Office of Public Sector Information
PART I continued
(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.
(1) In the railway administration order provisions of this Act—
“company” means—
any company formed and registered under the [1985 c. 6.] Companies Act 1985 or any existing company within the meaning given in section 735(1) of that Act; and
any unregistered company; and
“unregistered company” has the meaning given in Part V of the 1986 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 [1986 c. 45.] 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.
(1) In section 50 of the 1973 Act, at the beginning of subsection (2) (which prohibits the making of a monopoly reference by the Director General of Fair Trading in connection with monopoly situations arising in relation to the supply of certain goods and services, including the supply of railway services) there shall be inserted the words “Subject to subsection (2A) of this section” and after that subsection there shall be inserted—
“(2A) Subsection (2) of this section shall not preclude the making of a monopoly reference by the Director with respect to the existence or possible existence of a monopoly situation in relation to the supply of such services as are specified in paragraph 5 of Schedule 5 to this Act in Great Britain, except in relation to the supply of any such services by—
(a) a body corporate to which section 16 of this Act applies;
(b) a subsidiary, within the meaning of section 736 of the [1985 c. 6.] Companies Act 1985, of any such body corporate; or
(c) a publicly owned railway company, within the meaning of the Railways Act 1993.”
(2) In section 51 of that Act, in subsection (3) (which specifies those Ministers the consent of one or more of whom is required before the Secretary of State for Trade and Industry may make a monopoly reference under that section in connection with monopoly situations arising in relation to the supply of certain goods and services, including the supply of railway services) after the words “the Secretary of State for the Environment,” there shall be inserted the words “the Secretary of State for Transport,”.
(3) For the purposes of sections 64 to 77 of that Act (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, within the meaning of section 63(2) of that Act, 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) In Schedule 5 to the 1973 Act (goods and services in respect of which the making of a monopoly reference is prohibited or made subject to special restrictions) for paragraph 5 (which relates to the carriage of goods or passengers by railway) there shall be substituted—
“5 Services for the carriage of passengers, or of goods, by railway, network services and station services, within the meaning of Part I of the Railways Act 1993, but excluding the carriage of passengers or goods on shuttle services (within the meaning of the [1987 c. 53.] Channel Tunnel Act 1987).”
(6) Expressions used in this section and in the 1973 or 1980 Act have the same meaning in this section as they have in that Act.
(1) If and to the extent that he is requested by the Director General of Fair Trading (in this Part referred to as “the Director”) to do so, it shall be the duty of the Regulator to exercise the functions of the Director under Part III of the 1973 Act so far as relating to courses of conduct which are or may be detrimental to the interests of consumers of railway services, whether those interests are economic or interests in respect of health, safety or other matters; and references in that Part to the Director shall be construed accordingly.
(2) There are hereby transferred to the Regulator (so as to be exercisable concurrently with the Director)—
(a) the functions of the Director under sections 44 and 45 of the 1973 Act, and
(b) the functions of the Director under sections 50, 52, 53, 86 and 88 of that Act,
so far as relating to monopoly situations which exist or may exist in relation to the supply of railway services; and references in Part IV and sections 86, 88 and 133 of that Act to the Director shall be construed accordingly.
(3) There are hereby transferred to the Regulator (so as to be exercisable concurrently with the Director) the functions of the Director under sections 2 to 10 and 16 of the 1980 Act so far as relating to courses of conduct which have or are intended to have or are likely to have the effect of restricting, distorting, or preventing competition in connection with the supply of railway services; and references in those sections and in section 19 of that Act to the Director shall be construed accordingly.
(4) Before either relevant authority (that is to say, the Regulator or the Director) first exercises in relation to any matter functions transferred by any of the following provisions, namely—
(a) paragraph (a) of subsection (2) above,
(b) paragraph (b) of that subsection, and
(c) subsection (3) above,
he shall consult the other relevant authority; and neither relevant authority shall exercise in relation to any matter functions transferred by any of those provisions if functions transferred by that provision have been exercised in relation to that matter by the other relevant authority.
(5) It shall be the duty of the Regulator, for the purpose of assisting the Monopolies Commission in carrying out an investigation on a reference falling within subsection (6) below, to give to the Commission—
(a) any information which is in his possession and which relates to matters falling within the scope of the investigation and—
(i) is requested by the Commission for that purpose; or
(ii) is information which in his opinion it would be appropriate for that purpose to give to the Commission without any such request; and
(b) any other assistance which the Commission may require and which it is within his power to give, in relation to any such matters;
and the Commission 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 reference made to the Monopolies Commission by the Regulator by virtue of subsection (2) or (3) above; and
(b) any reference made to the Commission by the Secretary of State under section 11 of the 1980 Act, if the person who is the subject of the reference is—
(i) the Board or a wholly owned subsidiary of the Board, or
(ii) a publicly owned railway company which supplies network services or station services.
(7) A copy of any report of the Monopolies Commission on a monopoly reference which relates to the supply of railway services may be transmitted by the Commission to the Regulator, notwithstanding that the reference was made by a person other than the Regulator or that it could not have been made by him.
(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 IV or section 86 or 88 of the 1973 Act, or
(b) sections 2 to 10 of the 1980 Act,
by or in relation to the Regulator on the ground that it should have been done by or in relation to the Director.
