Railways Act 1993

52 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

53 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

54 Exercise of functions for purpose of encouraging investment in the railways.

(1) The Secretary of State , the Welsh Ministers or the Scottish Ministers— (a) in exercising or deciding whether or not to exercise any of his or their franchising functions, may take into account the desirability of encouraging railway investment; and (b) may exercise any such functions for the purpose of encouraging railway investment or for purposes which include that purpose. (2) The Secretary of State , the Welsh Ministers and the Scottish Ministers shall each have power to enter into agreements under which an undertaking is given by him or them— (a) to exercise his or their franchising functions; (b) to refrain from exercising them; or (c) to exercise them in a particular manner. (3) In this section— “franchising functions”, in relation to the Secretary of State , the Welsh Ministers or the Scottish Ministers, means— any of the functions of the Secretary of State or of the Welsh Ministers or of the Scottish Ministers under sections 17 to 19, 23, 24, 26 to 31 . . . above; any power conferred on the Secretary of State , the Welsh Ministers or the Scottish Ministers under or by virtue of section 1(2) of the Railways Act 2005; and any other functions of the Secretary of State , the Welsh Ministers or the Scottish Ministers which relate to the provision of railway passenger services, or the operation of additional railway assets, under or by virtue of franchise agreements; “franchising functions”, in relation to a Passenger Transport Authority or Passenger Transport Executive, means any functions conferred or imposed on the Authority or, as the case may be, the Executive under or by virtue of section 34 above; “railway investment” means investment in assets for use in the provision of railway services.

55 Orders for securing compliance.

(1) Subject to subsections (2) to (5C) and section 56 below, where the appropriate authority is satisfied that a relevant operator is contravening, or is likely to contravene, any relevant condition or requirement, it shall by a final order make such provision as is requisite for the purpose of securing compliance with that condition or requirement. (2) Subject to subsections (5) to(5C) below, where it appears to the appropriate authority— (a) that a relevant operator is contravening, or is likely to contravene, any relevant condition or requirement, and (b) that it is requisite that a provisional order be made, it shall (instead of taking steps towards the making of a final order) by a provisional order make such provision as appears to it requisite for the purpose of securing compliance with that condition or requirement. (3) In determining for the purposes of subsection (2)(b) above whether it is requisite that a provisional order be made, the appropriate authority shall have regard, in particular, to the extent to which any person is likely to sustain loss or damage in consequence of anything which, in contravention of the relevant condition or requirement, is likely to be done, or omitted to be done, before a final order may be made. (4) Subject to subsections (5) to(5C) and section 56 below, the appropriate authority shall confirm a provisional order, with or without modifications, if— (a) it is satisfied that the relevant operator to whom the order relates is contravening, or is likely to contravene, any relevant condition or requirement; and (b) the provision made by the order (with any modifications) is requisite for the purpose of securing compliance with that condition or requirement. (5) The appropriate authority shall not make a final order, or make or confirm a provisional order, in relation to a relevant operator if it is satisfied— (a) that the duties imposed on it by section 4 above . . . preclude the making or, as the case may be, the confirmation of the order; (b) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (c) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (5ZA) Neither the Secretary of State nor the Scottish Ministers nor the Welsh Ministers shall make a final order, or make or confirm a provisional order, in relation to a licence holder or person under closure restrictions unless— (a) the Secretary of State, the Scottish Ministers or the Welsh Ministers (as the case may be) has or have given notice to the Office of Rail and Road specifying a period within which it may give notice to him or them if it considers that the most appropriate way of proceeding is under the Competition Act 1998; (b) that period has expired; and (c) the Office of Rail and Road has not given notice to the Secretary of State, the Scottish Ministers or the Welsh Ministers (as the case may be) within that period that it so considers (or, if it has, it has withdrawn it). (5A) Before making a final order or making or confirming a provisional order, the Office of Rail and Road shall consider whether it would be more appropriate to proceed under the Competition Act 1998. (5AA) The Office of Rail and Road shall not make a final order or make or confirm a provisional order if it considers that it would be more appropriate to proceed under the Competition Act 1998. (5B) If the appropriate authority is satisfied— (a) that the relevant operator has agreed to take, and is taking, all such steps as it appears to the appropriate authority for the time being to be appropriate for the relevant operator to take for the purpose of securing or facilitating compliance with the condition or requirement in question, or (b) that the contravention or apprehended contravention will not adversely affect the interests of users of railway services or lead to any increase in public expenditure, it shall only make a final order, or make or confirm a provisional order, if it considers it appropriate to do so. (5C) Neither the Secretary of State nor the Scottish Ministers nor the Welsh Ministers shall be required, in respect of any contravention or apprehended contravention of the terms of a franchise agreement, to make a final order, or to make or to confirm a provisional order, if he considers or (as the case may be) they consider— (a) that the contravention or apprehended contravention is trivial; and (b) that it would be inappropriate, for that reason, to make or to confirm the order. (5D) The appropriate authority must comply with subsection (6)— (a) in a case where the appropriate authority is the Secretary of State or the Scottish Ministers or the Welsh Ministers, if that authority decides not to make a final order, or not to make or to confirm a provisional order, because of provision contained in subsection (5) or (5ZA) above; or (b) in the case of the Office of Rail and Road, if it decides not to make a final order, or not to make or to confirm a provisional order, because of provision contained in subsection (5), (5AA) or (5B) above. (6) Where the appropriate authority must comply with this subsection, it must— (a) serve notice of its decision on the relevant operator; and (b) publish the notice in such manner as it considers appropriate for the purpose of bringing the matters to which the notice relates to the attention of persons likely to be affected by them. (7) A final or provisional order— (a) shall require the relevant operator to whom it relates (according to the circumstances of the case) to do, or not to do, such things as are specified in the order or are of a description so specified; (b) shall take effect at such time, being the earliest practicable time, as is determined by or under the order; and (c) may be revoked at any time by the appropriate authority. (7A) The provision that may be made in a final or provisional order includes, in particular, provision requiring the relevant operator to pay in the event of a specified contravention of the order— (a) in the case of an order made by the Scottish Ministers, to them, ... (aa) in the case of an order made by the Welsh Ministers, to them, and (b) in any other case, to the Secretary of State, such reasonable sum in respect of the contravention as is specified in, or determined in accordance with, the order in such manner, at such place and by such date as is so specified or determined. (7B) The amount of the sum may not exceed 10 per cent. of the turnover of the relevant operator determined in accordance with an order made by the Secretary of State; and an order under this subsection shall not be made unless a draft of the statutory instrument containing it has been laid before and approved by a resolution of each House of Parliament. (7C) If the whole or any part of the sum is not paid by the date by which it is to be paid, the unpaid balance from time to time shall carry interest at the rate for the time being specified in section 17 of the Judgments Act 1838. (9) Without prejudice to section 44 of the Railways Act 2005 (exclusion of liability for breach of statutory duty) , nothing in this section or in sections 56 to 58 below shall exclude the availability of any remedy in respect of any contravention or apprehended contravention of a relevant condition or requirement. (10) In this Part— “the appropriate authority” means— in relation to any relevant condition or requirement in the case of a licence holder, . . . , . . . the Office of Rail and Road; in relation to any relevant condition or requirement in the case of— a franchisee under a Scottish franchise agreement, a franchise operator in relation to such an agreement, or a person under Scottish closure restrictions, the Scottish Ministers; and in relation to a term of a Welsh franchise agreement, where the term relates solely to providing or securing the provision of a Wales-only service or a Welsh component of a Welsh service, the Welsh Ministers; in relation to a term of a Welsh franchise agreement, where the term does not relate solely to providing or securing the provision of a Wales-only service or a Welsh component of a Welsh service, the Secretary of State; in relation to a term of a franchise agreement that is not a Scottish franchise agreement or a Welsh franchise agreement, the Secretary of State; in relation to a duty mentioned in subsection (11) which is imposed or arises in a Welsh case, the Welsh Ministers; in relation to a duty mentioned in subsection (11) which is imposed or arises in a case that is not a Scottish case or a Welsh case, the Secretary of State; “final order” means an order under this section, other than a provisional order or an order under subsection (7B); “provisional order” means an order under this section which, if not previously confirmed in accordance with subsection (4) above, will cease to have effect at the end of such period (not exceeding three months) as is determined by or under the order; “relevant condition or requirement” means— in the case of a licence holder, any condition of his licence; in the case of a franchisee, or any franchise operator who is a party to the franchise agreement, any term of the franchise agreement; in the case of a person under closure restrictions, any duty mentioned in subsection (11) to which he is subject; “relevant operator” means— a licence holder; a franchisee; a franchise operator who is a party to the franchise agreement; a person under closure restrictions. (11) In subsections (5ZA) and (10) above, “person under closure restrictions” means a person who is under— (a) a duty under section 22(8), 26(8), 29(8) or 37(2) of the Railways Act 2005 not to discontinue a railway passenger service or an experimental passenger service or not to discontinue the operation or use of a network or station, or part of a network or station; (b) a duty to comply with any requirement imposed under section 33(2)(i) of that Act (closure requirements imposed on operators); or (c) a duty to comply with conditions to which he has agreed under section 34(5) of that Act (conditions of minor modification determination). (11A) In the definition of “the appropriate authority” in subsection (10) above the reference to a relevant condition or requirement in the case of a person under Scottish closure restrictions is a reference to a relevant condition or requirement which— (a) falls within paragraph (c) of the definition in that subsection; (b) is imposed or arises in the case of a closure; and (c) is so imposed or so arises in a Scottish case; ... (11B) In this section, “a Scottish case”, in relation to a closure, means— (a) a case in which the Scottish Ministers are the national authority for the purposes of provisions of Part 4 of the Railways Act 2005 relating to the proposal for the closure; (b) a case in which it is the Scottish Ministers who make a determination under section 34 of that Act (minor modifications) in relation to the closure; or (c) a case in which the closure is a closure notice of which is given under section 37 of that Act (experimental passenger services) and the proposal relates to a Scotland-only service. (11C) In subsection (10) “a Welsh case”, in relation to a closure, means— (a) a case in which the Welsh Ministers are the national authority for the purposes of provisions of Part 4 of the Railways Act 2005 relating to the proposal for the closure; (b) a case in which it is the Welsh Ministers who make a determination under section 34 of that Act (minor modifications) in relation to the closure; or (c) a case in which the closure is a closure of which notice is given under section 37 of that Act (experimental passenger services) and the proposal relates to a Wales-only service. (12) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

