except with the consent of the Secretary of State and subject to compliance with such conditions (if any) as he may impose in connection with that consent.
The powers of disposal conferred on the Board by virtue of this section are in addition and without prejudice to those conferred by section 14(1)(e) of the Transport Act 1962 (power to dispose of any part of the Board’s undertaking, or any property, no longer required for the purposes of the Board’s business) which shall accordingly also continue to be exercisable by the Board.
In section 27 of the Transport Act 1962, in subsection (4) (which provides that the Secretary of State may direct the Board and the British Waterways Board to discontinue any of their activities, dispose of any part of their undertaking, dispose of any assets held by them, call in any loan made by them or exercise any power they may possess to revoke any guarantees given by them) the words “dispose of any part of their undertaking, dispose of any assets held by them" shall cease to have effect in so far as relating to the Board.
The Secretary of State may, after consultation with the Board, give directions to the Board with respect to the exercise of any rights conferred on the Board by the holding of interests in companies.
A direction under subsection (1) above may be general in character or may relate to the manner in which such rights as are mentioned in that subsection are to be exercised in a particular case.
In section 27 of the Transport Act 1962, in subsection (1) (which provides that the Secretary of State may give general directions to the Board as to the exercise and performance of their functions in relation to matters appearing to him to affect the national interest, including the exercise of rights conferred by the holding of interests in companies) the words “ (including the exercise of rights conferred by the holding of interests in companies) ” shall cease to have effect so far as relating to the Board.
Subsection (5) of that section (which provides that the Secretary of State may, after consultation with the Board, direct the Board to exercise control over a subsidiary of the Board so as to require the subsidiary to discontinue any of their activities, dispose of any part of their undertaking, dispose of any assets held by them, call in any loan made by them or exercise any power they may possess to revoke any guarantees given by them) shall cease to have effect so far as relating to the Board.
A transfer scheme may—
define the property, rights and liabilities to be transferred to the transferee—
by specifying or describing the property, rights and liabilities in question;
by referring to all (or all but so much as may be excepted) of the property, rights and liabilities comprised in a specified part of the transferor’s undertaking; or
partly in the one way and partly in the other;
provide that any rights or liabilities specified or described in the scheme shall be enforceable either by or against the transferor or transferee (or both of them);
impose on the transferor or transferee an obligation to enter into such written agreements with, or execute such other instruments in favour of, the transferor or transferee or such other person as may be specified in the scheme;
make such supplemental, incidental, consequential or transitional provision as the maker of the scheme considers appropriate.
An obligation imposed by a provision included in a transfer scheme by virtue of paragraph (c) of subsection (1) above shall be enforceable by civil proceedings by the transferor or transferee or other person mentioned in that paragraph for an injunction or for interdict or for any other appropriate relief or remedy.
A transaction of any description which is effected in pursuance of such a provision as is mentioned in subsection (2) above—
shall have effect subject to the provisions of any enactment which provides for transactions of that description to be registered in any statutory register; but
subject to that, shall be binding on all other persons, notwithstanding that it would, apart from this subsection, have required the consent or concurrence of any other person.
No right of reverter (or corresponding right in Scotland), right of pre-emption, right of forfeiture, right of re-entry, right of irritancy, option or similar right affecting land shall operate or become exercisable as a result of any transfer of land— and, without prejudice to paragraph 8 of Schedule 8 to this Act, any such right or option shall accordingly have effect in the case of any such transfer as if the transferee in relation to that transfer were the same person in law as the transferor and as if no transfer of the land had taken place.
by virtue of a transfer scheme;
by or under an agreement or instrument made or executed pursuant to any provision of Schedule 8 to this Act or pursuant to any directions given, or requirement imposed, under that Schedule; or
pursuant to an obligation imposed by a provision included in a transfer scheme by virtue of paragraph (c) of subsection (1) above;
Subsection (4) above shall have effect in relation to— as it has effect in relation to a transfer of land; and any reference in that subsection or in the following provisions of this section to the transferor or the transferee shall be construed accordingly.
the grant or creation of an estate or interest in, or right over, land, or
the doing of any other thing in relation to land,
In any case where— such compensation as may be just shall be paid to him by the transferor or the transferee (or by both) in respect of the extinguishment of the right or option.
any such right or option as is mentioned in subsection (4) above would, apart from that subsection, have operated in favour of, or become exercisable by, a person, but
the circumstances are such that, in consequence of the operation of that subsection, the right or option cannot subsequently operate in favour of that person or, as the case may be, become exercisable by him,
Any dispute as to whether any, and (if so) how much, compensation is payable under subsection (6) above, or as to the person to or by whom it shall be paid, shall be referred to and determined by—
an arbitrator appointed by the President for the time being of the Royal Institution of Chartered Surveyors; or
where the proceedings are to be held in Scotland, an arbiter appointed by the Lord President of the Court of Session; or
where the proceedings are to be held in Northern Ireland, an arbitrator appointed by the Chairman of the Royal Institution of Chartered Surveyors in Northern Ireland .
If it appears to the transferor that a person is or may be entitled to compensation under subsection (6) above, he shall— or, if the transferor is not aware of the name and address of the person concerned, shall publish, in such manner as he considers appropriate, a notice containing information about the interest affected and inviting any person who thinks that he is or may be entitled to compensation to make such representations to the transferor within such period (being not less than 28 days from the date of publication of the notice) as may be specified in the notice.
notify that person that he is or may be so entitled, and
invite him to make such representations as he wishes to the transferor not later than fourteen days after the date of issue of the document containing the notification required by paragraph (a) above,
A transfer scheme may provide that any functions of the transferor under a statutory provision—
shall be transferred to the transferee;
shall be concurrently exercisable by two or more transferees; or
shall be concurrently exercisable by the transferor and one or more transferees.
Subsection (1) above applies in relation to any function under a statutory provision if and to the extent that the statutory provision—
relates to any part of the transferor’s undertaking, or to any property, which is to be transferred by the scheme; or
authorises the carrying out of works designed to be used in connection with any such part of the transferor’s undertaking or the acquisition of land for the purpose of carrying out any such works.
Subsection (1) above does not apply to any function of the Board or of any of the Board’s subsidiaries under any provision of this Act or of—
the Transport Act 1962;
the Transport Act 1968;
section 4 of the Railways Act 1974; or
sections 119 to 124 of the Transport Act 1985.
A transfer scheme may define any functions of the transferor to be transferred or made concurrently exercisable by the scheme in accordance with subsection (1) above—
by specifying the statutory provisions in question;
by referring to all the statutory provisions (except those specified in subsection (3) above) which—
relate to any part of the transferor’s undertaking, or to any property, which is to be transferred by the scheme, or
authorise the carrying out of works designed to be used in connection with any such part of the transferor’s undertaking or the acquisition of land for the purpose of carrying out any such works; or
by referring to all the statutory provisions within paragraph (b) above, but specifying certain excepted provisions.
In this section “statutory provision” means a provision whether of a general or of a special nature contained in, or in any document made or issued under, any Act, whether of a general or a special nature.
Schemes may be made—
assigning such qualifying employees, or qualifying employees of such a class or description, as may be specified in the scheme to such part of their employer’s undertaking as may be so specified;
modifying the terms and conditions of employment of those employees; and
providing for the payment of compensation to any of those employees by his employer in respect of any overall detriment incurred by the employee in consequence of any modifications made by the scheme to his terms and conditions of employment.
A scheme shall be made only for the purpose of facilitating, or otherwise in contemplation of, or in connection with,—
the disposal of the undertaking, or part of the undertaking, of the Board or of a wholly owned subsidiary of the Board;
the transfer, by virtue of a transfer scheme, of any property, rights or liabilities—
from the Board or a wholly owned subsidiary of the Board to any such subsidiary or to a publicly owned railway company or a company wholly owned by the Franchising Director; or
from a company wholly owned by the Franchising Director to another such company;
the provision of railway passenger services, or the operation of additional railway assets, under a franchise agreement, in circumstances where a previous franchise agreement relating to the provision of those services or the operation of those assets comes, or has come, to an end;
the performance of any duty imposed on the Franchising Director by any provision of Part I above to secure—
the provision of any railway passenger services;
the operation of any network or part of a network;
the operation of any station or light maintenance depot, or any part of a station or light maintenance depot; or
the exercise of the power conferred on the Franchising Director by section 30 above to secure the operation of any additional railway assets.
The power to make a scheme shall be exercisable—
by the Board, in respect of employees of the Board or of any wholly owned subsidiary of the Board; or
by the Franchising Director, in respect of employees of any company which is wholly owned by the Franchising Director.
Where a scheme modifies the terms and conditions of employment of any person, the person’s terms and conditions of employment after the modification takes effect must overall, and taking account of the amount or value of any compensation payable to him by virtue of subsection (1)(c) above in respect of any such detriment as is there mentioned, be no less favourable to him than his terms and conditions of employment before the modification takes effect.
The duty imposed on an employer by section 4 of the Employment Rights Act 1996 (requirement for written statement in respect of certain changes relating to an employee’s employment) shall extend to all of the modifications made by a scheme to a qualifying employee’s terms and conditions of employment, as if those modifications were changes required to be dealt with in a written statement under that section.
If any qualifying employee whose terms and conditions of employment are modified by a scheme is aggrieved— he may make a written complaint to the maker of the scheme not later than twelve weeks after the date of issue of the written statement required by section 4 of the Employment Rights Act 1996in consequence of the modifications made by the scheme in the qualifying employee’s terms and conditions of employment.
at the provisions made by the scheme with respect to the payment of compensation, so far as applicable in his case, or
at the fact that the scheme does not make any such provision,
Any complaint under subsection (6) above shall be referred to, and determined by, such arbitrator as may be agreed by the qualifying employee and the person to whom the complaint was made or, at the request of either of them, by a panel of three arbitrators appointed by the Secretary of State and consisting of—
a person who appears to the Secretary of State to be representative of employers in the railway industry;
a person who appears to the Secretary of State to be representative of employees in the railway industry; and
an independent chairman.
A scheme may make such incidental, consequential, supplemental or transitional provision as appears necessary or expedient to the person making the scheme.
A scheme may make different provision for different qualifying employees or for qualifying employees of different classes or descriptions.
A scheme shall not come into force unless it has been approved by the Secretary of State or until such date as the Secretary of State may, after consultation with the maker of the scheme, specify for the purpose in giving his approval.
In the application of this section in relation to Scotland, any reference to an arbitrator shall be taken as a reference to an arbiter.
In the application of this section to Northern Ireland, for any reference to section 4 of the Employment Rights Act 1996there shall be substituted a reference to section 4(4) to (6B) of the Contracts of Employment and Redundancy Payments Act (Northern Ireland) 1965.
In this section— and expressions used in this section and in Part I above have the same meaning in this section as they have in that Part.
This section applies where any property, rights or liabilities are transferred by virtue of a transfer scheme between—
the Board and any company which, at the time of the transfer, is either—
a wholly owned subsidiary of the Board; or
wholly owned by the Crown; or
any two companies which, at the time of the transfer, fall within paragraph (a) above.
Where this section applies, the transfer scheme may state—
the value at which any asset transferred to the transferee by virtue of the scheme is to be entered in the opening accounts of the transferee; or
the amount at which any liability so transferred is to be entered in those accounts.
The value or amount (if any) stated by virtue of subsection (2) above shall be— unless the maker of the transfer scheme considers that some other amount or value is appropriate in all the circumstances of the case, in which case the amount or value stated by virtue of subsection (2) above shall be that other amount or value.
in a case where the whole of the asset or liability in question is transferred by the transfer scheme, the value or amount at which the asset or liability appeared in the last full accounts of the transferor, or
in a case where part only of the asset or liability is so transferred, such part of the value or amount at which the asset or liability appeared in the last full accounts of the transferor as may be determined by or in accordance with the transfer scheme,
Where this section applies, the transfer scheme may provide that the amount to be included in the opening accounts of the transferee in respect of any item shall be determined as if so much of anything done (or treated as done) by the transferor (whether by way of acquiring, revaluing or disposing of any asset or incurring, revaluing or discharging any liability, or by carrying any amount to any provision or reserve, or otherwise) as may be determined by or in accordance with the transfer scheme had been done by the transferee.
Without prejudice to the generality of the preceding provisions of this section, where this section applies, the transfer scheme may provide—
that the amount to be included from time to time in any reserves of the transferee as representing its accumulated realised profits shall be determined as if such proportion of any profits realised and retained by the transferor as may be determined by or in accordance with the transfer scheme, had been realised and retained by the transferee;
that the amount to be included from time to time in the opening accounts and any subsequent statutory accounts of the transferee as representing its accumulated realised losses shall be determined as if such proportion of any accumulated realised losses of the transferor as may be determined by or in accordance with the transfer scheme had been losses realised by the transferee.
In this section—
Where, in exercise of any functions conferred on him by section 86 above or transferred to him by an order under section 87 above, the Franchising Director or the Secretary of State (in this section referred to as “the relevant authority”) proposes to make a transfer scheme, he may direct any person to whom this section applies— and the persons to whom this section applies are the Office of Rail and Road, the Board, any wholly owned subsidiary of the Board, any publicly owned railway company, any franchise company and any company which is wholly owned by the Franchising Director.
to furnish him with such information as the relevant authority considers necessary to enable him to make the scheme; and
to do so within such time (being not less than 28 days from the giving of the direction) as may be specified in the direction;
If a person fails to comply with a direction under subsection (1) above, the relevant authority may serve a notice under subsection (3) below on that person.
A notice under this subsection is a notice signed by the relevant authority and—
requiring the person on whom it is served to produce, at a time and place specified in the notice, to the relevant authority or to any person appointed by the relevant authority for the purpose, any documents which are specified or described in the notice and are in that person’s custody or under his control; or
requiring that person to furnish, at a time and place and in the form and manner specified in the notice, to the relevant authority such information as may be specified or described in the notice.
No person shall be required under this section to produce any documents which he could not be compelled to produce in civil proceedings in the court or, in complying with any requirement for the furnishing of information, to give any information which he could not be compelled to give in evidence in any such proceedings.
A person who without reasonable excuse fails to do anything required of him by notice under subsection (3) above is guilty of an offence and shall be liable on summary conviction to a fine not exceeding level 5 on the standard scale.
A person who intentionally alters, suppresses or destroys any document which he has been required by any notice under subsection (3) above to produce is guilty of an offence and shall be liable—
on summary conviction, to a fine not exceeding the statutory maximum;
on conviction on indictment, to a fine.
If a person makes default in complying with a notice under subsection (3) above, the court may, on the application of the relevant authority, make such order as the court thinks fit for requiring the default to be made good; and any such order may provide that all the costs or expenses of and incidental to the application shall be borne by the person in default or by any officers of a company or other association who are responsible for its default.
Any reference in this section to the production of a document includes a reference to the production of a legible and intelligible copy of information recorded otherwise than in legible form; and the reference to suppressing a document includes a reference to destroying the means of reproducing information recorded otherwise than in legible form.
