244 Authority’s duty to continue Board’s practice of indexation.
(1) The Authority shall make provision for increases in pensions and capital sums to which this section applies broadly corresponding to each increase in official pensions under the Pensions (Increase) Act 1971 and section 59 of the Social Security Pensions Act 1975 (“an official pensions increase”).
(2) This section applies to a pension or capital sum at any time if—
(a) at that time it is a pension in payment, a deferred pension or capital sum or a pension or capital sum to which a person’s future entitlement is contingent on the death of another person, and
(b) the Board either made provision for an increase in it broadly corresponding to an official pensions increase or would have done so if it had been within paragraph (a) at a time when the Board made provision for increases broadly corresponding to an official pensions increase.
(3) But where it was the practice of the Board, when making increases broadly corresponding to an official pensions increase, in any circumstances—
(a) not to make provision for an increase, or
(b) to make provision for an increase of a reduced amount,
subsection (1) does not require the Authority to make in similar circumstances provision for an increase in excess of any for which the Board would have made provision.
(1) In paragraph 6(2)(a)(ii) of Schedule 11 to the Railways Act 1993 (power to make order providing for pension rights of protected persons to be no less favourable as a result of a transfer of pension rights), after “rights” insert “ (whether made between occupational pension schemes or sections of an occupational pension scheme or otherwise) ”.
(2) The Railway Pensions (Protection and Designation of Schemes) Order 1994 is amended as follows.
(3) In article 6 (transfers etc.), insert at the end—
(9) In paragraphs (2), (3), (5), (7)(a) and (b)(i) and (8) references to an occupational pension scheme include a section of such a scheme.
(4) In article 7(4) (payments on transfers), insert at the end (but not as part of sub-paragraph (b))—
and in this paragraph references to an occupational pension scheme include a section of such a scheme.
(5) In article 9 (circumstances in which breaks in continuity of employment are disregarded)—
(a) in paragraph (2), omit “, except to the extent specified in paragraph (3),” and “relevant” (in both places), and
(b) in paragraph (3), for “this article” substitute “ paragraph (1) ”.
(6) In article 11(4) (activities to be regarded as the railway industry)—
(a) after “of Schedule 11 are” insert “ the activities of the Authority or any subsidiary of the Authority and activities consisting of ”, and
(b) for “in each case” substitute “ in each of the cases in sub-paragraphs (a) to (d) ”.
(7) Omit paragraphs 13 and 14 (arbitration).
(8) The amendments made by subsections (3) to (7) shall be treated as if made by an order made under Schedule 11 to the Railways Act 1993 (and, accordingly, may be varied or revoked by an order so made).
(1) Section 34 of the Railways Act 1993 (Passenger Transport Authorities and Executives: franchising) is amended as follows.
(2) After subsection (8) insert—
(8A) The Authority shall not do anything under subsection (8) above if or to the extent that to do it would prevent or seriously hinder the Authority—
(a) from complying with any directions given to it by the Secretary of State under section 207(5) of the Transport Act 2000 or from having regard to any guidance so given;
(b) from complying with any directions given to it by the Scottish Ministers under section 208 of that Act with which it must comply or from having regard to any guidance so given to which it must have regard; or
(c) from exercising any of its functions in a manner which is consistent with its financial framework.
(8B) The Authority need not do anything under subsection (8) above if or to the extent that to do it would have an adverse effect on the provision of services for the carriage of passengers or goods by railway (whether inside or outside the Passenger Transport Executive’s passenger transport area).
(8C) The Authority need not do anything under subsection (8) above if or to the extent that to do it would increase the amount of any expenditure of the Authority under agreements or other arrangements entered into (in accordance with a franchise agreement) with—
(a) the franchise operator;
(b) the franchisee; or
(c) any servant, agent or independent contractor of the franchise operator or franchisee.
(3) In subsection (17) (disputes between Authority and Passenger Transport Executives: directions by Secretary of State), for “with respect to the dispute” substitute “ with respect to the proposal or franchise agreement ”.
(1) The Secretary of State may by regulations make provision for the setting of standards to be complied with in relation to railway assets, railway vehicles or railway services.
(2) The regulations may provide—
(a) for standards to be set (and from time to time varied), or
(b) for compliance with standards to be monitored,
by persons specified in, or designated in accordance with, the regulations.
(3) The regulations may authorise the setting of standards which involve obtaining the approval of any person.
(4) The regulations may authorise the charging of fees in respect of—
(a) the monitoring of compliance with standards, or
(b) the seeking of approvals in connection with standards.
(5) The regulations may impose requirements to provide information on persons who—
(a) are required to comply with standards, or
(b) set, or monitor compliance with, standards,
and prohibit the giving of false information.
(6) The regulations may create criminal offences in respect of failures to comply with requirements imposed by the regulations.
(7) The regulations may provide for such offences to be triable—
(a) only summarily, or
(b) either summarily or on indictment.
(8) The regulations may provide for an offence triable only summarily to be punishable on conviction with a fine not exceeding—
(a) level 5 on the standard scale, or
(b) such lower amount as may be prescribed.
(9) The regulations may provide for an offence triable either summarily or on indictment to be punishable—
(a) on summary conviction, with a fine not exceeding the statutory maximum or such lower amount as may be prescribed, or
(b) on conviction on indictment, with a fine.
(10) The regulations may make different provision for different cases and may (in particular) include provision—
(a) authorising conditional or unconditional dispensation from requirements imposed by the regulations which would otherwise apply, or
(b) requiring compliance with requirements so imposed which would not otherwise apply,
in particular cases or descriptions of case.
(11) The regulations may include such incidental, consequential, supplementary or transitional provisions or savings as the Secretary of State may consider appropriate, including (in particular) provision modifying any provision made by or under any other enactment.
(12) The regulations shall be made by statutory instrument which shall be subject to annulment in pursuance of a resolution of either House of Parliament.
248 Substitute services to be suitable for disabled passengers.
(1) This section applies where—
(a) a person who provides services for the carriage of passengers by railway provides or secures the provision of substitute road services, or
(b) the provision of such services is secured by the Secretary of State, the Scottish Ministers or the National Assembly for Wales.
(2) In providing or securing the provision of the services, the person providing them, the Secretary of State, the Scottish Ministers or the National Assembly for Wales shall ensure, so far as is reasonably practicable, that the substitute road services allow disabled passengers to undertake their journeys safely and in reasonable comfort.
(3) In the event of any failure by a person to comply with subsection (2), he ... shall be liable to pay damages in respect of any expenditure reasonably incurred, or other loss sustained, by a disabled passenger in consequence of the failure.
(4) The Secretary of State may by order grant exemption from subsection (2) to—
(a) any class or description of persons who provide services for the carriage of passengers by railway, or
(b) any particular person who provides such services,
in respect of all substitute road services or any class or description of such services.
(5) Before making an order under subsection (4) the Secretary of State shall consult—
(a) the Disabled Persons Transport Advisory Committee, and
(b) such other representative organisations as he thinks fit.
(6) An order under subsection (4) shall be made by statutory instrument which shall be subject to annulment in pursuance of a resolution of either House of Parliament.
(7) In this section “substitute road services” means services for the carriage of passengers by road which are provided where railway services have been temporarily interrupted or discontinued.
(8) For the purposes of this section a passenger is disabled if he has a disability, or has suffered an injury, which seriously impairs his ability to walk.
Expressions which are used both in this Part and in the Railways Act 1993 and are given a meaning for the purposes of that Act, or Part I of that Act, have the same meaning in this Part.
(1) In the New Roads and Street Works Act 1991, after section 74 insert—
Charge determined by reference to duration of works.
74A (1) The Secretary of State may make provision by regulations requiring an undertaker executing street works in a maintainable highway to pay to the highway authority a charge determined, in the prescribed manner, by reference to the duration of the works.
(2) The regulations shall not require charges to be paid to a local highway authority unless the Secretary of State has approved it for the purposes of the regulations by order made by statutory instrument.
(3) The regulations may prescribe exemptions from the requirement to pay charges.
(4) The regulations may prescribe different rates of charge according to—
(a) the extent to which the surface of the highway is affected by the works,
(b) the place and time at which the works are executed, and
(c) such other factors as appear to the Secretary of State to be relevant.
(5) The regulations may—
(a) prescribe more than one rate of charge in respect of the same description of works, and
(b) provide that charges are to be paid in respect of any works of that description at the rate which appears to the highway authority to be appropriate in relation to those works.
(6) The regulations may make provision for the determination of the duration of works for the purposes of the regulations.
(7) And they may, in particular, make provision for works to be treated as beginning or ending on the giving of, or as stated in, a notice given by the undertaker to the highway authority, in the prescribed manner, in accordance with a requirement imposed by the regulations.
(8) The regulations may make provision as to the time and manner of making payment of charges.
(9) The regulations shall provide that a highway authority may reduce the amount, or waive payment, of a charge—
(a) in any particular case,
(b) in such classes of case as they may decide or as may be prescribed, or
(c) in all cases or in all cases other than a particular case or such class of case as they may decide or as may be prescribed.
(10) The regulations may make provision as to—
(a) the application by local highway authorities of sums paid by way of charges, and
(b) the keeping of accounts, and the preparation and publication of statements of account, relating to sums paid by way of charges.
(11) The regulations may create in respect of any failure to give a notice required by the regulations a criminal offence triable summarily and punishable with a fine not exceeding level 3 on the standard scale.
(12) The regulations may require disputes of any prescribed description to be referred to an arbitrator appointed in accordance with the regulations.
(13) The first regulations under this section shall not be made unless a draft of them has been laid before and approved by a resolution of each House of Parliament; subsequent regulations shall be subject to annulment in pursuance of a resolution of either House of Parliament.
Regulations under sections 74 and 74A.
74B Nothing shall be taken to prevent the imposition of charges by both regulations under sections 74 and regulations under section 74A in respect of the execution of the same works at the same time.
(2) The reference to the New Roads and Street Works Act 1991 in Schedule 1 to the National Assembly for Wales (Transfer of Functions) Order 1999 is to be treated as referring to that Act as amended by this section and section 256.
(1) Section 74 of the New Roads and Street Works Act 1991 (charges where works unreasonably prolonged) is amended as follows.
(2) After subsection (2) insert—
(2A) The regulations may prescribe exemptions from the requirement to pay charges.
(3) In subsection (3)—
(a) for “may submit to the authority” substitute “ shall give to the authority, in such manner as may be prescribed, notice containing ”, and
(b) for “so submitted” substitute “ contained in a notice given to an authority in such manner ”.
(4) In subsection (4), for “may submit” substitute “ shall give to the authority, in such manner as may be prescribed, notice containing ”.
(5) After subsection (5) insert—
(5A) The regulations may—
(a) prescribe more than one rate of charge in respect of the same description of works, and
(b) provide that charges are to be paid in respect of any works of that description at the rate which appears to the highway authority to be appropriate in relation to those works.
(5B) The regulations may make provision for the determination of the duration of works for the purposes of the regulations.
(5C) And they may, in particular, make provision for works to be treated as beginning or ending on the giving of, or as stated in, a notice given by the undertaker to the highway authority, in the prescribed manner, in accordance with a requirement imposed by the regulations.
(6) In subsection (7), for the words from “charge” to the end substitute
charges
(a) in any particular case,
(b) in such classes of case as they may decide or as may be prescribed, or
(c) in all cases or in all cases other than a particular case or such class of case as they may decide or as may be prescribed.
(7) After that subsection insert—
(7A) The regulations may make provision as to—
(a) the application by local highway authorities of sums paid by way of charges, and
(b) the keeping of accounts, and the preparation and publication of statements of account, relating to sums paid by way of charges.
(7B) The regulations may create in respect of any failure to give a notice required by the regulations a criminal offence triable summarily and punishable with a fine not exceeding level 3 on the standard scale.
In the Road Traffic Act 1988, after section 99 insert—
Driver training
Compulsory driver training courses.
99ZA Regulations may make provision about training in the driving of motor vehicles by means of courses provided in accordance with the regulations (“driver training courses”).
Requirements to complete training courses.
99ZB (1) Regulations under section 99ZA of this Act may provide that persons who have not successfully completed a driver training course—
(a) may not take a test of competence to drive motor vehicles of a prescribed class (or a prescribed part of such a test),
(b) are not authorised to drive motor vehicles of a prescribed class (before having passed a test of competence to drive them) by a provisional licence (or by section 98(2) or 99A(5) of this Act),
(c) are not granted a licence authorising the driving of motor vehicles of a prescribed class by virtue of regulations under section 89(6)(b) or (c) of this Act, or
(d) are not authorised to drive motor vehicles of a prescribed class in prescribed circumstances (despite having passed a test of competence to drive them).
(2) But a person is exempt from provision made by virtue of subsection (1)(b), (c) or (d) above if he is undergoing training on a driver training course and is driving a motor vehicle as part of the training.
(3) And regulations under section 99ZA of this Act may include provision exempting persons from any provision made by virtue of subsection (1) above in other circumstances; and regulations including such provision may (in particular)—
(a) limit an exemption to persons in prescribed circumstances,
(b) limit an exemption to a prescribed period or in respect of driving in a prescribed area,
(c) attach conditions to an exemption, and
(d) regulate applications for an exemption.
(4) Regulations under section 99ZA of this Act may include provision for the evidencing by a person of his being within—
(a) the exemption specified in subsection (2) above, or
(b) any exemption provided by virtue of subsection (3) above.
(5) Regulations under section 99ZA of this Act may provide that a driver training course is not to be taken into account for the purposes of the regulations if it was completed before such time as is prescribed.
Driver training courses: supplementary.
99ZC (1) Regulations under section 99ZA of this Act may include—
(a) provision about the nature of driver training courses,
(b) provision for the approval by the Secretary of State of persons providing such courses and the withdrawal of approvals (including provision for appeals against refusal and withdrawal of approvals) and provision for exemptions from any requirement of approval,
(c) provision for the training or assessment, or the supervision of the training or assessment, of persons providing driver training courses,
(d) provision setting the maximum amount of any charges payable by persons undergoing such courses, and
(e) provision for the evidencing of the successful completion of such courses.
(2) Such regulations may include provision for the charging of reasonable fees in respect of the exercise of any function conferred or imposed on the Secretary of State by such regulations.