56 Procedural requirements for section 55 orders.

(1) Before it makes a final order or confirms a provisional order, the appropriate authority shall give notice— (a) stating that it proposes to make or confirm the order and setting out its effect, (b) setting out— (i) the relevant condition or requirement for the purpose of securing compliance with which the order is to be made or confirmed, (ii) the acts or omissions which, in its opinion, constitute or would constitute contraventions of that condition or requirement, and (iii) the other facts which, in its opinion, justify the making or confirmation of the order, and (c) specifying the period (not being less than 21 days from the date of publication of the notice) within which representations or objections with respect to the proposed order or proposed confirmation may be made, and shall consider any representations or objections which are duly made and not withdrawn. (2) A notice under subsection (1) above shall be given— (a) by publishing the notice in such manner as the appropriate authority considers appropriate for the purpose of bringing the matters to which the notice relates to the attention of persons likely to be affected by them; and (b) by serving a copy of the notice, and a copy of the proposed order or of the order proposed to be confirmed, on the relevant operator to whom the order relates. (2A) Where the Office of Rail and Road serves a copy of a notice under subsection (1) above on a licence holder, he shall also serve a copy on the Secretary of State and on the Scottish Ministers and the Welsh Ministers. (3) The appropriate authority shall not make a final order with modifications, or confirm a provisional order with modifications, except— (a) with the consent to the modifications of the relevant operator to whom the order relates; or (b) after complying with the requirements of subsection (4) below. (4) The requirements mentioned in subsection (3) above are that the appropriate authority shall— (a) serve on the relevant operator to whom the order relates such notice as appears to him requisite of its proposal to make or confirm the order with modifications; (b) unless the proposed modifications are trivial, in that notice specify a period (not being less than seven from the date of service of the notice) within which representations or objections with respect to the proposed modifications may be made; and (c) consider any representations or objections which are duly made and not withdrawn. (5) As soon as practicable after making a final order or making or confirming a provisional order, the appropriate authority shall— (a) serve a copy of the order on the relevant operator to whom the order relates; and (b) publish the order in such manner as it considers appropriate for the purpose of bringing it to the attention of persons likely to be affected by it. (6) Before revoking a final order or a provisional order which has been confirmed, the appropriate authority shall give notice— (a) stating that it proposes to revoke the order and setting out the effect of its revocation, and (b) specifying the period (not being less than 21 days from the date of publication of the notice) within which representations or objections with respect to the proposed revocation may be made, and shall consider any representations or objections which are duly made and not withdrawn. (7) If, after giving notice under subsection (6) above, the appropriate authority decides not to revoke the order to which the notice relates, it shall give notice of its decision. (8) A notice under subsection (6) or (7) above shall be given— (a) by publishing the notice in such manner as the appropriate authority considers appropriate for the purpose of bringing the matters to which the notice relates to the attention of persons likely to be affected by them; and (b) by serving a copy of the notice on the relevant operator to whom the order relates.

57 Validity and effect of section 55 orders.

(1) If the relevant operator to whom a final or provisional order relates is aggrieved by the order and desires to question its validity on the ground— (a) that its making or confirmation was not within the powers of section 55 above, or (b) that any of the requirements of section 56 above have not been complied with in relation to it, he may, within 42 days from the date of service on him of a copy of the order, make an application to the court under this section. (2) On any such application the court, if satisfied that the making or confirmation of the order was not within those powers or that the interests of the relevant operator have been substantially prejudiced by a failure to comply with those requirements— (a) may quash the order or any provision of the order; . . . (b) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (2A) If such an application is made in relation to a provision of an order requiring the payment of a sum in the event of a contravention and the sum would be payable before the time when the application is determined, it need not be paid until that time. (2B) Where such an application is so made the court, if satisfied as mentioned in subsection (2) above, may (instead of quashing the order or the provision of the order) make provision under either or both of paragraphs (a) and (b) of subsection (2C) below. (2C) The provision referred to in subsection (2B) above is— (a) provision substituting for the sum, or provision for determining a sum, specified in the order such lesser sum, or such other provision for determining a sum, as the court considers appropriate in all the circumstances of the case; and (b) provision substituting for the date by which the sum is to be paid specified in or determined in accordance with the order such later date as the court considers appropriate in all the circumstances of the case. (2D) Where the court substitutes a lesser sum, or different provision for determining a sum, it may require the payment of interest on the new sum at such rate, and from such date, as it determines; and where it specifies as the date by which the sum is to be paid a date before the determination of the application it may require the payment of interest on the sum from that date at such rate as it determines. (3) Except as provided by this section, the validity of a final or provisional order shall not be questioned by any legal proceedings whatever. (4) The obligation to comply with a final or provisional order shall be a duty owed to any person who may be affected by a contravention of the order. (5) Where a duty is owed by virtue of subsection (4) above to any person, any breach of the duty which causes that person to sustain loss or damage shall be actionable at the suit or instance of that person. (6) In any proceedings brought against a relevant operator in pursuance of subsection (5) above, it shall be a defence for him to prove that he took all reasonable steps and exercised all due diligence to avoid contravening the order. (7) Without prejudice to any right which any person may have by virtue of subsection (5) above to bring civil proceedings in respect of any contravention or apprehended contravention of a final or provisional order, compliance with any such order shall be enforceable by civil proceedings by the appropriate authority for an injunction or for interdict or for any other appropriate relief or remedy. (8) Where a relevant operator to whom a final or provisional order relates has made an application pursuant to subsection (1) above questioning the validity of that order, the making of that application shall not affect— (a) his obligation to comply with the order, or (b) the right which any person may have to bring civil proceedings against him in pursuance of subsection (5) or (7) above. (9) In this section and sections 57F and 58 below “the court” means the High Court in relation to England and Wales and the Court of Session in relation to Scotland.

57A Penalties.

(1) If the appropriate authority is satisfied that a relevant operator has contravened or is contravening— (a) a relevant condition or requirement, or (b) a final or provisional order made by the appropriate authority, the appropriate authority may impose on the relevant operator a penalty of such amount as is reasonable. (2) A penalty is payable (a) in the case of a penalty imposed by the Scottish Ministers, to them; ... (aa) in the case of a penalty imposed by the Welsh Ministers, to them; and (b) in any other case, to the Secretary of State. (3) The amount of a penalty imposed on a relevant operator may not exceed 10 per cent. of his turnover determined in accordance with an order made by the Secretary of State; and an order under this subsection shall not be made unless a draft of the statutory instrument containing it has been laid before and approved by a resolution of each House of Parliament. (4) No penalty may be imposed in respect of any contravention of a final or provisional order if provision was made in the order by virtue of section 55(7A) above in relation to the contravention. (5) Neither the Secretary of State nor the Scottish Ministers nor the Welsh Ministers shall impose a penalty on a licence holder or person under closure restrictions unless— (a) the Secretary of State, the Scottish Ministers or the Welsh Ministers (as the case may be) has or have given notice to the Office of Rail and Road specifying a period within which it may give notice to him or them if it considers that the most appropriate way of proceeding is under the Competition Act 1998; (b) that period has expired; and (c) the Office of Rail and Road has not given notice to the Secretary of State, the Scottish Ministers or the Welsh Ministers (as the case may be) within that period that it so considers (or, if it has, it has withdrawn it). (6) Before imposing a penalty under this section, the Office of Rail and Road shall consider whether it would be more appropriate to proceed under the Competition Act 1998. (7) The Office of Rail and Road shall not impose a penalty under this section if it considers that it would be more appropriate to proceed under the Competition Act 1998.

57B Statement of policy.

(1) The Secretary of State, the Scottish Ministers, the Welsh Ministers and the Office of Rail and Road shall each prepare and publish a statement of policy with respect to the imposition of penalties and the determination of their amount. (2) A statement of policy may include provision for a decision whether to impose a penalty, or the determination of the amount of any penalty, in respect of the contravention of any relevant condition or requirement or order to be influenced by— (a) the desirability of securing compliance with that relevant condition or requirement or order; (b) the consequences or likely consequences of anything which has been or is being done or omitted to be done in contravention of that relevant condition or requirement or order; and (c) the desirability of deterring contraventions of relevant conditions and requirements and final and provisional orders. (3) In deciding whether to impose a penalty, and in determining the amount of any penalty, in respect of a contravention the Secretary of State, the Scottish Ministers, the Welsh Ministers and Regulator shall have regard to any statement of his, their or its . . . policy published at the time when the contravention occurred. (4) The Secretary of State, the Scottish Ministers, the Welsh Ministers and the Office of Rail and Road — (a) may at any time alter or replace a statement of his, their or. . . its policy; and (b) shall publish the altered or replacement statement. (5) The Secretary of State, the Scottish Ministers, the Welsh Ministers and the Office of Rail and Road shall undertake appropriate consultation when preparing, altering or replacing a statement of policy. (6) The Secretary of State, the Scottish Ministers, the Welsh Ministers and the Office of Rail and Road shall publish a statement of policy in the manner that appears most suitable for bringing it to the attention of those likely to be affected by it. (7) This section applies in relation to sums required to be paid by virtue of section 55(7A) above as to penalties, but as if— (a) references to the imposition of penalties were to the inclusion in an order of a requirement to pay a sum; (b) references to relevant conditions or requirements were omitted; and (c) the reference in subsection (2)(b) above to anything which has been or is being done or omitted to be done included a reference to anything which is likely to be done or omitted to be done.