In this section “the court” means the High Court, in relation to England and Wales, and the Court of Session, in relation to Scotland.
A transfer scheme made by the Board or the Franchising Director, otherwise than under section 86 above, shall not come into force unless it has been approved by the Secretary of State or until such date as the Secretary of State may specify for the purpose in giving his approval.
The Secretary of State shall not make a transfer scheme except after consultation with the transferor.
Before approving a transfer scheme made by the Franchising Director or the Board, the Secretary of State, after consultation with the transferor and, in the case of a scheme made by the Franchising Director, with the Franchising Director, may modify the scheme.
It shall be the duty of the transferor to provide the Secretary of State with all such information and other assistance as he may require for the purposes of or in connection with the exercise, in relation to a transfer scheme, of any power conferred on him by this section.
The provisions of Schedule 8 to this Act shall apply to any transfer by virtue of a transfer scheme; and sections 85(6) and 86(4) above shall have effect subject to the provisions of that Schedule.
This section applies where any property, rights or liabilities are vested in accordance with a transfer scheme in a successor company which at the time of the vesting is either—
a wholly owned subsidiary of the Board; or
Government owned.
Where this section applies, the successor company shall, as a consequence of the vesting referred to in subsection (1) above, issue to the appropriate person such securities of that company as may from time to time be directed—
by the Secretary of State, if the transfer scheme was made in pursuance of a direction given by him; or
in any other case, by the Board with the consent of the Secretary of State.
The “appropriate person” for the purposes of subsection (2) above is—
the Board, in a case where the direction under that subsection is given at a time when the successor company is a wholly owned subsidiary of the Board; or
the Secretary of State, in a case where the direction under that subsection is given at a time when the successor company is Government owned.
No direction shall be given under subsection (2) above to the successor company at any time after that company— unless, in a case where paragraph (b) above would otherwise apply, the cessation mentioned in that paragraph occurs in consequence of the successor company’s becoming Government owned pursuant to a direction under section 88(6) above, in which case directions under subsection (2) above may continue to be given until the company ceases to be Government owned.
has ceased to be Government owned, or
has ceased to be a wholly owned subsidiary of the Board,
Securities required to be issued in pursuance of a direction under subsection (2) above shall be issued or allotted at such time or times, and on such terms, as may be specified in the direction.
Shares of the successor company which are issued in pursuance of a direction under subsection (2) above—
shall be of such nominal value as the Secretary of State may direct; and
shall be issued as fully paid and treated for the purposes of the Companies Act 1985 as if they had been paid up by virtue of the payment to that company of their nominal value in cash.
Any dividends or other sums received by the Treasury or the Secretary of State in right of, or on the disposal of, any securities acquired by virtue of this section shall be paid into the Consolidated Fund.
In this section, “Government owned”, in relation to any successor company, means wholly owned by the Crown, but not wholly owned by the Franchising Director.
The Treasury or, with the approval of the Treasury, the Secretary of State may at any time acquire securities of a successor company which at that time is—
a wholly owned subsidiary of the Board; or
wholly owned by the Crown.
The Secretary of State shall not dispose of any securities acquired under this section without the approval of the Treasury.
Any expenses incurred by the Treasury or the Secretary of State in consequence of the provisions of this section shall be paid out of money provided by Parliament.
Any dividends or other sums received by the Treasury or the Secretary of State in right of, or on the disposal of, any securities acquired under this section shall be paid into the Consolidated Fund.
The Treasury or, with the approval of the Treasury, the Secretary of State may, for the purposes of section 98 or 99 above or section 106 below, appoint any person to act as the nominee, or one of the nominees, of the Treasury or the Secretary of State; and— in accordance with directions given from time to time by the Treasury or, with the consent of the Treasury, by the Secretary of State.
securities of a successor company may be issued under section 98 above or section 106 below to any nominee of the Treasury or the Secretary of State appointed for the purposes of that section, and
any such nominee appointed for the purposes of section 99 above may acquire securities under that section,
Any person holding any securities as a nominee of the Treasury or the Secretary of State by virtue of subsection (1) above shall hold and deal with them (or any of them) on such terms and in such manner as the Treasury or, with the consent of the Treasury, the Secretary of State may direct.
As soon as he considers expedient and, in any case, not later than six months after any operating company ceases to be a public sector railway company, the Secretary of State shall by order fix a target investment limit in relation to the shares for the time being held in that company by virtue of any provision of this Part by the Treasury and their nominees and by the Secretary of State and his nominees (in this section referred to as “the Government shareholding”).
The target investment limit for the Government shareholding in an operating company shall be expressed as a proportion of the voting rights which are exercisable in all circumstances at general meetings of the company (in this section referred to as “the ordinary voting rights”).
The first target investment limit fixed under this section for the Government shareholding in a particular company shall not exceed, by more than 0.5 per cent. of the ordinary voting rights, the proportion of those rights which is in fact carried by the Government shareholding in that company at the time when the order fixing the limit is made.
The Secretary of State may from time to time by order fix a new target investment limit for the Government shareholding in an operating company in place of the one previously in force under this section; but—
any new limit must be lower than the one it replaces; and
an order under this section may only be revoked by an order fixing a new limit.
It shall be the duty of the Treasury and of the Secretary of State so to exercise— as to secure in relation to each operating company that the Government shareholding in that company does not carry a proportion of the ordinary voting rights exceeding any target investment limit for the time being in force under this section in relation to that company.
their powers under section 99 above and any power to dispose of any shares held by virtue of any provision of this Part, and
their power to give directions to their respective nominees,
Notwithstanding subsection (5) above but subject to subsection (7) below, the Treasury or the Secretary of State may take up, or direct any nominee of the Treasury or of the Secretary of State to take up, any rights which are for the time being available to them or him, or to the nominee, either—
as an existing holder of shares or other securities of an operating company; or
by reason of the rescission of any contracts for the sale of such shares or securities.
If, as a result of anything done under subsection (6) above, the proportion of the ordinary voting rights carried by the Government shareholding in an operating company at any time exceeds the target investment limit for the time being in force under this section in relation to that company, it shall be the duty of the Treasury or, as the case may be, the Secretary of State to comply with subsection (5) above as soon after that time as is reasonably practicable.
For the purposes of this section the temporary suspension of any of the ordinary voting rights shall be disregarded.
The Secretary of State shall not exercise any power conferred on him by this section except with the consent of the Treasury.
In this section—
If articles of association of a successor company confer on the Secretary of State powers exercisable with the consent of the Treasury for, or in connection with, restricting the sums of money which may be borrowed or raised by the group during any period, those powers shall be exercisable in the national interest notwithstanding any rule of law and the provisions of any enactment.
For the purposes of this section an alteration of the articles of association of a successor company shall be disregarded if the alteration—
has the effect of conferring or extending any such power as is mentioned in subsection (1) above; and
is made at a time when that company is neither a wholly owned subsidiary of the Board nor wholly owned by the Crown.
In this section “group”, in relation to a company, means that company and all of its subsidiaries taken together.
The Secretary of State may, with the approval of the Treasury, make loans of such amounts as he thinks fit to any successor company which is for the time being wholly owned by the Crown.
Any loans which the Secretary of State makes under this section shall be repaid to him at such times and by such methods, and interest on any such loans shall be paid to him at such rates and at such times, as he may, with the approval of the Treasury, from time to time direct.
The Treasury may issue out of the National Loans Fund to the Secretary of State such sums as are required by him for making loans under this section.
Any sums received under subsection (2) above by the Secretary of State shall be paid into the National Loans Fund.
It shall be the duty of the Secretary of State as respects each financial year— and the Comptroller and Auditor General shall examine, certify and report on the account and shall lay copies of it and of his report before each House of Parliament.
to prepare, in such form as the Treasury may direct, an account of sums issued to him in pursuance of subsection (3) above and of sums received by him under subsection (2) above and of the disposal by him of the sums so issued or received; and
to send the account to the Comptroller and Auditor General not later than the end of the month of August in the following financial year;
The Treasury may guarantee, in such manner and on such terms as they may think fit, the repayment of the principal of, the payment of interest on, and the discharge of any other financial obligation in connection with, any sums which are borrowed from a person other than the Secretary of State by any successor company which is for the time being wholly owned by the Crown.
Immediately after a guarantee is given under this section, the Treasury shall lay a statement of the guarantee before each House of Parliament; and immediately after any sum is issued for fulfilling a guarantee so given, the Treasury shall so lay a statement relating to that sum.
Any sums required by the Treasury for fulfilling a guarantee under this section shall be charged on and issued out of the Consolidated Fund.
If any sums are issued in fulfilment of a guarantee given under this section, the company whose obligations are so fulfilled shall make to the Treasury, at such times and in such manner as the Treasury may from time to time direct—
payments of such amounts as the Treasury may so direct in or towards repayment of the sums so issued; and
payments of interest on what is outstanding for the time being in respect of sums so issued at such rate as the Treasury may so direct.
Any sums received under subsection (4) above by the Treasury shall be paid into the Consolidated Fund.
The Secretary of State may, with the approval of the Treasury, make to any successor company which is for the time being wholly owned by the Crown grants of such amounts, at such times and in such manner, as he may with the approval of the Treasury determine, towards the expenditure of that company.
Grants under this section may be made subject to such conditions as the Secretary of State with the approval of the Treasury may determine.
Any sums required by the Secretary of State for making grants under this section shall be paid out of money provided by Parliament.
The Secretary of State may by order extinguish all or any of the liabilities of a successor company which is for the time being— in respect of the principal of such relevant loans as may be specified in the order; and the assets of the National Loans Fund shall accordingly be reduced by amounts corresponding to any liabilities so extinguished.
a wholly owned subsidiary of the Board, or
wholly owned by the Crown,
Where the Secretary of State has made an order under subsection (1) above and he considers it appropriate to do so, he may from time to time give a direction under this subsection to the company whose liabilities are extinguished by the order, or to a company or companies wholly owning the company whose liabilities are so extinguished; and a company to which such a direction is given shall, as a consequence of the making of the order, issue such securities of the company as may be specified or described in the direction—
to the Treasury or the Secretary of State; or
if it is the company whose liabilities are extinguished by the order, to a company or companies wholly owning that company.
For the purposes of any statutory accounts of a company to whom securities are issued by virtue of subsection (2)(b) above, the value at the time of its issue of any such security shall be taken— and such nominal value or principal sum shall be taken in those accounts to be accumulated realised profits.
in the case of a share, to have been equal to its nominal value; and
in the case of a debenture, to have been equal to the principal sum payable under the debenture,
In subsection (3) above “statutory accounts of a company” means any accounts prepared by the company for the purpose of any provision of the Companies Act 2006 (including group accounts).
The Secretary of State—
shall not give a direction under subsection (2) above for the issue of securities except at a time when the company whose liability is extinguished by the order or, as the case may be, the company which is directed to issue securities satisfies the condition in subsection (6) below; and
shall not give a direction under paragraph (b) of subsection (2) above except at a time when the company, or each of the companies, to whom the securities are to be issued satisfies that condition.
The condition referred to in subsection (5) above is that the company is for the time being—
a wholly owned subsidiary of the Board; or
wholly owned by the Crown.
Unless the Secretary of State otherwise determines in any particular case, where a company is directed to issue debentures in pursuance of this section—
the aggregate of the principal sums payable under the debentures to which the direction relates shall be equal to the aggregate of the sums the liability to repay which is extinguished by the order; and
the terms as to the payment of the principal sums payable on the debentures to which the direction relates, and as to the payment of interest on those principal sums, shall be the same as the corresponding terms of the loans specified in the order.
For the purposes of subsection (7) above, any express or implied terms of a loan shall be disregarded in so far as they relate to the early discharge of liabilities to make repayments of principal and payments of interest.
Subsections (5) to (7) of section 98 above shall apply for the purposes of this section as they apply for the purposes of that section.
The Secretary of State shall not exercise any power conferred on him by this section except with the consent of the Treasury.
In this section “relevant loan”, in relation to a successor company, means any loan made to the Board under section 20 of the Transport Act 1962, if and to the extent that the liability to repay that loan is transferred to and vested in that company by virtue of a transfer scheme.
For the purposes of this section the company or companies wholly owning another company are—
any company of which that other is a wholly owned subsidiary, or
any two or more companies which between them hold all the issued securities of that other.
In any case where— that person shall not be treated as responsible for that information in so far as it is stated in the document to form part of the listing particulars for securities of any other of those companies.
the same document contains listing particulars for securities of two or more licensed successor companies, and
any person’s responsibility for any information included in the document is stated in the document to be confined to its inclusion as part of the listing particulars for securities of any one of those companies,
Sections 150 and 154 of the 1986 Act (advertisements etc in connection with listing applications) shall have effect in relation to any information issued for purposes connected with any securities of a licensed successor company as if any reference to a person’s incurring civil liability included a reference to any other person being entitled, as against that person, to be granted a civil remedy or to rescind or repudiate any contract.
Subsections (1) and (2) above have effect only in relation to licensed successor companies—
which are wholly owned subsidiaries of the Board; or
which are wholly owned by the Crown.
In this section—
“listing particulars” means any listing particulars or supplementary listing particulars within the meaning of the 1986 Act;
“notice” means notice in writing;
Subsection (2) below shall have effect for the purpose of applying paragraph 3(b) of Part IV of Schedule 1 to the Trustee Investments Act 1961 (which provides that shares and debentures of a company shall not count as wider-range and narrower-range investments respectively within the meaning of that Act unless the company has paid dividends in each of the five years immediately preceding that in which the investment is made) in relation to investment, during the first investment year or any following year, in shares or debentures of a licensed successor company—
whose shares or debentures are included in the Official List, within the meaning of Part IV of the Financial Services Act 1986, in pursuance of that Part; and
which, immediately before its shares or debentures were admitted to that Official List, was—
a wholly owned subsidiary of the Board; or
a company wholly owned by the Crown.
The licensed successor company shall be deemed to have paid a dividend as mentioned in the said paragraph 3(b)—
in every year preceding the first investment year which is included in the relevant five years; and
in the first investment year, if that year is included in the relevant five years and that company does not in fact pay such a dividend in that year.
In this section—
After section 21 of the Transport Act 1962 (Treasury guarantees) there shall be inserted—.
If the Secretary of State by order so provides, sections 19 to 21A of the Transport Act 1962 (which, among other things, make provision for and in connection with— shall apply in relation to any wholly owned subsidiary of the Board designated in the order as they apply in relation to the Board, but with such modifications as may be specified in the order.
the borrowing powers of the Board,
the making by the Secretary of State of loans to the Board,
the giving by the Treasury of guarantees in respect of sums borrowed by the Board from persons other than the Secretary of State, and
the making by the Secretary of State of grants to the Board),
Without prejudice to the generality of the modifications of those sections that may be specified in an order under this section, any such order may include provision imposing limits on the amounts that may be outstanding at any time in respect of the principal of any money borrowed by wholly owned subsidiaries of the Board under section 19 of the Transport Act 1962 in its application by virtue of this section.
