(1) In this Part—
“the appropriate national authority” means—
the Secretary of State in relation to charging schemes and licensing schemes relating only to England,
the National Assembly for Wales in relation to charging schemes and licensing relating only to Wales, and
the Secretary of State and the National Assembly for Wales, acting jointly, in relation to charging schemes and licensing schemes relating to both England and Wales,
“bridge” means a bridge or viaduct and includes the abutments of a bridge,
“charging authority” and “charging authorities” have the meanings given by section 163(5),
“charging scheme” has the meaning given by section 163(1),
“charging scheme penalty charges” shall be construed in accordance with section 173(1),
“combined authority” has the meaning given by section 163(5A),
“combined county authority” has the meaning given by section 163 (5B);
“eligible local traffic authority” has the meaning given by section 163(4A),
“exempt vehicle”, in relation to a licensing scheme, means a motor vehicle exempt from licensing under the scheme by virtue of regulations under subsection (1) of section 187 or provision included in the scheme by virtue of subsection (2) of that section,
“financial year” means a period of twelve months ending with 31st March,
“joint local charging scheme” shall be construed in accordance with section 163(3)(b),
“joint local-ITA charging scheme” shall be construed in accordance with section 163(3)(bb),
“joint ITA-London charging scheme” shall be construed in accordance with section 163(3)(cc),
“joint local licensing scheme” shall be construed in accordance with section 178(5)(b),
“joint local-London charging scheme” shall be construed in accordance with section 163(3)(c),
“joint local-London licensing scheme” shall be construed in accordance with section 178(5)(c),
“licence” shall be construed in accordance with section 178(3),
“licensed unit” has the meaning given by section 178(4),
“licensing area” shall be construed in accordance with section 186(1)(a),
“licensing authority” and “licensing authorities” have the meanings given by section 178(6),
“licensing scheme” has the meaning given by section 178(1),
“licensing scheme penalty charges” shall be construed in accordance with section 189(1),
“local charging scheme” shall be construed in accordance with section 163(3)(a),
“local licensing scheme” shall be construed in accordance with section 178(5)(a),
“local traffic authority” has the same meaning as in the Road Traffic Regulation Act 1984,
“local transport policies” has the meaning given in section 108(5),
“London traffic authority” means Transport for London, a London borough council or the Common Council of the City of London,
“motor vehicle” has the meaning given in section 185(1) of the Road Traffic Act 1988, except that section 189 of that Act (exception for certain pedestrian controlled vehicles and electrically assisted pedal cycles) shall apply as it applies for the purposes of the Road Traffic Acts,
“non-metropolitan local traffic authority” shall be construed in accordance with section 163(4),
“operation” includes enforcement (related expressions being construed accordingly),
“registered keeper”, in relation to a charge imposed in respect of motor vehicle, means the person in whose name the vehicle was registered under the Vehicle Excise and Registration Act 1994 at the time of the act, omission, event or circumstances in respect of which the charge is imposed,
“road” has the same meaning as in the Road Traffic Regulation Act 1984,
“trunk road charging scheme” shall be construed in accordance with section 163(3)(d), and
“workplace parking place” shall be construed in accordance with section 182.
(2) Any reference in this Part to an authority’s local transport policies shall, where the authority is the council of a metropolitan district, be construed as a reference to the local transport policies of the Integrated Transport Authority for the integrated transport area in which the district is included ....
(3) Any reference in this Part to a class of motor vehicles is a reference to a class defined or described, by reference to any characteristics of the motor vehicles or to any other circumstances whatsoever, in regulations made by the appropriate national authority.
Schedule 13 contains amendments of Schedules 23 and 24 to the Greater London Authority Act 1999 in consequence of the provisions of this Part and minor amendments of those Schedules.
In Schedule 5 to the Local Government Finance Act 1988 (local non-domestic rating: exemptions), after paragraph 18A insert—
Property used for road user charging schemes
18B (1) A hereditament which is occupied (as mentioned in section 65 of this Act) is exempt to the extent that—
(a) it consists of a road in respect of which charges are imposed by a charging scheme under Schedule 23 to the Greater London Authority Act 1999 or Part III of the Transport Act 2000, or
(b) it is used solely for or in connection with the operation of such a scheme.
(2) But office buildings are not exempt under sub-paragraph (1)(b) above.
(1) In section 23 of the Railways Act 1993, in subsection (1) (duty of Authority to designate passenger services as eligible for provision under franchise agreements), for the words after “designate” substitute “ such services for the carriage of passengers by railway (other than services which are, by virtue of section 24 below, exempt from designation under this subsection) as it considers ought to be provided under franchise agreements. ”
(2) In that section, after subsection (2) insert—
(2A) A designation may be varied or revoked; but a variation or revocation of the designation of particular services, or services of a class or description, shall not affect any franchise agreement previously entered into with respect to those services or services of that class or description.
(2B) The Authority shall publish designations, and any variations or revocations of designations, in such manner as it considers appropriate.
(3) In section 26 of that Act (invitations to tender for franchise), after subsection (3) insert—
(4) The directions which may be given under subsection (1) above (at any time when the Secretary of State considers it inappropriate that the person who is to be the franchisee under a franchise agreement should be selected after an invitation to tender) include—
(a) a direction that that person is to be the person specified in the direction, and
(b) a direction requiring the Authority to select that person in such manner as is so specified,
(as well as a direction authorising the Authority to select that person in such other manner as it may consider appropriate).
(5) The Secretary of State shall prepare and publish a statement of policy with respect to directions under subsection (1) above.
(6) The statement shall (in particular) contain the Secretary of State’s policy about—
(a) when he will consider giving a direction (including, in particular, when he will consider doing so in relation to a franchise agreement which is to replace an earlier franchise agreement before the end of its franchise term); and
(b) the sorts of direction which he will consider giving in particular circumstances.
(7) In deciding whether to give a direction, and (if so) what direction to give, the Secretary of State shall have regard to the statement of policy.
(8) The Secretary of State—
(a) may at any time alter or replace a statement of policy; and
(b) shall publish the altered or replacement statement.