57C Procedural requirements for penalties.

(1) Before it imposes a penalty on a relevant operator, the appropriate authority shall give notice— (a) stating that it proposes to impose a penalty on the relevant operator and the amount of the penalty proposed, (b) setting out the relevant condition or requirement or order in question, (c) specifying the acts or omissions which, in its opinion, constitute contraventions of that condition or requirement or order and the other facts which, in its opinion, justify the imposition of a penalty and the amount of the penalty proposed, (d) specifying the manner in which, and place at which, it is proposed to require the penalty to be paid, and (e) specifying the period (not being less than 21 days from the date of publication of the notice) within which representations or objections with respect to the proposed penalty may be made, and shall consider any representations or objections which are duly made and not withdrawn. (2) A notice under subsection (1) above shall be given— (a) by publishing the notice in such manner as the appropriate authority considers appropriate; and (b) by serving a copy of the notice on the relevant operator. (3) Where the Office of Rail and Road serves a copy of a notice under subsection (1) above on a licence holder, he shall also serve a copy on the Secretary of State and on the Scottish Ministers and the Welsh Ministers. (4) The appropriate authority shall not modify a proposal to impose a penalty except— (a) with the consent of the relevant operator; (b) where the modifications consist of a reduction of the amount of the penalty or a deferral of the date by which it is to be paid; or (c) after complying with the requirements of subsection (5) below. (5) The requirements mentioned in subsection (4)(c) above are that the appropriate authority shall— (a) give to the relevant operator such notice as appears to it requisite of its modified proposal; (b) unless the proposed modifications are trivial, in that notice specify a period (not being less than seven days from the date of service of the notice) within which representations or objections with respect to the proposed modifications may be made; and (c) consider any representations or objections which are duly made and not withdrawn. (6) As soon as practicable after imposing a penalty, the appropriate authority shall give notice— (a) stating that it has imposed a penalty on the relevant operator and its amount; (b) setting out the relevant condition or requirement or order in question; (c) specifying the acts or omissions which, in its opinion, constitute contraventions of that condition or requirement or order and the other facts which, in its opinion, justify the imposition of the penalty and its amount; (d) specifying the manner in which, and place at which, the penalty is to be paid; and (e) specifying the date (not being less than fourteen days from the date of publication of the notice) by which the penalty is to be paid. (7) A notice under subsection (6) above shall be given— (a) by publishing the notice in such manner as the appropriate authority considers appropriate; and (b) by serving a copy of the notice on the relevant operator. (8) The relevant operator may, within 21 days of the date of service on him of the notice under subsection (6) above, make an application to the appropriate authority for it to specify different dates by which different portions of the penalty are to be paid.

57D Time limits.

(1) No penalty may be imposed in respect of a contravention by a relevant operator— (a) by virtue of paragraph (a) of subsection (1) of section 57A above in a case where no final or provisional order has been made in relation to the contravention, or (b) by virtue of paragraph (b) of that subsection, unless a copy of the notice relating to the penalty under section 57C(1) above is served on the relevant operator within two years of the time of the contravention. (2) No penalty may be imposed in respect of a contravention by a relevant operator by virtue of section 57A(1)(a) above in a case where a final or provisional order has been made in relation to the contravention unless a copy of the notice relating to the penalty under section 57C(1) above is served on the relevant operator— (a) within three months of the confirmation of the provisional order or the making of the final order; or (b) where the provisional order is not confirmed, within six months of the making of the provisional order.

57E Interest and payment of instalments.

(1) If the whole or any part of a penalty is not paid by the date by which it is to be paid, the unpaid balance from time to time shall carry interest at the rate for the time being specified in section 17 of the Judgments Act 1838. (2) If an application is made under subsection (8) of section 57C above in relation to a penalty, the penalty need not be paid until the application has been determined. (3) If the appropriate authority grants an application under that subsection in relation to a penalty but any portion of the penalty is not paid by the date specified in relation to it by the appropriate authority under that subsection, so much of the penalty as has not already been paid is to be paid immediately.

57F Validity and effect of penalties.

(1) If the relevant operator to whom a penalty notice relates is aggrieved by a penalty and desires to question its validity on the ground— (a) that it was not within the powers of section 57A above, (b) that any of the requirements of section 57C above have not been complied with in relation to it and his interests have been substantially prejudiced by the non-compliance, or (c) that it was unreasonable of the appropriate authority not to grant an application under section 57C(8) above; he may make an application to the court under this section. (2) An application under this section by a person shall be made— (a) where it is on the ground mentioned in subsection (1)(c) above, within 42 days from the date on which he is notified of the decision not to grant the application under section 57C(8) above, and (b) in any other case, within 42 days from the date of service on him of the notice under section 57C(6) above. (3) If an application is made under this section in relation to a penalty, the penalty need not be paid until the application has been determined. (4) On an application under this section on the ground mentioned in subsection (1)(a) or (b) above the court, if satisfied that the ground is established, may quash the penalty or (instead of quashing it) make provision under either or both of paragraphs (a) and (b) of subsection (5) below. (5) The provision referred to in subsection (4) above is— (a) provision substituting a penalty of such lesser amount as the court considers appropriate in all the circumstances of the case; and (b) provision substituting as the date by which the penalty, or any portion of the penalty, is to be paid a date later than that specified in the notice under section 57C(6) above. (6) On an application under this section on the ground mentioned in subsection (1)(c) above the court, if satisfied that the ground is established, may specify different dates by which different portions of the penalty are to be paid. (7) Where the court substitutes a penalty of a lesser amount it may require the payment of interest on the substituted penalty at such rate, and from such date, as it determines; and where it specifies as the date by which the penalty, or a portion of the penalty, is to be paid a date before the determination of the application it may require the payment of interest on the penalty, or portion, from that date at such rate as it determines. (8) Except as provided by this section, the validity of a penalty shall not be questioned by any legal proceedings whatever.

58 Power to require information etc for purposes of sections 55 and 57A.

(1) Where it appears to the appropriate authority that a relevant operator may have contravened or be contravening— (a) a relevant condition or requirement, or (b) a final or provisional order made by the appropriate authority, the appropriate authority may, for any purpose connected with such of its functions under section 55 or 57A above as are exercisable in relation to that matter, serve a notice under subsection (2) below on any person. (2) A notice under this subsection is a notice signed by the appropriate authority and— (a) requiring the person on whom it is served to produce, at a time and place specified in the notice, to the appropriate authority or to any person appointed by the appropriate authority for the purpose, any documents which are specified or described in the notice and are in that person’s custody or under his control; or (b) requiring that person, if he is carrying on a business, to furnish, at a time and place and in the form and manner specified in the notice, to the appropriate authority such information as may be specified or described in the notice. (3) No person shall be required under this section to produce any documents which he could not be compelled to produce in civil proceedings in the court or, in complying with any requirement for the furnishing of information, to give any information which he could not be compelled to give in evidence in any such proceedings. (4) A person who without reasonable excuse fails to do anything required of him by notice under subsection (2) above is guilty of an offence and shall be liable on summary conviction to a fine not exceeding level 5 on the standard scale. (5) A person who intentionally alters, suppresses or destroys any document which he has been required by any notice under subsection (2) above to produce is guilty of an offence and shall be liable— (a) on summary conviction, to a fine not exceeding the statutory maximum; (b) on conviction on indictment, to a fine. (6) If a person makes default in complying with a notice under subsection (2) above, the court may, on the application of the appropriate authority, make such order as the court thinks fit for requiring the default to be made good; and any such order may provide that all the costs or expenses of and incidental to the application shall be borne by the person in default or by any officers of a company or other association who are responsible for its default. (7) Any reference in this section to the production of a document includes a reference to the production of a legible and intelligible copy of information recorded otherwise than in legible form; and the reference to suppressing a document includes a reference to destroying the means of reproducing information recorded otherwise than in legible form.