(3) Such regulations may make different provision—
(a) for different classes of motor vehicles,
(b) for different descriptions of persons, or
(c) otherwise for different circumstances.
258 Register of approved instructors: destination of appeals.
(1) Section 131 of the Road Traffic Act 1988 (appeals to Secretary of State by persons aggrieved by decision of registrar of approved driving instructors) is amended as follows.
(2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(4) After subsection (4) insert—
(4A) If the Tribunal consider that any evidence adduced on an appeal had not been adduced to the Registrar before he gave the decision to which the appeal relates, they may (instead of making an order under subsection (3) above) remit the matter to the Registrar for him to reconsider the decision.
(1) In section 127 of the Road Traffic Act 1988 (application to retain name in register of approved instructors), after subsection (7) insert—
(7A) A decision to refuse an application shall take effect at the end of the period of fourteen days beginning with the day on which notice of the decision is given (or, if any appeal brought against the decision under the following provisions of this Part of this Act is previously withdrawn or dismissed, when the appeal is withdrawn or dismissed).
,
and, in subsection (8), for “A decision to refuse an application shall” substitute “ But the Registrar may, when giving notice of his decision to refuse the application, direct that the decision shall instead ”.
(2) In section 128 of that Act (removal of name from register), after subsection (6) insert—
(6A) A decision to remove a name from the register shall take effect at the end of the period of fourteen days beginning with the day on which notice of the decision is given (or, if any appeal brought against the decision under the following provisions of this Part of this Act is previously withdrawn or dismissed, when the appeal is withdrawn or dismissed).
,
and, in subsection (7), for “A decision to remove a name from the register shall” substitute “ But the Registrar may, when giving notice of his decision to remove the name from the register, direct that the decision shall instead ”.
(3) In section 130 of that Act (revocation of licence for giving instruction in order to obtain practical experience), for subsection (6) substitute—
(5A) A decision to revoke a licence shall take effect at the end of the period of fourteen days beginning with the day on which notice of the decision is given (or, if any appeal brought against the decision under the following provisions of this Part of this Act is previously withdrawn or dismissed, when the appeal is withdrawn or dismissed).
(6) But the Registrar may, when giving notice of his decision to revoke a licence, direct that (if an appeal under the following provisions of this Part of this Act is brought against the decision) it shall instead take effect—
(a) if the appeal is withdrawn or struck out for want of prosecution, on the withdrawal or striking out of the appeal, or
(b) if and when the appeal is dismissed, and not otherwise.
(4) In section 131 of that Act (appeals against decisions of registrar), after subsection (4A) (inserted by section 258) insert—
(4B) A person who is aggrieved by a decision of the Registrar not to give a direction under section 127(8), 128(7) or 130(6) of this Act may by notice in writing appeal to the Transport Tribunal within the period of ten days beginning with the day on which notice of the decision is given.
(4C) The Transport Tribunal shall determine the appeal by either—
(a) giving the direction concerned, or
(b) dismissing the appeal,
within the period of fourteen days beginning with the day on which notice of the decision is given.
(4D) Where the Registrar has decided to refuse an application for the retention of a name in the register, to remove a name from the register or to revoke a licence granted under section 129 of this Act but either—
(a) he gave a direction under section 127(8), 128(7) or 130(6) of this Act, or
(b) the Transport Tribunal have given such a direction on appeal,
he may by notice in writing apply to the Transport Tribunal for an order that the decision is to take effect immediately.
(4E) The Transport Tribunal shall determine the Registrar’s application by either granting or refusing the application, within the period of fourteen days beginning with the day on which it is made.
(4F) The Transport Tribunal may only grant the application if they consider that a failure to do so might prejudicially affect—
(a) the well-being of any person to whom the person concerned may give instruction in the driving of a motor car, or
(b) the safety of road users.
261 Increase of fine for breach of obligation to hold operator’s licence.
(1) In section 2(5) of the Goods Vehicles (Licensing of Operators) Act 1995 (obligation to hold operator’s licence: penalty for offence), for “level 4” substitute “ level 5 ”.
(2) Subsection (1) does not apply to any offence committed before this section comes into force.
262 Detention of vehicle used without operator’s licence.
(1) In the Goods Vehicles (Licensing of Operators) Act 1995, after section 2 insert—
Detention of vehicle used without operator’s licence.
2A Schedule 1A (which relates to the detention, removal and disposal of goods vehicles in respect of which it appears that section 2 is contravened) shall have effect.
(2) After Schedule 1 to that Act insert, as Schedule 1A, the Schedule set out in Schedule 30 to this Act.
In section 63 of the Road Traffic Act 1988 (obligatory type approval certificates, certificates of conformity and Minister’s approval certificates), for subsection (5) (power to make exemptions by regulations) substitute—
(5) The Secretary of State may make provision for securing that, subject to such restrictions and conditions as may be specified by or under the instrument by which the provision is made—
(a) the use of vehicles is exempted from all or any of the preceding provisions of this section for purposes specified in the instrument or in such an area as is so specified,
(b) goods vehicles are exempted from the provisions of subsection (2) above, and
(c) there are issued in respect of vehicles or vehicle parts, in such circumstances as may be specified in the instrument, certificates of temporary exemption exempting the vehicles or vehicle parts from the provisions of subsection (1) above for such period as may be provided in the certificate.
(6) Subject to subsection (7) below, the power conferred by subsection (5) above is exercisable by regulations.
(7) That power is exercisable by order in relation to—
(a) specified vehicles, or
(b) vehicles of specified persons;
and an order under this subsection may be varied or revoked by a subsequent order of the Secretary of State.
265 Vehicles subject to regulation as private hire vehicles.
(1) In section 79 of the Public Passenger Vehicles Act 1981 (which provides that a vehicle which is not a public service vehicle because of section 1(3) or (4) of that Act is to be treated as one for the purpose of excluding it from regulation as a private hire vehicle), for “1(3) or (4)” substitute “ 1(4) ”.
(2) After that section insert—
Small PSVs subject to regulation as private hire vehicles.
79A (1) If a small bus is being provided for hire with the services of a driver for the purpose of carrying passengers otherwise than at separate fares, it is not to be regarded as a public service vehicle for the purpose of—
(a) Part II of the Local Government (Miscellaneous Provisions) Act 1976, or
(b) any local Act applying in any area in England and Wales which regulates the use of private hire vehicles provided for hire with the services of a driver for the purpose of carrying passengers and excludes public service vehicles from the scope of that regulation.
(2) If a small bus is being made available with a driver to the public for hire for the purpose of carrying passengers otherwise than at separate fares, it is not to be regarded as a public service vehicle for the purpose of the Private Hire Vehicles (London) Act 1998.
(3) But subsection (1) or (2) does not apply where the vehicle is being so provided or made available in the course of a business of carrying passengers by motor vehicles all but a small part of which involves the operation of large buses.
(4) In this section—
“small bus” means a public service vehicle within paragraph (b) of subsection (1) of section 1 of this Act; and
“large buses” means public service vehicles within paragraph (a) of that subsection.
(3) In section 167(4) of the Criminal Justice and Public Order Act 1994 (touting for hire car services: defence in case of public service vehicles), for “passengers for public service vehicles” substitute “ passengers to be carried at separate fares by public service vehicles ”.
After section 99 of the Transport Act 1968 insert—
Power to prohibit driving of vehicle.
99A (1) If—
(a) the driver of a UK vehicle obstructs an authorised person in the exercise of his powers under subsection (2) or (3) of section 99 of this Act or fails to comply with any requirement made by an authorised person under subsection (1) of that section,
(b) it appears to an authorised person that, in relation to a UK vehicle or its driver, there has been a contravention of any of the provisions of—
(i) sections 96 to 98 of this Act and any orders or regulations under those sections, or
(ii) the applicable Community rules,
or that there will be such a contravention if the vehicle is driven on a road, or
(c) it appears to an authorised person that an offence under section 99(5) of this Act has been committed in respect of a UK vehicle or its driver,
the authorised person may prohibit the driving of the vehicle on a road either for a specified period or without limitation of time.
(2) Where an authorised person prohibits the driving of a vehicle under this section, he may also direct the driver to remove the vehicle (and, if it is a motor vehicle drawing a trailer, also to remove the trailer) to such place and subject to such conditions as are specified in the direction; and the prohibition shall not apply to the removal of the vehicle in accordance with that direction.
(3) On imposing a prohibition under subsection (1) of this section, the authorised person shall give notice in writing of the prohibition to the driver of the vehicle, specifying the circumstances (as mentioned in paragraph (a), (b) or (c) of that subsection) in consequence of which the prohibition is imposed and stating whether it is imposed only for a specified period (and if so specifying the period) or without limitation of time.
(4) Any direction under subsection (2) of this section may be given—
(a) in the notice under subsection (3) of this section, or
(b) in a separate notice in writing given to the driver of the vehicle.
(5) In this section—
“authorised person” means—
an examiner appointed by the Secretary of State under section 66A of the Road Traffic Act 1988, or
a constable authorised to act for the purposes of this section by or on behalf of a chief officer of police;
“UK vehicle” means a vehicle registered under the Vehicle Excise and Registration Act 1994.
Duration and removal of prohibition.
99B (1) Subject to any exemption granted under subsection (2) of this section, a prohibition under subsection (1) of section 99A of this Act shall come into force as soon as notice of it has been given in accordance with subsection (3) of that section and shall continue in force—
(a) until it is removed under subsection (3) of this section, or
(b) in the case of a prohibition imposed for a specified period, until it is removed under that subsection or that period expires, whichever first occurs.
(2) Where notice of a prohibition has been given under section 99A(3) of this Act in respect of a vehicle, an exemption in writing for the use of the vehicle in such manner, subject to such conditions and for such purposes as may be specified in the exemption may be granted by any authorised person.
(3) A prohibition under section 99A(1) of this Act may be removed by any authorised person, if he is satisfied that appropriate action has been taken to remove or remedy the circumstances (as mentioned in paragraph (a), (b) or (c) of section 99A(1) of this Act) in consequence of which the prohibition was imposed; and on doing so the authorised person shall give notice in writing of the removal of the prohibition to the driver of the vehicle.
(4) In this section, “authorised person” has the same meaning as in section 99A of this Act.
Failure to comply with prohibition.
99C Any person who—
(a) drives a vehicle on a road in contravention of a prohibition imposed under section 99A(1) of this Act,
(b) causes or permits a vehicle to be driven on a road in contravention of such a prohibition, or
(c) refuses or fails to comply within a reasonable time with a direction given under section 99A(2) of this Act,
shall be guilty of an offence and liable on summary conviction to a fine not exceeding level 5 on the standard scale.
(1) Section 189 of the Greater London Authority Act 1999 (appeals against decisions of Transport for London about London service permits) is amended as follows.
(2) In subsections (2) and (4) (appeals to be made to Mayor), for “appeal to the Mayor” substitute “ make an appeal ”.
(3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(6) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(7) For subsections (11) to (13) (power of panel to report to Mayor who may issue appropriate guidance or directions to Transport for London) substitute—
(11) An appeal panel which has heard an appeal against a decision may—
(a) uphold the decision,
(b) quash the decision, or
(c) substitute for the decision such other decision which Transport for London had power to make as appears to the appeal panel to be appropriate.
(12) An appeal panel which has heard an appeal may make an order about payment of the costs of the appeal; and such an order may require that Transport for London pay to the person who made the appeal a sum equal to the whole or part of any fee paid in accordance with regulations under subsection (7) above.
(8) In section 420(7) of that Act (regulations subject to negative Parliamentary procedure), after the entry relating to any provision contained in Chapters I to IV or VI of Part III, insert—
section 189;
.
(1) A local traffic authority may designate any road for which they are the traffic authority as a quiet lane or a home zone.
(2) The appropriate national authority may make regulations authorising local traffic authorities who have designated roads as quiet lanes or home zones to make use orders and speed orders of such descriptions as are prescribed by the regulations in relation to any roads designated by them as quiet lanes or home zones.
(3) A use order is an order permitting the use of a road for purposes other than passage.
(4) But a use order may not permit any person—
(a) wilfully to obstruct the lawful use of a road by others, or
(b) to use a road in a way which would deny reasonable access to premises situated on or adjacent to the road.
(5) A speed order is an order authorising the local traffic authority by whom it is made to take measures with a view to reducing the speed of motor vehicles or cycles (or both) on a road to below that specified in the order.
(6) The appropriate national authority may make regulations specifying procedures for the making, variation and revocation of—
(a) designations, and
(b) use orders and speed orders,
including procedures for confirmation (whether by the appropriate national authority or any other body).
(7) The appropriate national authority may give guidance to local traffic authorities about matters to which they must have regard in determining whether or not to designate a road as a quiet lane or home zone.
(8) In this section—
“the appropriate national authority” means—
the Secretary of State as respects England, and
the National Assembly for Wales as respects Wales,
“cycle” has the same meaning as in the Road Traffic Act 1988,
“local traffic authority” has the same meaning as in the Road Traffic Regulation Act 1984,
“motor vehicle” means a mechanically propelled vehicle intended or adapted for use on roads, and
“road” has the same meaning as in the Road Traffic Regulation Act 1984.
(9) Regulations under this section shall be made by statutory instrument and may make different provision for different cases or areas.
(10) A statutory instrument containing regulations made by the Secretary of State under this section shall be subject to annulment in pursuance of a resolution of either House of Parliament.
(1) The Road Traffic Regulation Act 1984 is amended as follows.
(2) In section 26 (arrangements for patrolling places where children cross roads during certain periods)—
(a) in subsection (1), omit “during periods between the hours of eight in the morning and half-past five in the afternoon when children are so on their way,”, and
(b) after that subsection insert—
(1A) Arrangements under subsection (1) above may be made for patrolling places at such times as the authority thinks fit.
(3) In section 28 (power to stop vehicles at school crossings)—
(a) in subsection (1)—
(i) omit “between the hours of eight in the morning and half-past five in the afternoon”, and
(ii) for “children on their way to or from school, or from one part of a school to another, are” substitute “ a person is ”,
(b) in subsection (2)—
(i) for “children are” substitute “ person is ”, and
(ii) for “their” substitute “ his ”, and
(c) in subsection (5)—
(i) insert “ and ” at the end of paragraph (a), and
(ii) omit paragraph (c) and the word “and” before it.