(9) The Secretary of State shall undertake appropriate consultation when preparing, altering or replacing a statement of policy.
(10) When a statement of policy is prepared, altered or replaced, a copy of the statement shall be laid before each House of Parliament.
(4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(5) For section 30 of that Act substitute—
Duty of Authority in absence of franchise.
30 (1) The Authority shall provide, or secure the provision of, services for the carriage of passengers by railway where—
(a) a direction not to seek to secure the provision of the services under a franchise agreement has been given to the Authority under section 26A or 26B above (and not revoked); or
(b) a franchise agreement in respect of the services is terminated or otherwise comes to an end but no further franchise agreement has been entered into in respect of the services (otherwise than because of such a direction).
(2) The duty in subsection (1) above in relation to any services ceases if the services begin (or again begin) to be provided under a franchise agreement.
(3) Subsection (1) above does not—
(a) require the Authority to provide or secure the provision of services if and to the extent that, in its opinion, adequate alternative railway passenger services are available;
(b) preclude it from giving notice under subsection (5) of section 38 below in relation to any of the services, in which case its duty under this section to secure the provision of the services to which the notice relates will (subject to subsections (5) and (6) of that section) terminate on the day specified in the notice in pursuance of paragraph (b) of that subsection; or
(c) preclude it from ceasing to provide or secure the provision of any of the services in any case falling within any of paragraphs (a) to (d) of subsection (2) of that section.
(6) In section 18 of that Act (access agreements: contracts requiring approval of Regulator), after subsection (6) insert—
(6A) The grounds on which the Regulator may reject, or approve subject to modifications, a proposed access contract submitted to him pursuant to subsection (5) above include that he considers that the use of the facility for which it provides might impede the provision of services—
(a) under a franchise agreement; or
(b) under an agreement entered into by the Authority pursuant to its duty under section 30 below.
215 Assumption of functions of Franchising Director.
(1) Schedule 16 transfers to the Authority the functions of the Franchising Director.
(2) All the property, rights and liabilities of the Franchising Director (including any rights and liabilities relating to staff appointed by him) are by virtue of this section transferred to the Authority.
(3) Nothing in this Part affects the validity of anything done by or in relation to the Franchising Director.
(4) There may be continued by or in relation to the Authority anything (including legal proceedings) which is in the process of being done by or in relation to the Franchising Director when his functions, property, rights and liabilities are transferred to the Authority.
(5) Anything done by the Franchising Director which is in effect immediately before his functions, property, rights or liabilities are transferred to the Authority shall be treated as if done by the Authority.
(6) The Authority shall be substituted for the Franchising Director in private Acts, instruments made under Acts, other documents and legal proceedings.
(7) For the purposes of the Employment Rights Act 1996, where a person employed in the civil service of the state becomes an employee of the Authority by virtue of this section—
(a) his period of employment in the civil service of the state counts as a period of employment with the Authority, and
(b) the change of employment does not break the continuity of the period of employment.
(8) In consequence of the preceding provisions of this section the office of Franchising Director is abolished.
(9) If the Secretary of State determines that there are special circumstances which make it right that the person who is the Franchising Director immediately before the office is abolished should receive compensation, the Secretary of State shall pay to that person such compensation as may be determined by the Secretary of State.
216 Assumption of certain functions of the Office of Rail and Road.
Schedule 17 makes provision for the transfer to the Authority of certain functions of the Office of Rail and Road and of associated property, rights and liabilities.
217 Assumption of Board’s functions relating to transport police.
(1) Schedule 18 transfers to the Authority the functions of the Board relating to the British Transport Police and associated property, rights and liabilities.
(2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
223 Regulator’s power to require provision etc. of railway facilities.
In the Railways Act 1993, after section 16 insert—
Directions to provide, improve or develop railway facilities
Provision, improvement and development of railway facilities.
16A (1) The Regulator may, on an application—
(a) made by the Authority, or
(b) made by any other person with the consent of the Authority,
give to the operator of a network, station or light maintenance depot a direction to provide a new railway facility if the Regulator considers him to be an appropriate person to provide the new railway facility.
(2) The Regulator may, on an application—
(a) made by the Authority, or
(b) made by any other person with the consent of the Authority,
give to a person who has an estate or interest in, or right over, an existing railway facility a direction to improve or develop the railway facility if the Regulator considers him to be an appropriate person to improve or develop the railway facility.
(3) The Authority’s consent to the making by any other person of an application under subsection (1) or (2) above may be given subject to compliance with conditions (and may be withdrawn if any condition is not complied with before the Regulator decides whether to give the direction).
Exemption of railway facilities from section 16A.
16B (1) The Secretary of State may, after consultation with the Regulator, by order grant exemption from subsection (1) or (2) of section 16A above (or from both of those subsections) in respect of such railway facilities as may be specified in the order, but subject to compliance with such conditions (if any) as may be so specified.
(2) An exemption under subsection (1) above may be granted in respect of—
(a) railway facilities of a particular class or description, or
(b) a particular railway facility,
or in respect of part only of railway facilities of a particular class or description or a particular railway facility.
(3) An exemption under subsection (1) above may be granted generally, to persons of a particular class or description or to a particular person.
(4) If a person fails to comply with any condition subject to compliance with which an exemption was granted, the Secretary of State may give a direction declaring that the exemption is revoked, so far as relating to that person, to such extent and as from such date as may be specified in the direction.
(5) Subject to subsection (4) above, an exemption, unless previously revoked in accordance with any term contained in the exemption, shall continue in force for such period as may be specified in, or determined by or under, the exemption.
(6) Exemptions may make different provision, or be granted subject to compliance with different conditions, for different cases.
Making of applications for directions.
16C (1) An application for a direction under section 16A above must be made to the Regulator in writing.
(2) The application must—
(a) specify the person to whom the direction would be given;
(b) state what it would require him to do; and
(c) give the applicant’s reasons for considering that person to be an appropriate person to do what the direction would require him to do.