59 Meaning and effect of railway administration order.

(1) A “railway administration order” is an order of the court made in accordance with section 60, 61 or 62 below in relation to a protected railway company and directing that, during the period for which the order is in force, the affairs, business and property of the company shall be managed, by a person appointed by the court,— (a) for the achievement of the purposes of such an order; and (b) in a manner which protects the respective interests of the members and creditors of the company. (2) The purposes of a railway administration order made in relation to any company shall be— (a) the transfer to another company, or (as respects different parts of its undertaking) to two or more different companies, as a going concern, of so much of the company’s undertaking as it is necessary to transfer in order to ensure that the relevant activities may be properly carried on; and (b) the carrying on of those relevant activities pending the making of the transfer. (3) Schedule 6 to this Act shall have effect for applying provisions of the Insolvency Act 1986 where a railway administration order is made. (4) Schedule 7 to this Act shall have effect for enabling provision to be made with respect to cases in which, in pursuance of a railway administration order, another company is to carry on all or any of the relevant activities of a protected railway company in place of that company. (5) Without prejudice to paragraph 20 of Schedule 6 to this Act, the power conferred by section 411 of the Insolvency Act 1986 to make rules shall apply for the purpose of giving effect to the railway administration order provisions of this Act as it applies for the purpose of giving effect to Parts I to VII of that Act, but taking any reference in that section to those Parts as a reference to those provisions. (6) For the purposes of this Part— (za) “appropriate national authority”— (i) in relation to a Scottish protected railway company or a company subject to a railway administration order that was such a company when the order was made, means the Scottish Ministers; ... (ia) in relation to a Welsh protected railway company or a company subject to a railway administration order that was such a company when the order was made, means the Welsh Ministers; and (ii) in relation to any other protected railway company or company subject to a railway administration order, means the Secretary of State; (a) “protected railway company” means a company which is both a private sector operator and the holder of— (i) a passenger licence or a railway undertaking licence which authorises the carriage of passengers by railway (or both); or (ii) a network licence, a station licence or a light maintenance depot licence; . . . (b) the “relevant activities”, in relation to a protected railway company, are— (i) in the case of a company which is the holder of a or a European licence which authorises the carriage of passengers by railway (or both) passenger licence, the carriage of passengers by railway; or (ii) in the case of a company which is the holder of a network licence, a station licence or a light maintenance depot licence, the management of a network, a station or a light maintenance depot, according to the description of licence in question. (c) “Scottish protected railway company” means a protected railway company that is such a company only in respect of activities carried on by it as franchise operator in relation to a Scottish franchise agreement. (d) “Welsh protected railway company” means a protected railway company that is such a company only in respect of activities carried on by it as franchise operator in relation to a Welsh franchise agreement the franchised services under which consist of Wales-only services. (7) In this section— “business” and “property” have the same meaning as they have in the Insolvency Act 1986; “the court”, in relation to a protected railway company, means the court— having jurisdiction to wind up the company, or that would have such jurisdiction apart from section 221(2) or 441(2) of the Insolvency Act 1986 (exclusion of winding up jurisdiction in case of companies having principal place of business in, or incorporated in, Northern Ireland); “the railway administration order provisions of this Act” means this section, sections 60 to 65 below and Schedules 6 and 7 to this Act.

60 Railway administration orders made on special petitions.

(1) If, on an application relating to a protected railway company the court is satisfied that either or both of the grounds specified in subsection (2) below is satisfied in relation to that protected railway company, the court may make a railway administration order in relation to that company. (2) The grounds mentioned in subsection (1) above are, in relation to any company,— (a) that the company is or is likely to be unable to pay its debts; (b) that, in a case in which the Secretary of State has certified that it would be appropriate for him to petition for the winding up of the company under section 124A of the 1986 Act (petition by the Secretary of State following inspectors’ report etc), it would be just and equitable, as mentioned in that section, for the company to be wound up. (3) Notice of any petition under this section for a railway administration order shall be given forthwith to such persons and in such manner as may be prescribed by rules made under section 411 of the 1986 Act; and no such petition shall be withdrawn except with the leave of the court. (4) Subsections (4) and (5) of section 9 of the 1986 Act (powers on application for administration order) shall apply on the hearing of the petition for a railway administration order in relation to any company as they apply on the hearing of a petition for an administration order. (5) Subsections (1), (2), (4) and (5) of section 10 of the 1986 Act (effect of petition) shall apply in the case of a petition for a railway administration order in relation to any company as if— (a) the reference in subsection (1) to an administration order were a reference to a railway administration order; (b) paragraph (b) of that subsection did require the leave of the court for the taking of any of the steps mentioned in paragraphs (b) and (c) of subsection (2) (appointment of, and exercise of functions by, administrative receiver); and (c) the reference in paragraph (c) of subsection (1) to proceedings included a reference to any proceedings under or for the purposes of section 55 or 57A above. (6) For the purposes of this section a company is unable to pay its debts if— (a) it is a company which is deemed to be so unable under section 123 of the 1986 Act (definition of inability to pay debts); or (b) it is an unregistered company, within the meaning of Part V of the 1986 Act, which is deemed, by virtue of any of sections 222 to 224 of that Act, to be so unable for the purposes of section 221 of that Act (winding up of unregistered companies). (7) In this section— “the 1986 Act” means the Insolvency Act 1986; “the court” has the same meaning as in section 59 above.

61 Restriction on making winding-up order in respect of protected railway company.

(1) Where a petition for the winding up of a protected railway company is presented by a person other than the Secretary of State, the court shall not make a winding-up order in relation to that company on that petition unless— (a) notice of the petition has been served on— (i) the appropriate national authority ; and (ii) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (b) a period of at least fourteen days has elapsed since the service of that notice. (2) Where a petition for the winding up of a protected railway company has been presented— (a) the appropriate national authority , . . . (b) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . may, at any time before a winding-up order is made on the petition, make an application to the court for a railway administration order in relation to that company; and where such an application is made the court may, if it is satisfied as mentioned in section 60(1) above, make a railway administration order instead of a winding-up order. (3) Where, on a petition for the winding up of a protected railway company, the court makes, or proposes to make, a railway administration order by virtue of subsection (2) above, subsections (4) and (5) of section 9 of the Insolvency Act 1986 (powers on application for administration order) shall apply on the hearing of that petition as they apply on the hearing of a petition for an administration order. (4) In this section “the court” has the same meaning as in section 59 above.

62 Restrictions on voluntary winding up and insolvency proceedings in the case of protected railway companies.

(1) No resolution for voluntary winding up shall be passed by a protected railway company without leave of the court granted on an application made for the purpose by the company. (2) No such leave shall be granted unless— (a) notice of the application has been served on— (i) the appropriate national authority ; and (ii) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (b) a period of at least fourteen days has elapsed since the service of that notice. (3) Where an application for leave under subsection (1) above has been made by a protected railway company— (a) the appropriate national authority , . . . (b) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . may, at any time before leave has been granted under subsection (1) above, make an application to the court for a railway administration order in relation to that company; and where such an application is made the court may, if it is satisfied as mentioned in section 60(1) above, make a railway administration order instead of granting leave under subsection (1) above. (4) Where, on an application for leave under subsection (1) above, the court makes, or proposes to make, a railway administration order by virtue of subsection (3) above, subsections (4) and (5) of section 9 of the Insolvency Act 1986 (powers on application for administration order) shall apply on the hearing of that application as they apply on the hearing of a petition for an administration order. (5) No administration order under Part II of the Insolvency Act 1986 shall be made in relation to a protected railway company unless— (a) notice of the application for the order has been served on— (i) the appropriate national authority ; and (ii) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (b) a period of at least fourteen days has elapsed since the service of that notice. (6) Where an application for an administration order under Part II of the Insolvency Act 1986 has been made in the case of a protected railway company— (a) the appropriate national authority , . . . (b) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . may, at any time before such an order has been made on that application, make an application to the court for a railway administration order in relation to that company; and where such an application is made the court may, if it is satisfied as mentioned in section 60(1) above, make a railway administration order instead of an administration order under Part II of the Insolvency Act 1986. (7) No step shall be taken by any person to enforce any security over a protected railway company’s property, except where that person has served fourteen days’ notice of his intention to take that step on— (a) the appropriate national authority ; . . . (b) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (8) In this section— “the court” has the same meaning as in section 59 above; “resolution for voluntary winding up” has the same meaning as in the Insolvency Act 1986; “security” and “property” have the same meaning as in the Insolvency Act 1986.

63 Government financial assistance where railway administration orders made.

(1) Where a railway administration order is for the time being in force in relation to a company other than a Scottish protected railway company or a Welsh protected railway company, the Secretary of State may, with the consent of the Treasury— (a) make to the company grants or loans of such sums as appear to him to be appropriate for the purpose of facilitating the achievement of the purposes of the order; (b) agree to indemnify a relevant person in respect of— (i) liabilities incurred by that person in connection with the carrying out by the railway administrator of his functions under the order; and (ii) loss or damage incurred by that person in that connection. (2) The Secretary of State may, with the consent of the Treasury, guarantee,. . . the repayment of the principal of, the payment of interest on and the discharge of any other financial obligation in connection with any sum which is borrowed from any person by a company where that company— (a) is a company in relation to which a railway administration order is in force at the time when the guarantee is given; and (b) is not a Scottish protected railway company or a Welsh protected railway company. a railway administration order is in force at the time when the guarantee is given. (2A) A grant, loan, indemnity or guarantee under this section may be made or given in whatever manner, and on whatever terms and subject to whatever conditions, the Secretary of State considers appropriate. (3) Without prejudice to any provision applied in relation to the company by Schedule 6 to this Act— (a) the terms and conditions on which a grant is made to any company under this section may require the whole or a part of the grant to be repaid to the Secretary of State if there is a contravention of the other terms and conditions on which the grant is made; and (b) any loans which the Secretary of State makes to a company under this section shall be repaid to him at such times and by such methods, and interest on the loans shall be paid to him at such rates and at such times, as he may, with the consent of the Treasury, from time to time direct. (3A) The power of the Secretary of State under this section to agree to indemnify a relevant person— (a) is confined to a power to agree to indemnify that person in respect of liabilities, loss and damage incurred or sustained by him as a relevant person; but (b) includes power to agree to indemnify persons (whether or not they are identified or identifiable at the time of the agreement) who subsequently become relevant persons. (3B) A person is a relevant person for the purposes of this section if he is— (a) the railway administrator; (b) an employee of the railway administrator; (c) a member or employee of a firm of which the railway administrator is a member; (d) a member or employee of a firm of which the railway administrator is an employee; (e) a member of a firm of which the railway administrator was an employee or member at a time when the order was in force; (f) a body corporate which is the employer of the railway administrator; or (g) an officer, employee or member of such a body corporate. (3C) For the purposes of this section— (a) the references in this section to the railway administrator, in relation to a railway administration order, are references to the person appointed to achieve the purposes of the order and, where two or more persons are so appointed, are to be construed as references to any one or more of them; and (b) the references to a firm of which a person was a member or employee at a particular time include references to a firm which holds itself out to be the successor of a firm of which he was a member or employee at that time. (4) Any grant or loan made under this section and any sums required to be paid by the Secretary of State in respect of an indemnity given under this section shall be paid out of money provided by Parliament. (4A) If sums are paid by the Secretary of State in consequence of an indemnity agreed to under this section in the case of a company in relation to which a railway administration order is in force, the company must pay him— (a) such amounts in or towards the repayment to him of those sums as he may direct; and (b) interest, at such rates as he may direct, on amounts outstanding under this subsection. (4B) Payments to the Secretary of State under subsection (4A) must be made at such times and in such manner as he may determine. (4C) Subsection (4A) does not apply in the case of a sum paid by the Secretary of State for indemnifying a person in respect of a liability to the company in relation to which the railway administration order in question was made. (4D) The consent of the Treasury is required for the giving of a direction under subsection (4A) and for the making of a determination under subsection (4B). (5) Any sums received under subsection (3) above by the Secretary of State shall be paid into the Consolidated Fund.