(c) the principal of any money borrowed by wholly owned subsidiaries of the Board under that section in its application by virtue of section 110 of the Railways Act 1993,
Schedule 9 to this Act (which makes provision about stamp duty and stamp duty reserve tax in relation to or in connection with the other provisions of this Part) shall have effect.
It shall be the principal objective of the Secretary of State in exercising the powers conferred on him by or under sections 84 to 97 above to secure as soon as, in his opinion, is reasonably practicable the result that the function of providing railway services in Great Britain is performed by private sector operators.
In pursuing that principal objective, the Secretary of State shall have regard to the desirability of— and for the purposes of paragraph (d) above, financial terms may be regarded as “favourable” notwithstanding that any expenses incurred in procuring or effecting the disposal are not exceeded by any proceeds of sale arising from it.
encouraging competition between those who provide railway services;
maintaining efficiency, economy and safety of operation in the provision of railway services in Great Britain;
providing opportunities for persons employed in railway undertakings to acquire (whether alone or jointly with others) an interest in the ownership of the undertakings in which they are employed; and
securing that the disposal takes place on the most favourable financial terms that can reasonably be obtained in all the circumstances of the case;
The Secretary of State may give the Board directions, whether of a general or specific character, requiring such steps as may be specified or otherwise described in the directions to be taken by the Board with a view to—
facilitating the attainment by the Secretary of State of the principal objective specified in subsection (1) above;
identifying methods of accomplishing any of the matters specified in paragraphs (a) to (d) of subsection (2) above; or
generally assisting in securing the prompt and effective implementation of any proposals made by the Secretary of State for the exercise of any power conferred on him by or under this Act.
Expressions used in this section and in Part I above have the same meaning in this section as they have in that Part.
None of the following persons, that is to say— shall be regarded for any purpose of the Companies Acts (as defined in section 2(1) of the Companies Act 2006) as a shadow director, within the meaning of those Acts (see section 251 of that Act), of any body falling within subsection (2) below.
the Secretary of State,
the Franchising Director,
the Board,
Those bodies are—
any publicly owned railway company;
any company which is wholly owned by the Franchising Director;
any subsidiary of the Board;
any franchise company;
any company concerning which a direction (whether of a general or specific character) has been given under section 90 above to the Board with respect to the exercise by the Board of the rights conferred by their holding of interests in that company.
being a director nominated or appointed by a Minister of the Crown, the Director of Passenger Rail Franchising or any other person acting on behalf of the Crown
In this Part, unless the context otherwise requires—
Any reference in this Part to property, rights or liabilities is a reference to property or (as the case may be) rights or liabilities— and references to an undertaking or part of an undertaking shall be construed accordingly.
whether or not capable of being transferred or assigned otherwise than under or by virtue of this Act;
whether situate or subsisting in the United Kingdom or elsewhere; and
whether the person entitled to the property or rights or, as the case may be, subject to the liabilities is so entitled or subject—
under the law of the United Kingdom or of any part of the United Kingdom; or
under the law of any country or territory outside the United Kingdom;
Part I of the Health and Safety at Work etc. Act 1974 (“the 1974 Act") shall have effect as if the provisions mentioned in subsection (4) below (which relate to the proper construction and safe operation of certain transport systems, and of the vehicles used on those systems, and the protection of railway employees or the general public from personal injury and other risks arising therefrom)—
were existing statutory provisions, within the meaning of that Part; and
in the case of the enactments mentioned in paragraphs (a) to (m) of that subsection, were specified in the third column of Schedule 1 to that Act.
If to any extent they would not do so apart from this subsection, the general purposes of Part I of the 1974 Act shall include—
securing the proper construction and safe operation of transport systems to which this section applies, and of any locomotives, rolling stock or other vehicles used, or to be used, on those systems; and
protecting the public (whether passengers or not) from personal injury and other risks arising from the construction and operation of transport systems to which this section applies.
Without prejudice to the generality of subsection (1) of section 15 of the 1974 Act (health and safety regulations), regulations under that section may—
repeal or modify any of the provisions mentioned in subsection (4) below; and
make any provision which, but for any such repeal or modification, could be made by regulations or orders made under any enactment there mentioned.
The provisions referred to in subsections (1) and (3) above are—
the Highway (Railway Crossings) Act 1839;
sections 9 and 10 of the Railway Regulation Act 1842;
section 22 of the Regulation of Railways Act 1868;
the Regulation of Railways Act 1871;
sections 1 and 4 of the Regulation of Railways Act 1889;
the Railway Employment (Prevention of Accidents) Act 1900;
section 42 of the Road and Rail Traffic Act 1933;
section 40 of the British Transport Commission Act 1954;
section 66 of the British Transport Commission Act 1957;
sections 124 and 125 of the Transport Act 1968;
the Level Crossings Act 1983;
sections 41 to 45 of the Transport and Works Act 1992;
any regulations made under section 2 of the European Communities Act 1972 for the purpose of implementing the Council 91/440/EEC. Directive of 29th July 1991 on the development of the Community’s railways, so far as the regulations are made for safety purposes.
In consequence of subsection (1) above and the resulting application of sections 38 and 50 of the 1974 Act (consent to prosecutions, and procedural requirements for making regulations)—
in section 57 of the Transport and Works Act 1992 (duty to consult before making regulations under, among other provisions, section 38(2), 41 or 43 of that Act) for the words “38(2), 41 or 43" there shall be substituted the words “ or 38(2) ”; and
in section 58 of that Act (which requires the consent of the Secretary of State or the Director of Public Prosecutions to a prosecution for an offence under Part II of that Act) after the words “offence under this Part" there shall be inserted the words “ , other than an offence under section 41 or 43 above, ”.
This section applies to the following transport systems, that is to say—
any railway, tramway or trolley vehicle system; or
any transport system using any other mode of guided transport.
The definitions of “guided transport”, “railway”, “tramway”, “trolley vehicle system” and “vehicle” in section 67(1) of the Transport and Works Act 1992 shall have effect for the purposes of this section as they have effect for the purposes of that Act, but disregarding for the purposes of this section paragraph (b) of the definition of “railway" (which includes a condition as to the minimum gauge of the track).
In time of hostilities, whether actual or imminent, severe international tension or great national emergency, the Secretary of State may give directions under this subsection to such of the following persons as he may consider appropriate, that is to say—
the Office of Rail and Road;
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
any person who is the owner or operator of a relevant asset;
any person who provides railway services.
The Secretary of State may at any time give directions under this subsection to any person falling within paragraphs (a) to (d) of subsection (1) above whom he may consider appropriate, requiring that person to participate in the planning of steps that might be taken in time of actual or imminent hostilities, severe international tension or great national emergency.
The power to give directions under subsection (1) above to the Office of Rail and Road . . . includes power to direct the carrying out of functions in such manner or for such purposes as may be specified in the direction.
The power to give directions under subsection (1) above to a person who is the owner or operator of a relevant asset or who provides railway services includes power—
in the case of a person who is the owner of a relevant asset, to direct that person to permit the use of, or to exercise his rights over, the relevant asset in such manner or for such purposes as may be specified in the direction;
in the case of a person who is the operator of a relevant asset, to direct that person to exercise his powers of management over the relevant asset in such manner or for such purposes as may be so specified; and
in the case of a person who provides railway services, to direct that person to do so in such manner or for such purposes as may be so specified.
The Office of Rail and Road . . . shall . . . be under a duty to comply with a direction . . . under this section, notwithstanding the requirements of any other enactment or instrument . . ..
A person who is the owner or operator of a relevant asset or who provides railway services shall be under a duty to comply with a direction given to him under this section, notwithstanding the requirements of any other enactment or instrument relating to him or to— as the case may be, and notwithstanding any other duty or obligation to which he may be subject.
the use of, or the exercise of rights over, the relevant asset,
the management of the relevant asset, or
the railway services,
Any person who, without reasonable excuse, contravenes or fails to comply with a direction given to him under this section is guilty of an offence and shall be liable—
on summary conviction, to a fine not exceeding the statutory maximum; or
on conviction on indictment, to a fine or imprisonment for a term not exceeding two years or both.
No proceedings shall be instituted in England and Wales in respect of an offence under this section except by or with the consent of the Secretary of State or the Director of Public Prosecutions.
Any person (other than the Office of Rail and Road . . . ) who suffers direct injury or loss arising from compliance with a direction under subsection (1) above shall be entitled to receive compensation from the Secretary of State of such amount as may be agreed by that person and the Secretary of State or, in default of agreement, of such amount as may be determined—
where the proceedings are to be held in England and Wales, by an arbitrator appointed by the President for the time being of the Royal Institution of Chartered Surveyors, or
where the proceedings are to be held in Scotland, by an arbiter appointed by the Lord President of the Court of Session.
Any sums required by the Secretary of State for paying compensation under this section shall be paid out of money provided by Parliament.
In this section— and, subject to that, expressions used in this section and in Part I . . . above have the same meaning in this section as they have in that Part with “railway”having its wider meaning for the purposes of this section..
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
The Secretary of State may from time to time give— such instructions as the Secretary of State considers appropriate for the purpose of ensuring that relevant assets within Great Britain, or persons or property on or in any such relevant asset, are protected against acts of violence.
to any person who is the owner or operator of a relevant asset, or
to any person who provides railway services,
An instruction may be given to any person who appears to the Secretary of State to be about to become such a person as is mentioned in paragraph (a) or (b) of subsection (1) above, but an instruction given to a person by virtue of this subsection shall not take effect until he becomes such a person and, in relation to an instruction so given, the provisions of this section shall apply with the necessary modifications.
Without prejudice to the generality of subsection (1) above, an instruction may, in particular, require the person to whom it is given (“the recipient")—
not to cause or permit any persons, or any designated persons, or more than a specified number of persons or designated persons, to enter any relevant asset or any designated relevant asset, or not to cause or permit them to do so unless they submit to a search or unless or until some other specified condition is complied with;
not to cause or permit any goods, or any designated goods, or more than a specified quantity of goods or designated goods, to be brought or loaded on to or into any relevant asset or any designated relevant asset, or not to do so unless the goods in question are subjected to a search or unless or until some other specified condition is complied with;
to run no trains, or to restrict the running of trains, or to run no train unless it is subjected to a search, or unless or until some other specified condition is complied with;
to secure the carrying out of a search of—
any designated relevant assets, or
any persons or designated persons who, or any goods or designated goods which, are on or in any such assets;
to furnish to the Secretary of State such information as he may require for the purpose mentioned in subsection (1) above;
to prepare plans specifying action to be taken by the recipient and his servants or agents— and to conduct, at specified intervals, exercises in connection with the implementation of such plans;
in the event that an act of violence of a specified description occurs, or
in times when there is an increased likelihood of such acts occurring,
to employ specified numbers of suitably trained staff for the purpose of preventing the occurrence of acts of violence;
to meet specified requirements with respect to the construction of, or to make specified modifications to—
any relevant assets, or any designated relevant assets, of which the recipient is the owner or operator, or
any apparatus or equipment, or any designated apparatus or equipment, on or in any such assets.
Where an instruction requires the carrying out of a search, it may also specify—
the kind of search which is to be carried out;
the manner in which the search is to be carried out; and
the persons, or the class or description of persons, who are to carry out the search.
Where any person refuses to submit himself or any goods in his possession to a search required by an instruction, any person authorised to carry out that search may take any steps that are necessary, including the use of reasonable force— but this subsection is without prejudice to any other powers of the person carrying out the search.
to prevent the person concerned from entering the relevant asset in relation to which the search is being carried out; or
to eject him, and any goods in his possession, from that asset;
An instruction—
shall be in writing;
shall specify the time at which, or the period within which, it is to be complied with, and the period during which it is to have effect;
may be varied or revoked by the Secretary of State.
The Secretary of State may give an instruction under this section for the protection of a relevant asset that is wholly in Scotland, or of persons or property on or in such an asset, only if—
the asset would be a relevant asset even if railway did not have its wider meaning for the purposes of this section; or
the instruction is given in the interests of national security.
No instruction shall have effect in relation to any rolling stock which is for the time being in use in police service or in the service of the armed forces of the Crown.
In subsection (5A) the reference to an instruction given in the interests of national security includes a reference to any instruction given for the purpose of ensuring that protection against terrorism is provided to the asset, persons or property in question.
A person who is the owner or operator of a relevant asset or who provides railway services shall be under a duty to comply with an instruction given to him under this section, notwithstanding the requirements of any other enactment or instrument relating to him or to— as the case may be, and notwithstanding any other duty or obligation to which he may be subject.
the use of, or the exercise of rights over, the relevant asset,
the management of the relevant asset, or
the railway services,
A person who without reasonable excuse fails to do anything required of him by an instruction is guilty of an offence and shall be liable—
on summary conviction, to a fine not exceeding the statutory maximum; or
on conviction on indictment, to a fine or to a term of imprisonment not exceeding two years, or to both.
No proceedings shall be instituted in England and Wales in respect of an offence under subsection (9) above except by or with the consent of the Secretary of State or the Director of Public Prosecutions.
In this section— and, subject to that, expressions used in this section and in Part I above have the same meaning in this section as they have in that Part with “railway” having its wider meaning for the purposes of this section.
“owner”, in relation to a relevant asset, means any person—
Where it appears to the Secretary of State that a person upon whom an instruction has been served has failed, is failing or is likely to fail to comply with that instruction, he may serve on that person a notice (in this section referred to as an “enforcement notice") containing such provision as the Secretary of State may consider requisite for the purpose of ensuring that the person complies with the instruction and specifying, in particular—
the things, or the description of things, which the person is required to do, or refrain from doing, in order to comply with the instruction;
the time within which, or after which, the person must do, or refrain from doing, those things; and
the period during which the person is to do, or refrain from doing, those things.
The Secretary of State may vary or revoke an enforcement notice, and any reference in this section to an enforcement notice includes a reference to such a notice as varied under this subsection.
Where the Secretary of State varies or revokes an enforcement notice under subsection (2) above he shall serve notice of the variation or revocation on the person on whom the enforcement notice in question was served.
A person who without reasonable excuse fails to do anything required of him by an enforcement notice is guilty of an offence and shall be liable—
on summary conviction, to a fine not exceeding the statutory maximum; or
on conviction on indictment, to a fine or to a term of imprisonment not exceeding two years, or to both.
No proceedings shall be instituted in England and Wales in respect of an offence under subsection (4) above except by or with the consent of the Secretary of State or the Director of Public Prosecutions.
Section 119(8) above shall have effect in relation to an enforcement notice as it has effect in relation to an instruction.
Expressions used in this section and in section 119 above have the same meaning in this section as they have in that section.
For the purpose of enabling the Secretary of State to determine whether to give an instruction to any person, or of ascertaining whether any instruction or enforcement notice is being or has been complied with, a person authorised for the purpose by the Secretary of State in writing (in this section referred to as “an authorised person”) shall have power, on production (if required) of his credentials, to inspect any relevant asset.