(1) The Road Traffic Regulation Act 1984 is amended as follows.
(2) In section 63 (power of authorities to provide stands and racks for bicycles), for “and racks for bicycles” substitute “ or racks for, or devices for securing, bicycles or motor cycles ”.
(3) In section 136(4) (meaning of “motor cycle”), for “section 57” substitue “ sections 57 and 63 ”.
272 Financial assistance for inland waterway and sea freight.
(1) The Secretary of State may make grants or other payments for the purpose of securing or encouraging the carriage of goods by inland waterway or by sea rather than by road where he is satisfied that that is in the public interest.
(2) Grants or payments under this section may in particular be made in respect of facilities for or in connection with the carriage of goods by inland waterway or by sea (including facilities for loading or unloading goods).
(3) Grants or payments under this section shall be of such amount and subject to such conditions (including conditions requiring their repayment in specified circumstances) as the Secretary of State may determine.
(4) So far as it relates to inland waterways that are wholly in Wales, the power conferred by this section is a power of the Welsh Ministers.
(4A) So far as it relates to—
(a) the carriage of goods by an inland waterway that is partly in Wales, or
(b) the carriage of goods by sea where the carriage concerned is wholly or partly by sea adjacent to Wales,
the power conferred by this section may be exercised concurrently or jointly by the Secretary of State and the Welsh Ministers.
(5) The power conferred by this section may only be exercised in or as regards Scotland if its exercise relates to reserved matters within the meaning of the Scotland Act 1998.
(6) In this section—
"inland waterway” includes both a natural and an artificial inland waterway;
"sea adjacent to Wales” means the sea adjacent to Wales out as far as the seaward boundary of the territorial sea.
(7) An order under section 158(3) of the Government of Wales Act 2006 determining, or making provision for determining, any boundary between waters which are to be treated as parts of the sea adjacent to Wales and those which are not applies for the purposes of the definition of ““sea adjacent to Wales”” in this section as it applies for the purposes of the definition of ““Wales”” in that Act.
(1) If an offence under this Act is committed by a body corporate and is proved to have been committed with the consent or connivance of, or to be attributable to neglect on the part of—
(a) a director, manager, secretary or other similar officer of the body, or
(b) a person who was purporting to act in such a capacity,
he (as well as the body) commits the offence.
(2) In subsection (1) “director”, in relation to a body corporate whose affairs are managed by its members, means a member of the body.
(3) If an offence under this Act is committed by a Scottish partnership and is proved to have been committed with the consent or connivance of a partner, he (as well as the partnership) commits the offence.
(1) Subject as follows, the preceding provisions of this Act come into force in accordance with provision made by the Secretary of State by order made by statutory instrument; and different provision may be made for different purposes.
(2) The power conferred by subsection (1) is exercisable as respects Wales by the National Assembly for Wales (and not the Secretary of State) in relation to Parts II and III (and the repeals relating to Part II).
(3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(4) Section 231 (and Schedule 24), section 253 (and Schedule 28) and section 269 come into force on the day on which this Act is passed.
(5) In section 245, subsections (1) and (3) to (5), and subsections (2) and (8) so far as relating to subsections (3) to (5), shall be treated as having come into force on 10th May 2000.
(1) The Secretary of State may by order made by statutory instrument make any transitional provisions or savings which he considers appropriate in connection with the coming into force of any provision of this Act.
(2) The power conferred by subsection (1) is exercisable as respects Wales by the National Assembly for Wales (and not the Secretary of State) in relation to Parts II and III (and the repeals relating to Part II).
(1) The Secretary of State may, in consequence of any provision of this Act or of any instrument made under it, by order made by statutory instrument make such amendments (including repeals or revocations) as appear to him to be appropriate in—
(a) any Act (whether public general or local) passed, or
(b) any subordinate legislation (within the meaning of the Interpretation Act 1978) made,
before that provision comes into force.
(2) The power conferred by subsection (1) is exercisable as respects Wales by the National Assembly for Wales (and not the Secretary of State) in relation to Parts II and III and any instruments made under them.
(3) No order shall be made under subsection (1) by the Secretary of State unless a draft of the order containing it has been laid before, and approved by resolution of, each House of Parliament.
(1) There shall be paid out of money provided by Parliament—
(a) any expenditure incurred by any Minister of the Crown or government department under or by virtue of this Act (apart from any expenditure to be met from the National Loans Fund), and
(b) any increase attributable to this Act in the sums payable out of money so provided under any other enactment.
(2) There shall be issued to the Secretary of State by the Treasury out of the National Loans Fund any sums required by him for—
(a) making loans under section 52 to a transferee, ...
(b) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(3) There shall be paid into the National Loans Fund any repayment of, or payment of interest on, loans—
(a) made under section 52 by the Secretary of State to a transferee, ...
(b) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(4) The assets of the National Loans Fund shall be reduced by an amount corresponding to such liability as the Secretary of State extinguishes by order under section 57.
(5) There shall be paid into the Consolidated Fund any sums received by any Minister of the Crown or government department under or by virtue of this Act (apart from any sums required to be paid into the National Loans Fund).
(1) Parts II and III, and the repeals relating to those Parts, and sections 255 and 256, 265, 267 and 268 and 270 and 271, and the repeals in Part V(2) of Schedule 31, extend only to England and Wales.
(2) Subject as follows, Part IV, sections 257 to 260 (and Schedule 29), sections 261 to 263 (and Schedule 30) and sections 264, 266 and 269, and Part V(1) of Schedule 31, extend only to England and Wales and Scotland.
(3) The amendments made by Parts I and IV, and the repeals and revocations relating to those Parts, have the same extent as the enactments to which they relate (except where it is otherwise provided).
(4) Sections 247 and 250, paragraph 14 of Schedule 14 and Schedule 26 extend to England and Wales, Scotland and Northern Ireland.
Section 19F
PART 1 Permission to appeal
Application for permission to appeal
1 (1) An application to the CMA for permission to appeal under section 19A may not be made after the end of the period of six weeks beginning with the day on which the CAA published the decision notice.
(2) In this Schedule “the decision notice” means the notice published under section 11A of the decision that is the subject of the application for permission to appeal under section 19A.
(3) The applicant must send a copy of the application to the CAA.
(4) The CAA must—
(a) publish the application;
(b) send a copy of the application to the persons listed in sub-paragraph (5) (other than the applicant).
(5) Those persons are—
(a) the holder of the licence that is the subject of the application;
(b) any other person with a qualifying interest in the decision that is the subject of the application;
(c) any owners or operators of aircraft that the CAA considers appropriate;
(d) any owners or managers of prescribed aerodromes that the CAA considers appropriate.
Determination of application for permission to appeal
2 (1) The decision of the CMA on an application for permission to appeal is to be taken by an authorised member of the CMA.
(2) The authorised member must take the decision before the end of the period of ten weeks beginning with the day on which the CAA published the decision notice.
(3) The authorised member may grant permission to appeal subject to conditions.
(4) The conditions may, in particular, include—
(a) conditions which limit the matters that are to be considered on the appeal;
(b) conditions for the purpose of expediting the determination of the appeal;
(c) conditions requiring the appeal to be considered together with other appeals, including appeals relating to different matters or decisions and appeals brought by different persons.
(5) An authorised member of the CMA who grants permission to appeal against a decision that relates entirely or partly to a matter remitted to the CAA following an earlier appeal under section 19A must grant permission subject to conditions excluding the consideration of—
(a) matters that were considered as part of the earlier appeal, and
(b) matters that could have been raised by the applicant or a relevant connected person as part of the earlier appeal,
unless the member considers that there are compelling reasons not to do so.
(6) In sub-paragraph (5) “relevant connected person”, in relation to an applicant, means a person who was connected to the applicant at any time during the consideration of the earlier appeal by the CMA.
(7) An authorised member of the CMA must—
(a) publish the decision on an application for permission to appeal and the reasons for the decision;
(b) send a copy of the decision and the reasons to the persons listed in sub-paragraph (8).
(8) Those persons are—
(a) the holder of the licence that is the subject of the application;
(b) if the application was made by someone other than the licence holder, the applicant;
(c) any other person with a qualifying interest in the decision that is the subject of the application;
(d) any owners or operators of aircraft that the authorised member considers appropriate;
(e) any owners or managers of prescribed aerodromes that the authorised member considers appropriate;
(f) the CAA.
(9) An authorised member of the CMA may exclude from publication under sub-paragraph (7) any information that the member is satisfied is—
(a) commercial information the disclosure of which would or might, in the opinion of the member, significantly harm the legitimate business interests of an undertaking to which it relates, or
(b) information relating to the private affairs of an individual the disclosure of which would or might, in the opinion of the member, significantly harm the individual's interests.
Time limit for CAA to make representations
3 (1) This paragraph applies where the CAA wishes to make representations to the CMA in relation to an application under paragraph 1 for permission to appeal against a decision.
(2) The CAA must make representations in writing before the end of the period of eight weeks beginning with the day on which the CAA published the decision notice.
(3) The CAA must send a copy of its representations to—
(a) the holder of the licence that is the subject of the application;
(b) if the application was made by someone other than the licence holder, the applicant;
(c) any other person with a qualifying interest in the decision that is the subject of the application;
(d) any owners or operators of aircraft that the CAA considers appropriate;
(e) any owners or managers of prescribed aerodromes that the CAA considers appropriate.
PART 2 Intervention in appeal
Application for permission to intervene in appeal
4 (1) Where an application is made under paragraph 1 for permission to appeal against a decision, an application for permission to intervene in the appeal may be made to the CMA by another person who would be entitled to appeal against the decision.
(2) An application for permission to intervene—
(a) may be made before the end of the period of one week beginning with the day of publication of the CMA's decision to grant permission to appeal against the decision;
(b) may be made after the end of that period only with the leave of an authorised member of the CMA.
(3) The applicant must send a copy of the application to the CAA.
(4) The CAA must—
(a) publish the application;
(b) send a copy of the application to the persons listed in sub-paragraph (5) (other than the applicant).
(5) The persons are—
(a) the holder of the licence that is the subject of the appeal;
(b) any other person with a qualifying interest in the decision that is the subject of the appeal;
(c) any owners or operators of aircraft that the CAA considers appropriate;
(d) any owners or managers of prescribed aerodromes that the CAA considers appropriate.
Determination of application for permission to intervene
5 (1) The decision of the CMA on an application for permission to intervene is to be taken by an authorised member of the CMA.
(2) An authorised member of the CMA may grant permission to intervene in an appeal only if the member is satisfied that allowing the applicant to intervene is necessary or desirable for the proper resolution of the appeal.
(3) The authorised member—
(a) may grant permission to intervene for the purposes of supporting or opposing an appeal;
(b) must make any permission to intervene for the purpose of supporting an appeal subject to conditions preventing the intervener from putting forward new grounds of appeal;
(c) may make permission to intervene subject to other conditions, including conditions which limit the matters that may be raised by the intervener.
(4) An authorised member of the CMA must—
(a) publish the decision on an application for permission to intervene and the reasons for the decision;
(b) send a copy of the decision and reasons to the persons listed in sub-paragraph (5).
(5) Those persons are—
(a) the holder of the licence that is the subject of the appeal;
(b) if the application was made by someone other than the licence holder, the applicant;
(c) any other person with a qualifying interest in the decision that is the subject of the appeal;
(d) any owners or operators of aircraft that the authorised member considers appropriate;
(e) any owners or managers of prescribed aerodromes that the authorised member considers appropriate;
(f) the CAA.
(6) An authorised member of the CMA may exclude from publication under sub-paragraph (4) any information that the member is satisfied is—
(a) commercial information the disclosure of which would or might, in the opinion of the member, significantly harm the legitimate business interests of an undertaking to which it relates, or
(b) information relating to the private affairs of an individual the disclosure of which would or might, in the opinion of the member, significantly harm the individual's interests.
PART 3 Application for suspension of modification
Application for direction suspending licence modification
6 (1) Where an application is made under paragraph 1 for permission to appeal against a decision, an application for a direction suspending the effect of the decision may be made to the CMA—
(a) by the person who applied for permission to appeal, or
(b) by another person who would be entitled to appeal against the decision.
(2) An application for a direction may be made at any time before the determination of the appeal.
(3) The applicant must send a copy of the application to the CAA.
(4) The CAA must—
(a) publish the application;
(b) send a copy of the application to the persons listed in sub-paragraph (5) (other than the applicant).
(5) Those persons are—
(a) the holder of the licence that is the subject of the application;
(b) any other person with a qualifying interest in the decision that is the subject of the application;
(c) any owners or operators of aircraft that the CAA considers appropriate;
(d) any owners or managers of prescribed aerodromes that the CAA considers appropriate.
Effect of early application for direction suspending licence modification
7 (1) This paragraph applies if—
(a) an application is made under paragraph 6 for a direction suspending the effect of a decision under section 11(1) to modify a licence condition,
(b) the application is made before the end of the period of six weeks beginning with the day on which the CAA published the decision notice, and
(c) the modification would have effect, but for this paragraph, before the end of the period of ten weeks beginning with that day (“the ten-week period”).
(2) The modification does not have effect during the ten-week period.
(3) The decision of the CMA on the application under paragraph 6 must be taken before the end of the ten-week period.
Direction following application under paragraph 6
8 (1) The functions of the CMA in relation to an application under paragraph 6 for a direction are to be carried out by an authorised member of the CMA.
(2) An authorised member of the CMA may give a direction suspending the effect of a decision under section 11(1) to include a condition in a licence only if—
(a) the applicant for the direction would incur significant costs if the licence condition were to have effect from the date specified in the decision, and
(b) the balance of convenience does not otherwise require the licence condition to have effect from that date.
(3) If the authorised member gives a direction suspending the effect of the decision, the licence condition does not have effect or ceases to have effect—
(a) to the extent specified in the direction, and
(b) for the period specified or described in the direction.
(4) An authorised member of the CMA may by notice vary or withdraw a direction under this paragraph if the authorised member considers it appropriate to do so having regard to the costs and the balance of convenience referred to in sub-paragraph (2).
Publication of decisions about directions
9 (1) An authorised member of the CMA must—
(a) publish a decision on an application under paragraph 6 for a direction and the reasons for the decision;
(b) send a copy of the decision and reasons to the persons listed in sub-paragraph (4).