64 Guarantees under section 63.

(1) This section applies in relation to any guarantee given by the Secretary of State under section 63 above. (2) Immediately after a guarantee to which this section applies is given, the Secretary of State shall lay a statement of the guarantee before each House of Parliament. (3) Where any sum is paid out for fulfilling a guarantee to which this section applies, the Secretary of State shall, as soon as possible after the end of each financial year (beginning with that in which the sum is paid out and ending with that in which all liability in respect of the principal of the sum and in respect of the interest thereon is finally discharged), lay before each House of Parliament a statement relating to that sum. (4) Any sums required by the Secretary of State for fulfilling a guarantee to which this section applies shall be paid out of money provided by Parliament. (5) Without prejudice to any provision applied in relation to the relevant company by Schedule 6 to this Act, if any sums are paid out in fulfilment of a guarantee to which this section applies, the relevant company shall make to the Secretary of State, at such times and in such manner as the Secretary of State may from time to time direct— (a) payments of such amounts as the Secretary of State may so direct in or towards repayment of the sums so paid out; and (b) payments of interest, at such rate as the Secretary of State may so direct, on what is outstanding for the time being in respect of sums so paid out; and the consent of the Treasury shall be required for the giving of a direction under this subsection. (6) Any sums received by the Secretary of State under subsection (5) above shall be paid into the Consolidated Fund. (7) In subsection (5) above “the relevant company” in relation to a guarantee, means the company which borrowed the sums in respect of which the guarantee was given.

64A Financial assistance by Scottish Ministers or Welsh Ministers

(1) Where a railway administration order is for the time being in force in relation to a Scottish protected railway company or a Welsh protected railway company, the Scottish Ministers or the Welsh Ministers (as the case may be) may— (a) make grants or loans to the company of such sums as appear to them to be appropriate for the purpose of facilitating the achievement of the purposes of the order; or (b) agree to indemnify a relevant person in respect of— (i) liabilities incurred by that person in connection with the carrying out by the railway administrator of his functions under the order; and (ii) loss or damage incurred by that person in that connection. (2) The Scottish Ministers or the Welsh Ministers (as the case may be) may guarantee— (a) the repayment of the principal of any sum borrowed by a Scottish protected railway company or Welsh protected railway company in relation to which a railway administration order is in force when the guarantee is given; (b) the payment of interest on a sum so borrowed; and (c) the discharge of any other financial obligation in relation to a sum so borrowed. (3) A grant, loan, indemnity or guarantee under this section may be made or given in whatever manner, and on whatever terms and subject to whatever conditions, the Scottish Ministers or the Welsh Ministers (as the case may be) consider appropriate. (4) The terms on which a grant may be made under this section include, in particular, terms requiring the whole or a part of the grant to be repaid to the Scottish Ministers or the Welsh Ministers (as the case may be) if there is a contravention of the other terms on which the grant is made. (5) The terms on which a loan may be made under this section include, in particular, terms requiring— (a) the loan to be repaid at such times and by such methods, and (b) interest to be paid on the loan at such rates and at such times, as the Scottish Ministers or the Welsh Ministers (as the case may be) may from time to time direct. (6) The power of the Scottish Ministers and the Welsh Ministers under this section to agree to indemnify a relevant person— (a) is confined to a power to agree to indemnify that person in respect of liabilities, loss and damage incurred or sustained by him as a relevant person; but (b) includes power to agree to indemnify persons (whether or not they are identified or identifiable at the time of the agreement) who subsequently become relevant persons. (7) A person is a relevant person for the purposes of this section if he is— (a) the railway administrator; (b) an employee of the railway administrator; (c) a member or employee of a firm of which the railway administrator is a member; (d) a member or employee of a firm of which the railway administrator is an employee; (e) a member of a firm of which the railway administrator was an employee or member at a time when the order was in force; (f) a body corporate which is the employer of the railway administrator; or (g) an officer, employee or member of such a body corporate. (8) In this section— (a) references to the railway administrator, in relation to a railway administration order, are references to the person appointed to achieve the purposes of the order and, where two or more persons are so appointed, are to be construed as references to any one or more of them; and (b) the references to a firm of which a person was a member or employee at a particular time include references to a firm which holds itself out to be the successor of a firm of which he was a member or employee at that time. (9) If sums are paid out by the Scottish Ministers or the Welsh Ministers in respect of an indemnity or guarantee under this section, the company in relation to which the indemnity or guarantee was given must pay the Scottish Ministers or the Welsh Ministers (as the case may be) — (a) such amounts in or towards the repayment to them of those sums as they may direct; and (b) interest, at such rates as they may direct, on amounts outstanding under this subsection. (10) Payments to the Scottish Ministers or the Welsh Ministers under subsection (9) must be made at such times and in such manner as they may determine. (11) Subsection (9) does not apply in the case of a sum paid by the Scottish Ministers or the Welsh Ministers for indemnifying a person in respect of a liability to the company in relation to which the railway administration order in question was made.

65 Meaning of “company" and application of provisions to unregistered, foreign and other companies.

(1) In the railway administration order provisions of this Act— “company” means— a company registered under the Companies Act 2006, or an unregistered company; and “unregistered company” means a company that is not registered under that Act. (2) In the application of section 59(1) above in a case where the protected railway company there mentioned is a foreign company, the reference to the affairs, business and property of the company shall be taken as a reference to the affairs and business of the company, so far as carried on in Great Britain, and the property of the company within Great Britain. (3) In the application of section 9(5) of the 1986 Act by virtue of subsection (4) of section 60 above or subsection (3) of section 61 above where the petition mentioned in the subsection in question relates to a company which is a foreign company, the reference to restricting the exercise of any powers of the directors or of the company shall be taken as a reference to restricting— (a) the exercise within Great Britain of the powers of the directors or of the company; or (b) any exercise of those powers so far as relating to the affairs, business or property of the company in Great Britain. (4) In the application of provisions in section 10 of the 1986 Act by virtue of subsection (5) of section 60 above where the company mentioned in that subsection is a foreign company— (a) paragraph (a) of subsection (1) shall be omitted; (b) any reference in paragraph (b) or (c) of that subsection to property or goods shall be taken as a reference to property or (as the case may be) goods for the time being situated within Great Britain; (c) in paragraph (c) of that subsection— (i) the reference to the commencement or continuation of proceedings shall be taken as a reference to the commencement or continuation of proceedings in Great Britain; and (ii) the reference to the levying of distress against the company shall be taken as a reference to the levying of distress against the foreign company to the extent of its property in England and Wales; and (d) any reference in subsection (2) to an administrative receiver shall be taken to include a reference to any person performing, in relation to the foreign company, functions equivalent to those of an administrative receiver, within the meaning of section 251 of the 1986 Act. (5) Subsections (1) to (4) of section 62 above shall not have effect in relation to a protected railway company which is a foreign company. (6) In the application of subsection (7) of that section where the protected railway company there mentioned is a foreign company, the reference to the company’s property shall be taken as a reference to such of its property as is for the time being situated in Great Britain. (7) In this section— “the 1986 Act” means the Insolvency Act 1986; “foreign company” means a company incorporated outside Great Britain; “the railway administration order provisions of this Act” means sections 59 to 64 above, this section and Schedules 6 and 7 to this Act.

66 Amendments of the Fair Trading Act 1973.

(1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (3) For the purposes of Part 3 of the Enterprise Act 2002 (merger references), where a person enters into a franchise agreement as a franchisee, there shall be taken to be brought under his control an enterprise engaged in the supply of the railway services to which the agreement relates. (4) In section 137 of the 1973 Act, in subsection (3) (meaning of the expression “the supply of services"), after paragraph (f) there shall be inserted the words and (g) includes the supply of network services and station services, within the meaning of Part I of the Railways Act 1993; . (5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (6) Expressions used in subsection (3) above and in Part 3 of the Enterprise Act 2002 have the same meaning in that subsection as they have in that Part.