(3) The applicant may at any time vary what the direction would require that person to do by giving to the Regulator notice in writing of the variation; but if the applicant is a person other than the Authority such a notice may only be given with the consent of the Authority.
(4) The application or notice of a variation may be accompanied by any written representations which the applicant wishes to make in relation to the direction.
Procedure for considering applications.
16D (1) When the Regulator has received the application or notice of a variation, he must—
(a) send a copy to the person specified in the application, the Authority (if it is not the applicant) and any other persons who the Regulator considers ought to be sent one; and
(b) invite them to make written representations within a period specified in the invitation.
(2) If the person specified in the application makes representations that he is not an appropriate person to do what the direction would require him to do, the Regulator must decide that issue in advance of considering any other matters which may be relevant in deciding whether to give the direction.
(3) If that person makes such representations but the Regulator decides that he is an appropriate person to do what the direction would require him to do, the Regulator must—
(a) notify him of that decision; and
(b) invite him to make written representations within a period specified in the invitation about any other matters which may be relevant in deciding whether to give the direction.
(4) The Regulator must—
(a) send the applicant a copy of any representations received by him in response to any invitation under subsection (1) or (3) above; and
(b) invite him to make further written representations within a period specified in the invitation.
(5) Subject to subsection (6) below, the Regulator may substitute as the applicant any other person if—
(a) the applicant,
(b) the other person, and
(c) the Authority (if it is neither the applicant nor the other person),
consent to the substitution.
(6) The applicant may, by giving notice in writing to the Regulator, withdraw or suspend the application at any time before the Regulator decides whether to give the direction.
(7) The Regulator may direct—
(a) the person specified in the application,
(b) the applicant, or
(c) any other person (apart from the Authority),
to provide him with any information required by him in order to decide whether to give the direction.
(8) If a person fails to comply with a direction under subsection (7) above, the High Court or the Court of Session may, on the application of the Regulator, make such order as it thinks fit for requiring the failure to be made good.
(9) Such an order may provide that all the costs or expenses of and incidental to the application shall be borne by—
(a) the person who failed to comply; or
(b) in the case of a company or other association, any officers who are responsible for the failure to comply.
Decisions on applications: adequate reward.
16E (1) The Regulator may only give a direction to a person under section 16A above to provide, improve or develop a railway facility if he is satisfied that the person will be adequately rewarded for providing, improving or developing the railway facility in accordance with the direction.
(2) In considering whether he is so satisfied the Regulator shall take into account (in particular)—
(a) any receipts obtained or likely to be obtained by the person (from the Authority, passengers, operators of railway services or any other persons) in connection with, or as a result of, the provision, improvement or development of the railway facility; and
(b) any other benefit obtained or likely to be obtained by him in consequence of its provision, improvement or development.
(3) Representations made by the applicant for a direction—
(a) under section 16C(4) above, or
(b) in response to an invitation under section 16D(4) above,
may, in particular, include representations as to matters which he considers the Regulator should take into account in deciding whether the person to whom the direction would be given would be adequately rewarded for doing what it would require him to do.
Other provisions about decisions.
16F (1) If the Regulator does not consider it right to give a direction under section 16A above in the terms applied for (or to reject the application), he may give a direction under that section in modified terms.
(2) The Regulator may include supplementary provisions in any direction under section 16A above, including (in particular)—
(a) provision adding detail (for instance, as to the time by which, or standard to which, the person to whom it is given is to do anything which it requires him to do); and
(b) provision imposing requirements on the applicant (for instance, to make arrangements for rewarding the person to whom the direction is given or to make payments to him).
(3) Before giving a direction under section 16A above which is in modified terms or includes supplementary provisions, the Regulator shall—
(a) notify his intention to give a direction to the applicant, the Authority (if it is not the applicant) and any other persons who the Regulator considers ought to be notified; and
(b) invite them to make written representations within a period specified in the invitation;
and if the applicant makes representations that the direction should not be given, the Regulator shall not give it.
(4) Whatever the Regulator’s decision on an application he shall notify the decision to—
(a) the person specified in the application;
(b) the applicant; and
(c) any other persons who he considers ought to be notified.
(5) The Regulator may direct the person specified in the application or the applicant to pay to—
(a) the other of those persons, or
(b) any other person directed to provide information under section 16D(7) above,
any such amount as he considers appropriate in respect of costs incurred in connection with the application.
Directions: compliance, variation and revocation.
16G (1) A person shall not be regarded as failing to comply with a direction under section 16A above if he has done everything which it is reasonably practicable to do in order to comply with the direction.
(2) If a person is unable to comply with such a direction because he does not have the necessary powers or rights (including rights over land), he shall not be taken to have done everything which it is reasonably practicable to do in order to comply with the direction unless he has done everything which it is reasonably practicable to do in order to obtain those powers or rights.
(3) A direction under section 16A above may only be revoked or varied by the Regulator—
(a) on the application of the person to whom the direction was given, the applicant for the direction or the Authority (if it was not the applicant); and
(b) after consultation with the other persons with power to apply for a revocation or variation.
(4) Such a direction may only be varied on an application by the applicant for the direction or the Authority if the Regulator is satisfied that the person to whom the direction was given will be adequately rewarded for providing, improving or developing the railway facility in accordance with the varied direction, taking into account (in particular) the matters specified in section 16E(2) above.
(5) The Regulator may grant an application for the variation or revocation of a direction under section 16A above by the applicant for the direction or the Authority on condition that he or it secures that any such compensation as the Regulator may specify is paid to the person to whom the direction was given in respect of any liabilities incurred, or other things done, by him in complying with the direction.
Code of practice.
16H (1) The Regulator shall prepare, and from time to time revise, a code of practice supplementing sections 16A to 16G above and shall publish it in such manner as he considers appropriate.
(2) The Regulator shall have regard to the code of practice in the exercise of his functions under those sections.
(3) The code of practice may (in particular)—
(a) set out minimum periods to be specified in invitations to make representations;
(b) include provision about requesting the provision of information prior to giving a direction under section 16D(7) above;
(c) specify principles according to which directions to pay costs are to be given under section 16F(5) above; and
(d) make provision about the consultation required by section 16G(3)(b) above.