An authorised person inspecting a relevant asset under subsection (1) above shall have power— but nothing in paragraph (a) above shall entitle an authorised person to subject any rolling stock, or any part of any rolling stock, to any test.
to subject any property found by him on or in the relevant asset, or any apparatus or equipment installed in the relevant asset, to such tests as he considers necessary for the purpose for which the inspection is carried out;
to take such steps as he considers necessary for that purpose—
to ascertain what practices or procedures are being followed in relation to security; or
to test the effectiveness of any practice or procedure relating to security; or
to require the owner or operator of the relevant asset to furnish to him such information as the authorised person considers necessary for that purpose;
An authorised person, for the purpose of exercising any power conferred on him by subsection (1) or (2) above in relation to any relevant asset, shall have power— but nothing in this subsection authorises any use of force.
to board any rolling stock and to take all such steps as are necessary to ensure that it is not moved; or
to enter any land or other property comprised either in any track or in a network, station or light maintenance depot;
A person is guilty of an offence if he—
intentionally obstructs an authorised person acting in the exercise of any power conferred on him by this section;
fails, without reasonable excuse, to comply with a requirement imposed on him under paragraph (c) of subsection (2) above to furnish information to an authorised person; or
in furnishing any information required under that paragraph, makes a statement which he knows to be false in a material particular, or recklessly makes a statement which is false in a material particular.
A person guilty of an offence under subsection (4) above shall be liable—
on summary conviction, to a fine not exceeding the statutory maximum;
on conviction on indictment, to a fine or to imprisonment for a term not exceeding two years, or to both.
No proceedings shall be instituted in England and Wales in respect of an offence under subsection (4) above except by or with the consent of the Secretary of State or the Director of Public Prosecutions.
Expressions used in this section and in section 119 or 120 above have the same meaning in this section as they have in that section.
In this section “railway security service” means a process or activity carried out for the purpose of—
complying with a requirement of an instruction under section 119, or
facilitating a person’s compliance with a requirement of an instruction under section 119.
Regulations may provide for the Secretary of State to maintain a list of persons who are approved by him for the provision of a particular railway security service.
The regulations may—
prohibit the provision of a railway security service by a person who is not listed in respect of that service;
prohibit the use or engagement for the provision of a railway security service of a person who is not listed in respect of that service;
create a criminal offence;
make provision about application for inclusion in the list (including provision about fees);
make provision about the duration and renewal of entries on the list (including provision about fees);
make provision about training or qualifications which persons who apply to be listed or who are listed are required to undergo or possess;
make provision about removal from the list which shall include provision for appeal;
make provision about the inspection of activities carried out by listed persons;
confer functions on the Secretary of State or on a specified person;
confer jurisdiction on a court.
Regulations under subsection (3)(c)—
may not provide for a penalty on summary conviction greater than a fine not exceeding the statutory maximum,
may not provide for a penalty of imprisonment on conviction on indictment greater than imprisonment for a term not exceeding two years (whether or not accompanied by a fine), and
may create a criminal offence of purporting, with intent to deceive, to do something as a listed person or of doing something, with intent to deceive, which purports to be done by a listed person.
An instruction under section 119 may—
include a requirement to use a listed person for the provision of a railway security service;
provide for all or part of the instruction not to apply or to apply with modified effect where a listed person provides a railway security service.
Regulations under this section—
may make different provision for different cases,
may include incidental, supplemental or transitional provision,
shall be made by the Secretary of State by statutory instrument,
shall not be made unless the Secretary of State has consulted organisations appearing to him to represent persons affected by the regulations, and
shall be subject to annulment in pursuance of resolution of either House of Parliament.
Subject to the following provisions of this section— if and so long as the qualifying conditions are satisfied in the particular case.
any person shall have authority—
to use, or to cause or permit any agent or independent contractor of his to use, rolling stock on any track, or
to use, or to cause or permit any agent or independent contractor of his to use, any land comprised in a network, station or light maintenance depot for or in connection with the provision of network services, station services or light maintenance services, and
any person who is the owner or occupier of any land shall have authority to authorise, consent to or acquiesce in—
the use by another of rolling stock on any track comprised in that land, or
the use by another of that land for or in connection with the provision of network services, station services or light maintenance services,
For the purposes of this section, the “qualifying conditions” are—
in relation to any use of rolling stock on track—
that the track is comprised in a network, station or light maintenance depot, and
that the operator of that network, station or light maintenance depot is the holder of an appropriate licence or has the benefit of an appropriate licence exemption; and
in relation to any use of land for or in connection with the provision of network services, station services or light maintenance services, that the operator of the network, station or light maintenance depot in question is the holder of an appropriate licence or has the benefit of an appropriate licence exemption.
The authority conferred by this section is conferred only for the purpose of providing a defence of statutory authority—
in England and Wales—
in any proceedings, whether civil or criminal, in nuisance; or
in any civil proceedings, other than proceedings for breach of statutory duty, in respect of the escape of things from land;
in Scotland, in any civil proceedings on the ground of nuisance where the rule of strict liability applies, other than proceedings for breach of statutory duty.
Nothing in this section shall be construed as excluding a defence of statutory authority otherwise available under or by virtue of any enactment.
The owner or occupier of any land shall be regarded for the purposes of this section as “acquiescing” in— notwithstanding that it is not within his power to put an end to that use by that other.
any use by another of rolling stock on track comprised in that land, or
any use of that land by another for or in connection with the provision of network services, station services or light maintenance services,
For the purposes of this section—
any reference to the use of rolling stock on track includes a reference to the carriage of any passengers or other persons, or any goods, of any class or description for any purpose on or by means of that rolling stock on that track; and
rolling stock shall be regarded as “used” on any track at any time when it is present on that track, irrespective of whether the rolling stock is comprised in a train or not, whether the rolling stock is moving or stationary and, if moving, irrespective of the means by which the motion is caused.
In this section— and expressions used in this section and in Part I above have the same meaning in this section as they have in that Part.
No person shall be regarded as a common carrier by railway.
Sections 33 to 42 of the Post Office Act 1953 (which make provision for and in connection with the power of the Post Office to compel railway undertakers to convey mail-bags on their trains) shall cease to have effect.
A publicly owned railway company, the Board or any wholly owned subsidiary of the Board may dispose of any historical record or artefact which it owns and which is in its possession, but only if the disposal is in accordance with any directions given to the company or, as the case may be, the Board or the subsidiary under subsection (2) below by a committee (“the committee”) established under a scheme made under this section.
It shall be the function of the committee—
to designate those classes or descriptions of record or artefact which, in the opinion of the committee, are of sufficient interest to warrant preservation and to notify publicly owned railway companies, the Board or any wholly owned subsidiary of the Board of the classes or descriptions so designated;
to give directions to publicly owned railway companies, the Board or any wholly owned subsidiary of the Board—
specifying the person or persons or the classes or descriptions of person to whom the companies or, as the case may be, the Board or subsidiary must offer any historical record or artefact; and
where there are two or more such persons, specifying the order in which the offers are to be made; and
to give directions to publicly owned railway companies, the Board or any wholly owned subsidiary of the Board with respect to the terms (including any terms relating to payment) on which the companies or, as the case may be, the Board or subsidiary must offer any historical record or artefact to any such person.
Directions under paragraph (b) or (c) of subsection (2) above may be of a general or specific character and may make different provision in relation to different classes or descriptions of record or artefact or different records or artefacts of the same class or description.
A scheme under this section—
shall provide for the committee to consist of a chairman, and not less than six other members, appointed by the Board with the approval of the Secretary of State;
may make provision requiring the Board—
to provide the committee with such administrative and secretarial assistance as the committee may reasonably require;
to reimburse any out-of-pocket expenses duly incurred by the chairman and other members of the committee in the performance of their functions; and
may contain such supplemental and incidental provision as the Secretary of State may consider necessary or expedient.
The power to make a scheme under this section shall be exercisable by order made by the Secretary of State after consultation with—
the Board; and
such other persons as the Secretary of State may consider appropriate.
Subject to paragraph 7 of Schedule 1 to the Public Records Act 1958 and any Orders in Council made under that paragraph, nothing in that Schedule shall cause any records disposed of under or by virtue of subsection (1) above to become, by reason of that or any subsequent disposal, public records within the meaning of that Act; but any records disposed of under or by virtue of that subsection which at any time are for the time being in the custody of the Secretary of State for Scotland may be treated for the purposes of section 5(1) of the Public Records (Scotland) Act 1937 as records belonging to Her Majesty.
Nothing in subsection (1) above, and no provision of any scheme made under this section, shall apply to any disposal made in accordance with a transfer scheme under Part II above.
Without prejudice to the continuing operation of section 144 of the Transport Act 1968 in relation to the transfer or other disposal of any such historical records and relics, or other documents or objects, as are mentioned in that section— that section shall, in consequence of this section, cease to have effect in relation to transfers or other disposals of any such historical records or relics, or other objects or documents, by the Board as from such date as the Secretary of State may by order appoint.
by any body or person which is a relevant authority, within the meaning of that section, or
by any such subsidiary or former subsidiary as is mentioned in subsection (7A) of that section,
In this section (except subsection (8) above), “historical record or artefact” means any record or artefact of a class or description designated by the committee pursuant to subsection (2)(a) above.
In section 3 of the Transport Act 1962, at the beginning of subsection (1) (duty of the Board to provide railway services in Great Britain) there shall be inserted the words “Subject to subsection (1A) of this section,” and after that subsection there shall be inserted—
At the end of that section there shall be added—
The Board shall have power to provide business support services for—
the Regulator;
any person who provides, or secures the provision of, railway services; or
any person carrying on any undertaking which was, immediately before 1st April 1993, carried on by the Board or any wholly owned subsidiary of the Board.
Without prejudice to the generality of the expression, the provision of “business support services” includes for the purposes of this section—
the provision of any service or facility for or in relation to—
information technology;
property management;
marketing;
the issuing of tickets;
research; or
engineering; and
the provision of technical or specialist advice.
If the Secretary of State is of the opinion— he may by order provide that, as from the date on which the order comes into force, the Board shall cease to have power to provide the business support services in question.
that the Board has ceased to provide business support services of any class or description, or
that it is no longer necessary, or no longer desirable, for the Board to have power to provide any business support services, or business support services of any class or description,
The power of the Secretary of State to make an order under subsection (3) above is exercisable in relation to any power of the Board to provide business support services, whether under this section or otherwise.
An order under subsection (3) above may make such consequential amendments or repeals in any enactment as may appear to the Secretary of State to be necessary or expedient for the purposes of, or in connection with, the order.
In this section “railway services” has the same meaning as in Part I above.
Section 13 of the Transport Act 1962 (which confers on the British Waterways Board and the Board powers to manufacture and produce items for business purposes) shall be amended in accordance with the following provisions of this section.
After subsection (1) (which confers on the Boards power to undertake activities for the purposes of any business falling within paragraphs (a) to (c) of that subsection), there shall be inserted—
At the end of that section, there shall be added—
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
An independent railway operator may make bye-laws regulating—
the use and working of, and travel on or by means of, any relevant assets;
the maintenance of order on any relevant assets; and
the conduct of all persons while on any relevant assets.
Without prejudice to the generality of subsection (1) above, an independent railway operator may, in particular, make bye-laws—
with respect to tickets issued for entry upon relevant assets or travel by railway and the evasion of payment of fares or other charges;
with respect to interference with, or obstruction of, the working of any railway or any relevant asset or the provision of any railway service;
with respect to the smoking of tobacco in railway carriages and elsewhere and the prevention of nuisance;
with respect to the receipt and delivery of goods; and
for regulating the passage of bicycles and other vehicles on footways and other premises controlled by him and intended for the use of those on foot.
In section 67 of the Transport Act 1962, after subsection (9) (confirmation of bye-laws by the Minister) there shall be inserted—
Subsections (3) and (5) to (12) of section 67 of the Transport Act 1962 (procedure for making bye-laws) shall apply in relation to bye-laws under this section as they apply in relation to bye-laws under subsection (1) of that section, but with the substitution for any reference to the Board of a reference to the independent railway operator in question.
Subsection (4) of that section shall apply in relation to bye-laws under this section as it applies in relation to bye-laws under subsection (1) of that section, but—
taking the reference to “a Board” as including a reference to an independent railway operator (and construing the reference to “the Board in question” accordingly); and
taking the reference to “their railway” as including, in the case of that independent railway operator, a reference to any relevant asset.
If and to the extent that, immediately before the coming into force of a transfer scheme, any bye-laws— have effect in relation to an undertaking, or part of an undertaking, transferred by the scheme, those bye-laws shall, as from the coming into force of the transfer scheme in relation to that undertaking or, as the case may be, that part of the undertaking, have effect in relation to the undertaking or part (as the case may be) as bye-laws made under this section by the transferee.
made by the Board under section 67 of the Transport Act 1962, or having effect as if so made, or
made by an independent railway operator under this section, or having effect as if so made,
In this section “independent railway operator” means any person, other than the Board, who is authorised by a licence to be the operator of a railway asset or of railway assets of a class or description.
The exclusion of the Board from being an independent railway operator is without prejudice to the Board’s subsidiaries and wholly owned subsidiaries.
For the purposes of this section “relevant assets”, in the case of any independent railway operator, means—
any railway assets in relation to which he is the operator; and
any rolling stock not falling within paragraph (a) above of which he has the management for the time being.
Expressions used in this section and in Part I or II above have the same meaning in this section as they have in that Part.
Apart from the amendment made by subsection (3) above, this section is without prejudice to section 84(3) of the Transport Act 1962.
Any sums received by the Secretary of State under or by virtue of this section shall be paid into the Consolidated Fund.
The Secretary of State, the Welsh Ministers and the Scottish Ministers shall each have power by regulations to make provision for and in connection with— and in this section any reference to a ticket or other authority of any description includes a reference to any other document which, under the regulations, is required to be produced in conjunction with any such ticket or other authority, for the purpose of demonstrating that the ticket or other authority produced by a person is valid in his case.
the imposition of requirements on persons travelling by, present on, or leaving trains or stations to produce, if required to do so in accordance with the regulations, a ticket or other authority authorising them to travel by, be present on, or leave the train or station in question; and
the charging of persons in breach of such requirements to financial penalties (in this section referred to as “penalty fares”) in such circumstances, and subject to compliance with such conditions (if any), as may be prescribed;
Regulations may make provision for or with respect to—
the persons who may be charged penalty fares;
the persons by or on behalf of whom penalty fares may be charged;
the trains and stations by reference to which penalty fares may be charged;
the amount, or the greatest amount, which a person may be charged by way of penalty fare, whether a specified amount or one determined in a prescribed manner;
the authorising of persons to be collectors;
the manner in which charges to penalty fares may be imposed by collectors, including any requirements to be complied with by or in relation to collectors;
the authorising of collectors in prescribed circumstances to require persons on trains or stations to furnish prescribed information;
the display of prescribed notices in places of a prescribed description;
the manner in which, and the period within which, any penalty fare charged to a person is to be paid;
the issue of prescribed documents to persons who are charged, or who have paid, penalty fares;
the recovery of any unpaid penalty fare as a civil debt, including provision—
for or with respect to defences that are to be available in proceedings for the recovery of an unpaid penalty fare; or
for presumptions of fact to operate, in such proceedings, in favour of the person charged with the penalty fare, but subject to compliance with prescribed procedural requirements;
the retention, by persons by or on behalf of whom charges to penalty fares are imposed, of sums paid by way of penalty fare;
the remission of liability to pay penalty fares and the repayment of sums paid by way of penalty fare;
the prevention of a person’s being liable both to payment of a penalty fare and to prosecution for a prescribed offence;
the imposition by the Secretary of State, the Welsh Ministers or the Scottish Ministers of prohibitions on the charging of penalty fares by prescribed persons and in prescribed circumstances.