67 Competition functions of the Office of Rail and Road

(1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (2) The functions to which subsection (2A) below applies shall be concurrent functions of the Office of Rail and Road and the CMA. (2A) This subsection applies to the functions of the CMA under Part 4 of the Enterprise Act 2002 (other than sections 166 , 167C , 171 and 174E) so far as those functions— (a) are exercisable by the CMA Board (within the meaning of Schedule 4 to the Enterprise and Regulatory Reform Act 2013), and (b) relate to the supply of services relating to railways. (2B) So far as necessary for the purposes of, or in connection with, subsections (2) and (2A) above— (a) references in Part 4 of the Act of 2002 to the CMA (including references in provisions of that Act applied by that Part) shall be construed as including references to the Office of Rail and Road (except in sections 166 , 167C , 171 and 174E of that Act and in any other provision of that Act where the context otherwise requires); (b) references in that Part to section 5 of the Act of 2002 are to be construed as including references to section 69(1) of this Act. (2C) Section 130A of the Act of 2002 is to have effect in its application in relation to the Office of Rail and Road by virtue of subsections (2) and (2A)— (a) as if for subsection (1) of that section there were substituted— (1) Where the Office of Rail and Road— (a) is proposing to carry out its functions under section 69(1) of the Railways Act 1993 in relation to a matter for the purposes mentioned in subsection (2), and (b) considers that the matter is one in respect of which it would be appropriate for it to exercise its powers under section 174 (investigation) in connection with deciding whether to make a reference under section 131, the Office of Rail and Road must publish a notice under this section (referred to in this Part as a “market study notice”). , and (b) as if in subsection (2)(a) of that section, for “the acquisition or supply of goods or services of one or more than one description in the United Kingdom” there were substituted “the supply of services relating to railways within the meaning of section 67(3ZA) of the Railways Act 1993”. (3) The Office of Rail and Road shall be entitled to exercise, concurrently with the CMA, the functions of the CMA under the provisions of Part 1 of the Competition Act 1998 (other than sections 31D(1) to (6) , 35C, 38(1) to (6) , 40B(1) to (4) and 51), so far as relating to— (a) agreements, decisions or concerted practices of the kind mentioned in section 2(1) of that Act, (b) conduct of the kind mentioned in section 18(1) of that Act, or (c) transferred EU anti-trust commitments or transferred EU anti-trust directions (as defined in section 40ZA of that Act), which relate to the supply of services relating to railways. (3ZA) In subsections (2A) and (3) above “services relating to railways” means— (a) railway services; (b) the provision or maintenance of rolling stock; (c) the development, maintenance or renewal of a network, station or light maintenance depot; and (d) the development, provision or maintenance of information systems designed wholly or mainly for facilitating the provision of railway services. (3ZB) The Secretary of State may by order amend subsection (3ZA) above; and an order under this subsection shall not be made unless a draft of the statutory instrument containing it has been laid before and approved by a resolution of each House of Parliament. (3A) So far as necessary for the purposes of, or in connection with, the provisions of subsection (3) above, references in Part I of the Competition Act 1998 (including references in provisions of the Enterprise Act 2002 applied by that Part) to the CMA are to be read as including a reference to the Office of Rail and Road (except in sections 31D(1) to (6) , 35C, 38(1) to (6) , 40B(1) to (4), 51, 52(6) and (8) and 54 of that Act and in any other provision of that Act where the context otherwise requires). (4) Before the CMA or the Office of Rail and Road first exercises in relation to any matter functions which are exercisable concurrently by virtue of subsection (2) above, that person shall consult the other. (4A) Neither the CMA nor the Office of Rail and Road shall exercise in relation to any matter functions which are exercisable concurrently by virtue of subsection (2) above if functions which are so exercisable have been exercised in relation to that matter by the other. (5) It shall be the duty of the Office of Rail and Road, for the purpose of assisting a CMA group in carrying out an investigation on a reference falling within subsection (6) below, to give to the group — (a) any information which is in its possession and which relates to matters falling within the scope of the investigation and— (i) is requested by the group for that purpose; or (ii) is information which in its opinion it would be appropriate for that purpose to give to the group without any such request; and (b) any other assistance which the group may require and which it is within its power to give, in relation to any such matters; and the group shall, for the purposes of carrying out any such investigation, take into account any information given to them for that purpose under this subsection. (6) The references which fall within this subsection are— (a) any market investigation reference made by the Office of Rail and Road (under section 131 of the Enterprise Act 2002) by virtue of subsection (2) or (3) above; and (b) any reference made to the CMA by the Secretary of State under section 11 of the 1980 Act, if the person who is the subject of the reference is— (i) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (ii) a publicly owned railway company which supplies network services or station services. (6A) In subsection (5) “CMA group” has the same meaning as in Schedule 4 to the Enterprise and Regulatory Reform Act 2013. (7) A copy of any report of the CMA under section 136 or 142 of the Enterprise Act 2002 which relates to the supply of services relating to railways may be transmitted by the CMA to the Office of Rail and Road, notwithstanding that the reference . . . could not have been made by the Office of Rail and Road. (8) If any question arises as to whether subsection (2) or (3) above applies to any particular case , that question shall be referred to and determined by the Secretary of State; and no objection shall be taken to anything done under— (a) Part 4 of the Enterprise Act 2002, or (b) Part I of the Competition Act 1998 (other than sections 31D(1) to (6) , 35C, 38(1) to (6) , 40B(1) to (4) and 51), by or in relation to the Office of Rail and Road on the ground that it should have been done by or in relation to the CMA. (9) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (10) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (11) In making any decision, or otherwise taking action, for the purposes of any of its functions that— (a) by virtue of this section, are functions exercisable concurrently with the CMA, and (b) in the case of functions under the Competition Act 1998, are functions within Schedule 4A to the Enterprise and Regulatory Reform Act 2013 by virtue of paragraph 5 of that Schedule, the Office of Rail and Road must have regard to the need for making a decision, or taking action, as soon as reasonably practicable.

68 Investigatory functions.

(1) Subject to subsection (2) below, it shall be the duty of the Office of Rail and Road to investigate any alleged or apprehended contravention of— (a) a condition of a licence . . . , . . . (b) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . if the alleged or apprehended contravention is the subject of a representation (other than one appearing to him to be frivolous or vexatious) made to it by or on behalf of a person who appears to the Office of Rail and Road to have an interest in the matter. (2) The Office of Rail and Road may, if it thinks fit, require the Passengers’ Council to investigate and report to it on any matter falling within subsection (1) above which relates to— (a) the provision of services for the carriage of passengers by railway, or (b) the provision of station services, and which it would otherwise have been its duty to investigate.

69 General functions.

(1) It shall be the duty of the Office of Rail and Road, so far as it appears to it practicable from time to time to do so— (a) to keep under review the provision, both in Great Britain and elsewhere, of railway services; and (b) to collect information with respect to the provision of those services, with a view to facilitating the exercise of its functions under this Part. (2) The Secretary of State may give general directions indicating— (a) considerations to which the Office of Rail and Road should have particular regard in determining the order of priority in which matters are to be brought under review in performing its duty under subsection (1)(a) or (b) above; and (b) considerations to which, in cases where it appears to the Office of Rail and Road that any of its functions under this Part are exercisable, it should have particular regard in determining whether to exercise those functions. (3) It shall be the duty of the Office of Rail and Road, where either it considers it expedient or it is requested by the Secretary of State or the CMA to do so, to give information, advice and assistance to the Secretary of State or the CMA with respect to any matter in respect of which any function of the Office of Rail and Road under this Part is exercisable. (4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

70 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

71 Publication of information and advice.

(1) The Office of Rail and Road may arrange for the publication, in such form and in such manner as it considers appropriate, of such information and advice as it may appear to it expedient to give to users or potential users of railway services in Great Britain. (2) In arranging for the publication of any such information or advice the Office of Rail and Road shall have regard to the need for excluding, so far as that is practicable— (a) any matter which relates to the affairs of an individual, where publication of that matter would or might, in the opinion of the Office of Rail and Road, seriously and prejudicially affect the interests of that individual; and (b) any matter which relates specifically to the affairs of a particular body of persons, whether corporate or unincorporate, where publication of that matter would or might, in the opinion of the Office of Rail and Road, seriously and prejudicially affect the interests of that body. (3) The CMA shall consult the Office of Rail and Road before publishing under section 6 of the Enterprise Act 2002 any information or advice which may be published by the Office of Rail and Road under this section.

71A Investigatory functions.

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

71B Code of practice for protection of interests of rail users who are disabled.

(1) The Secretary of State shall— (a) prepare and from time to time revise, and (b) publish and otherwise promote the adoption and implementation of, a code of practice for protecting the interests of users of railway passenger services or station services who are disabled (2) In preparing or revising the code of practice, the Secretary of State shall consult the Disabled Persons Transport Advisory Committee established under section 125 of the Transport Act 1985.