Supplementary.
16I (1) References in sections 16A to 16H above and this section to a railway facility include part of a railway facility.
(2) Nothing in any of those sections or a direction under section 16A above—
(a) limits any power of the Regulator under any other provision of this Act; or
(b) affects any obligation to provide a new railway facility, or to improve or develop an existing railway facility, arising otherwise than from such a direction.
(1) Section 4 of the Railways Act 1993 (general duties of Regulator and Secretary of State) is amended as follows.
(2) In subsection (1) (objectives)—
(a) for “Secretary of State and the Regulator shall each” substitute “ Regulator shall ”,
(b) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(c) after paragraph (b) insert—
(ba) to contribute to the development of an integrated system of transport of passengers and goods;
(bb) to contribute to the achievement of sustainable development;
,
and
(d) in paragraph (d) (promotion of competition in provision of railway services), insert at the end “ for the benefit of users of railway services ”.
(3) In subsection (2) (objectives)—
(a) for “Secretary of State and the Regulator shall each” substitute “ Regulator shall ”, and
(b) omit “the Secretary of State or, as the case may be,”.
(4) In subsection (3) (safety and the environment), for “Secretary of State and the Regulator shall each” substitute “ Regulator shall ”.
(5) After that subsection insert—
(3A) Subsections (1) to (3) above shall have effect in relation to the Secretary of State as in relation to the Regulator, except that in their application to the Secretary of State—
(a) paragraph (za) of subsection (1) above shall be disregarded; and
(b) the references in each of the subsections to the functions transferred or assigned to the Secretary of State under or by virtue of this Part include only the functions transferred or assigned to him under or by virtue of sections 6 to 22 and 37 to 50 below.
(6) In subsection (5) (additional duties of Regulator), for paragraph (a) (duty until 31st December 1996 to take account of guidance of Secretary of State) substitute—
(a) to have regard to any general guidance given to him by the Secretary of State about railway services or other matters relating to railways;
.
(7) After subsection (7) insert—
(7ZA) Any general guidance given by the Secretary of State to the Regulator about railway services or other matters relating to railways—
(a) shall be published by the Secretary of State in such manner as he considers appropriate; and
(b) may be varied or revoked.
(1) In the Railways Act 1993, after section 57 insert—
Penalties.
57A (1) If the appropriate authority is satisfied that a relevant operator has contravened or is contravening—
(a) a relevant condition or requirement, or
(b) a final or provisional order made by the appropriate authority,
the appropriate authority may impose on the relevant operator a penalty of such amount as is reasonable.
(2) A penalty is payable to the Authority.
(3) The amount of a penalty imposed on a relevant operator may not exceed 10 per cent. of his turnover determined in accordance with an order made by the Secretary of State; and an order under this subsection shall not be made unless a draft of the statutory instrument containing it has been laid before and approved by a resolution of each House of Parliament.
(4) No penalty may be imposed in respect of any contravention of a final or provisional order if provision was made in the order by virtue of section 55(7A) above in relation to the contravention.
(5) The Authority shall not impose a penalty on a licence holder or person under closure restrictions unless—
(a) it has given notice to the Regulator specifying a period within which he may give notice to it if he considers that the most appropriate way of proceeding is under the Competition Act 1998;
(b) that period has expired; and
(c) the Regulator has not given notice to the Authority within that period that he so considers (or, if he has, he has withdrawn it).
(6) The Regulator shall not impose a penalty if he is satisfied that the most appropriate way of proceeding is under the Competition Act 1998.
Statement of policy.
57B (1) The Authority and the Regulator shall each prepare and publish a statement of policy with respect to the imposition of penalties and the determination of their amount.
(2) A statement of policy may include provision for a decision whether to impose a penalty, or the determination of the amount of any penalty, in respect of the contravention of any relevant condition or requirement or order to be influenced by—
(a) the desirability of securing compliance with that relevant condition or requirement or order;
(b) the consequences or likely consequences of anything which has been or is being done or omitted to be done in contravention of that relevant condition or requirement or order; and
(c) the desirability of deterring contraventions of relevant conditions and requirements and final and provisional orders.
(3) In deciding whether to impose a penalty, and in determining the amount of any penalty, in respect of a contravention the Authority and Regulator shall have regard to any statement of its or his policy published at the time when the contravention occurred.
(4) The Authority and Regulator—
(a) may at any time alter or replace a statement of his or its policy; and
(b) shall publish the altered or replacement statement.
(5) The Authority and Regulator shall undertake appropriate consultation when preparing, altering or replacing a statement of policy.
(6) The Authority and Regulator shall publish a statement of policy in the manner that appears most suitable for bringing it to the attention of those likely to be affected by it.
(7) This section applies in relation to sums required to be paid by virtue of section 55(7A) above as to penalties, but as if—
(a) references to the imposition of penalties were to the inclusion in an order of a requirement to pay a sum;
(b) references to relevant conditions or requirements were omitted; and
(c) the reference in subsection (2)(b) above to anything which has been or is being done or omitted to be done included a reference to anything which is likely to be done or omitted to be done.
Procedural requirements for penalties.
57C (1) Before it imposes a penalty on a relevant operator, the appropriate authority shall give notice—
(a) stating that it proposes to impose a penalty on the relevant operator and the amount of the penalty proposed,
(b) setting out the relevant condition or requirement or order in question,
(c) specifying the acts or omissions which, in its opinion, constitute contraventions of that condition or requirement or order and the other facts which, in its opinion, justify the imposition of a penalty and the amount of the penalty proposed,
(d) specifying the manner in which, and place at which, it is proposed to require the penalty to be paid, and
(e) specifying the period (not being less than 21 days from the date of publication of the notice) within which representations or objections with respect to the proposed penalty may be made,
and shall consider any representations or objections which are duly made and not withdrawn.
(2) A notice under subsection (1) above shall be given—
(a) by publishing the notice in such manner as the appropriate authority considers appropriate; and
(b) by serving a copy of the notice on the relevant operator.