(2) Where paragraph 7 applies, the requirements of sub-paragraph (1) must be complied with before the end of the ten-week period referred to in that paragraph.
(3) An authorised member of the CMA must—
(a) publish any notice varying or withdrawing a direction under paragraph 8 and the reasons for the variation or withdrawal;
(b) send a copy of the notice and reasons to the persons listed in sub-paragraph (4).
(4) Those persons are—
(a) the holder of the licence that is the subject of the application or direction;
(b) if the application for the direction was made by someone other than the licence holder, the applicant;
(c) any other person with a qualifying interest in the decision that is the subject of the application or appeal;
(d) any owners or operators of aircraft that the authorised member considers appropriate;
(e) any owners or managers of prescribed aerodromes that the authorised member considers appropriate;
(f) the CAA.
Time limit for CAA to make representations
10 (1) This paragraph applies where the CAA wishes to make representations to the CMA in relation to an application under paragraph 6 for a direction.
(2) In a case to which paragraph 7 applies, the CAA must make the representations in writing before the end of the period of eight weeks beginning with the day on which the CAA published the decision notice.
(3) In any other case—
(a) an authorised member of the CMA must specify a reasonable period for making representations;
(b) the CAA must make the representations in writing before the end of that period.
(4) In all cases, the CAA must send a copy of its representations to—
(a) the holder of the licence that is the subject of the application;
(b) if the application was made by someone other than the licence holder, the applicant;
(c) any other person with a qualifying interest in the decision that is the subject of the application;
(d) any owners or operators of aircraft that the CAA considers appropriate;
(e) any owners or managers of prescribed aerodromes that the CAA considers appropriate.
PART 4 Determination of appeals
Determination of appeal by group
11 (1) A group constituted by the chair of the CMA, under Schedule 4 to the Enterprise and Regulatory Reform Act 2013, for the purpose of carrying out functions of the CMA with respect to an appeal under section 19A must consist of three members of the CMA panel.
(2) A decision of the group is effective only if—
(a) all of the members are present when it is made, and
(b) at least two members of the group are in favour of the decision.
Representations made by the CAA
12 (1) This paragraph applies where an application for permission has been granted and the CAA makes representations to the CMA for the purposes of the appeal under section 19A.
(2) The CAA must send a copy of its representations to—
(a) the holder of the licence that is the subject of the appeal;
(b) if the appeal was brought by someone other than the licence holder, the appellant;
(c) any other person with a qualifying interest in the decision that is the subject of the appeal;
(d) any owners or operators of aircraft that the CAA considers appropriate;
(e) any owners or managers of prescribed aerodromes that the CAA considers appropriate.
Matters that may be disregarded
13 (1) The CMA may disregard matters raised by the CAA if it thinks it necessary to do so for the purpose of securing that an appeal under section 19A is determined within the period allowed under section 19D, unless they are matters contained in representations made to the CMA—
(a) in accordance with paragraph 10, or
(b) before the end of the period of 12 weeks beginning with the day on which the decision notice was published.
(2) The CMA may disregard matters raised by the appellant if it thinks it necessary to do so for the purpose of securing that an appeal under section 19A is determined within the period allowed under section 19D, unless the matters were raised by the appellant—
(a) at the time of the application under paragraph 1 for permission to appeal, or
(b) in an application under paragraph 6 for a direction.
(3) The CMA may disregard matters raised by an intervener if it thinks it necessary to do so for the purpose of securing that an appeal under section 19A is determined within the period allowed under section 19D, unless the matters were raised by the intervener—
(a) at the time of the application for permission to intervene under paragraph 4, or
(b) in an application under paragraph 6 for a direction.
Remitting decision to CAA
14 (1) This paragraph applies where the CMA decides to remit a matter that is the subject of an appeal under section 19A to the CAA for reconsideration and decision.
(2) Where, on reconsidering the matter, the CAA decides to modify a licence, the notice under section 11A(5) in respect of the modification may, with the agreement of the licence holder, specify a date falling—
(a) before the end of the period of six weeks beginning with the date on which the notice is published, but
(b) on or after the date on which the decision that was the subject of the appeal took effect or would have taken effect but for its suspension under this Schedule.
Substituting the CAA's decision
15 (1) This paragraph applies where the CMA decides to substitute its own decision for a decision of the CAA that is the subject of an appeal under section 19A.
(2) The decision of the CMA has effect as if made by the CAA except that—
(a) section 11A(5) does not apply;
(b) an appeal may not be brought against it under section 19A.
(3) Any modification of a licence effected by the CMA takes effect from the date specified by the CMA.
(4) The CMA may, with the agreement of the licence holder, specify a date falling—
(a) before the date on which the order containing its decision is published, but
(b) on or after the date on which the decision that was the subject of the appeal took effect or would have taken effect but for its suspension under this Schedule.
PART 5 General
Consideration of new matters
16 (1) This paragraph applies to—
(a) an authorised member of the CMA with the function of determining an application for permission to appeal under section 19A;
(b) a group with the function of determining an appeal under that section.
(2) The member or group must not have regard to any matter, information or evidence raised or provided by the CAA if it was not considered by the CAA in making the decision that is the subject of the application or the appeal, unless the member or group considers that—
(a) the CAA could not reasonably have been expected to consider the matter, information or evidence when making that decision, and
(b) the matter, information or evidence is likely to have an important effect on the outcome of the application or appeal, either by itself or taken together with other matters, information or evidence.
(3) The member or group must not have regard to any matter, information or evidence raised or provided by a person other than the CAA if it was not considered by the CAA in making the decision that is the subject of the application or appeal, unless the member or group considers that—
(a) the person or a relevant connected person could not reasonably have raised the matter with the CAA, or provided the information or evidence to the CAA, during the period in which the CAA was making that decision, and
(b) the matter, information or evidence is likely to have an important effect on the outcome of the application or appeal, either by itself or taken together with other matters, information or evidence.
(4) Where the member or group has regard to any matter, information or evidence in reliance on sub-paragraph (2) or (3), those sub-paragraphs do not prevent the member or group having regard to further matters, information or evidence raised or provided in response to it if the member or group considers that the further matter, information or evidence is likely to have an important effect on the outcome of the application or appeal, either by itself or taken together with other matters, information or evidence.
(5) In sub-paragraph (3) “relevant connected person”, in relation to a person who raises or provides a matter, information or evidence, means a person who was connected to that person at any time during the period in which the CAA was making the decision that is the subject of the application or appeal.
(6) References in this paragraph to the period in which the CAA was making a decision are to the period—
(a) beginning with the publication of a notice under section 11A(1) proposing to make the modification, and
(b) ending with the publication of a notice under section 11A(5) in relation to that modification.
Production of documents
17 (1) The CMA may by notice require a person to produce to it documents specified or described in the notice that are in the person's custody or under the person's control.
(2) In this paragraph “document” means anything in which information is recorded.
(3) The notice may require the production of documents—
(a) at a time and place specified in the notice;
(b) in a form and manner specified in the notice.
(4) The notice may not require a person to produce documents that the person could not be compelled to provide in evidence in civil proceedings before the High Court or, in Scotland, the Court of Session.
(5) A notice under this paragraph may be given on behalf of the CMA by an authorised member of the CMA.
Oral hearings
18 (1) For the purposes of this Schedule the following persons may hold an oral hearing and take evidence on oath—
(a) an authorised member of the CMA considering an application under paragraph 1 for permission to appeal;
(b) an authorised member of the CMA considering an application under paragraph 4 for permission to intervene;
(c) an authorised member of the CMA considering an application under paragraph 6 for a direction;
(d) a group with the function of determining an appeal under section 19A.
(2) In the course of holding such a hearing and taking such evidence, a person or group described in sub-paragraph (1) may administer oaths.
(3) An authorised member of the CMA may by notice require a person—
(a) to attend at a time and place specified in the notice, and
(b) at that time and place, to give evidence to a member or group described in sub-paragraph (1).
(4) At an oral hearing, the member or group conducting the hearing may require the following persons to give evidence or to make representations—
(a) the applicant, the appellant or any intervener (if present);
(b) a person attending a hearing as a representative of the applicant, the appellant, an intervener or the CAA.
(5) Subject to sub-paragraph (6), a person who gives oral evidence at the hearing may be cross-examined by or on behalf of—
(a) the appellant;
(b) an intervener;
(c) the CAA.
(6) Such a person may be cross-examined by or on behalf of an intervener only with the leave of the member or group conducting the hearing.
(7) If the applicant, the appellant, an intervener or a representative of any such person or the CAA is not present at a hearing—
(a) there is no requirement to give notice to that person under sub-paragraph (3);
(b) the member or group conducting the hearing may determine the application or appeal without hearing that person's evidence or representations.
(8) A person may not be required under this paragraph to give evidence that the person could not be compelled to give in civil proceedings before the High Court or, in Scotland, the Court of Session.
(9) Where a person is required under this paragraph to attend at a place more than 16 kilometres from the person's place of residence, an authorised member of the CMA must arrange for the person to be paid the necessary expenses of attendance.
(10) A notice under this paragraph may be given on behalf of the CMA by an authorised member of the CMA.
Written evidence
19 (1) The CMA may by notice require a person to produce a written statement with respect to a matter specified in the notice—
(a) to an authorised member of the CMA considering an application under paragraph 1 for permission to appeal;
(b) to an authorised member of the CMA considering an application under paragraph 4 for permission to intervene;
(c) to an authorised member of the CMA considering an application under paragraph 6 for a direction;
(d) to a group with the function of determining an appeal under section 19A.
(2) The notice may require the written statement—
(a) to be produced at the time and place specified in the notice;
(b) to be verified by a statement of truth.
(3) Where a notice requires a written statement to be verified by a statement of truth, the written statement may be disregarded unless it is so verified.
(4) A person may not be required under this paragraph to produce a written statement about a matter if the person could not be compelled to give evidence about that matter in civil proceedings before the High Court or, in Scotland, the Court of Session.
(5) A notice under this paragraph may be given on behalf of the CMA by an authorised member of the CMA.
Expert advice
20 Where permission to appeal is granted under paragraph 2, the CMA may commission expert advice with respect to any matter raised by—
(a) the appellant,
(b) an intervener, or
(c) the CAA.
Enforcement of requirements in relation to evidence etc
21 (1) This paragraph applies where a person—
(a) fails to comply with a notice under paragraph 17, 18 or 19,
(b) fails to comply with any other requirement imposed under paragraph 17, 18 or 19,
(c) in complying with a notice under paragraph 19, makes a statement that is false or misleading in a material respect, or
(d) in providing information verified by a statement of truth required by appeal rules under paragraph 23, provides information that is false or misleading in a material respect.
(2) An authorised member of the CMA may certify to the appropriate court—
(a) the failure,
(b) the fact that the person has made a false or misleading statement in circumstances described in sub-paragraph (1)(c), or
(c) the fact that the person has provided false or misleading information in circumstances described in sub-paragraph (1)(d).
(3) The appropriate court may inquire into a certified failure or act and, if it does so, must hear—
(a) any witness against the person;
(b) any witness on behalf of the person;
(c) any statement in the person's defence.
(4) The appropriate court may punish the person as if the person had been guilty of contempt of court if it is satisfied that—
(a) the certified failure or act took place, and
(b) the person did not have a reasonable excuse for the failure or act.
(5) Where the person is a body corporate, the appropriate court may punish any director or other officer of that body, either instead or as well as punishing the body.
(6) In this paragraph—
“the appropriate court”—
in relation to England and Wales and Northern Ireland, means the High Court;
in relation to Scotland, means the Court of Session;
“director”, in relation to a body corporate whose affairs are managed by its members, means a member of the body.
Withdrawal of applications and appeals
22 (1) An application under paragraph 1 for permission to appeal may be withdrawn only with the consent of the CMA.
(2) After an application for permission to appeal is granted, the appeal may be withdrawn only with the consent of the CMA.
(3) An application under paragraph 4 for permission to intervene may be withdrawn only with the consent of the CMA.
(4) After an application for permission to intervene is granted, the intervener may withdraw from the appeal only with the consent of the CMA.
(5) For the purposes of sub-paragraphs (1) to (4), the consent of the CMA may be given by an authorised member of the CMA.
(6) Where the CMA has consented, the person wishing to withdraw the application or appeal, or withdraw as an intervener, may give notice of withdrawal to the CMA.
(7) An application under paragraph 6 for a direction suspending the effect of a decision may be withdrawn at any time by giving notice of withdrawal to the CMA.
(8) Withdrawal of an application under this Schedule or of an appeal, or as an intervener in an appeal, has effect when the notice of withdrawal is given to the CMA.
(9) A person giving notice of withdrawal to the CMA must send a copy of the notice to the CAA.
(10) The CAA must—
(a) publish the notice;
(b) send a copy of it to the persons listed in sub-paragraph (11) (other than the person who gave the notice).
(11) Those persons are—
(a) the holder of the licence that is the subject of the application or appeal;
(b) any other person with a qualifying interest in the decision that is the subject of the application or appeal;
(c) any owners or operators of aircraft that the CAA considers appropriate;
(d) any owners or managers of prescribed aerodromes that the CAA considers appropriate.
Appeal Rules
23 (1) The CMA Board may make rules regulating the conduct and disposal of appeals.
(2) The rules may include provision supplementing the provisions of this Schedule in relation to any application, notice, hearing or requirement for which this Schedule provides.
(3) The rules may, in particular, include—
(a) provision requiring an application to be accompanied by information specified in the rules;
(b) provision requiring such information to be verified by a statement of truth;
(c) provision requiring an applicant to provide the CAA with information specified in the rules;
(d) provision imposing time limits or other restrictions on the taking of evidence at an oral hearing;
(e) provision imposing time limits or other restrictions on the making of representations or observations at such a hearing.
(4) The rules may make different provision for different purposes.
(5) Before making rules under this paragraph the CMA Board must consult any persons that it considers appropriate.
(6) The CMA Board must publish the rules made under this paragraph.
Costs
24 (1) Where an application under this Schedule or an appeal is withdrawn, an authorised member of the CMA may make any order that the member thinks fit requiring the parties to the application or appeal to make payments to each other and to the CMA in respect of costs incurred in connection with the application or appeal.