72 Keeping of register by the Office of Rail and Road.

(1) The Office of Rail and Road shall, at such premises and in such form as it may determine, maintain a register . . . . (2) Subject to subsection (3) and to any direction given under subsection (4) below, the Office of Rail and Road shall cause to be entered in the register— (a) in relation to licences and railway undertaking licences, the provisions of— (i) every licence, every licence exemption and every railway undertaking licence; (ii) every assignment of a licence of which notice is received by the Office of Rail and Road; (iii) every modification or revocation of a licence , every requirement to modify conditions of a licence imposed on the Office of Rail and Road by the Authority, and every modification or revocation of a railway undertaking licence; (iv) every revocation of a licence exemption and every requirement to revoke a licence exemption imposed on the Office of Rail and Road by the Authority; (v) every requirement imposed, or consent or approval given, by the Office of Rail and Road under a licence or railway undertaking licence; (vi) every requirement imposed, or consent or approval given, under a licence by any person (other than the Office of Rail and Road) who is a qualified person, within the meaning of section 9(3) above, for the purpose in question, being a requirement, consent or approval whose provisions have been notified to the Office of Rail and Road pursuant to a condition of the licence; (vii) every final or provisional order made by the Office of Rail and Road in relation to a licence, every revocation of such an order and every notice given by the Office of Rail and Road under section 55(6) above that he is satisfied that he does not need to make such an order; (viii) every scheme made by the Secretary of State under section 7A(4) above or paragraph 2 of Schedule 28 to the Transport Act 2000; (ix) every penalty imposed by the Office of Rail and Road under section 57A above; (x) every statement of policy published by the Office of Rail and Road under that section; and notice of every surrender of a licence or railway undertaking licence; (b) in relation to access agreements, access contracts and installation access contracts, the provisions of— (i) every facility exemption granted under section 20(3) above; (ii) every direction to enter into an access contract or an installation access contract; (iii) every access agreement; (iv) every amendment (however described) of an access agreement; (v) every general approval given under section 18(1)(c), 19(3)(c) or 22(3) above which is for the time being in force; (va) every direction under section 22A above; (vb) every notice given by or to the Office of Rail and Road or the CMA under Schedule 4A to this Act; (vi) every document issued or made by the Office of Rail and Road under an access agreement; (c) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (d) in relation to experimental passenger services, within the meaning of Part 4 of the Railways Act 2005, the provisions of— (i) every designation under section 36 of that Act of a service as experimental; (ii) every notice under section 37(1) or (2) of that Act of the proposed discontinuance of a service designated as experimental; (da) in relation to closures, the provisions of— (i) every closure ratification notice or closure non-ratification notice (within the meaning of Part 4 of the Railways Act 2005) issued by it; (ii) every closure requirement imposed by it; (e) the provisions of every railway administration order and of every discharge of such an order. (3) In entering any provision in the register, the Office of Rail and Road shall have regard to the need for excluding, so far as that is practicable, the matters specified in section 71(2)(a) and (b) above. (4) If it appears to the Secretary of State that the entry of any provision in the register would be against the public interest or the commercial interests of any person, he may direct the Office of Rail and Road not to enter that provision in the register. (5) Where an access agreement is entered into or amended, the facility owner or installation owner concerned shall send a copy of the access agreement or amendment to the Office of Rail and Road not later than 14 days after the date on which the access agreement is entered into or the amendment is made, as the case may be. (6) A person who fails to comply with subsection (5) above is guilty of an offence and shall be liable on summary conviction to a fine not exceeding level 3 on the standard scale. (7) The contents of the register shall be available for inspection by the public during such hours and subject to the payment of such fee as may be specified in an order made by the Secretary of State. (8) Any person may, on the payment of such fee as may be specified in an order so made, require the Office of Rail and Road to supply him with a copy of, or extract from, any part of the register, being a copy or extract which is certified by the Office of Rail and Road to be a true copy or extract. (9) The contents of the register shall be available for inspection at any time by the Authority, without payment of any fee; and the Authority may require the Office of Rail and Road, without payment of any fee, to supply itwith a copy of, or extract from, any part of the register, being a copy or extract which is certified by the Office of Rail and Road to be a true copy or extract. (10) Any reference in this section to “assignment” shall be construed in Scotland as a reference to assignation. (11) Any sums received by the Office of Rail and Road under this section shall be paid into the Consolidated Fund.

73 Keeping of register by the Secretary of State.

(1) The Secretary of State shall, at such premises and in such form as he may determine, maintain a register . . . . (2) Subject to subsections (3) and (4) below, the Secretary of State shall cause to be entered in the register (except so far as they are required to be entered in the register maintained under section 73A or the register maintained under section 73B below) the provisions of— (a) every exemption under section 24; (b) every franchise agreement; (c) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (d) every amendment (however described) of a franchise agreement other than any which are not likely to have a material effect on the provision of services under the agreement or on any sums payable under the agreement.; (da) every determination made by him under section 34 of the Railways Act 2005 that a closure is a minor modification or that closures of a particular description are minor modifications; (db) every revocation of a determination made by him under that section in relation to a description of closures; (dc) every condition agreed to under subsection (5) of that section in connection with a determination made by him; (e) every final or provisional order made by the Secretary of State in relation to . . . a franchise agreement or to any closure or proposed closure or to any closure requirement , every revocation of such an order and every notice given by the Secretary of State under section 55(6) above that he is satisfied that he does not need to make such an order; (f) every penalty imposed by the Secretary of State under section 57A above; (g) every statement of policy published by the Secretary of State under that section; (ga) every designation under section 23 and every variation or revocation of such a designation; (h) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (i) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (j) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (k) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (l) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (m) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . and, without prejudice to the generality of paragraph (d) above, “amendment" in that paragraph includes any variation of the property, rights and liabilities which from time to time constitute the franchise assets in relation to the franchise agreement in question, whether the variation is effected in accordance with the terms of, or by an amendment made to, the franchise agreement. (3) The Secretary of State may enter the provisions of anything in the register in a manner that excludes, so far as practicable, so much of the details of those provisions as he considers it appropriate to exclude for the purpose of maintaining the confidentiality of— (a) matters relating to the affairs of an individual the publication of which would or might, in the Secretary of State's opinion, seriously and prejudicially affect the interests of that individual; and (b) matters relating specifically to the affairs of a particular body of persons the publication of which would or might, in the Secretary of State's opinion, seriously and prejudicially affect the interests of that body. (4) If it appears to the Secretary of State that the entry of any provision in the register would be against the public interest he may decide not to enter that provision in the register. (5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (6) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (7) The contents of the register shall be available for inspection at any time by the Scottish Ministers, the Welsh Ministers or the Office of Rail and Road, without payment of any fee; and the Scottish Ministers, the Welsh Ministers and the Office of Rail and Road may each require the Secretary of State, without payment of any fee, to supply him with a copy of, or extract from, any part of the register, being a copy or extract which is certified by the Secretary of State to be a true copy or extract. (8) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

73A Keeping of register by the Scottish Ministers

(1) The Scottish Ministers must maintain a register. (2) The register must be kept in such form and at such premises as the Scottish Ministers determine. (3) Subject to subsections (4) and (5) below, the Scottish Ministers must cause the provisions of each of the following to be entered in the register— (a) every designation made by them under section 23 of this Act, and every variation or revocation of such a designation; (b) every exemption under section 24 granted by them; (c) every franchise agreement to which they are a party; (d) every amendment of such a franchise agreement, other than those that are unlikely to have a material effect on the provision of services under the agreement or on the sums payable under it; (e) every determination made by them under section 34 of the Railways Act 2005 that a closure is a minor modification or that closures of a particular description are minor modifications; (f) every revocation of a determination made by them under that section in relation to a description of closures; (g) every condition agreed to under subsection (5) of that section in connection with a determination made by them; (h) every final or provisional order made by them; (i) every revocation by them of such an order; (j) every notice given by them under section 55(6) of this Act of a decision not to make such an order; (k) every penalty imposed by them under section 57A of this Act; (l) every statement of policy published by them under section 57B of this Act. (4) The Scottish Ministers may enter the provisions of anything in the register in a manner that excludes, so far as practicable, so much of the details of those provisions as they consider it appropriate to exclude for the purpose of maintaining the confidentiality of— (a) matters relating to the affairs of an individual the publication of which would or might, in the Scottish Ministers' opinion, seriously and prejudicially affect the interests of that individual; and (b) matters relating specifically to the affairs of a particular body of persons the publication of which would or might, in the Scottish Ministers' opinion, seriously and prejudicially affect the interests of that body. (5) If it appears to the Scottish Ministers that the entry of any provision in the register would be against the public interest, they may decide not to enter it in the register. (6) The contents of the register must be available for inspection, at any time and free of charge, by the Secretary of State, the Welsh Ministers or the Office of Rail and Road. (7) The Secretary of State, the Welsh Ministers and the Office of Rail and Road may each require the Scottish Ministers to supply him, them or it (as the case may be) free of charge with a certified copy of a part of the register or with a certified extract from it. (8) The references in subsection (7) to a certified copy or a certified extract are references to a copy or extract that has been certified by the Scottish Ministers to be a true copy or extract. (9) In subsection (3)(d) “amendment”, in relation to a franchise agreement, means any amendment however described, including variations (whether or not effected in accordance with the terms of the agreement or by a modification of it) of the property, rights and liabilities which from time to time constitute the franchise assets.