The power of the Welsh Ministers under this section to make provision for and in connection with the imposition of requirements on persons present on or leaving stations is exercisable only in relation to persons present on or leaving relevant Welsh stations in connection with the use of railway passenger services provided under Welsh franchise agreements or secured to any extent by the Welsh Ministers.
The documents mentioned in subsection (2)(k) above include any document which consists of or includes—
notice of the imposition of a charge to a penalty fare;
a receipt for the payment of a penalty fare; or
a ticket or other authority to travel by, be present on, or leave a train or station.
In subsection (1ZA) “relevant Welsh stations” are stations wholly in Wales that are used for the purposes of railway passenger services provided under Welsh franchise agreements or secured to any extent by the Welsh Ministers.
Regulations may impose, or make provision for and in connection with the imposition or enforcement of, prescribed requirements in prescribed circumstances on or against a holder of a passenger licence or station licence or a passenger service operator (whether or not one by or on behalf of whom penalty fares are or are to be charged); and, without prejudice to the generality of the foregoing, any such regulations may make provision with respect to—
the display of notices relating to penalty fares;
the provision of facilities for the issue of tickets or other authorities to travel by, be present on, or leave trains or stations;
the provision of information to prescribed persons or persons of a prescribed class or description.
The power of the Welsh Ministers under this section to make provision for and in connection with the imposition of requirements on persons travelling by, present on or leaving trains is exercisable only in relation to persons—
travelling by or present on trains in Wales used for the purposes of—
a Wales-only service; or
any other railway passenger service provided under a Welsh franchise agreement or secured to any extent by the Welsh Ministers, except where subsection (1ZD) applies; or
leaving such trains at stations wholly in Wales.
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
functions which involve the exercise by him of judgement or a discretion; and
functions which empower him in prescribed circumstances to impose such conditions or requirements as he may think fit on prescribed persons or on persons of a prescribed class or description.
This subsection applies where—
the next scheduled call to be made by the service is at a station wholly or partly in England and the previous scheduled call was at a station wholly in Wales (but not where the train is at a scheduled call wholly in Wales); or
the next scheduled call to be made by the service is at a station wholly in Wales and the previous scheduled call was at a station wholly or partly in England.
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
paragraph (d), (l) or (o) of subsection (2) above; or
subsection (7) below;
The power of the Secretary of State under this section to make provision for and in connection with the imposition of requirements on persons present on or leaving stations is not exercisable in relation to persons falling within subsection (1ZA).
Regulations may provide that where information is required to be furnished pursuant to the regulations— shall, in prescribed circumstances, be an offence punishable on summary conviction by a fine not exceeding level 2 on the standard scale.
a refusal to furnish any such information, or
the furnishing of information which is false in a material particular,
The power of the Secretary of State under this section to make provision for and in connection with the imposition of requirements on persons travelling by, present on or leaving trains is not exercisable in relation to persons falling within subsection (1ZC).
Apart from subsection (7) above, nothing in this section creates, or authorises the creation of, any offence.
The power of the Scottish Ministers under this section shall be exercisable only in relation to trains and stations used for the purposes of—
railway passenger services provided under Scottish franchise agreements; or
a railway passenger service not falling within paragraph (a) which is a Scotland-only service or (without being such a service) is a service the provision of which is secured by the Scottish Ministers.
Regulations may make provision for any area within Great Britain and may make different provision for or in relation to different areas.
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
any such rules may make different provision for different cases; and
without prejudice to paragraph (a) above, subsection (9) above shall apply in relation to any such rules as it applies in relation to regulations.
Subsections (2) to (5) above are without prejudice to the generality of subsection (1) above.
In this section— and, subject to that, expressions used in Part I above and in this section have the same meaning in this section as they have in that Part.
Before making any regulations which have the effect of varying the amount, or the greatest amount, which a person within, or travelling to or from, Greater London may be charged by way of penalty fare, the Secretary of State must consult the Mayor of London.
A statutory instrument containing regulations made by the Scottish Ministers under this section is subject to annulment in pursuance of a resolution of the Scottish Parliament.
A statutory instrument containing regulations made by the Welsh Ministers under this section is subject to annulment in pursuance of a resolution of the National Assembly for Wales.
The Restrictive Trade Practices Act 1976 (the “1976 Act”) shall not apply to an agreement relating to the provision of railway services if the making of the agreement, and the inclusion in it of each provision by virtue of which the 1976 Act would (apart from this subsection) apply to the agreement, is required or approved—
by the Secretary of State or the Regulator, in pursuance of any function assigned or transferred to him under or by virtue of any provision of this Act (other than this section);
by or under any agreement the making of which is required or approved by the Secretary of State or the Regulator in pursuance of any such function; or
by or under a licence granted under Part I above.
In subsection (3) below, “relevant agreement” means an agreement—
which relates to the provision of railway services; and
to which (notwithstanding the provisions of subsection (1) above) the 1976 Act applies.
If it appears to the Secretary of State— he may give a direction to the Director requiring him not to make an application to the Restrictive Practices Court under Part I of the 1976 Act in respect of that relevant agreement or, as the case may be, any relevant agreement of that class or description.
that those provisions of a relevant agreement, or of relevant agreements of some particular class or description, by virtue of which the 1976 Act applies to that agreement or those agreements do not have, and are not intended or likely to have, to any significant extent the effect of restricting, distorting or preventing competition, or
that all or any of those provisions have, or are intended or likely to have, that effect to a significant extent, but that the effect is not greater than is necessary for—
the protection of the interests of users of railway services,
the promotion of the use of any railway network in Great Britain or elsewhere for the carriage of passengers and goods or the development of any such railway network,
the promotion of efficiency and economy on the part of persons providing railway services, or
the promotion of measures designed to facilitate the making by passengers of journeys which involve use of the services of more than one passenger service operator,
The Secretary of State may vary or revoke any direction given under subsection (3) above if he is satisfied that there has been a material change of circumstances such that— and where the Secretary of State so varies or revokes any direction, he shall give notice of the variation or revocation to the Director.
the grounds for the direction have ceased to exist; or
there are grounds for giving a different direction;
In this section “agreement” has the same meaning as in the 1976 Act; and, subject to that, expressions which are used in this section and in Part I above have the same meaning in this section as they have in that Part.
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
The Secretary of State may make a scheme for the organisation, control and administration of the transport police employed by the Board.
A scheme may only be made after consultation with the Board and with—
persons to whom the Board is for the time being making available the services of transport police, or
such bodies or persons appearing to the Secretary of State to be representative of those persons as he may consider appropriate.
A scheme may make provision enabling the Board to make an agreement— for making the services of transport police available to that person for such period, to such extent, and on such terms, as may be specified in the agreement.
with any such person as may be specified in the scheme, or
with any person falling within any such class or description of person as may be so specified,
A scheme which makes such provision as is mentioned in subsection (3) above shall also make provision for the method of settling any dispute in relation to transport police which may arise between the Board and the person with whom any such agreement as is mentioned in that subsection is made.
Where the Board makes any such agreement as is mentioned in subsection (3) above, transport police may act, in accordance with the terms of the agreement, as constables in, on and in the vicinity of any premises owned by the person with whom the agreement is made, notwithstanding the provisions of section 53(1) of the British Transport Commission Act 1949 or section 53(4) of that Act as it applies to Scotland (which restrict the places in which they may so act).
A scheme may contain such supplemental, incidental, consequential or transitional provision as the Secretary of State may consider appropriate.
A scheme may make modifications consequential on its provisions in section 53 of the British Transport Commission Act 1949.
Schedule 10 to this Act shall have effect for the purpose of making provision consequential upon the provisions of this section.
The power to make a scheme shall be exercisable by statutory instrument, and a statutory instrument containing a scheme shall be subject to annulment in pursuance of a resolution of either House of Parliament.
In this section—
“transport police” means constables appointed under section 53 of the British Transport Commission Act 1949; and
“scheme” means a scheme made under subsection (1) above.
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
There shall continue to be a conference consisting of an equal number of representatives of the Board and of transport police to which all questions relating to rates of pay, hours of duty and conditions of service of transport police shall be referred.
In the event of disagreement between the two sides of the conference, an independent chairman shall be appointed with power to give decisions which shall have effect as decisions of the conference.
The independent chairman shall be chosen by agreement between the two sides of the conference or, failing such agreement, shall be nominated by the Secretary of State.
In this section “transport police” has the meaning given in section 132(10) above.
Schedule 11 to this Act shall have effect.
Section 74 of the Transport Act 1962 (power of Secretary of State to make orders about pensions) shall cease to have effect, so far as relating to the Board and (within the meaning of that section) its subsidiaries, on the coming into force of subsection (1) above.
Subsection (2) above is without prejudice to the continuing validity of any orders made under that section.
The conditions that may be included in a passenger licence include conditions in respect of arrangements for the provision of staff concessionary travel.
The Secretary of State and the Scottish Ministers may each promote the provision of staff concessionary travel.
The Secretary of State and the Scottish Ministers may each enter into agreements or other arrangements concerning the provision of staff concessionary travel.
Franchise agreements may include conditions with respect to the provision of staff concessionary travel.
The Welsh Ministers may—
promote the provision of staff concessionary travel in Wales, and
enter into agreements or other arrangements concerning the provision of staff concessionary travel in Wales.
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
The The Secretary of State , the Scottish Ministers and the Welsh Ministers may exercise powers and perform duties conferred or imposed on him or them— by entering into agreements or arrangements under which other persons (in this subsection referred to as “sub-contractors”) are to perform the function in question; . . ..
under or by virtue of subsections (2) to (4) above, or
under any agreements or arrangements entered into, or conditions or provisions included, by virtue of those subsections,
Without prejudice to the generality of subsections (3) and (3A) above, the agreements or arrangements that may be made under those subsections include agreements or arrangements under which the Secretary of State undertakes, or the Welsh Ministers or the Scottish Ministers undertake, to secure the provision of staff concessionary travel (as well as agreements or arrangements under which some other person undertakes to provide, or to secure the provision of, staff concessionary travel).
Subsection (7) above applies, with the necessary modifications, in relation to— as it applies in relation to the agreements and arrangements mentioned in subsections (3) and (3A) above.
the conditions mentioned in subsection (4) above, . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
This section is without prejudice to the generality of— whether or not with respect to free or concessionary travel; and subsection (4) above is without prejudice to the generality of subsections (3) and (3A) above.
the conditions which may be included in licences, or
the provision which may be made in franchise agreements . . .,
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Any reference in this section to the provision of “staff concessionary travel” is a reference to the provision of free travel, or travel at concessionary rates, for, or for some class or description of, persons, or dependants of persons, who are or have at any time been employed by—
a person carrying on a business of providing railway services; or
a person providing welfare or health care services to persons employed by a person falling within paragraph (a) above.
In the application of subsection (12) above in relation to any such agreement, arrangements, conditions or provisions as are mentioned in this section, it is immaterial whether or not the provision of free travel, or travel at concessionary rates, mentioned in that subsection extends, in the case of the agreement, arrangements, conditions or provisions in question, only to persons falling within that subsection or to such persons and others; and the references in subsections (2) and (3A) above to promoting the provision of staff concessionary travel shall be construed accordingly.
Expressions used in this section and in Part I above have the same meaning in this section as they have in that Part.
The Secretary of State and the Scottish Ministers shall each be the competent authority of Great Britain in relation to the railways financial status regulations.
The Secretary of State, the Scottish Ministers and, to the extent specified in subsection (2A) below, the National Assembly for Wales shall each be the competent authority of Great Britain, in relation to persons who operate services for the carriage of goods by railway, for the purposes of the public service obligations regulations.
The following persons, that is to say— shall each be the competent authority of Great Britain in relation to passenger service operators for the purposes of the public service obligations regulations.
the Secretary of State,
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
the Scottish Ministers,
to the extent specified in subsection (4) below, every Passenger Transport Executive, and
to the extent specified in subsection (3A) below, the Welsh Ministers,
to the extent specified in subsection (5) below—
every non-metropolitan county or district council in England or in Wales and every council constituted under section 2 of the Local Government etc. (Scotland) Act 1994 in Scotland, and
every London borough council and the Common Council of the City of London,
For the purposes of subsection (2) above the National Assembly for Wales shall only be the competent authority in relation to services for the carriage of goods by railway which are operated within Wales.
For the purposes of subsection (3) above, a Passenger Transport Executive shall only be the competent authority in relation to those railway passenger services which the Executive provide, or secure are provided, in exercise of their powers under section 10(1) of the Transport Act 1968 or section 13 of the Railways Act 2005.
which the Executive provides, or secures are provided, by virtue of section 10(1) or 20(2)(b) of the Transport Act 1968; or
which, in consequence of their being specified in a statement submitted to the Franchising Director under subsection (5) of section 34 above, are provided under a franchise agreement to which the Executive is a party.
Subsections (2) and (2A) cease to have effect on 3rd December 2012.
For the purposes of subsection (3) above—
a council falling within paragraph (d)(i) of that subsection shall only be the competent authority in relation to those railway passenger services whose provision the council secures under section 63 of the Transport Act 1985 (passenger transport in areas other than integrated transport areas and passenger transport areas); and
a council falling within paragraph (d)(ii) of that subsection shall only be the competent authority in relation to those railway passenger services in respect of which the council enters into and carries out agreements under section 177 of the Greater London Authority Act 1999 (provision of extra transport services in London).
The Secretary of State ... may ... , as competent authority by virtue of subsection (3) above, give directions to any passenger service operator imposing on him obligations with respect to the provision or operation of railway passenger services.
For the purposes of subsection (3) above the Welsh Ministers shall only be the competent authority in relation to services for the carriage of passengers by railway which—
are Welsh services (within the meaning of the Railways Act 2005); or
are provided under a franchise agreement to which the Welsh Ministers are a party.
It shall fall to the Secretary of State . . . to make any payments of compensation which are required to be made to a passenger service operator by any provision of the public service obligations regulations in respect of any obligations imposed on that operator by directions under subsection (6) above, and the Secretary of State . . . may, subject to and in accordance with the provisions of those regulations, determine the manner of calculating, and the conditions applicable to, those payments.