(2) A group that determines an appeal must make an order requiring the payment to the CMA of the costs incurred by the CMA in connection with the appeal.
(3) Subject to sub-paragraph (4), an order under sub-paragraph (2) must require those costs to be paid—
(a) where the appeal is allowed in full, by the CAA;
(b) where the appeal is dismissed in full, by the appellant;
(c) where the appeal is allowed in part, by the appellant and the CAA in such proportions as the group considers appropriate.
(4) The order may require an intervener in the appeal to pay such proportion of those costs (if any) as the group considers appropriate.
(5) A group that determines an appeal may make any order that it thinks fit requiring one party to the appeal to make payments to another in respect of costs reasonably incurred by the other party in connection with the appeal.
(6) A person who is required to make a payment by an order under this paragraph must comply with the order before the end of the period of 28 days beginning with the day after the making of the order.
(7) If that person does not do so, the unpaid balance carries interest at a rate specified in the order or determined in accordance with it.
(8) In this paragraph, references to an intervener in an appeal, and to a party to an appeal, include a person who was granted permission to intervene in an appeal and subsequently withdrew from the appeal.
Secretary of State's power to modify time limits
25 The Secretary of State may by regulations modify any period of time specified in this Schedule.
Publication etc
26 Where the CAA, the CMA or an authorised member of the CMA is required by this Schedule to publish something or send a copy of something and this Schedule does not specify a time for doing so, it must be published or sent as soon as practicable.
Interpretation
27 (1) In this Schedule—
“appeal” means an appeal under section 19A;
“authorised member of the CMA” has the meaning given in sub-paragraph (2);
“CMA Board” and “CMA panel” have the same meaning as in Schedule 4 to the Enterprise and Regulatory Reform Act 2013;
“intervener”, in relation to an appeal, means a person who has been granted permission to intervene in the appeal and who has not withdrawn from the appeal;
“prescribed aerodrome” has the meaning given in section 19A(3);
“statement of truth”, in relation to the production of a statement or in relation to information provided by a person, means a statement that the person producing that statement or providing that information believes the facts contained in the statement or the information to be true.
(2) In this Schedule “authorised member of the CMA”—
(a) in relation to a power exercisable in connection with an appeal, application or direction in respect of which a group has been constituted by the chair of the CMA under Schedule 4 to the Enterprise and Regulatory Reform Act 2013, means a member of that group who has been authorised by the chair of the CMA to exercise that power; and
(b) in relation to a power exercisable in connection with an appeal, application or direction in respect of which a group has not been so constituted by the chair of the CMA, means—
(i) any member of the CMA Board who is also a member of the CMA panel, or
(ii) any member of the CMA panel authorised by the Secretary of State (whether generally or specifically) to exercise the power in question.
(3) For the purposes of this Schedule and sections 19D and 19E, a person has a qualifying interest in a decision that is the subject of an appeal or an application under this Schedule if—
(a) the person has been granted permission to appeal against the decision and has not withdrawn the appeal,
(b) the person has applied for permission to appeal against the decision and the application has not been withdrawn or refused,
(c) the person has been granted permission to intervene in an appeal against the decision and the appeal has not been withdrawn,
(d) the person has applied for permission to intervene in an appeal against the decision and the application has not been withdrawn or refused, or
(e) the person has applied for a direction under paragraph 6, the application has not been withdrawn or refused and any direction made in response to the application has not been withdrawn.
SCHEDULE B1 Enforcement of duties under section 8 and licence conditions
Section 20
PART 1 Enforcement
Contravention notices
1 (1) The CAA may give a notice under this paragraph (a “contravention notice”) to a licence holder if it has reasonable grounds for believing that the licence holder is contravening, or has contravened, a Chapter 1 requirement.
(2) In this Schedule “Chapter 1 requirement”, in relation to a licence holder, means—
(a) a duty imposed on the licence holder by section 8, or
(b) a licence condition of the licence holder's licence.
(3) A contravention notice must—
(a) specify the Chapter 1 requirement and contravention in respect of which it is given;
(b) explain the action that the CAA may take under this Schedule in connection with the contravention;
(c) explain that representations may be made about the matters in the notice before the end of the period specified in the notice.
(4) The CAA must specify a period of not less than 30 days beginning with the day on which the contravention notice is given, subject to sub-paragraph (5).
(5) The CAA may specify a shorter period in a contravention notice given in respect of a repeated contravention.
(6) A contravention notice is given to a licence holder in respect of a repeated contravention if, in the period of two years ending with the day on which the notice is given, the CAA did one or more of the following in respect of a contravention by the licence holder of the same Chapter 1 requirement—
(a) gave the licence holder a contravention notice;
(b) gave the licence holder an enforcement order;
(c) gave the licence holder an urgent enforcement order;
(d) imposed a penalty on the licence holder under paragraph 9 or 10.
(7) The CAA may extend the period specified in a contravention notice given to a licence holder on one or more occasions by giving a notice to that licence holder.
(8) The CAA may withdraw a contravention notice given to a licence holder at any time by giving a notice to the licence holder that includes its reasons for doing so.
(9) As soon as practicable after giving a notice under sub-paragraph (1), (7) or (8), the CAA must—
(a) publish the notice;
(b) send a copy of the notice to—
(i) any owners or operators of aircraft, or any bodies representing them, that the CAA considers appropriate;
(ii) any owners or managers of aerodromes, or any bodies representing them, that the CAA considers appropriate;
(iii) the Secretary of State.
(10) A contravention notice given in respect of a contravention that is or was a continuing contravention must specify the period of contravention in respect of which it is given.
(11) In this Schedule “representation period”, in relation to a contravention notice, means—
(a) the period specified in the contravention notice for making representations;
(b) where the period has been extended in accordance with sub-paragraph (7), the extended period.
Restrictions on giving contravention notices
2 (1) If the CAA gives a licence holder a contravention notice or an urgent enforcement order (see paragraph 5) in respect of a contravention, it may not subsequently give the licence holder a contravention notice in respect of the same contravention.
(2) Sub-paragraph (1) does not apply if—
(a) the CAA withdraws the first contravention notice without imposing a penalty on the person under paragraph 9, or
(b) the CAA revokes the urgent enforcement order without imposing a penalty on the licence holder under paragraph 10.
(3) Sub-paragraph (1) does not prevent the CAA giving a licence holder more than one contravention notice, or a contravention notice and urgent enforcement order, in respect of—
(a) contraventions of the same Chapter 1 requirement in different ways, or
(b) contraventions of the same Chapter 1 requirement at different times or during different periods.
Enforcement order
3 (1) The CAA may give an order under this paragraph (an “enforcement order”) to a licence holder if—
(a) it has given the licence holder a contravention notice (and has not withdrawn it),
(b) the representation period has ended,
(c) it has considered any representations made about the matters in the contravention notice before the end of that period (and not withdrawn), and
(d) sub-paragraph (2) or (3) is satisfied.
(2) This sub-paragraph is satisfied if the CAA has determined that the licence holder is contravening a Chapter 1 requirement specified in the contravention notice in one or more of the ways specified in the notice.
(3) This sub-paragraph is satisfied if the CAA has determined that the licence holder—
(a) has contravened a Chapter 1 requirement specified in the contravention notice in one or more of the ways specified in the notice, and
(b) did not, before the end of the representation period, take all of the appropriate steps mentioned in sub-paragraph (6)(b).
(4) An enforcement order must—
(a) specify the Chapter 1 requirement and contravention in respect of which it is given;
(b) require the licence holder to take any appropriate steps that are specified in the order;
(c) specify a reasonable period within which the steps must be taken;
(d) give the CAA's reasons for giving the order.
(5) As soon as practicable after giving an enforcement order, the CAA must—
(a) publish the order;
(b) send a copy of the order to—
(i) any owners or operators of aircraft, or any bodies representing them, that the CAA considers appropriate;
(ii) any owners or managers of aerodromes, or any bodies representing them, that the CAA considers appropriate;
(iii) the Secretary of State.
(6) In this paragraph “appropriate steps”, in relation to a contravention of a Chapter 1 requirement, means steps that the CAA has determined are appropriate—
(a) for complying with the requirement, and
(b) for remedying the consequences of the contravention.
Enforcement order: modification and revocation
4 (1) The CAA may—
(a) modify an enforcement order with the agreement of the licence holder to whom it was given, or
(b) revoke an enforcement order.
(2) Before modifying or revoking the order, the CAA must—
(a) publish a notice in relation to the proposed modification or revocation;
(b) send a copy of the notice to the licence holder to whom the order was given;
(c) consider any representations made about the proposal in the period specified in the notice (and not withdrawn).
(3) The notice under sub-paragraph (2) must—
(a) state that the CAA proposes to modify or revoke the order;
(b) specify the proposed modification (if relevant);
(c) give the CAA's reasons for the modification or revocation;
(d) specify a reasonable period for making representations.
(4) As soon as practicable after modifying or revoking an enforcement order, the CAA must—
(a) publish a notice giving details of the modification or revocation;
(b) send a copy of the notice to the persons listed in sub-paragraph (5).
(5) The persons are—
(a) the licence holder to whom the enforcement order was given;
(b) any owners or operators of aircraft, or any bodies representing them, that the CAA considers appropriate;
(c) any owners or managers of aerodromes, or any bodies representing them, that the CAA considers appropriate;
(d) the Secretary of State.
Urgent enforcement order
5 (1) The CAA may give an order under this paragraph (an “urgent enforcement order”) to a licence holder if sub-paragraph (2) or (3) is satisfied.
(2) This sub-paragraph is satisfied if the CAA has reasonable grounds for believing that—
(a) the licence holder is contravening, or has contravened, a Chapter 1 requirement,
(b) the contravention has resulted in, or creates an immediate risk of, a serious economic or operational problem—
(i) for owners or operators of aircraft, or
(ii) for owners or managers of aerodromes, and
(c) it is appropriate to give an urgent enforcement order to prevent, remove or reduce that problem or risk.
(3) This sub-paragraph is satisfied if the CAA has reasonable grounds for believing that—
(a) the licence holder is likely to contravene a Chapter 1 requirement,
(b) the contravention is likely to result in, or create an immediate risk of, a problem described in sub-paragraph (2)(b), and
(c) it is appropriate to give the urgent enforcement order to prevent, or reduce the likelihood of, that problem or risk arising.
(4) An urgent enforcement order must—
(a) specify the Chapter 1 requirement and the contravention in respect of which it is given;
(b) require the licence holder to take any appropriate steps that are specified in the order;
(c) specify a reasonable period within which the steps must be taken;
(d) give the CAA's reasons for giving the order.
(5) As soon as practicable after giving an urgent enforcement order, the CAA must—
(a) publish the order;
(b) send a copy of the order to—
(i) any owners or operators of aircraft, or any bodies representing them, that the CAA considers appropriate;
(ii) any owners or managers of aerodromes, or any bodies representing them, that the CAA considers appropriate;
(iii) the Secretary of State.
(6) In this paragraph “appropriate steps”—
(a) in relation to a contravention of a Chapter 1 requirement that has occurred or is occurring, means steps that the CAA has determined are appropriate—
(i) for complying with the requirement, and
(ii) for remedying the consequences of the contravention;
(b) in relation to a contravention of a Chapter 1 requirement that is likely to occur, means steps that the CAA has determined are appropriate for securing that the contravention does not occur.
Urgent enforcement order: confirmation
6 (1) As soon as practicable after giving an urgent enforcement order, the CAA must—
(a) confirm the order, or
(b) revoke the order (see paragraph 7).
(2) The CAA may confirm an urgent enforcement order with or without modifications.
(3) The CAA may confirm an urgent enforcement order given in reliance on paragraph 5(2) only if it has determined that—
(a) the licence holder is contravening, or has contravened, a Chapter 1 requirement specified in the order in one or more of the ways specified in the order,
(b) the contravention has resulted in, or creates an immediate risk of, a problem described in paragraph 5(2)(b), and
(c) it is appropriate to confirm the urgent enforcement order, with any modifications, to prevent, remove or reduce that problem or risk.
(4) The CAA may confirm an urgent enforcement order given in reliance on paragraph 5(3) only if—
(a) it has determined that paragraphs (a) to (c) of sub-paragraph (3) of this paragraph are satisfied, or
(b) it has determined that—
(i) the licence holder is likely to contravene a Chapter 1 requirement specified in the order in one or more of the ways specified in the order,
(ii) the contravention is likely to result in, or create an immediate risk of, a problem described in paragraph 5(2)(b), and
(iii) it is appropriate to confirm the urgent enforcement order, with any modifications, in order to prevent, or reduce the likelihood of, that problem or risk arising.
(5) Before confirming an urgent enforcement order, the CAA must—
(a) publish a notice in relation to the proposal to confirm the order;
(b) send a copy of the notice to the licence holder to whom the order was given;
(c) consider any representations made about the proposal in the period specified in the notice (and not withdrawn).
(6) The notice under sub-paragraph (5) must—
(a) state that the CAA proposes to confirm the order;
(b) specify any proposed modifications of the order;
(c) give the CAA's reasons for confirming the order and for any modifications;
(d) specify a reasonable period for making representations.
(7) As soon as practicable after confirming an urgent enforcement order, the CAA must—
(a) publish a notice giving details of the confirmation, including any modifications of the order;
(b) send a copy of the notice to the persons listed in sub-paragraph (8).
(8) Those persons are—
(a) the licence holder to whom the urgent enforcement order was given;
(b) any owners or operators of aircraft, or any bodies representing them, that the CAA considers appropriate;
(c) any owners or managers of aerodromes, or any bodies representing them, that the CAA considers appropriate;
(d) the Secretary of State.
Urgent enforcement order: modification and revocation
7 (1) The CAA may—
(a) modify an urgent enforcement order with the agreement of the licence holder to whom it was given, or
(b) revoke an urgent enforcement order.
(2) Before modifying or revoking the order, the CAA must—
(a) publish a notice in relation to the proposed modification or revocation;
(b) send a copy of the notice to the licence holder;
(c) consider any representations made about the proposal in the period specified in the notice (and not withdrawn).
(3) The notice under sub-paragraph (2) must—
(a) state that the CAA proposes to modify or revoke the order;
(b) specify the proposed modification (if relevant);
(c) give the CAA's reasons for the modification or revocation;
(d) specify a reasonable period for making representations.