(3) Where the Regulator serves a copy of a notice under subsection (1) above on a licence holder, he shall also serve a copy on the Authority; and where the Authority so serves a copy of such a notice, it shall also serve a copy on the Regulator.
(4) The appropriate authority shall not modify a proposal to impose a penalty except—
(a) with the consent of the relevant operator;
(b) where the modifications consist of a reduction of the amount of the penalty or a deferral of the date by which it is to be paid; or
(c) after complying with the requirements of subsection (5) below.
(5) The requirements mentioned in subsection (4)(c) above are that the appropriate authority shall—
(a) give to the relevant operator such notice as appears to it requisite of its modified proposal;
(b) unless the proposed modifications are trivial, in that notice specify a period (not being less than seven days from the date of service of the notice) within which representations or objections with respect to the proposed modifications may be made; and
(c) consider any representations or objections which are duly made and not withdrawn.
(6) As soon as practicable after imposing a penalty, the appropriate authority shall give notice—
(a) stating that it has imposed a penalty on the relevant operator and its amount;
(b) setting out the relevant condition or requirement or order in question;
(c) specifying the acts or omissions which, in its opinion, constitute contraventions of that condition or requirement or order and the other facts which, in its opinion, justify the imposition of the penalty and its amount;
(d) specifying the manner in which, and place at which, the penalty is to be paid; and
(e) specifying the date (not being less than fourteen days from the date of publication of the notice) by which the penalty is to be paid.
(7) A notice under subsection (6) above shall be given—
(a) by publishing the notice in such manner as the appropriate authority considers appropriate; and
(b) by serving a copy of the notice on the relevant operator.
(8) The relevant operator may, within 21 days of the date of service on him of the notice under subsection (6) above, make an application to the appropriate authority for it to specify different dates by which different portions of the penalty are to be paid.
Time limits.
57D (1) No penalty may be imposed in respect of a contravention by a relevant operator—
(a) by virtue of paragraph (a) of subsection (1) of section 57A above in a case where no final or provisional order has been made in relation to the contravention, or
(b) by virtue of paragraph (b) of that subsection,
unless a copy of the notice relating to the penalty under section 57C(1) above is served on the relevant operator within two years of the time of the contravention.
(2) No penalty may be imposed in respect of a contravention by a relevant operator by virtue of section 57A(1)(a) above in a case where a final or provisional order has been made in relation to the contravention unless a copy of the notice relating to the penalty under section 57C(1) above is served on the relevant operator—
(a) within three months of the confirmation of the provisional order or the making of the final order; or
(b) where the provisional order is not confirmed, within six months of the making of the provisional order.
Interest and payment of instalments.
57E (1) If the whole or any part of a penalty is not paid by the date by which it is to be paid, the unpaid balance from time to time shall carry interest at the rate for the time being specified in section 17 of the Judgments Act 1838.
(2) If an application is made under subsection (8) of section 57C above in relation to a penalty, the penalty need not be paid until the application has been determined.
(3) If the appropriate authority grants an application under that subsection in relation to a penalty but any portion of the penalty is not paid by the date specified in relation to it by the appropriate authority under that subsection, so much of the penalty as has not already been paid is to be paid immediately.
Validity and effect of penalties.
57F (1) If the relevant operator to whom a penalty order relates is aggrieved by a penalty and desires to question its validity on the ground—
(a) that it was not within the powers of section 57A above,
(b) that any of the requirements of section 57C above have not been complied with in relation to it and his interests have been substantially prejudiced by the non-compliance, or
(c) that it was unreasonable of the appropriate authority not to grant an application under section 57C(8) above;
he may make an application to the court under this section.
(2) An application under this section by a person shall be made—
(a) where it is on the ground mentioned in subsection (1)(c) above, within 42 days from the date on which he is notified of the decision not to grant the application under section 57C(8) above, and
(b) in any other case, within 42 days from the date of service on him of the notice under section 57C(6) above.
(3) If an application is made under this section in relation to a penalty, the penalty need not be paid until the application has been determined.
(4) On an application under this section on the ground mentioned in subsection (1)(a) or (b) above the court, if satisfied that the ground is established, may quash the penalty or (instead of quashing it) make provision under either or both of paragraphs (a) and (b) of subsection (5) below.
(5) The provision referred to in subsection (4) above is—
(a) provision substituting a penalty of such lesser amount as the court considers appropriate in all the circumstances of the case; and
(b) provision substituting as the date by which the penalty, or any portion of the penalty, is to be paid a date later than that specified in the notice under section 57C(6) above.
(6) On an application under this section on the ground mentioned in subsection (1)(c) above the court, if satisfied that the ground is established, may specify different dates by which different portions of the penalty are to be paid.
(7) Where the court substitutes a penalty of a lesser amount it may require the payment of interest on the substituted penalty at such rate, and from such date, as it determines; and where it specifies as the date by which the penalty, or a portion of the penalty, is to be paid a date before the determination of the application it may require the payment of interest on the penalty, or portion, from that date at such rate as it determines.
(8) Except as provided by this section, the validity of a penalty shall not be questioned by any legal proceedings whatever.
(2) In section 55 of that Act (orders for securing compliance), for subsection (8) substitute—
(7A) The provision that may be made in a final or provisional order includes, in particular, provision requiring the relevant operator to pay to the Authority in the event of any specified contravention of the order such reasonable sum in respect of the contravention as is specified in, or determined in accordance with, the order in such manner, at such place and by such date as is so specified or determined.
(7B) The amount of the sum may not exceed 10 per cent. of the turnover of the relevant operator determined in accordance with an order made by the Secretary of State; and an order under this subsection shall not be made unless a draft of the statutory instrument containing it has been laid before and approved by a resolution of each House of Parliament.
(7C) If the whole or any part of the sum is not paid by the date by which it is to be paid, the unpaid balance from time to time shall carry interest at the rate for the time being specified in section 17 of the Judgments Act 1838.