The power of giving directions under subsection (6) above shall be so exercised that the aggregate amount of any compensation payable under the public service obligations regulations, for periods ending after 1st April 1992, in respect of all obligations imposed by directions under that subsection shall not exceed £3,000 million or such greater sum not exceeding £5,000 million as the Secretary of State may by order specify.
A statutory instrument containing an order under subsection (8) above shall not be made unless a draft of the instrument has been laid before and approved by a resolution of the House of Commons.
Without prejudice to any right which the Secretary of State . . . may have under this Act to bring civil proceedings in respect of any contravention or apprehended contravention of any directions under subsection (6) above, the obligations imposed by any such directions shall not give rise to any form of duty or liability enforceable against a passenger service operator by proceedings before any court to which the passenger service operator would not otherwise be subject.
In this section—
Expressions used in this section and in Part I above have the same meaning in this section as they have in that Part.
Section 3 of the Railways Act 1974 (which is superseded by this section) shall cease to have effect.
The Secretary of State may, for the purpose of securing the provision of adequate services for the carriage of goods by railway, enter into agreements with goods service operators under which he undertakes to make payments to the goods service operator in question in respect of all or any part of the track access charges which may be incurred by the goods service operator in connection with the provision of the services to which the agreement relates.
The Secretary of State shall not enter into an agreement by virtue of subsection (1) above unless he is satisfied that benefits of a social or environmental nature are likely to result from the provision of those services for the carriage of goods by railway to which the agreement relates.
Any sums required by the Secretary of State for making payments under agreements entered into by virtue of this section shall be paid out of money provided by Parliament.
In this section— and expressions used in this section and in Part I above have the same meaning in this section as they have in that Part.
“relevant operator” has the meaning given by section 55(10) above;
Section 56 of the Transport Act 1968 (Ministerial grants and local authority payments towards capital expenditure incurred in the provision, improvement or development of facilities for public passenger transport) shall be amended in accordance with the following provisions of this section.
After subsection (2) there shall be inserted—
That section shall have effect, and be taken always to have had effect, with the insertion after subsection (3) (which prevents the making of any such grants or payments for the purposes of the provision, improvement or development of an airfield, harbour, dock, pier or jetty) of the following subsection—
The Secretary of State may, out of money provided by Parliament, make grants in accordance with this section towards the provision of any facilities which are to be provided 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.
The Secretary of State shall not make a grant under this section unless he is satisfied—
that, if the facilities in question are provided, they will be used for or in connection with the carriage, or the loading or unloading, of goods of particular classes or descriptions;
that if the facilities are not provided, those goods will be carried by road; and
that it is in the public interest for those goods to be carried by railway.
Grants under this section shall only be made towards expenditure which appears to the Secretary of State to be expenditure of a capital nature which is to be incurred in providing the facilities in question.
Without prejudice to the generality of subsection (1) above, the facilities towards the provision of which grants under this section may be made include track, rolling stock, depots, access roads and equipment for use in connection with the carriage, loading or unloading of goods.
No grant under this section shall be made except in pursuance of an application made to the Secretary of State by the person who intends to provide the facilities; and any such application shall be supported by such evidence as the Secretary of State may require with respect to—
the use which is to be made of the 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;
the amount and destination of the goods in connection with which the facilities are to be used; and
the matters as to which he is required by subsection (2)(b) and (c) above to be satisfied if he is to make a grant under this section.
The Secretary of State may, in making a grant under this section, impose such terms and conditions as he thinks fit.
Expressions used in this section and in Part I above have the same meaning in this section as they have in that Part.
Section 8 of the Railways Act 1974 (freight facilities grants) shall cease to have effect.
The Secretary of State may, out of money provided by Parliament, make grants in accordance with this section towards the provision of any facilities which are to be provided for or in connection with the carriage of goods by inland waterway or the loading or unloading of goods carried or intended to be carried by inland waterway.
The Secretary of State shall not make a grant under this section unless he is satisfied—
that, if the facilities in question are provided, they will be used for or in connection with the carriage, or the loading or unloading, of goods of particular classes or descriptions;
that if the facilities are not provided, those goods will be carried by road; and
that it is in the public interest for those goods to be carried by inland waterway.
Grants under this section shall only be made towards expenditure which appears to the Secretary of State to be expenditure of a capital nature which is to be incurred in providing the facilities in question.
Without prejudice to the generality of subsection (1) above, the facilities towards the provision of which grants under this section may be made include cargo-carrying craft, inland waterway terminals, wharves, access roads and equipment for use in connection with the carriage, loading or unloading of goods.
No grant under this section shall be made except in pursuance of an application made to the Secretary of State by the person who intends to provide the facilities; and any such application shall be supported by such evidence as the Secretary of State may require with respect to—
the use which is to be made of the facilities for or in connection with the carriage of goods by inland waterway or the loading or unloading of goods carried or intended to be carried by inland waterway;
the amount and destination of the goods in connection with which the facilities are to be used; and
the matters as to which he is required by subsection (2)(b) and (c) above to be satisfied if he is to make a grant under this section.
The Secretary of State may, in making a grant under this section, impose such terms and conditions as he thinks fit.
In this section—
Section 36 of the Transport Act 1981 (grants to assist the provision of facilities for freight haulage by inland waterway) shall cease to have effect.
If it appears to the Board that any persons employed by the Board, or by any subsidiary of the Board, are taking steps towards— the Board may provide financial assistance to those persons for the purpose of defraying, in whole or in part, any expenses incurred or to be incurred by them for the purposes of the submission of the tender or the making of the offer.
the submission of such a tender as is mentioned in section 26 above, or
the making of an offer for any part of the Board’s undertaking or for any shares of any subsidiary of the Board,
Without prejudice to the generality of the expression, “steps” includes, for the purposes of subsection (1) above, the formation of, or the acquisition of interests in, a company (in this subsection referred to as an “employees' company”); and accordingly—
any reference in that subsection to the submission of a tender or to the making of an offer includes a reference to the submission of a tender or, as the case may be, to the making of an offer by an employees' company; and
the reference to expenses incurred or to be incurred by those persons includes a reference to expenses incurred or to be incurred by an employees' company.
The Secretary of State may give the Board directions with respect to the provision of financial assistance under this section.
Without prejudice to the generality of subsection (3) above, any such direction may, in particular—
specify a limit on the total amount of the financial assistance which may be provided under this section or on the amount, or the total amount, which may be so provided—
in cases of any particular class or description specified in the direction; or
during any period or periods so specified; or
require the provision of any such financial assistance by the Board to be subject to conditions, including conditions as to repayment.
Expressions used in this section and in Part I or II above have the same meaning in this section as they have in that Part.
There shall be paid out of money provided by Parliament—
any administrative expenses incurred by the Secretary of State or the Treasury in consequence of the provisions of this Act; and
any increase attributable to this Act in the sums payable out of money so provided under any other Act.
Any power under this Act to make regulations, and any power of the Secretary of State, the Welsh Ministers or the Scottish Ministers under this Act to make orders (except the power to make provisional or final orders under section 55), shall be exercisable by statutory instrument.
Any statutory instrument— shall be subject to annulment in pursuance of a resolution of either House of Parliament.
which contains (whether alone or with other provisions) regulations or an order under this Act made by the Secretary of State, other than an order under section 136(8) above or section 154(2) below, and
which is not subject to any requirement that a draft of the instrument be laid before and approved by a resolution of each House of Parliament,
Any power conferred by this Act to make regulations, and any power conferred by this Act on the Secretary of State, the Welsh Ministers or the Scottish Ministers to make an order (other than a provisional or final order under section 55), includes power, exercisable in the same manner, to make such incidental, supplemental, consequential or transitional provision as may appear necessary or expedient to the authority by whom the power to make the regulations or order is exercisable.
Any power under this Act to make regulations, and any power of the Secretary of State, the Welsh Ministers or the Scottish Ministers under this Act to make an order (other than a provisional or final order under section 55), may be exercised—
in relation to all cases to which the power extends, or in relation to those cases subject to specified exceptions, or in relation to any specified cases or classes or descriptions of case;
so as to make, as respects the cases in relation to which it is exercised, different provision for different cases or for different classes or descriptions of case.
It shall be the duty of any person to whom a direction is given under this Act to comply with and give effect to that direction; . . .. . . .
notwithstanding any duty imposed upon the Board by section 3(1) of the Transport Act 1962 or section 41(2) of the Transport Act 1968; and
in the case of a direction under section 89 or 90 above which relates to a subsidiary of the Board, notwithstanding the interests of the subsidiary or any other member of the subsidiary;
Without prejudice to any right which any person may have to bring civil proceedings in respect of any contravention or apprehended contravention of any direction given under this Act, compliance with any such direction shall be enforceable by civil proceedings, by the person by whom the direction was given, for an injunction or interdict or for any other appropriate relief.
Any power conferred by this Act to give a direction shall, unless the context otherwise requires, include power to vary or revoke the direction.
Any direction given under this Act shall be in writing.
Subject to the following provisions of this section, no information with respect to any particular business which— shall, during the lifetime of that individual or so long as that business continues to be carried on, be disclosed without the consent of that individual or the person for the time being carrying on that business.
has been obtained under or by virtue of any of the provisions of this Act; and
relates to the affairs of any individual or to any particular business,
Subsection (1) above does not apply to any disclosure of information which is made—
for the purpose of facilitating the carrying out by the Secretary of State , the Welsh Ministers, the Scottish Ministers, the Office of Rail and Road, . . . or the Competition and Markets Authority of any of his or, as the case may be, their functions under this Act , the Transport Act 2000 or the Railways Act 2005;
for the purpose of facilitating the carrying out by— of any of his or, as the case may be, their functions under any of the enactments or instruments specified in subsection (3) below;
any Minister of the Crown,
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
the Competition and Markets Authority,
the Office of Communications,
the Director General of Gas Supply,
the Water Services Regulation Authority,
the Director General of Electricity Supply,
the Civil Aviation Authority,
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . or
a local weights and measures authority in Great Britain,
for the purpose of facilitating the carrying out or carrying on by the Secretary of State , the Welsh Ministers or the Scottish Ministers of any other functions or activities of his or theirs in relation to railways or railway services;
for the purpose of enabling or assisting the Secretary of State, the Treasury , the Financial Conduct Authority or the Prudential Regulation Authority to exercise any powers conferred by or under the Financial Services and Markets Act 2000 , by or under the Consumer Credit Act 1974 or by the enactments relating to companies or insolvency;
for the purpose of enabling or assisting an official receiver to carry out his functions under the enactments relating to insolvency or for the purpose of enabling or assisting a recognised professional body for the purposes of section 391 of the Insolvency Act 1986 to carry out its functions as such;
for the purpose of facilitating the carrying out by ... the Health and Safety Executive of any of its functions under any enactment or of facilitating the carrying out by any enforcing authority, within the meaning of Part I of the Health and Safety at Work etc. Act 1974, of any functions under a relevant statutory provision, within the meaning of that Act;
for the purpose of enabling or assisting any inspector appointed under enactments relating to companies to carry out his functions;
for the purpose of facilitating the carrying out by the Comptroller and Auditor General of any of his functions under any enactment;
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
in connection with the investigation of any criminal offence or for the purposes of any criminal proceedings;
for the purpose of facilitating the carrying out by the Office for Nuclear Regulation of any of its functions under any enactment;
for the purposes of any civil proceedings brought under or by virtue of this Act or any of the enactments or instruments specified in subsection (3) below; or
in pursuance of an EU obligation.
for the purpose of facilitating the carrying out by the Office of Rail and Road of any of its functions under—
the Railway (Licensing of Railway Undertakings) Regulations 2005, or
the Railways (Access, Management and Licensing of Railway Undertakings) Regulations 2016;
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
for the purpose of facilitating the carrying out by the Office of Rail Regulation of any of its functions, in respect of the tunnel system (within the meaning of the Channel Tunnel Act 1987), under any instrument made for the purpose of implementing Directive 2012/34/EU of the European Parliament and of the Council dated 21st November 2012 establishing a single European railway area;
The enactments and instruments referred to in subsection (2) above are—
the Trade Descriptions Act 1968;
the Fair Trading Act 1973;
the Consumer Credit Act 1974;
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
the Estate Agents Act 1979;
the Competition Act 1980;
the Telecommunications Act 1984;
the Airports Act 1986;
the Gas Act 1986;
the Insolvency Act 1986;
the Consumer Protection Act 1987;
the Electricity Act 1989;
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
the Water Industry Act 1991;
the Water Resources Act 1991;
any subordinate legislation made for the purpose of securing compliance with Directive 2006/114/EC of the European Parliament and of the Council of 12 December 2006 concerning misleading and comparative advertising
the Competition Act 1998.
Part I of the Transport Act 2000;
the Enterprise Act 2002;
the Communications Act 2003;
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Part 1 of the Civil Aviation Act 2012
Parts 3 and 4 of the Enterprise and Regulatory Reform Act 2013
the Water Act 2003;
the Water Act 2014;
the following provisions of the Digital Markets, Competition and Consumers Act 2024—
Part 3;
Chapter 1 of Part 4;
Chapter 2 of Part 5.
The Secretary of State may by order provide that subsections (2) and (3) above shall have effect subject to such modifications as are specified in the order.
Nothing in subsection (1) above shall be construed—
as limiting the matters which may be published under section 71 above or may be included in, or made public as part of, a report of the Office of Rail and Road, . . . , the Competition and Markets Authority, or the Passengers’ Council under any provision of Part I above;
as applying to any information—
which has been so published or has been made public as part of such a report; or
which has otherwise been made available to the public by virtue of being disclosed in any circumstances in which, or for any purpose for which, disclosure is not precluded by this section.
Any person who discloses any information in contravention of this section is guilty of an offence and shall be liable—
on summary conviction, to a fine not exceeding the statutory maximum;
on conviction on indictment, to imprisonment for a term not exceeding two years or to a fine or to both.
Subsection (1) above does not prevent the transfer of records in accordance with section 3(4) of the Public Records Act 1958.
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Information obtained by the Office of Rail and Road in the exercise of functions which are exercisable concurrently with the Competition and Markets Authority under Part I of the Competition Act 1998 is subject to Part 9 of the Enterprise Act 2002 (Information) (disclosure) and not to subsections (1) to (6) of this section.
If any person, in giving any information or making any application under or for the purposes of any provision of this Act, or of any regulations made under this Act, makes any statement which he knows to be false in a material particular, or recklessly makes any statement which is false in a material particular, he is guilty of an offence and shall be liable—
on summary conviction, to a fine not exceeding the statutory maximum;
on conviction on indictment, to a fine.
No proceedings shall be instituted in England and Wales in respect of an offence under this section except by or with the consent of the Secretary of State or the Director of Public Prosecutions.
Where a body corporate is guilty of an offence under this Act and that offence is proved to have been committed with the consent or connivance of, or to be attributable to any neglect on the part of, any director, manager, secretary or other similar officer of the body corporate or any person who was purporting to act in any such capacity he, as well as the body corporate, shall be guilty of that offence and shall be liable to be proceeded against and punished accordingly.