(4) As soon as practicable after modifying or revoking an urgent enforcement order, the CAA must—
(a) publish a notice giving details of the modification or revocation;
(b) send a copy of the notice to the persons listed in sub-paragraph (5).
(5) Those persons are—
(a) the licence holder to whom the urgent enforcement order was given;
(b) any owners or operators of aircraft, or any bodies representing them, that the CAA considers appropriate;
(c) any owners or managers of aerodromes, or any bodies representing them, that the CAA considers appropriate;
(d) the Secretary of State.
(6) Nothing in this paragraph restricts, or applies in relation to the exercise of, the CAA's power under paragraph 6 to modify an urgent enforcement order when confirming the order.
Civil proceedings
8 (1) A licence holder who is given an enforcement order must comply with it (unless it is revoked).
(2) The obligation to comply with an enforcement order is a duty owed to every person who may be affected by a contravention of a requirement of the order.
(3) A licence holder who is given an urgent enforcement order must comply with it, whether or not it has been confirmed (unless it is revoked).
(4) The obligation to comply with an urgent enforcement order that has been confirmed is a duty owed to every person who may be affected by a contravention of a requirement of the order.
(5) Where a duty is owed to a person under sub-paragraph (2) or (4), the following are actionable by the person—
(a) a breach of the duty that causes the person to sustain loss or damage;
(b) an act that—
(i) by inducing a breach of the duty or interfering with its performance, causes that person to sustain loss or damage, and
(ii) is done entirely or partly for achieving that result.
(6) In proceedings brought against a licence holder by virtue of sub-paragraph (5), it is a defence for the licence holder to show that it took all reasonable steps and exercised all due diligence to avoid contravening the requirements of the order.
(7) The CAA may enforce the duties under sub-paragraphs (1) and (3)—
(a) in civil proceedings for an injunction,
(b) in civil proceedings in Scotland for an interdict or for specific performance of a statutory duty under section 45 of the Court of Session Act 1988, or
(c) in civil proceedings for any other appropriate remedy or relief.
(8) Enforcement of a duty under sub-paragraph (1) or (3) by the CAA does not prejudice any rights a person may have by virtue of sub-paragraph (5).
Penalty for contravention of Chapter 1 requirement
9 (1) The CAA may impose a penalty on a licence holder if—
(a) it has given the licence holder a contravention notice (and has not withdrawn it),
(b) the representation period has ended,
(c) it has considered any representations made about the matters in the contravention notice before the end of that period (and not withdrawn), and
(d) it has determined that the licence holder is contravening, or has contravened, a Chapter 1 requirement specified in the notice in one or more of the ways specified in the notice.
(2) If the contravention notice specifies more than one contravention, the CAA may impose a separate penalty under this paragraph for each contravention.
(3) If the contravention notice specifies more than one period of contravention, the CAA may impose a separate penalty under this paragraph for each period.
Penalty for contravention of order
10 The CAA may impose a penalty on a licence holder if it has determined that the licence holder is contravening, or has contravened, a requirement of—
(a) an enforcement order, or
(b) an urgent enforcement order that has been confirmed.
Procedure before imposing penalty
11 (1) Before imposing a penalty on a licence holder under paragraph 9 or 10 the CAA must—
(a) give the licence holder a notice about the proposed penalty;
(b) publish the notice as soon as practicable;
(c) send a copy of the notice to the persons listed in sub-paragraph (3);
(d) consider any representations made about the proposed penalty in the period specified in the notice (and not withdrawn).
(2) A notice under sub-paragraph (1) must—
(a) state that the CAA proposes to impose a penalty;
(b) state the proposed amount of the penalty;
(c) specify the requirement that the CAA has determined is being or has been contravened;
(d) specify the act or omission that the CAA has determined constitutes a contravention of the requirement;
(e) where the penalty would be imposed under paragraph 10, specify the Chapter 1 requirement in respect of which the enforcement order or urgent enforcement order (as the case may be) was given.
(3) The persons are—
(a) any owners or operators of aircraft, or any bodies representing them, that the CAA considers appropriate;
(b) any owners or managers of aerodromes, or any bodies representing them, that the CAA considers appropriate;
(c) the Secretary of State.
(4) In the case of a penalty calculated entirely or partly by reference to a daily amount (see paragraph 13(2)), a notice must specify—
(a) the day on which daily amounts would begin to accumulate;
(b) the day on which, or the circumstances in which, they would cease to accumulate.
(5) The period specified in a notice under sub-paragraph (1) for making representations must be a period of not less than 21 days beginning with the day on which the notice is given to the licence holder.
(6) Before varying the proposed amount of a penalty, the CAA must—
(a) give the licence holder on whom the penalty is to be imposed a notice about the proposed variation;
(b) publish the notice as soon as practicable;
(c) send a copy of the notice to the persons listed in sub-paragraph (3);
(d) consider any representations made about the proposed variation in the period specified in the notice (and not withdrawn).
(7) In the case of a penalty calculated entirely or partly by reference to a daily amount (see paragraph 13(2)), the reference in sub-paragraph (6) to varying the proposed amount includes—
(a) varying the day on which daily amounts would begin to accumulate;
(b) varying the day on which, or the circumstances in which, they would cease to accumulate.
(8) The notice under sub-paragraph (6) must—
(a) specify the proposed variation;
(b) give the CAA's reasons for the proposed variation.
(9) The period specified in a notice under sub-paragraph (6) for making representations must be a period of not less than 21 days beginning with the day on which the notice is given to the licence holder.
(10) The CAA may withdraw a notice under sub-paragraph (1) or (6) at any time by giving notice to the licence holder on whom it proposed to impose the penalty.
(11) As soon as practicable after giving a notice under sub-paragraph (10), the CAA must—
(a) publish the notice;
(b) send a copy of the notice to the persons listed in sub-paragraph (3).
Procedure after imposing a penalty
12 (1) As soon as practicable after imposing a penalty under paragraph 9 or 10 the CAA must—
(a) give a notice to the licence holder on whom the penalty is imposed;
(b) publish the notice;
(c) send a copy of the notice to the persons listed in sub-paragraph (3).
(2) The notice must—
(a) state that the CAA has imposed a penalty;
(b) state the amount of the penalty;
(c) specify the requirement that the CAA has determined is being or has been contravened;
(d) specify the act or omission that the CAA has determined constitutes a contravention of the requirement;
(e) where the penalty is imposed under paragraph 10, specify the Chapter 1 requirement in respect of which the enforcement order or urgent enforcement order (as the case may be) was given;
(f) specify a reasonable period within which the penalty must be paid or reasonable periods within which different portions of the penalty must be paid.
(3) The persons are—
(a) any owners or operators of aircraft, or any bodies representing them, that the CAA considers appropriate;
(b) any owners or managers of aerodromes, or any bodies representing them, that the CAA considers appropriate;
(c) the Secretary of State.
(4) In the case of a penalty calculated entirely or partly by reference to a daily amount (see paragraph 13(2)), the notice must specify—
(a) the day on which the daily amounts begin to accumulate;
(b) the day on which, or the circumstances in which, they cease to accumulate.
(5) As soon as practicable after daily amounts cease to accumulate, the CAA must—
(a) give a notice to the licence holder on whom the penalty was imposed confirming the day on which they ceased to accumulate;
(b) publish the notice;
(c) send a copy of the notice to the persons listed in sub-paragraph (3).
Amount of penalty
13 (1) The amount of a penalty imposed on a person under paragraph 9 or 10 must be the amount that the CAA determines to be—
(a) appropriate, and
(b) proportionate to the contravention for which it is imposed.
(2) The penalty may consist of either or both of the following—
(a) a fixed amount (see paragraph 14);
(b) a daily amount (see paragraph 15).
(3) In determining the amount of a penalty, the CAA must have regard, in particular, to—
(a) any representations made to it in a period specified in a notice proposing to give a penalty under paragraph 11(1) or (6) (and not withdrawn);
(b) any steps taken by the licence holder on whom the penalty is to be imposed towards complying with—
(i) the requirement specified in the notice under paragraph 11(1) by virtue of paragraph 11(2)(c), and
(ii) where the penalty is to be imposed under paragraph 10, the Chapter 1 requirement specified in the notice under paragraph 11(1) by virtue of paragraph 11(2)(e);
(c) any steps taken by that licence holder towards remedying the consequences of the contravention of the requirement mentioned in paragraph (b)(i) and, where relevant, paragraph (b)(ii).
Amount of penalty: fixed amount
14 (1) A penalty imposed on a licence holder under paragraph 9 or 10 for a contravention may not consist of or include a fixed amount exceeding 10% of the licence holder's qualifying turnover for the qualifying period.
(2) A licence holder's qualifying turnover is the licence holder's turnover from its provision of air traffic services.
(3) The qualifying period is the last regulatory year ending on or before the day on which the notice proposing the penalty is given under paragraph 11(1) (“the notice day”), except in the cases described in sub-paragraph (4).
(4) Those cases are—
(a) where a licence holder was not authorised to provide air traffic services in respect of a managed area throughout the last regulatory year that ends on or before the notice day;
(b) where there is no regulatory year or the last regulatory year ended more than 12 months before the notice day;
(c) where a licence holder has not provided the CAA with accounts prepared in accordance with the licence for the last regulatory year that ends on or before the notice day.
(5) In those cases—
(a) if the licence holder was authorised to provide air traffic services in respect of a managed area on the notice day, the qualifying period is the year ending with the notice day (or, if shorter, the period ending with the notice day during which the licence holder was authorised to provide such services in respect of such an area);
(b) otherwise, the qualifying period is the year ending with the last day before the notice day on which the licence holder was authorised to provide air traffic services in respect of a managed area (or, if shorter, the period ending with the last day before the notice day during which the licence holder was authorised to provide such services in respect of such an area).
(6) A licence holder's qualifying turnover for a qualifying period is to be taken to be the qualifying turnover for that period as reported in accounts that the licence holder is required to prepare by a licence condition, unless regulations under sub-paragraph (7) provide otherwise.
(7) The Secretary of State may by regulations—
(a) amend or otherwise modify the definition of qualifying turnover;
(b) make provision about how a licence holder's qualifying turnover for a qualifying period is to be calculated.
(8) The regulations may in particular—
(a) make provision about cases in which turnover is or is not to be treated as qualifying turnover for a qualifying period;
(b) provide that a licence holder's qualifying turnover for a qualifying period is to be taken to be the qualifying turnover reported in accounts specified or described in the regulations;
(c) provide that a licence holder's qualifying turnover is to be calculated entirely or partly using accounting rules specified or described in the regulations.
(9) In this paragraph “regulatory year”, in relation to a licence holder, means a year for which the licence holder was required to prepare accounts by a licence condition for air traffic services provided in respect of a managed area.
Amount of penalty: daily amount
15 (1) In relation to a penalty under paragraph 9 or 10, a daily amount is an amount payable where the contravention in respect of which the penalty is imposed continues after it is imposed.
(2) A penalty under paragraph 9 may not consist of or include a daily amount unless that contravention has been continuous since the end of the representation period for the contravention notice in which the contravention was specified.
(3) A daily amount must not exceed 0.1% of the licence holder's qualifying turnover for the qualifying period.
(4) A daily amount is payable in respect of each day in a period specified by the CAA in the notice under paragraph 12 stating that it has imposed the penalty.
(5) A specified period during which daily amounts accumulate must be the period that the CAA considers appropriate, subject to sub-paragraphs (6) and (7).
(6) The period must begin after the day on which the CAA gives the notice under paragraph 12.
(7) The period must end before—
(a) the day on which the contravention specified in the notice under paragraph 12 ceases, or
(b) if more than one contravention is specified in that notice, the day on which the last of those contraventions ceases.
(8) In this paragraph “qualifying turnover” and “qualifying period” have the same meaning as in paragraph 14.
Use of powers under Competition Act 1998
16 (1) Before exercising a power listed in sub-paragraph (3), the CAA must consider whether it would be more appropriate to proceed under the Competition Act 1998.
(2) The CAA must not exercise such a power to the extent that it considers it would be more appropriate to proceed under that Act.
(3) Those powers are—
(a) the power to give a contravention notice under paragraph 1;
(b) the power to give an enforcement order under paragraph 3;
(c) the power to give and confirm an urgent enforcement order under paragraphs 5 and 6;
(d) the power to impose penalties under paragraphs 9 and 10.
PART 2 Appeals against orders and penalties
Appeals against enforcement orders and urgent enforcement orders
17 (1) A licence holder may appeal to the Competition Appeal Tribunal (referred to in this Schedule as “the Tribunal”) against—
(a) an enforcement order given to the licence holder, or
(b) an urgent enforcement order given to the licence holder that has been confirmed.
(2) The appeal may be against one or more of the following—
(a) the decision to give the order or, in the case of an urgent enforcement order, to confirm the order;
(b) the decision as to the steps specified in the order;
(c) the decision as to the period allowed for taking those steps.
(3) The making of an appeal under this paragraph against an enforcement order suspends the effect of the order until the appeal is decided or withdrawn, unless the Tribunal orders otherwise.
(4) The making of an appeal under this paragraph against an urgent enforcement order does not suspend the effect of the order, unless the Tribunal orders otherwise.
Appeals against modifications or revocations of existing orders
18 (1) A person may appeal to the Tribunal against—
(a) a decision to modify or revoke an enforcement order, or
(b) a decision to modify or revoke an urgent enforcement order that has been confirmed.
(2) An appeal under this paragraph may be made only by a person—
(a) who is not the person to whom the order was given, but
(b) who appears to the Tribunal to have sufficient interest in the decision.
(3) The making of an appeal under this paragraph against a modification or revocation of an order suspends the modification or revocation until the appeal is decided or withdrawn, unless the Tribunal orders otherwise.
Appeals against penalties
19 (1) A licence holder may appeal to the Tribunal against a penalty imposed on the licence holder under paragraph 9 or 10.
(2) The appeal may be against one or more of the following—
(a) the decision to impose the penalty;
(b) the decision as to the amount of the penalty;
(c) in the case of a penalty calculated entirely or partly by reference to a daily amount, the decision as to the period during which the daily amounts accumulate;
(d) the decision as to the period allowed for payment of the penalty.
(3) Where a licence holder appeals under this paragraph against a penalty, the CAA may not require the licence holder to pay the penalty until the appeal is decided or withdrawn.