73B Keeping of register by the Welsh Ministers

(1) The Welsh Ministers must maintain a register. (2) The register must be kept in such form and at such premises as the Welsh Ministers determine. (3) Subject to subsections (4) and (5), the Welsh Ministers must cause the provisions of each of the following to be entered in the register— (a) every designation made by them under section 23 and every variation or revocation of such a designation; (b) every exemption under section 24 granted by them; (c) every franchise agreement to which they are a party; (d) every amendment of such a franchise agreement as it relates to a Wales-only service or a Welsh component of a Welsh service, other than amendments which are unlikely to have a material effect on the provision of services under the agreement or on any sums payable under it; (e) every determination made by them under section 34 of the Railways Act 2005 that a closure is a minor modification or that closures of a particular description are minor modifications; (f) every revocation of a determination made by them under that section in relation to a description of closures; (g) every condition agreed to under subsection (5) of that section in connection with a determination made by them; (h) every final or provisional order made by them; (i) every revocation by them of such an order; (j) every notice given by them under section 55(6) of a decision not to make such an order; (k) every penalty imposed by them under section 57A; (l) every statement of policy published by them under section 57B. (4) The Welsh Ministers may enter the provisions of anything in the register in a manner that excludes, so far as practicable, so much of the details of those provisions as they consider it appropriate to exclude for the purpose of maintaining the confidentiality of— (a) matters relating to the affairs of an individual the publication of which would or might, in the Welsh Ministers’ opinion, seriously and prejudicially affect the interests of that individual; and (b) matters relating specifically to the affairs of a particular body of persons the publication of which would or might, in the Welsh Ministers’ opinion, seriously and prejudicially affect the interests of that body. (5) If it appears to the Welsh Ministers that the entry of any provision in the register would be against the public interest they may decide not to enter it in the register. (6) The contents of the register must be available for inspection, at any time and free of charge, by the Secretary of State, the Scottish Ministers or the Office of Rail and Road. (7) The Secretary of State, the Scottish Ministers and the Office of Rail and Road may each require the Welsh Ministers to supply them with a certified copy of a part of the register, or with a certified extract from it, free of charge. (8) The references in subsection (7) to a certified copy or a certified extract are references to a copy or extract that has been certified by the Welsh Ministers to be a true copy or extract. (9) In subsection (3)(d) “amendment”, in relation to a franchise agreement, means any amendment however described, including variations (whether or not effected in accordance with the terms of the agreement or by a modification of it) of the property, rights and liabilities which from time to time constitute the franchise assets.

74 Annual and other reports of the Office of Rail and Road.

(1) The Office of Rail and Road shall, as soon as practicable after the end of each financial year,, make to the Secretary of State and the Welsh Ministers a report on— (a) his activities during that year; and (b) the CMA's activities during that year, so far as relating to references made by the Office of Rail and Road. (2) Every such report shall include— (a) a general survey of developments, during the year to which it relates, in respect of matters falling within the scope of its functions; (b) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (c) a statement setting out any general directions given to the Office of Rail and Road during that year under section 69(2) above; . . . (d) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (3) The Secretary of State shall lay a copy of every report made by the Office of Rail and Road under subsection (1) above before each House of Parliament and shall arrange for copies of every such report to be published in such manner as he may consider appropriate. (3ZA) The Welsh Ministers must lay a copy of every report made to them under subsection (1) before the National Assembly for Wales and must arrange for copies to be published in such manner as they consider appropriate. (3A) Where a report is made by the Office of Rail and Road under subsection (1) above to the Scottish Ministers (by virtue of provision made under section 63 of the Scotland Act 1998), the Scottish Ministers shall lay a copy of the report before the Scottish Parliament and shall arrange for copies to be published in such manner as they consider appropriate. (4) The Office of Rail and Road may also prepare such other reports as it thinks fit with respect to any matter falling within the scope of its functions. (5) The Office of Rail and Road may arrange for copies of any report prepared under subsection (4) above to be published in such manner as it may consider appropriate. (6) In making or preparing any report under this section, the Office of Rail and Road shall have regard to the need for excluding, so far as that is practicable, the matters specified in section 71(2)(a) and (b) above. (7) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (8) In this section— “financial year” means a period of twelve months ending with 31st March; and . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

75 Annual reports of the Franchising Director.

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

76 General railway duties of Passengers’ Council .

(1) It shall be the duty of the Passengers’ Council to investigate any matter which relates— (a) to the provision of railway passenger services, or (b) to the provision of station services by any person in a case where the operator of the station in question is authorised by a licence to be the operator of that station, if the condition specified in subsection (2) below is satisfied in relation to the matter in question. (2) The condition mentioned in subsection (1) above is satisfied if— (a) the matter is the subject of a representation made to the Passengers’ Council by a user or potential user of railway passenger services and does not appear to the Passengers’ Council to be frivolous or vexatious; (b) the matter is referred to the Passengers’ Council by the Secretary of State; or (c) the matter appears to the Passengers’ Council to be one which it ought to investigate. (2A) If any matter falling within subsection (2)(a) appears to the Passengers’ Council to relate only to— (a) the provision of railway passenger services wholly within the London railway area (within the meaning of section 252A of the Greater London Authority Act 1999), or (b) the provision of station services within that area, that Council must refer the matter to the London Transport Users' Committee. (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (4) If, on investigating any matter, the Passengers’ Council considers it appropriate to do so, the Passengers’ Council shall make representations to the person providing the secured service (within the meaning of Part 4 of the Railways Act 2005) which is in question and— (a) in the case of a service provided under a franchise agreement, to the franchisee, or (b) in the case of a service provided on behalf of the Secretary of State, to the Secretary of State, about the matter, or any matter to which it relates or which appears to the Passengers’ Council to be relevant to the subject of the matter investigated. (5) Where the Passengers’ Council— (a) having made representations under subsection (4) above, is of the opinion that it is unable to achieve a satisfactory resolution of the matter by that means, or (b) on investigating any matter, has reason to believe that a franchisee is contravening, or is likely to contravene, any term of the franchise agreement or that the holder of a passenger licence or a station licence is contravening, or is likely to contravene, any condition of the licence, the Passengers’ Council shall, unless representations about the matter have been made to the Secretary of State by the Passengers’ Council, refer it to the Secretary of State with a view to the Secretary of State exercising such of his powers as he considers appropriate in the circumstances of the case.. (5A) But if the Secretary of State considers that it would be more appropriate for a matter referred to it by the Passengers’ Council to be considered by the Office of Rail and Road, the Secretary of State shall refer it to the Office of Rail and Road, with a view to it exercising such of its powers as it considers appropriate in the circumstances of the case. (6) Where the Passengers’ Council investigates any matter— (a) it may prepare, and send to the Secretary of State or the Welsh Ministers . . . , a report of its findings; and (b) it may publish any such report, unless the matter in question is one which was referred to the Passengers’ Council by the Secretary of State as mentioned in subsection (2)(b) above. (7) Where the Passengers’ Council has investigated any matter under this section, it shall neither— (a) include in any report or representations a proposal for any steps to be taken by any person in relation to that matter, nor (b) refer the matter to the Secretary of State under subsection (5)(a) above by reason only of the failure of any person to take any steps in relation to that matter, unless, balancing the cost of taking those steps against the benefits which the Passengers’ Council considers will be enjoyed by any person in consequence of the taking of those steps, the Passengers’ Council is of the opinion, on the basis of the information available to it, that the expenditure involved represents good value for money. (7A) It shall also be the duty of the Passengers’ Council, so far as it appears expedient from time to time to do so— (a) to keep under review matters affecting the interests of the public in relation to railway passenger services and station services; (b) to make representations to, and consult, such persons as they think appropriate about those matters; and (c) to co-operate with other bodies representing the interests of users of public passenger transport services. (7B) The Secretary of State may, after consultation with the Passengers’ Council, make an order excluding services from the duties imposed by this section; and an order under this subsection— (a) may exclude services of a particular class or description, particular services or services provided by a particular person; (b) may provide that services are excluded subject to compliance with specified conditions; and (c) may not revoke an exclusion except for breach of condition or in accordance with the order which made it. (7C) The Secretary of State may, after consultation with the Passengers’ Council, make an order providing that the duties imposed by this section apply to services of a particular class or description, particular services or services provided by a particular person— (a) only to such extent as is specified by the order; or (b) with such modifications as are so specified. (8) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (9) In this section, any reference to railway passenger services includes a reference to bus substitution services required to be provided in place of any such services; . . . .

76A Delegation of duties under section 76(7A)

(1) The Passengers’ Council and any other public body may enter into an agreement for that other body to be responsible, in accordance with the agreement, for — (a) determining what is expedient for the purposes of subsection (7A) of section 76 above in relation to an area specified in the agreement; and (b) otherwise performing that Council's duties under that subsection in relation to that area. (2) So long as an agreement under this section is in force— (a) the duties of the Passengers’ Council under subsection (7A) of section 76 above shall be deemed, in relation to the area specified in the agreement, to fall on the other party to it, instead of on that Council; but (b) that Council is not to be prevented from doing anything mentioned in that subsection in relation to that area. (3) An agreement under this section— (a) may be entered into on such terms and conditions as the parties to it may agree; and (b) may contain provision for determining for the purposes of this section in what circumstances things done under or for the purposes of section 76(7A) are to be treated as done in relation to the area specified in the agreement. (4) The consent of the Secretary of State is required before the Passengers’ Council and another public body may enter into an agreement under this section. (5) In this section “public body” means any authority or other body on which functions are conferred by or under an enactment. (6) In subsection (5) “enactment” includes an enactment comprised in an Act of the Scottish Parliament.

77 General duties of Rail Passengers’ Committees.

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

78 Functions under section 56 of the Transport Act 1962.

(1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (5) After subsection (6) of that section there shall be inserted— (6ZA) If the Secretary of State so directs in the case of any consultative committee, subsections (4) to (6) of this section shall have effect in relation to that committee and the Central Committee as if the reference in subsection (4) of this section to services and facilities provided by any of the Boards included a reference to any such ferry service as may be specified in the direction, whether provided by a Board or by some other person; and, in the application of subsections (4) to (6) of this section in relation to any such ferry service, any reference in those subsections to a Board shall be taken to include a reference to the person providing the ferry service. (6) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (7) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

79 Annual reports by the Rail Passengers’ Council and the Rail Passengers’ Committees.

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