(1) In section 55 of the Railways Act 1993 (orders for securing compliance)—
(a) in subsection (5) (cases where order shall not be made or confirmed) omit paragraphs (b) and (c),
(b) after subsection (5A) insert—
(5B) If the appropriate authority is satisfied—
(a) that the relevant operator has agreed to take, and is taking, all such steps as it appears to the appropriate authority for the time being to be appropriate for the relevant operator to take for the purpose of securing or facilitating compliance with the condition or requirement in question, or
(b) that the contravention or apprehended contravention will not adversely affect the interests of users of railway services or lead to any increase in public expenditure,
it shall only make a final order, or make or confirm a provisional order, if it considers it appropriate to do so.
,
...
(c) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(2) In section 56 of that Act (procedural requirements about orders)—
(a) in subsection (1)(c) (requirement of at least 28 days’ notice for making representations or objections to proposed final order or proposed confirmation of provisional order), for “28” substitute “ 21 ”,
(b) in subsection (4)(b) (requirement of at least 28 days’ notice for making representations or objections to proposed modifications), for “in that notice specify the period (not being less than 28” substitute “ unless the proposed modifications are trivial, in that notice specify a period (not being less than seven ”, and
(c) in subsection (6)(b) (requirement of at least 28 days’ notice for making representations or objections to proposal to revoke order), for “28” substitute “ 21 ”.
(1) Section 76 of the Railways Act 1993 (duties of Central Committee and consultative committees) is amended as follows.
(2) In subsection (1) ..., for paragraph (a) (duty to investigate any matter which relates to the provision of railway passenger services by the Board or a subsidiary, under a franchise agreement or on behalf of the Franchising Director) substitute—
(a) to the provision of railway passenger services, or
.
(3) In—
(a) subsection (5)(b) of section 76, ...
(b) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(matters to be referred), after “that” insert “ a franchisee is contravening, or is likely to contravene, any term of the franchise agreement or that ”.
(4) After subsection (7) of section 76 insert—
(7A) It shall also be the duty of the Rail Passengers’ Council, so far as it appears expedient from time to time to do so—
(a) to keep under review matters affecting the interests of the public in relation to railway passenger services and station services;
(b) to make representations to, and consult, such persons as they think appropriate about those matters; and
(c) to co-operate with other bodies representing the interests of users of public passenger transport services.
(7B) The Secretary of State may, after consultation with the Rail Passengers’ Council, make an order excluding services from the duties imposed by this section; and an order under this subsection—
(a) may exclude services of a particular class or description, particular services or services provided by a particular person;
(b) may provide that services are excluded subject to compliance with specified conditions; and
(c) may not revoke an exclusion except for breach of condition or in accordance with the order which made it.
(7C) The Secretary of State may, after consultation with the Rail Passengers’ Council, make an order providing that the duties imposed by this section apply to services of a particular class or description, particular services or services provided by a particular person—
(a) only to such extent as is specified by the order; or
(b) with such modifications as are so specified.
(5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
230 Regulator’s general approvals of access agreements etc.
(1) In subsection (1) of section 18 of the Railways Act 1993 (access contracts requiring approval of Regulator), after paragraph (b) insert
or
(c) the access contract is of a class or description specified in a general approval given by the Regulator;
;
and for the words from “which is” to the end substitute “ shall be void unless one of the conditions in paragraphs (a) to (c) above is satisfied. ”
(2) After subsection (7) of that section insert—
(7A) Where the Regulator gives or revokes a general approval under subsection (1)(c) above, he shall publish the approval or revocation in such manner as he considers appropriate.
(7B) The revocation of a general approval given under subsection (1)(c) above shall not affect the continuing validity of any access contract to which it applied.
(3) In subsection (3) of section 19 of that Act (installation access contracts requiring approval of Regulator), after paragraph (b) insert
or
(c) the installation access contract is of a class or description specified in a general approval given by the Regulator;
;
and for the words from “which is” to the end substitute “ shall be void unless one of the conditions in paragraphs (a) to (c) above is satisfied. ”
(4) After subsection (5) of that section insert—
(5A) Where the Regulator gives or revokes a general approval under subsection (3)(c) above, he shall publish the approval or revocation in such manner as he considers appropriate.
(5B) The revocation of a general approval given under subsection (3)(c) above shall not affect the continuing validity of any installation access contract to which it applied.
(5) In section 72(2)(b)(v) of that Act (provisions of general approvals under section 22(3) to be entered in register kept by Regulator), after “section” insert “ 18(1)(c), 19(3)(c) or ”.
(6) In section 83(1) of that Act (interpretation), in the definition of “access agreement”—
(a) in paragraph (a), for “entered into pursuant to directions under section 17 or 18” substitute “ which satisfies one of the conditions in paragraphs (a) to (c) of section 18(1) ”, and
(b) in paragraph (b), for “entered into pursuant to directions under section 19” substitute “ which satisfies one of the conditions in paragraphs (a) to (c) of section 19(3) ”.
(1) In the Railways Act 1993, after section 19 insert—
Review of access charges by Regulator.
19A Schedule 4A to this Act (which contains provision about the review of access charges by the Regulator) shall have effect.
(2) After Schedule 4 to that Act insert, as Schedule 4A, the Schedule set out in Schedule 24 to this Act.
(1) In subsection (1) of section 22 of the Railways Act 1993 (amendment of access agreement void unless approved by Regulator), insert at the end “ or is made pursuant to directions under section 22A or 22C below or Schedule 4A to this Act. ”
(2) After that section insert—
Directions to require amendment permitting more extensive use.
22A (1) The Regulator may, on the application of the person permitted by an access agreement to use the whole or part of a railway facility or network installation, give directions requiring the parties to the access agreement to make to the agreement—
(a) amendments permitting more extensive use of the railway facility or network installation by the applicant; and
(b) any amendments which the Regulator considers necessary or desirable in consequence of those amendments.
(2) In subsection (1)(a) above “more extensive use” means—
(a) increased use for the purpose for which the applicant is permitted by the access agreement to use the railway facility or network installation, or
(b) (in the case of a railway facility) use for any other permitted purpose,
and if the applicant is permitted to use only part of the railway facility or network installation, includes use for the purpose for which he is permitted to use it, or (in the case of a railway facility) for any other permitted purpose, of any other part of the railway facility or network installation.