Decisions on appeal
20 (1) The Tribunal may allow an appeal under paragraph 17, 18 or 19 only to the extent that it is satisfied that the decision appealed against was wrong on one or more of the following grounds—
(a) that the decision was based on an error of fact;
(b) that the decision was wrong in law;
(c) that an error was made in the exercise of a discretion.
(2) It may—
(a) confirm or set aside the order, modification, revocation or penalty;
(b) give the CAA any directions it considers appropriate, including directions about the time within which the CAA must act.
(3) It may not direct the CAA to do anything that the CAA would not have the power to do apart from the direction.
(4) When deciding an appeal under paragraph 17, 18 or 19 (including giving directions) the Tribunal must have regard to the matters in respect of which duties are imposed on the CAA by section 2.
Further appeals
21 (1) An appeal lies to the appropriate court on a point of law arising from a decision of the Tribunal under paragraph 20, including a direction.
(2) An appeal under this paragraph may be brought by a party to the proceedings before the Tribunal.
(3) An appeal may not be brought without the permission of—
(a) the Tribunal, or
(b) the appropriate court.
(4) “The appropriate court”—
(a) in the case of an appeal from proceedings in England and Wales or Northern Ireland, means the Court of Appeal;
(b) in the case of an appeal from proceedings in Scotland, means the Court of Session.
PART 3 Interpretation
22 References in this Schedule to remedying the consequences of a contravention of a Chapter 1 requirement, or a requirement of an enforcement order or an urgent enforcement order, include paying an amount to a person—
(a) by way of compensation for loss or damage suffered by the person, or
(b) in respect of annoyance, inconvenience or anxiety suffered by the person.
Section 25
PART 1 Power to obtain information
Power to obtain information
1 (1) The CAA may by notice require a person to provide—
(a) information, or
(b) a document that is in the person's custody or under the person's control.
(2) In this Schedule “document” means anything in which information is recorded.
(3) The CAA may give a notice under this paragraph only in respect of information or documents that it reasonably requires for the purpose of carrying out its functions under section 34 or Schedule B1.
(4) The notice may require the information or document to be provided—
(a) at a time and place specified in the notice;
(b) in a form and manner specified in the notice.
(5) The notice may not require a person to provide information or documents that the person could not be compelled to provide in evidence in civil proceedings before the High Court or, in Scotland, the Court of Session.
PART 2 Enforcement: information
Enforcement of information notice
2 (1) If a person fails to comply with a notice under paragraph 1 without reasonable excuse, the CAA may do either or both of the following—
(a) impose a penalty on the person;
(b) enforce the duty to comply with the notice in civil proceedings for an injunction or, in Scotland, for specific performance of a statutory duty under section 45 of the Court of Session Act 1988.
(2) The amount of the penalty must be the amount that the CAA determines to be—
(a) appropriate, and
(b) proportionate to the failure in respect of which it is imposed.
(3) A penalty may consist of either or both of the following—
(a) a fixed amount;
(b) an amount payable in respect of each day in a period specified by the CAA (a “daily amount”).
(4) A fixed amount must not exceed £2,000,000.
(5) A daily amount must not exceed £100,000.
(6) A specified period during which daily amounts accumulate must be the period that the CAA considers appropriate, subject to sub-paragraphs (7) and (8).
(7) The period must begin after the day on which the CAA gives the notice under paragraph 6 stating that it has imposed the penalty.
(8) The period must end before the day on which the person provides the information or documents specified in the notice under paragraph 1.
(9) The Secretary of State may by regulations replace the amount for the time being specified in sub-paragraph (4) or (5).
Penalty for providing false information
3 (1) The CAA may impose a penalty of a fixed amount on a person where it is satisfied beyond reasonable doubt that the person, in giving information to the CAA, has committed an offence under section 101 (making of false statements etc).
(2) Where a penalty is imposed on a person under this paragraph by the CAA, that person may not at any time be convicted of the offence under section 101 in respect of the act or omission giving rise to the penalty.
(3) The amount of a penalty imposed on a person under this paragraph must be the amount that the CAA determines to be—
(a) appropriate, and
(b) proportionate to the action in respect of which it is imposed,
but subject to a maximum of £2,000,000.
Penalty for destroying documents etc.
4 (1) The CAA may impose a penalty of a fixed amount on a person if the person intentionally alters, suppresses or destroys a document that the person is required to produce by a notice under paragraph 1.
(2) The reference in sub-paragraph (1) to suppressing a document includes a reference to destroying the means of reproducing information recorded otherwise than in a legible format.
(3) The amount of a penalty imposed on a person under this paragraph must be the amount that the CAA determines to be—
(a) appropriate, and
(b) proportionate to the action in respect of which it is imposed,
but subject to a maximum of £2,000,000.
Procedure before imposing a penalty
5 (1) Before imposing a penalty on a person under paragraph 2, 3 or 4, the CAA must—
(a) give the person a notice about the proposed penalty;
(b) publish the notice as soon as practicable;
(c) send a copy of the notice to the persons listed in sub-paragraph (4);
(d) consider any representations made about the proposed penalty in the period specified in the notice (and not withdrawn).
(2) The notice under sub-paragraph (1) must—
(a) state that the CAA proposes to impose a penalty;
(b) state the proposed amount of the penalty;
(c) give the CAA's reasons for imposing the penalty.
(3) In the case of a penalty under paragraph 2 calculated entirely or partly by reference to a daily amount, the notice under sub-paragraph (1) must specify—
(a) the day on which daily amounts would begin to accumulate;
(b) the day on which, or the circumstances in which, they would cease to accumulate.
(4) The persons are—
(a) any owners or operators of aircraft, or any bodies representing them, that the CAA considers appropriate;
(b) any owners or managers of aerodromes, or any bodies representing them, that the CAA considers appropriate;
(c) the Secretary of State.
(5) The period specified in the notice under sub-paragraph (1) for making representations must be a period of not less than 21 days beginning with the day on which the notice is given to the person.
(6) Before varying the proposed amount of a penalty, the CAA must—
(a) give the person on whom the penalty is to be imposed a notice about the proposed variation;
(b) publish the notice as soon as practicable;
(c) send a copy of the notice to the persons listed in sub-paragraph (4);
(d) consider any representations made about the proposed variation in the period specified in the notice (and not withdrawn).
(7) In the case of a penalty under paragraph 2 calculated entirely or partly by reference to a daily amount, the reference in sub-paragraph (6) to varying the proposed amount of the penalty includes a reference to—
(a) varying the day on which daily amounts would begin to accumulate, and
(b) varying the day on which, or circumstances in which, they would cease to accumulate.
(8) The notice under sub-paragraph (6) must—
(a) specify the proposed variation;
(b) give the CAA's reasons for the proposed variation.
(9) The period specified in the notice under sub-paragraph (6) for making representations must be a period of not less than 21 days beginning with the day on which the notice is given to the person.
(10) The CAA may withdraw a notice under sub-paragraph (1) or (6) at any time by giving notice to the person on whom it is proposed to impose the penalty.
(11) As soon as practicable after giving a notice under sub-paragraph (10), the CAA must—
(a) publish the notice;
(b) send a copy of the notice to the persons listed in sub-paragraph (4).
Procedure after imposing penalty
6 (1) As soon as practicable after imposing a penalty on a person under paragraph 2, 3 or 4, the CAA must—
(a) give a notice to the person on whom the penalty is imposed;
(b) publish the notice;
(c) send a copy of the notice to the persons listed in sub-paragraph (4).
(2) The notice must—
(a) state that the CAA has imposed the penalty;
(b) state the amount of the penalty;
(c) give the CAA's reasons for imposing the penalty;
(d) specify a reasonable period within which the penalty must be paid or reasonable periods within which different portions of the penalty must be paid.
(3) In the case of a penalty under paragraph 2 calculated entirely or partly by reference to a daily amount, the notice must specify—
(a) the day on which the daily amounts begin to accumulate;
(b) the day on which, or circumstances in which, they cease to accumulate.
(4) The persons are—
(a) any owners or operators of aircraft, or any bodies representing them, that the CAA considers appropriate;
(b) any owners or managers of aerodromes, or any bodies representing them, that the CAA considers appropriate;
(c) the Secretary of State.
(5) As soon as practicable after daily amounts cease to accumulate, the CAA must—
(a) give a notice to the person on whom the penalty was imposed confirming the day on which they ceased to accumulate;
(b) send a copy of the notice to the persons listed in sub-paragraph (4).
PART 3 Appeals against penalties: information
Appeals against penalties
7 (1) A person may appeal to the Competition Appeal Tribunal against a penalty imposed on the person under paragraph 2, 3 or 4.
(2) The appeal may be against one or more of the following—
(a) a decision to impose a penalty;
(b) a decision as to the amount of the penalty;
(c) in the case of a penalty calculated entirely or partly by reference to a daily amount, a decision as to the period during which daily amounts accumulate;
(d) a decision as to the period allowed for payment of the penalty.
(3) Where a person appeals under this paragraph against a penalty, the CAA may not require the person to pay the penalty until the appeal is decided or withdrawn.
(4) In any appeal where the commission of an offence under section 101 is an issue requiring determination, the CAA must prove that offence according to the same burden and standard of proof as in a criminal prosecution.
Decisions on appeal
8 (1) The Competition Appeal Tribunal may allow an appeal under paragraph 7 only to the extent that it is satisfied that the decision appealed against was wrong on one or more of the following grounds—
(a) that the decision was based on an error of fact;
(b) that the decision was wrong in law;
(c) that an error was made in the exercise of a discretion.
(2) It may—
(a) confirm or set aside the penalty;
(b) give the CAA any directions that it considers appropriate, including directions about the time within which the CAA must act.
(3) It may not direct the CAA to do anything that the CAA would not have the power to do apart from the direction.
(4) When deciding an appeal under paragraph 7 (including giving directions), the Competition Appeal Tribunal must have regard to the matters in respect of which duties are imposed on the CAA by section 2.
Further appeals
9 (1) An appeal lies to the appropriate court on a point of law arising from a decision of the Competition Appeal Tribunal under paragraph 8, including a direction.
(2) An appeal under this paragraph may be brought by a party to the proceedings before the Competition Appeal Tribunal.
(3) An appeal may not be brought under this paragraph without the permission of—
(a) the Competition Appeal Tribunal, or
(b) the appropriate court.
(4) “The appropriate court”—
(a) in the case of an appeal from proceedings in England and Wales or Northern Ireland, means the Court of Appeal;
(b) in the case of an appeal from proceedings in Scotland, means the Court of Session.
SCHEDULE 1 Air traffic administration orders: general
Section 30.
Part I Modifications of 1986 Act
Introduction
1 This Part of this Schedule applies if an air traffic administration order is made.
General application of provisions of 1986 Act
2 Sections 11 to 23 and 27 of the 1986 Act (which relate to administration orders under Part II of that Act) apply with the modifications specified in this Part of this Schedule.
General modifications
3 In those sections as applied by this Part of this Schedule—
(a) references to an administration order are to an air traffic administration order, and
(b) references to an administrator are to an air traffic administrator.
Effect of order
4 In section 11 of the 1986 Act (effect of order) as applied by this Part of this Schedule—
(a) the requirement in subsection (1)(a) that any petition for the winding up of the company shall be dismissed does not prejudice the air traffic administration order if it is made by virtue of section 27 above,
(b) the reference in subsection (3)(d) to proceedings includes a reference to any proceedings under or for the purposes of section 20 above, and
(c) subsection (3)(d) has effect as if after “its property” there were inserted “ , and no right of re-entry or forfeiture may be enforced against the company in respect of any land, ”.
Appointment of air traffic administrator
5 In section 13 of the 1986 Act (appointment of administrator) as applied by this Part of this Schedule for subsection (3) substitute—
(3) An application for an order under subsection (2) may be made—
(a) by the Secretary of State,
(b) by the CAA with the Secretary of State’s consent,
(c) by any continuing air traffic administrator of the company, or
(d) where there is no such air traffic administrator, by the company, the directors or any creditor or creditors of the company.
General powers of air traffic administrator
6 (1) Section 14 of the 1986 Act (general powers of administrator) as applied by this Part of this Schedule has effect as follows.
(2) In subsection (1)(b) the reference to the powers specified in Schedule 1 to the 1986 Act includes a reference to a power to act on behalf of the company—
(a) for the purposes of this Part, or
(b) for the purposes of the exercise or performance of any power or duty which is conferred or imposed on the company by virtue of its holding a licence.
(3) In subsection (4) the reference to a power conferred by the company’s articles of association includes a reference to a power conferred by virtue of the company’s holding a licence.
Power to deal with charged property
7 (1) Section 15 of the 1986 Act (power to deal with charged property) as applied by this Part of this Schedule has effect as follows.
(2) In subsection (2) for “the purpose or one or more of the purposes specified in the administration order” substitute “ one or both of the purposes of the administration order ”.
(3) In subsection (5)(b) for “in the open market by a willing vendor” substitute “ for the best price which is reasonably available on a sale which is consistent with the purposes of the air traffic administration order ”.
Duties of air traffic administrator
8 (1) Section 17 of the 1986 Act (duties of administrator) as applied by this Part of this Schedule has effect as follows.
(2) For subsection (2) substitute—
(2) Subject to any directions of the court, it shall be the duty of the air traffic administrator to manage the affairs, business and property of the company in accordance with proposals under section 23 as they are revised from time to time.
(3) In subsection (3) omit paragraph (a).
Discharge of order
9 (1) Section 18 of the 1986 Act (discharge and variation of administration order) as applied by this Part of this Schedule has effect as follows.
(2) For subsections (1) and (2) substitute—
(1) An application for an air traffic administration order to be discharged may be made—
(a) by the air traffic administrator, on the ground that the purposes of the order have been achieved; or
(b) by the Secretary of State or (with his consent) by the CAA, on the ground that it is no longer necessary that those purposes are achieved.
(3) In subsection (3) omit the words “or vary”.
(4) In subsection (4)—
(a) omit the words “or varied” and “or variation”, and
(b) after “to the registrar of companies” insert “ , to the CAA and to the Secretary of State ”.
Notice of making of order
10 In section 21(2) of the 1986 Act (notice of order to be given by administrator) as applied by this Part of this Schedule after “to the registrar of companies” insert “ , to the CAA, to the Secretary of State ”.