Where the affairs of a body corporate are managed by its members, subsection (1) above shall apply in relation to the acts and defaults of a member in connection with his functions of management as if he were a director of the body corporate.
Where a Scottish partnership is guilty of an offence under this Act in Scotland and that offence is proved to have been committed with the consent or connivance of, or to be attributable to any neglect on the part of, a partner, he as well as the partnership shall be guilty of that offence and shall be liable to be proceeded against and punished accordingly.
Subject to subsection (2) below, summary proceedings for an offence under this Act which is triable either on indictment or summarily may be commenced within a period of six months from the date on which evidence sufficient in the opinion of the procurator fiscal to warrant proceedings came to his knowledge.
No such proceedings shall be commenced by virtue of this section more than three years after the commission of the offence.
For the purposes of this section, a certificate signed by or on behalf of the procurator fiscal and stating the date on which evidence sufficient in his opinion to warrant proceedings came to his knowledge shall be conclusive evidence of that fact.
A certificate stating that matter and purporting to be so signed shall be deemed to be so signed unless the contrary is proved.
Subsection (3) of section 136 of the Criminal Procedure (Scotland) Act 1995 (which relates to the date of commencement of proceedings) shall apply for the purposes of this section as it applies for the purposes of that section.
This section extends to Scotland only.
Any document required or authorised by virtue of this Act to be served (whether the expression “serve" or the expression “give" or “send" or any other expression is used) on any person may be served—
by delivering it to him or by leaving it at his proper address or by sending it by post to him at that address; or
if the person is a body corporate, by serving it in accordance with paragraph (a) above on the secretary of that body; or
if the person is a partnership, by serving it in accordance with paragraph (a) above on a partner or a person having the control or management of the partnership business.
For the purposes of this section and section 7 of the Interpretation Act 1978 (which relates to the service of documents by post) in its application to this section, the proper address of any person on whom a document is to be served shall be his last known address, except that— and for the purposes of this subsection the principal office of a company constituted under the law of a country or territory outside the United Kingdom or of a partnership carrying on business outside the United Kingdom is its principal office within the United Kingdom.
in the case of service on a body corporate or its secretary, it shall be the address of the registered or principal office of the body;
in the case of service on a partnership or a partner or a person having the control or management of a partnership business, it shall be the address of the principal office of the partnership;
If a person to be served by virtue of this Act with any document by another has specified to that other an address within the United Kingdom other than his proper address (as determined in pursuance of subsection (2) above) as the one at which he or someone on his behalf will accept documents of the same description as that document, then, in relation to that document, that address shall be treated as his proper address for the purposes of this section and for the purposes of the said section 7 in its application to this section, instead of that determined in accordance with subsection (2) above.
This section shall not apply to any document in relation to the service of which provision is made by rules of court.
In this section—
The following provisions of this Act bind the Crown—
sections 17 to 22C;
sections 55(1) to (7) and (9) to (11), sections 56 and 57 and section 58(1) to (3), (6) and (7);;
sections 59 to 62;
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
subject to, and in accordance with, section 48 of the Health and Safety at Work etc. Act 1974, section 117 (other than subsection (5)) so far as affecting or relating to provisions of, or regulations under, Part I of that Act which bind the Crown;
section 118, except subsections (7) and (8);
sections 119 to 121, except sections 120(4) and (5) and 121(4) to (6);
section 122;
section 144, so far as relating to other provisions of this Act which bind the Crown;
Schedule 4;
Schedule 6, to the extent that it applies, amends or modifies the operation of provisions of the Insolvency Act 1986 which bind the Crown so far as affecting or relating to the matters specified in paragraphs (a) to (e) of section 434 of that Act;
Schedule 7;
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
the amendments and repeals made by Schedules 12 and 14, to the extent that the enactments to which they relate bind the Crown.
Nothing in subsection (1) above so far as relating— shall authorise proceedings to be brought against Her Majesty in her private capacity.
to sections 55 to 58 above, or
to section 144 above, so far as relating to those sections,
Subsection (2) above shall be construed as if section 38(3) of the Crown Proceedings Act 1947 (interpretation of references in that Act to Her Majesty in her private capacity) were contained in this Act.
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Any document required or authorised by virtue of sections 118 to 120 or this section of this Act to be given or served by the Secretary of State to or on any person may also be given or served, where— by using electronic communications to send the document in that form to that person at that address.
an address for service using electronic communications has been given by that person and not withdrawn in accordance with subsection (6), and
that person has agreed to accept service by electronic communications of documents in a certain form and has not withdrawn that agreement in accordance with that subsection,
A document given to or served on a person in accordance with subsection (1) must be in a form sufficiently permanent to be used for subsequent reference.
Where a document is given to or served on a person in accordance with subsection (1), the document is, unless the contrary is proved, to be deemed to have been given to or served on that person at the time at which the electronic communication is transmitted except where transmission is made outside that person's normal business hours, in which case it is to be taken to have been given or served on the next working day, and in this subsection, “working day” means any day other than—
a Saturday or a Sunday;
Christmas Day or Good Friday; or
a day which is a bank holiday under the Banking and Financial Dealings Act 1971 (c. 80) in any part of the United Kingdom.
A document required or authorised by virtue of sections 118 to 120 of this Act to be given or served by the Secretary of State is also to be treated as given or served where—
that person and the Secretary of State have agreed to his having access to documents of a particular description and in a certain form on a web site (instead of their being given to or served on him in any other way specified in this section or section 149);
that person has not withdrawn his agreement in accordance with subsection (7);
the document in question is a document to which the agreement applies;
the Secretary of State has given that person a notice, in a manner agreed between them for the purpose—
stating that the document has been published on a web site maintained by or on behalf of the Secretary of State;
setting out the address of that web site; and
setting out the place on that web site where the document may be accessed and how it may be accessed by that person; and
the published document is in a form sufficiently permanent to be used for subsequent reference.
Where a document is given to or served on a person in accordance with subsection (4), the document is, unless the contrary is proved, to be deemed to have been given to or served on that person at the same time as the notice required to be given under subsection (4)(d) is given.
A person who has supplied the Secretary of State with an address for service using electronic communications and has agreed to accept service of documents in a certain form in accordance with subsection (1) may give notice to the Secretary of State withdrawing that address or that agreement or both.
A person who has an agreement with the Secretary of State under subsection (4)(a) may give notice to the Secretary of State withdrawing that agreement.
A withdrawal under subsection (6) or (7) shall take effect on the later of—
the date specified by the person in the notice; and
the date which is fourteen days after the date on which the notice is given.
Oral notice is not sufficient for the purposes of subsection (6) or (7).
This section shall not apply to any document in relation to the service of which provision is made by the rules of the court.
In this section—
In this Act, unless the context otherwise requires—
For the purposes of this Act, a company shall be regarded as “wholly owned by the Crown” at any time when it has no members other than—
the Secretary of State, the Authority or a Government department,
a company which is itself wholly owned by the Crown, or
a person acting on behalf of the Secretary of State, the Authority, a Government department or such a company.
For the purposes of this Act, a company shall be regarded as “wholly owned by the Authority” at any time when it has no members other than—
the Authority,
a company which is itself wholly owned by the Authority, or
a person acting on behalf of the Authority or such a company.
Any consent or approval under or by virtue of this Act shall be given in writing.
For the purposes of this Act any class or description may be framed by reference to any matters or circumstances whatever.
Nothing in this Act affects the operation of the Transfer of Undertakings (Protection of Employment) Regulations 1981, in their application in relation to the transfer of an undertaking, or part of an undertaking, within the meaning of those Regulations.
Nothing in this Act, and nothing done under it, shall prejudice or affect the operation of any of the relevant statutory provisions (whenever made) as defined in Part I of the Health and Safety at Work etc. Act 1974.
Subsection (7) above is without prejudice to section 117 above.
The provisions of section 3 of the Administration of Justice (Scotland) Act 1972 (power of arbiter to state case to Court of Session) shall not apply in relation to any determination under this Act made by an arbiter.
The enactments mentioned in Schedule 12 to this Act shall have effect with the amendments there specified (being minor amendments and amendments consequential on provisions of this Act).
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The enactments mentioned in Schedule 14 to this Act (which include some that are spent or no longer of practical utility) are hereby repealed to the extent specified in the third column of that Schedule.
The Secretary of State may by order make such modifications of existing provisions as appear to him to be necessary or expedient in consequence of the provisions of this Act, or of any instrument made under or by virtue of this Act, being modifications in respect of—
any reference in an existing provision to the Board or any subsidiary of the Board;
any reference (in whatever terms) in an existing provision to any railway, railway service or railway undertaking;
any reference (in whatever terms) in an existing provision to any person who— or who is authorised to do so under or by virtue of any enactment;
provides a railway service, or
carries on a railway undertaking,
any reference in an existing provision to any enactment amended or repealed by or under this Act;
any existing provision, so far as appearing to the Secretary of State to be of no further practical utility, having regard to the provisions of this Act;
any other inconsistency between an existing provision and this Act.
In this section—
This Act may be cited as the Railways Act 1993.
Except for section 1 and Schedule 1 (which come into force on the passing of this Act), this Act shall come into force on such day as may be specified in an order made by the Secretary of State; and different days may be so specified—
for different provisions;
for different purposes of the same provision; and
for different areas within the United Kingdom.
The following provisions of this Act extend to Northern Ireland—
section 36(1), (4) and (5);
subsections (1), (2), (4) and (5) of section 66;
sections 124 and 129(3);
section 131;
section 134;
sections 143, 144, 146, 147(1) and (2) and 149 to 152, so far as relating to provisions of this Act which so extend;
section 153;
this section;
paragraphs 6, 7 and 8 of Schedule 1, paragraph 10 of Schedule 2 and paragraph 9 of Schedule 3;
Schedules 8 and 9;
Schedule 11;
the amendments and repeals made by Schedules 12 and 14, other than those relating to— to the extent that the enactments to which they relate so extend.
section 6 of the Regulation of Railways Act 1889,
the Railway Fires Act 1905, and
the Railway Fires Act (1905) Amendment Act 1923,
Except as provided in subsection (3) above, this Act does not extend to Northern Ireland.
This Schedule applies where an access agreement provides, or is treated as providing, for the Office of Rail and Road to undertake reviews of the terms of that agreement as to—
the amounts payable under the agreement by one of the parties to the other; and
the times at which, and the manner in which, those amounts are payable.
Where the Office of Rail and Road undertakes such a review, it must, at the same time, review the conditions of every linked licence both— A review by that Office of both— is referred to in this Schedule as an access charges review. An access charges review must include a consideration of— In this Schedule “linked licence”, in relation to an access agreement, means a licence of which the holder is—
Where— that Office must provide the Secretary of State or Scottish Ministers with its reasons for that decision.
the Secretary of State or the Scottish Ministers suggest to the Office of Rail and Road that an access charges review should be carried out in any case, but
that Office decides not to carry out the suggested review,
Before beginning an access charges review, the Office of Rail and Road must give notice of its proposal to undertake the review to each of the following— No notice is required to be given under sub-paragraph (1) to the Secretary of State or the Scottish Ministers— A notice under this paragraph must set out— The period set out under sub-paragraph (3)(a) must be the one which— The date set out under sub-paragraph (3)(b) must be not less than the following period after the date of the notice— Before setting out a date under sub-paragraph (3)(b) that is less than three months after the date of the notice, the Office of Rail and Road must consult each of the persons to whom the notice is to be given.
Where a notice under paragraph 1C is given to the Secretary of State, he must provide the Office of Rail and Road with— Where a notice under paragraph 1C is given to the Scottish Ministers (whether instead of or as well as to the Secretary of State), they must provide the Office of Rail and Road with— The information that may be provided as falling within sub-paragraph (1)(a) or (2)(a) includes objectives and standards to be achieved in the course of carrying on railway activities. Those objectives and standards may include, in particular, objectives and standards with respect to any of the following matters— In a case where information is also required to be provided by the Scottish Ministers, the information that is required to be provided by the Secretary of State does not include— An obligation of the Secretary of State or the Scottish Ministers to provide information under this paragraph— The Office of Rail and Road may at any time, by notice to each of the persons to whom the notice under paragraph 1C was given, fix a later date for the provision of information under this paragraph. Neither— are required to provide information for the purposes of a review at any time after a decision has been made by the Office of Rail and Road not to proceed with the review because of an actual or expected failure of the conditions set out under paragraph 1C(3)(c) to be satisfied. In this paragraph “railway activities” means activities consisting in, or involving, any of the following— In this paragraph “Scottish railway activities” means activities which are railway activities by reference only to— In this paragraph “public financial resources” means any of the following—
Where the Secretary of State or the Scottish Ministers provide the Office of Rail and Road with information under paragraph 1D, he or they may also, at the same time, make a suggestion to that Office setting out his or their opinion about—
when the next access charges review should be undertaken in relation to both the access agreement in question and every linked licence; and
the circumstances in which it would be appropriate to undertake such a review before that time.
If, at any time in the course of an access charges review, it appears to the Office of Rail and Road that— shows that the public financial resources that are or are likely to become available will be inadequate to secure the achievement of what he or they, or both of them, want to be achieved, that Office must so notify the Secretary of State or the Scottish Ministers or (as the case may be) each of them. The Office of Rail and Road must send a copy of every notification under sub-paragraph (1) to the Treasury. On being notified under sub-paragraph (1), the Secretary of State or the Scottish Ministers or (as the case may be) each of them— Any notification under sub-paragraph (3) must be given within whatever period is specified by the Office of Rail and Road when notifying the Secretary of State or Scottish Ministers in accordance with sub-paragraph (1). Where the Office of Rail and Road has already given a notification under this paragraph with respect to any information, it is required to give a further notification under this paragraph with respect to that information, or any revision of it, only if—
If, at any time in the course of an access charges review, it appears to the Office of Rail and Road that it is likely that the implementation of the review will adversely affect the interests of persons providing railway passenger services or of persons providing services for the carriage of goods by railway, that Office must so notify— Where the Office of Rail and Road gives a notification under sub-paragraph (1) in respect of a review relating to an access agreement to which a facility owner is a party, the notification must include— On being notified under sub-paragraph (1), the Secretary of State or the Scottish Ministers or (as the case may be) each of them— Any notification under sub-paragraph (3) must be given within whatever period is specified by the Office of Rail and Road when notifying the Secretary of State or the Scottish Ministers in accordance with sub-paragraph (1). Where the Office of Rail and Road has already given a notification under this paragraph, it is required to give a further notification under this paragraph only if—
The Office of Rail and Road must conduct an access charges review in the manner that it considers is most likely to secure that the implementation of the review will make the best and most practicable contribution to the achievement of— Where in the case of an access charges review the Office of Rail and Road considers (notwithstanding any notification or revision under paragraph 1F or 1G) that the public financial resources that are or are likely to become available will be inadequate to secure the achievement of, as the case may be— it is to be for that Office to determine, for the purposes of the review, how much of what is wanted should be achieved using (but only for the purposes for which they may be applied) all the public financial resources that it considers are or are likely to be available. In conducting an access charges review the Office of Rail and Road must have regard to the consequences of compliance by a facility owner who is a party to the access agreement in question with any terms— that it considers are relevant to a matter notified under paragraph 1G (including, in particular, a term requiring the facility owner to pay compensation or to take mitigatory measures). In considering the matters mentioned in paragraph 1A(3), the Office of Rail and Road must have regard to any suggestion made under paragraph 1E, and to any revision of that suggestion. For the purposes of this paragraph—
The procedure for the implementation of an access charges review shall be as provided for by paragraphs 4 to 16 of this Schedule. And any procedure relating to the implementation of an access charges review for which the access agreement or any linked licence makes provision shall not apply.