(3) In subsection (2) above “permitted purpose”, in relation to a railway facility, means a purpose for which directions may be given in relation to the railway facility under section 17 above.
(4) No directions shall be given under this section in relation to a railway facility if and to the extent that—
(a) the railway facility is, by virtue of section 20 above, an exempt facility; or
(b) performance of the access agreement as amended would necessarily involve the facility owner in being in breach of another access agreement or an international railway access contract.
(5) No directions shall be given under this section in relation to a railway facility or network installation if and to the extent that, as a result of an obligation or duty owed by the facility owner or installation owner which arose before the coming into force of section 17 or 19 above, the consent of some other person is required by him before he may make the amendments.
(6) Nothing in this section authorises the Regulator to give directions to any person requiring him to grant a lease of the whole or any part of a railway facility or network installation.
(7) In this section and section 22B below—
(a) “international railway access contract” and “lease” have the same meaning as in section 17 above; and
(b) “network installation” has the same meaning as in section 19 above.
Applications for directions under section 22A: procedure.
22B (1) Schedule 4 to this Act shall have effect with respect to applications for directions under section 22A above as it has effect with respect to applications for directions under section 17 above (but subject as follows).
(2) In its application by virtue of this section Schedule 4 to this Act has effect with the following modifications—
(a) in paragraph 1, in the definition of “the facility owner”, for “17(1)” there shall be substituted “22A” and, in the definition of “interested person”, for “enter into the required access contract” there shall be substituted “make the amendments”;
(b) in paragraph 2(1), for “which the applicant proposes should be contained in the required access contract” and “to be contained in the required access contract” there shall be substituted “of the proposed amendments”;
(c) in paragraph 5(2), for “to the facility owner requiring him to enter into an access contract” there shall be substituted “under section 22A of this Act”;
(d) for paragraph 5(2)(a)(i) and (ii) there shall be substituted “the amendments to be made and the date by which they are to be made; and”;
(e) in paragraph 6(2), for the words from “facility owner’s” to the end of paragraph (c) there shall be substituted “making of the amendments, the performance of the access agreement as amended or failing to take any step to protect the interests of the interested person in connection with the application for directions or the making of the amendments,”; and
(f) in paragraph 6(3), for “any access contract which is entered into” there shall be substituted “the amendments made”;
and the definition of “the required access contract”, and the words following that definition, in paragraph 1 and paragraph 5(4) shall be omitted.
(3) In its application by virtue of this section in relation to an application relating to an installation access contract Schedule 4 to this Act has effect with the following further modifications—
(a) references to the railway facility shall have effect as references to the network installation;
(b) references to the facility owner shall have effect as references to the installation owner; and
(c) in the definition of “interested person” in paragraph 1, for “17” there shall be substituted “19”.
(4) The Regulator may determine that, in their application by virtue of this section in relation to any particular application, paragraphs 3 and 4 of Schedule 4 to this Act shall have effect as if for any of the numbers of days specified in them there were substituted the lower number specified by the Regulator.
Amendment: supplementary.
22C (1) The Regulator may give directions requiring the parties to an access agreement to make to the access agreement amendments which are, in his opinion, necessary to give effect to the conditions of a licence or otherwise required in consequence of the conditions of a licence.
(2) The Regulator shall not have power to direct or otherwise require amendments to be made to an access agreement except in accordance with section 22A above, subsection (1) above or Schedule 4A to this Act.
(3) If an access agreement includes provision for any of its terms to be varied—
(a) by agreement of the parties, or
(b) by direction or other requirement of the Regulator,
a variation made pursuant to that provision shall not be regarded for the purposes of section 22 above or subsection (2) above as an amendment of the agreement.
233 Prospective facility owners, proposed facilities etc.
(1) In section 17(6) of the Railways Act 1993 (directions requiring facility owners to enter into contracts for use of their railway facilities), in the definition of “facility owner”, after paragraph (b) insert “ but also includes a person before he becomes a facility owner; ”.
(2) In section 19 of that Act (contracts for use of installations comprised in a network)—
(a) in subsection (9), in the definition of “installation owner”, after paragraph (b) insert “ but also includes a person before he becomes an installation owner; ”, and
(b) in subsection (11), insert at the end “ and to one which is proposed to be constructed or is in the course of construction. ”
(3) In section 83 of that Act (interpretation of Part I), after subsection (1) insert—
(1A) In sections 17 to 22C above (and Schedule 4 to this Act) references to a railway facility (including references to any track, station or light maintenance depot) or a network include references to a railway facility (or any track, station or light maintenance depot) or a network which is proposed to be constructed or is in the course of construction.
(1) Section 84 of the Railways Act 1993 (power of Board to form companies) shall apply as if facilitating the carrying into effect of, or of any provision made under, sections 217, 218 and 240 and Schedules 18, 19 and 25 were a purpose specified by the Secretary of State under subsection (1)(d) of that section; and section 85 of that Act (power of Board to make transfer schemes) shall apply as if that were a purpose specified in subsection (3)(b) of that section.
(2) The Board shall give to the Authority any information, prepare any document and do any other thing which appears to the Authority appropriate for facilitating the carrying into effect of, or of any provision made under, sections 217, 218 and 240 and Schedules 18, 19 and 25.
(3) The Secretary of State may—
(a) by order made by statutory instrument reduce the membership of the Board to a chairman and one or more other persons appointed by the Secretary of State, and
(b) by notice in writing remove from office any member of the Board or vary the terms of his appointment.
(4) When, after consulting the Board, the Secretary of State considers that it is no longer necessary for the Board to continue to exist, he shall by order made by statutory instrument provide for its dissolution.
(5) If a person ceases to hold office as chairman or a member of the Board by virtue of subsection (3)(b) or (4) before his term of office would otherwise have expired and the Secretary of State determines that there are special circumstances which make it right that the person should receive compensation—
(a) if the person ceases to hold office by virtue of subsection (3)(b), the Board, and
(b) if the person ceases to hold office by virtue of subsection (4), the Secretary of State,
shall pay to the person such compensation as may be determined by the Secretary of State.