Statement of proposals
11 In section 23 of the 1986 Act (statement of proposals) as applied by this Part of this Schedule for subsections (1) and (2) substitute—
(1) Where an air traffic administration order has been made, the air traffic administrator shall, within 3 months (or such longer period as the court may allow) after the making of the order, send a statement of his proposals for achieving the purposes of the order—
(a) to the Secretary of State,
(b) to the CAA,
(c) to all creditors of the company (so far as he is aware of their addresses), and
(d) to the registrar of companies.
(2) The air traffic administrator may from time to time revise those proposals.
(2A) If the air traffic administrator proposes to make revisions which appear to him to be substantial, he shall before making them send a statement of the proposed revisions—
(a) to the Secretary of State,
(b) to the CAA,
(c) to all creditors of the company (so far as he is aware of their addresses), and
(d) to the registrar of companies.
(2B) The air traffic administrator shall give a copy of any statement under subsection (1) or (2A) to all members of the company before the end of the period described in subsection (1) or, as the case may be, before making the revisions.
(2C) The requirement in subsection (2B) is satisfied if the administrator—
(a) sends a copy of the statement to all members of the company (so far as he is aware of their addresses), or
(b) publishes in the prescribed manner a notice stating an address to which members should write for copies of the statement to be sent to them free of charge.
Applications to court
12 (1) Section 27 of the 1986 Act (protection of interests of creditors and members) as applied by this Part of this Schedule has effect as follows.
(2) After subsection (1) insert—
(1A) If a creditor or member of the company makes an application under subsection (1), the court shall give notice of the application to the Secretary of State, who shall be entitled to be heard by the court in connection with the application.
(1B) At any time when an air traffic administration order is in force the Secretary of State or (with his consent) the CAA may apply to the court by petition for an order under this section on one or both of the following grounds.
(1C) The first ground is that the air traffic administrator has exercised or is exercising or proposing to exercise his powers in relation to the company in a manner which will not best ensure the achievement of the purposes of the order.
(1D) The second ground is that he has exercised or is exercising or proposing to exercise his powers in relation to the company in a manner which involves a contravention of—
(a) a condition of the licence granted under Chapter I of Part I of the Transport Act 2000, or
(b) a duty imposed by section 8(1) of that Act, or
(c) any other requirement imposed on the company by virtue of its holding the licence.
(3) Omit subsection (3).
(4) In subsection (4) omit the words “Subject as above”.
(5) After that subsection insert—
(4A) Provision may be made by virtue of subsection (4)(d) that the air traffic administration order is to be discharged from such date as may be specified in the order unless, before that date, such measures are taken as the court thinks fit for the purpose of protecting the interests of creditors.
(6) For subsection (6) substitute—
(6) Where an air traffic administration order is discharged, the air traffic administrator shall within 14 days after the date on which the discharge takes effect send a copy of the order under this section—
(a) to the Secretary of State,
(b) to the CAA, and
(c) to the registrar of companies;
and if, without reasonable excuse, the air traffic administrator fails to comply with this subsection, he is liable to a fine and, for continued contravention, to a daily default fine.
Part II Other provisions
General adaptations
13 (1) References in the 1986 Act (except in sections 8 to 10 and 24 to 26), or in any other enactment passed before the day on which this Act is passed, to an administration order under Part II of that Act, to an application for such an order and to an administrator include references (respectively) to an air traffic administration order, to an application for an air traffic administration order and to an air traffic administrator.
(2) References in the 1986 Act, or in any other enactment passed before the day on which this Act is passed, to an enactment contained in Part II of that Act include references to that enactment as applied by section 30 above or Part I of this Schedule.
(3) But—
(a) sub-paragraph (1) applies 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;
(b) sub-paragraphs (1) and (2) apply subject to Part I of this Schedule.
Saving
14 The provisions of this Schedule are without prejudice to the power conferred by section 411 of the 1986 Act (company insolvency rules) as modified by paragraph 13(1) and (2).
Interpretation
15 (1) In this Schedule “the 1986 Act” means the Insolvency Act 1986.
(2) For the purposes of this Schedule and any modification of the 1986 Act made by this Schedule—
(a) an air traffic administration order is an order made under section 27 or 28 above;
(b) an air traffic administrator is a person appointed by the court to achieve the purposes of an air traffic administration order;
(c) the CAA is the Civil Aviation Authority.
SCHEDULE 2 Air traffic administration orders: schemes
Section 30.
Application of Schedule
1 This Schedule applies if—
(a) the court has made an air traffic administration order in relation to a licence company (the existing licence company), and
(b) it is proposed that on and after the appointed day another company (the new licence company) should carry out licensed activities in respect of all or part of a licensed area.
Interpretation
2 For the purposes of this Schedule—
(a) an air traffic administration order is an order made under section 27 or 28;
(b) an air traffic administrator is a person appointed by the court to achieve the purposes of an air traffic administration order;
(c) the court is the court which (but for section 27) would have jurisdiction to wind up the existing licence company;
(d) references to the existing licence company and the new licence company must be construed in accordance with paragraph 1;
(e) references to a licence company are to be construed in accordance with section 26;
(f) other licence companies are licence companies, other than the existing licence company and the new licence company;
(g) licensed activities are activities which the licence concerned authorises the existing licence company to carry out;
(h) a licensed area is an area in respect of which the licence concerned authorises the existing licence company to provide air traffic services;
(i) the appointed day is a day which falls before the discharge of the air traffic administration order takes effect and which is appointed by the court for the purposes of this Schedule.
Making and modification of schemes
3 (1) The existing licence company, acting with the consent of the new licence company and, in relation to the matters affecting them, of any other licence companies, may make a scheme designed to secure that the new licence company carries out licensed activities in respect of all or part of the licensed area.
(2) No scheme takes effect unless it is approved by the Secretary of State after consulting the CAA.
(3) If a scheme is submitted to the Secretary of State for approval he may modify the scheme before approving it.
(4) But no modification may be made unless the following consent—
(a) the new licence company,
(b) the existing licence company, and
(c) in relation to the matters affecting them, any other licence companies.
(5) A scheme comes into force on the appointed day.
(6) At any time after a scheme has come into force, if he thinks it appropriate the Secretary of State may by order provide that the scheme is to be taken for all purposes to have come into force with the modifications specified in the order.
(7) But the Secretary of State may not make an order under sub-paragraph (6) unless the following consent—
(a) the existing licence company,
(b) the new licence company, and
(c) in relation to the provisions of the order which affect them, any other licence companies.
(8) An order under sub-paragraph (6)—
(a) 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
(b) in connection with giving effect to that provision from that time, may make such supplementary, consequential and transitional provision as the Secretary of State thinks appropriate.
Effect on licence
4 (1) A scheme may provide for a licence held by the existing licence company to have effect, with such modifications as the scheme may specify, as if the licence had been granted to the new licence company.
(2) If different schemes are made in relation to different parts of the licensed area—
(a) each scheme has effect as if there were a separate licence in respect of each part, and
(b) each licence has effect as if it had been granted to the company which is the new licence company under the scheme concerned.
Property, rights and liabilities
5 A scheme may provide for the transfer of property, rights and liabilities from the existing licence company to the new licence company.
6 (1) In determining whether and in what manner to exercise the powers under paragraph 3 to approve and modify a scheme, the Secretary of State must have regard to the need to ensure that a scheme allocates property, rights and liabilities to the new licence company in such manner as appears to the Secretary of State to be appropriate.
(2) In deciding what is appropriate the Secretary of State must take into account the licensed activities which will be carried out on or after the appointed day by any of—
(a) the new licence company,
(b) the existing licence company, and
(c) any other licence companies.
7 (1) When a scheme comes into force, it has effect without more so as to transfer to the new licence company the property, rights and liabilities to which the scheme relates.
(2) A scheme may divide the property, rights or liabilities of the existing licence company and in connection with that division may—
(a) create for the existing licence company, the new licence company or any other licence companies an interest in or right over any property to which the scheme relates;
(b) create new rights and liabilities as between any two or more of those companies with respect to the subject-matter of the scheme;
(c) in connection with any provision made by virtue of paragraph (a) or (b), make incidental provision as to the interests, rights and liabilities of other persons with respect to the subject-matter of the scheme.
(3) A scheme may impose duties on the existing licence company, the new licence company and any other licence company to take all such steps as may be necessary to secure that—
(a) any interest, right or liability created by virtue of paragraph (a) or (b) of sub-paragraph (2), and
(b) any incidental provision made by virtue of paragraph (c) of that sub-paragraph,
has effect.
(4) A scheme may require the new licence company and any other licence companies to provide consideration in respect of the transfer or creation of property, rights and liabilities by means of the scheme.
(5) A requirement imposed under sub-paragraph (4) is enforceable in the same way as if the property, rights and liabilities had been created or transferred, and (if the case so requires) had been capable of being created or transferred, by agreement between the parties.
(6) The property, rights and liabilities of the existing licence company which may be transferred in accordance with a scheme include—
(a) property, rights and liabilities which the existing licence company would not otherwise be capable of transferring or assigning;
(b) property, rights and liabilities to which the existing licence company may become entitled or subject after the making of the scheme and before the appointed day;
(c) property situated anywhere in the United Kingdom or elsewhere;
(d) rights and liabilities under enactments;
(e) rights and liabilities under the law of any part of the United Kingdom or of any country or territory outside the United Kingdom.
(7) If a scheme makes a person entitled to possession of a document, the provision that may be made by virtue of sub-paragraph (2)(b) includes—
(a) provision for treating that person as having given another person an acknowledgement in writing of the right of that other person to the production of the document and to delivery of copies of it,
(b) provision applying section 64 of the Law of Property Act 1925 (production and safe custody of documents) to that acknowledgement,
(c) provision that, where a scheme transfers any interest in land or other property situated in Scotland, subsections (1) and (2) of section 16 of the Land Registration (Scotland) Act 1979 (omission of certain clauses in deeds) are to 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” had been omitted, and
(d) provision applying section 9 of the Conveyancing Act 1881 (which is the equivalent in Northern Ireland to section 64 of the Law of Property Act 1925) to that acknowledgement.
(8) Sub-paragraph (9) applies if a transfer authorised by sub-paragraph (6)(a) would (were it not so authorised)—
(a) give rise to a contravention or liability by reason of a provision relating to the terms on which the existing licence company is entitled or subject to the property, right or liability transferred, or
(b) give rise to an interference with any interest or right by reason of such a provision.
(9) In such a case the transfer does not give rise to such a contravention, liability or interference.
(10) The provision referred to in sub-paragraph (8) may arise under an enactment or agreement or otherwise.
8 (1) A scheme may impose duties on the existing licence company and on the new licence company to take all such steps as may be necessary to secure that the vesting in the new licence company, by virtue of the scheme, of any foreign property, right or liability is effective under the relevant foreign law.
(2) A scheme may require the existing licence company to comply with any directions given by the new licence company in performing any duty imposed on the existing licence company by virtue of a provision included in the scheme under sub-paragraph (1).
(3) A scheme may provide that, until the vesting of any foreign property, right or liability of the existing licence company in the new licence company is effective under the relevant foreign law, it is the duty of the existing licence company—
(a) to hold that property or right for the benefit of the new licence company, or
(b) to discharge that liability on behalf of the new licence company.
(4) A scheme may provide that in specified cases foreign property, rights or liabilities acquired or incurred by an existing licence company after the scheme comes into force are immediately to become property, rights or liabilities of the new licence company; and in relation to such property, rights or liabilities the scheme may make provision equivalent to that in sub-paragraphs (1) to (3).
(5) Nothing in any provision included in a scheme by virtue of this paragraph affects the law of any part of the United Kingdom as it applies to the vesting of any foreign property, right or liability in the new licence company by virtue of the scheme.
(6) 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.
(7) Any expenses incurred by an existing licence company in consequence of any provision included in a scheme by virtue of this paragraph must be met by the new licence company.
(8) Duties imposed on an existing licence company or a new licence company by virtue of this paragraph are enforceable in the same way as if they were imposed by a contract between the existing licence company and the new licence company.
Supplementary provisions of schemes
9 (1) A scheme may contain supplementary, consequential and transitional provision for the purposes of, or in connection with, any provision of the scheme.
(2) In particular a scheme may provide—
(a) that for purposes connected with any transfers made in accordance with the scheme (including the transfer of rights and liabilities under an enactment) the new licence company is to be treated as the same person in law as the existing licence company;
(b) that (so far as may be necessary for the purposes of or in connection with any such transfers) agreements made, transactions effected and other things done by or in relation to the existing licence company are to be treated as made, effected or done by or in relation to the new licence company;
(c) that (so far as may be necessary for the purposes of or in connection with any such transfers) references in any agreement (whether or not in writing) or in any document to, or to any officer of, the existing licence company are to have effect with such modifications as the scheme may specify;
(d) that proceedings commenced by or against the existing licence company are to be continued by or against the new licence company;
(e) that contracts of employment with the existing licence company are not to terminate and that periods of employment with the existing licence company are to count for all purposes as periods of employment with the new licence company;
(f) that disputes about the effect of the scheme between the existing licence company and the new licence company, between either of them and any other licence company or between different companies which are other licence companies are to be referred to such arbitration as may be specified in or determined under the scheme;
(g) that determinations on such arbitrations are conclusive for all purposes;
(h) that certificates given jointly by two or more of the licence companies mentioned in paragraph (f) as to the effect of the scheme as between the licence companies giving the certificates are conclusive for all purposes.
Assistance
10 (1) The new licence company, the existing licence company and any other licence companies which are likely to be affected by a scheme must provide the Secretary of State with all such information and other assistance as the Secretary of State may reasonably require for the purposes of, or in connection with, the exercise of any power conferred by paragraph 3.
(2) If a company without reasonable excuse fails to do anything required of it by sub-paragraph (1) it is guilty of an offence and liable on summary conviction to a fine not exceeding level 5 on the standard scale.
Effect of air traffic administration order
11 While an air traffic administration order is in force in relation to an existing licence company anything which the company is permitted or required to do—
(a) by paragraph 3 or 10, or
(b) in consequence of any provision of a scheme,
is effective only if it is done on the company’s behalf by its air traffic administrator.