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The implementation of an access charges review shall be initiated by the Office of Rail and Road giving notice (a “review notice")— In this Schedule “relevant changes”, in relation to an access agreement, means— and references to the making of relevant changes are, in the case of amendments of the access agreement, references to directing the parties to the access agreement to make the amendments to the access agreement. Before giving a review notice specifying modifications of a linked licence that are proposed for purposes connected with securing— that Office must consult the Secretary of State or (as the case may be) those Ministers. The review notice shall be given— The persons referred to in sub-paragraph (3)(b) above are— In this Schedule “the beneficiary"—
If no objections are duly made by a person within paragraph 4(4)(a) or (b) above (or any that are so made are withdrawn), the Office of Rail and Road shall give notice (a “notice of agreement") stating that fact. The notice of agreement shall be given—
After a copy of a notice of agreement is served on the beneficiary, he may give notice (a “termination notice") terminating the access agreement. The termination notice shall specify the date on which the access agreement is to terminate. The termination notice shall be given by serving a copy on— The date specified by the termination notice as that on which the access agreement is to terminate shall be neither— after the copy of the termination notice is served on the facility owner or installation owner. The termination notice may not be given after the end of the period of 28 days beginning with the day on which the copy of the notice of agreement is served on the beneficiary.
After a copy of a notice of agreement is served on the beneficiary and the time within which a termination notice may be given by him has expired— A review implementation notice is a notice stating that the Office of Rail and Road’s conclusions on the access charges review are to be implemented as proposed in the review notice. The review implementation notice shall— The review implementation notice shall be given—
This paragraph applies if— the Office of Rail and Road may— For the purposes of sub-paragraph (1) above— Before acting under sub-paragraph (1) above, the Office of Rail and Road shall consider the objections referred to in that sub-paragraph. Paragraph 1H applies to the making of any determination by the Office of Rail and Road of what should be included in a new review notice to be given under this paragraph as it applies to the conduct of an access charges review. If the Office of Rail and Road gives a new review notice under paragraph 4 above by virtue of sub-paragraph (2)(a) above, the references in that paragraph and paragraph 7(2) above to its conclusions on the access charges review shall be read in relation to the new notice as references to those conclusions as modified since the previous review notice (in particular as the result of any objections or representations made in relation to it).
A reference to the CMA under this paragraph shall be so framed as to require them to investigate and report on the questions specified in sub-paragraph (2) below. Those questions are— The Office of Rail and Road may, at any time, by notice given to the CMA vary a reference under this paragraph— On receipt of such a notice the CMA shall give effect to the variation. The Office of Rail and Road may specify in a reference under this paragraph, or a variation of such a reference, for the purpose of assisting the CMA in carrying out the investigation on the reference— As soon as practicable after making a reference under this paragraph, or a variation of such a reference, the Regulator— A reference to the CMA under this paragraph must be accompanied by— For the purpose of assisting the CMA in carrying out an investigation on a reference under this paragraph, the Office of Rail and Road shall give to the CMA (in addition to the information and revisions mentioned in sub-paragraph (6A)) any information in its possession which relates to matters falling within the scope of the investigation and— and any other assistance which the CMA may require, and which it is within its power to give, in relation to any such matters. For the purpose of carrying out such an investigation, the CMA shall take account of any information given to them for that purpose under sub-paragraphs (6A) and (7) above. In determining for the purposes of this paragraph whether any particular matter operates, or may be expected to operate, against the public interest, the CMA shall have regard to the matters as respects which duties are imposed on the Office of Rail and Road by section 4 of this Act and to the information, suggestions and revisions mentioned in sub-paragraph (6A) The functions of the CMA with respect to a reference under this paragraph are to be carried out on behalf of the CMA by a group constituted for the purpose by the chair of the CMA under Schedule 4 to the Enterprise and Regulatory Reform Act 2013 (including functions relating to the making of changes following a report on a reference, and functions under sections 109 to 115 of the Enterprise Act 2002, as applied by paragraphs 10A and 15).
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The following sections of Part 3 of the Enterprise Act 2002 shall apply, as they had effect immediately before the relevant date and with the modifications mentioned in sub-paragraphs (1A), (2) and (3) below, for the purposes of references under paragraph 9 above as they applied immediately before that date for the purposes of references under that Part— Section 109 shall, in its application by virtue of sub-paragraph (1) above, have effect as if— Section 110 shall, in its application by virtue of sub-paragraph (1) above, have effect as if— Section 111(5)(b) shall, in its application by virtue of sub-paragraph (1) above, have effect as if for sub-paragraph (ii) there were substituted—. Section 117 of the Enterprise Act 2002 (false or misleading information) shall apply , as it had effect immediately before the relevant date, in relation to functions of the CMA in connection with references under paragraph 9 above as it applied immediately before that date in relation to its functions under Part 3 of that Act but as if, in subsections (1)(a) and (2), — Provisions of Part 3 of the Enterprise Act 2002 which , immediately before the relevant date, had effect for the purposes of sections 109 to 117 of that Act (including, in particular, provisions relating to offences and the making of orders) shall, for the purposes of the application of those sections by virtue of sub-paragraph (1) or (4) above, have effect in relation to those sections as applied by virtue of those sub-paragraphs as those provisions had effect immediately before that date. Accordingly, corresponding provisions of this Act shall not have effect in relation to those sections as applied by virtue of those sub-paragraphs. In this paragraph “the relevant date” means the date on which section 143 of the Digital Markets, Competition and Consumers Act 2024 came into force.
In making a report on a reference under paragraph 9 above, the CMA shall include in the report— Where they conclude that any of the matters specified in the reference operate, or may be expected to operate, against the public interest, they shall specify in the report the effects adverse to the public interest which those matters have or may be expected to have. Where they conclude that any adverse effects so specified could be remedied or prevented by the making of relevant changes, they shall in the report— A date stated in the report as that on which a relevant change should come into operation may be a date before the report is made, provided that it is not before the earliest date specified in the review notice for the coming into operation of a relevant change proposed in it. For the purposes of paragraphs 12 to 14 below, a conclusion contained in a report of the CMA is to be disregarded if the conclusion is not that of at least two-thirds of the members of the group constituted by the chair of the CMA for the purpose of carrying out the functions of the CMA with respect to the reference . If a member of a group so constituted disagrees with any conclusions contained in a report made on a reference under paragraph 9 above as the conclusions of the CMA , the report shall, if the member so wishes, include a statement of his disagreement and of his reasons for disagreeing. For the purposes of the law relating to defamation, absolute privilege attaches to any report made by the CMA on a reference under paragraph 9 above. In making any report on a reference under paragraph 9 above the CMA must have regard to the following considerations before disclosing any information. The first consideration is the need to exclude from disclosure (so far as practicable) any information whose disclosure the CMA thinks is contrary to the public interest. The second consideration is the need to exclude from disclosure (so far as practicable)— The third consideration is the extent to which the disclosure of the information mentioned in sub-paragraph (5C)(a) or (b) above is necessary for the purposes of the report. A report of the CMA on a reference under paragraph 9 above shall be made to the Office of Rail and Road. The Office of Rail and Road shall, on receiving such a report, send a copy of it to the Secretary of State and the Authority. Not less than 14 days after that copy is received by the Secretary of State, the Office of Rail and Road shall send a copy to each of the persons on whom a copy of the review notice was served. Not less than 24 hours after complying with sub-paragraph (8) above, the Office of Rail and Road shall publish the report in such manner as it considers appropriate for bringing the report to the attention of persons likely to be affected by it. If it appears to the Secretary of State that the publication of any matter in the report would be against the public interest or the commercial interests of any person, he may, before the end of the period of 14 days after he receives his copy of the report, direct the Office of Rail and Road to exclude that matter from—
Where a report of the CMA on a reference under paragraph 9 above— the Office of Rail and Road shall, subject to the following provisions of this paragraph and paragraph 13 below, make such relevant changes as appear to it requisite for the purpose of remedying or preventing the adverse effects specified in the report. Before making relevant changes under this paragraph, the Office of Rail and Road shall have regard to the relevant changes specified in the report. Before making relevant changes under this paragraph, the Office of Rail and Road shall give notice— and shall consider any representations or objections which are duly made and not withdrawn. A notice under sub-paragraph (3) above shall be given— Where (after considering any representations and objections which are duly made and not withdrawn) the Office of Rail and Road proposes to make relevant changes under this paragraph, it must give a notice to the relevant authorities which— If in consequence of any revision of that information that is notified to the Office of Rail and Road within the period specified in that notice, that Office decides to modify its proposals, it must— The relevant authorities for the purposes of sub-paragraph (4A) are each of the following— Where (after considering any representations or objections which are duly made and not withdrawn and any revisions of information provided under paragraph 1D that were notified within the period specified under sub-paragraph (4A)) the Office of Rail and Road proposes to make relevant changes under this paragraph, it shall give notice to the CMA — The Office of Rail and Road shall include with the notice under sub-paragraph (5) above a copy of any representations and objections which have been considered and a copy of any revisions of information provided under paragraph 1D that have been notified within the period specified in the notice under sub-paragraph (4A). A date stated in a notice under sub-paragraph (3) or (5) above as that on which a relevant change should come into operation may be a date before the notice is given, provided that it is not before the earliest date specified in the review notice for the coming into operation of a relevant change proposed in it. If the period within which a direction may be given by the CMA under paragraph 13 below expires without such a direction being given, the Office of Rail and Road shall make the relevant changes set out in the notice under sub-paragraph (5) above. If a direction is given by the CMA under paragraph 13(1)(b) below, the Office of Rail and Road shall make such of those relevant changes as are not specified in the direction. As soon as practicable after making relevant changes under this paragraph, the Office of Rail and Road shall send a copy of the relevant changes
The CMA may, within the period of four weeks beginning with the day on which they are given notice under paragraph 12(5) above, give a direction to the Office of Rail and Road — The Secretary of State may, if an application is made to him by the CMA within that period of four weeks, extend the period within which a direction may be given under this paragraph to one of six weeks beginning with the day on which the CMA are given notice under paragraph 12(5) above. The CMA may give a direction under this paragraph only if the relevant changes to which it relates do not appear to them requisite for the purpose of remedying or preventing the adverse effects specified in their report on the reference under paragraph 9 above. If the CMA give a direction under this paragraph, they shall give notice— A notice under sub-paragraph (4) above shall be given—
If the CMA give a direction under paragraph 13 above, they shall themselves make such relevant changes as appear to them requisite for the purpose of remedying or preventing— In exercising the function conferred by sub-paragraph (1) above, the CMA shall have regard to the matters as respects which duties are imposed on the Office of Rail and Road by section 4 of this Act. Before making relevant changes under this paragraph, the CMA shall give notice— and shall consider any representations or objections which are duly made and not withdrawn. A date stated in a notice under sub-paragraph (3) above as that on which a relevant change should come into operation may be a date before the notice is given, provided that it is not before the earliest date specified in the review notice for the coming into operation of a relevant change proposed in it. A notice under sub-paragraph (3) above shall be given— As soon as practicable after making relevant changes under this paragraph, the CMA must send a copy of those relevant changes—
For the purposes of the law relating to defamation, absolute privilege attaches to any notice under paragraph 13(4) or 14(3) above. In giving any notice under paragraph 13(4) or 14(3) above, the CMA must have regard to the following considerations before disclosing any information. The first consideration is the need to exclude from disclosure (so far as practicable) any information whose disclosure the CMA thinks is contrary to the public interest. The second consideration is the need to exclude from disclosure (so far as practicable)— The third consideration is the extent to which the disclosure of the information mentioned in sub-paragraph (2B)(a) or (b) above is necessary for the purposes of the notice. The following sections of Part 3 of the Enterprise Act 2002 shall apply, as they had effect immediately before the relevant date and with the modifications mentioned in sub-paragraphs (2DA), (2E) and (2F) below, in relation to any investigation by the CMA for the purposes of the exercise of its functions under paragraph 13 or 14 above, as they applied immediately before that date for the purposes of any investigation on references under that Part— Section 109 shall, in its application by virtue of sub-paragraph (2D) above, have effect as if— Section 110 shall, in its application by virtue of sub-paragraph (2D) above, have effect as if— Section 111(5)(b) shall, in its application by virtue of sub-paragraph (2D) above, have effect as if for sub-paragraph (ii) there were substituted— Section 117 of the Enterprise Act 2002 (false or misleading information) shall apply , as it had effect immediately before the relevant date, in relation to functions of the CMA in connection with the exercise of its functions under paragraph 13 or 14 above as it applied immediately before that date in relation to its functions under Part 3 of that Act but as if, in subsections (1)(a) and (2), — Provisions of Part 3 of the Enterprise Act 2002 which , immediately before the relevant date, had effect for the purposes of sections 109 to 117 of that Act (including, in particular, provisions relating to offences and the making of orders) shall, for the purposes of the application of those sections by virtue of sub-paragraph (2D) or (2G) above, have effect in relation to those sections as applied by virtue of those sub-paragraphs as those provisions had effect immediately before that date. Accordingly, corresponding provisions of this Act shall not have effect in relation to those sections as applied by virtue of those sub-paragraphs. For the purpose of assisting the CMA in exercising their functions under paragraphs 13 and 14 above, the Office of Rail and Road shall give to the CMA(in addition to the information provided in accordance with paragraph 12(5) and (6)) any information in its possession which relates to matters relevant to the exercise of those functions and— and any other assistance which the CMA may require, and which it is within its power to give, in relation to any such matters. For the purpose of exercising those functions, the CMA shall take account of given to them for that purpose under sub-paragraph (3) above. In this paragraph “the relevant date” means the date on which section 143 of the Digital Markets, Competition and Consumers Act 2024 came into force.
Where a notice is served on the beneficiary under paragraph 12(3) or 14(3) above, he may give notice (a “post-reference termination notice") terminating the access agreement. The post-reference termination notice shall specify the date on which the access agreement is to terminate. The post-reference termination notice shall be given by serving a copy on— The date specified by the post-reference termination notice as that on which the access agreement is to terminate shall be neither— after the copy of the post-reference termination notice is served on the facility owner or installation owner. The post-reference termination notice may not be given after the end of the period of 28 days beginning with the day on which the copy of the notice under paragraph 12(3) or 14(3) above is served on the beneficiary.