(6) Where an order under subsection (4) provides for the Board to be dissolved with effect from a time which would not, apart from this subsection, be the end of its financial year, the financial year of the Board which is current at that time shall be deemed to end with its dissolution.
(7) An order under subsection (4) which so provides may contain such provision as the Secretary of State considers appropriate (including provision modifying the effect of any enactment) for the Board or the Authority—
(a) to prepare accounts for the final financial year of the Board, and
(b) to make and lay before Parliament a report relating to the carrying out of the Board’s functions during that financial year.
242 Licence modifications following Competition Commission report.
(1) In section 15 of the Railways Act 1993 (modification of licence conditions following report of Competition Commission), after subsection (4) insert—
(4A) Where (after considering any representations or objections which are duly made and not withdrawn) the Regulator or Authority proposes to make or require the making of modifications under this section, he or it shall give notice to the Competition Commission—
(a) setting out the modifications he proposes to make or it proposes to require to be made; and
(b) stating the reasons why he proposes to make the modifications or it proposes to require the making of them.
(4B) The Regulator or Authority shall include with the notice under subsection (4A) above a copy of any representations and objections which have been considered.
(4C) If the period within which a direction may be given by the Competition Commission under section 15A below expires without such a direction being given, the Regulator or Authority shall make, or require the making of, the modifications set out in the notice given under subsection (4A) above.
(4D) If a direction is given by the Competition Commission under section 15A(1)(b) below, the Regulator or Authority shall make, or require the making of, such of those modifications as are not specified in the direction.
(2) After that section insert—
Competition Commission’s power to veto modifications following report.
15A (1) The Competition Commission 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 Regulator or Authority—
(a) not to make, or require the making of, the modifications set out in the notice; or
(b) not to make such of those modifications as are specified in the direction.
(2) The Secretary of State may, if an application is made to him by the Competition Commission 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 Competition Commission are given notice under section 15(4A) above.
(3) The Competition Commission 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.
(4) If the Competition Commission give a direction under this section, they shall give notice—
(a) setting out the modifications contained in the notice given under section 15(4A) above;
(b) setting out the direction; and
(c) stating the reasons why they are giving the direction.
(5) A notice under subsection (4) above shall be given—
(a) by publishing the notice in such manner as the Competition Commission 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
(b) by serving a copy of the notice on the holder of the licence.
Making of modifications by Competition Commission.
15B (1) If the Competition Commission give a direction under section 15A above, they shall themselves make such modifications of the conditions of the licence as appear to them requisite for the purpose of remedying or preventing—
(a) the adverse effects specified in their report on the reference under section 13 above; or
(b) such of those adverse effects as would not be remedied or prevented by the modifications made by the Regulator, or required to be made by the Authority, under section 15(4D) above.
(2) In exercising the function conferred by subsection (1) above, the Competition Commission shall have regard to the matters as respects which duties are imposed on the Regulator by section 4 above.
(3) Before making modifications under this section, the Competition Commission shall give notice—
(a) stating that they propose to make the modifications and setting out their effect,
(b) stating the reasons why they propose to make the modifications, and
(c) specifying the period (not being less than 28 days from the date of publication of the notice) within which representations or objections may be made,
and shall consider any representations or objections which are duly made and not withdrawn.
(4) A notice under subsection (3) above shall be given—
(a) by publishing the notice in such manner as the Competition Commission 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
(b) by serving a copy of the notice on the holder of the licence.
(5) As soon as practicable after making any modifications under this section, the Competition Commission shall send a copy of those modifications to the Regulator, the Authority and the Health and Safety Executive.
Sections 15A and 15B: supplementary.
15C (1) The provisions mentioned in subsection (2) below are to apply in relation to the exercise by the Competition Commission of their functions under sections 15A and 15B above as if—
(a) in section 82(1) and (2) of the 1973 Act references to a report of the Competition Commission under that Act were references to a notice under section 15A(4) or 15B(3) above;
(b) in section 85 of that Act references to an investigation on a reference made to the Competition Commission were references to an investigation by the Competition Commission for the purposes of the exercise of their functions under those sections; and
(c) in section 93B of that Act references to the functions of the Competition Commission under that Act were references to their functions under those sections.
(2) The provisions are—
(a) 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;
(b) Part II of Schedule 7 to the Competition Act 1998 (performance of the Competition Commission’s general functions); and
(c) section 24 of the 1980 Act (modification of provisions about performance of such functions).
(3) For the purpose of assisting the Competition Commission in exercising their functions under sections 15A and 15B above, the Regulator and the Authority shall give to the Competition Commission any information in his or its possession which relates to matters relevant to the exercise of those functions and—
(a) is requested by the Competition Commission for that purpose; or
(b) is information which, in his or its opinion, it would be appropriate for that purpose to give to the Competition Commission without any such request;
and any other assistance which the Competition Commission may require, and which it is within his or its power to give, in relation to any such matters.
(4) For the purpose of exercising those functions, the Competition Commission shall take account of any information given to them for that purpose under subsection (3) above.
(1) Section 67 of the Railways Act 1993 (functions of Regulator and Director General of Fair Trading) is amended as follows.
(2) In subsection (3) (concurrent exercise by Regulator and Director of functions under Part I of Competition Act 1998 so far as relating to agreements etc. which relate to supply of railway services), for “railway services” substitute “ services relating to railways ”.
(3) After that subsection insert—
(3ZA) In subsection (3) above “services relating to railways” means—
(a) railway services;
(b) the provision or maintenance of rolling stock;
(c) the development, maintenance or renewal of a network, station or light maintenance depot; and
(d) the development, provision or maintenance of information systems designed wholly or mainly for facilitating the provision of railway services.
(3ZB) The Secretary of State may by order amend subsection (3ZA) above; and an order under this subsection shall not be made unless a draft of the statutory instrument containing it has been laid before and approved by a resolution of each House of Parliament.