(9) Section 93B of the 1973 Act (offences of supplying false or misleading information to the Secretary of State, the Director General of Fair Trading or the Monopolies Commission in connection with their functions under Parts IV, V, VI or VIII of the 1973 Act or under the 1980 Act) shall have effect, so far as relating to functions exercisable by the Regulator by virtue of subsection (2) or (3) above, as if the reference in subsection (1)(a) of that section to the Director included a reference to the Regulator.
(10) Expressions used in this section and in the 1973 or 1980 Act have the same meaning in this section as they have in that Act.
(1) Subject to subsection (2) below, it shall be the duty of the Regulator to investigate any alleged or apprehended contravention of—
(a) a condition of a licence, or
(b) a condition of a closure consent,
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 him by or on behalf of a person who appears to the Regulator to have an interest in the matter.
(2) The Regulator may, if he thinks fit, require a consultative committee to investigate and report to him 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 his duty to investigate.
(1) It shall be the duty of the Regulator, so far as it appears to him 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 his functions under this Part.
(2) The Secretary of State may give general directions indicating—
(a) considerations to which the Regulator should have particular regard in determining the order of priority in which matters are to be brought under review in performing his duty under subsection (1)(a) or (b) above; and
(b) considerations to which, in cases where it appears to the Regulator that any of his functions under this Part are exercisable, he should have particular regard in determining whether to exercise those functions.
(3) It shall be the duty of the Regulator, where either he considers it expedient or he is requested by the Secretary of State or the Director to do so, to give information, advice and assistance to the Secretary of State or the Director with respect to any matter in respect of which any function of the Regulator under this Part is exercisable.
(4) If the Regulator—
(a) is requested to do so by the Franchising Director, or
(b) considers it appropriate to do so,
he may provide the Franchising Director with any information which he has which relates to the functions of the Franchising Director.
(1) The Regulator shall—
(a) prepare and from time to time revise, and
(b) publish and otherwise encourage 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 Regulator shall consult the Disabled Persons Transport Advisory Committee, established under section 125 of the [1985 c. 67.] Transport Act 1985.
(1) The Regulator may arrange for the publication, in such form and in such manner as he considers appropriate, of such information and advice as it may appear to him 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 Regulator 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 Regulator, 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 Regulator, seriously and prejudicially affect the interests of that body.
(3) The Director shall consult the Regulator before publishing under section 124 of the 1973 Act any information or advice which may be published by the Regulator under this section.
(1) The Regulator shall, at such premises and in such form as he may determine, maintain a register for the purposes of this Part.
(2) Subject to subsection (3) and to any direction given under subsection (4) below, the Regulator shall cause to be entered in the register—
(a) in relation to licences, the provisions of—
(i) every licence and every licence exemption;
(ii) every assignment of a licence of which notice is received by the Regulator;
(iii) every modification or revocation of a licence;
(iv) every revocation of a licence exemption;
(v) every requirement imposed, or consent or approval given, by the Regulator under a licence;
(vi) every requirement imposed, or consent or approval given, under a licence by any person (other than the Regulator) 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 Regulator pursuant to a condition of the licence;
(vii) every final or provisional order which relates to a licence, every revocation of such an order and every notice given by the Regulator under section 55(6) above that he is satisfied that he does not need to make such an order;
and notice of every surrender of a 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 22(3) above which is for the time being in force;
(vi) every document issued or made by the Regulator under an access agreement;
(c) in relation to closures, the provisions of—
(i) every closure consent and every closure condition; and
(ii) every final or provisional order made by the Regulator which relates to any closure or proposed closure or to any closure consent or closure condition, every revocation of such an order and every notice given by the Regulator under section 55(6) above that he is satisfied that he does not need to make such an order;
(d) in relation to experimental passenger services, within the meaning of section 48 above, the provisions of—
(i) every notice under section 48(7) above designating a service as experimental;
(ii) every notice under section 48(2) or (3) above of a proposal to discontinue a service designated as experimental;
(iii) every final or provisional order made by the Regulator which relates to the provision or discontinuance of any such service, every revocation of such an order and every notice given by the Regulator under section 55(6) above that he is satisfied that he does not need to make such an order; and
(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 Regulator 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 Regulator 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 Regulator 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 Regulator 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 Regulator to be a true copy or extract.
(9) The contents of the register shall be available for inspection at any time by the Franchising Director, without payment of any fee; and the Franchising Director may require the Regulator, 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 Regulator 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 Regulator under this section shall be paid into the Consolidated Fund.
(1) The Franchising Director shall, at such premises and in such form as he may determine, maintain a register for the purposes of this Part.
(2) Subject to subsection (3) and to any direction given under subsection (4) below, the Franchising Director shall cause to be entered in the register the provisions of—
(a) every franchise exemption;
(b) every franchise agreement;
(c) every notice of a determination under section 25(4) above;
(d) every amendment (however described) of a franchise agreement;
(e) every final or provisional order which relates to a franchise agreement, every revocation of such an order and every notice given by the Franchising Director under section 55(6) above that he is satisfied that he does not need to make such an order;
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) In entering any provision in the register, the Franchising Director shall have regard to the need for excluding, so far as that is practicable, the matters specified in paragraphs (a) and (b) of section 71(2) above, for this purpose taking references in those paragraphs to the Regulator as references to the Franchising Director.
(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 Franchising Director not to enter that provision in the register.
(5) 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.
(6) Any person may, on the payment of such fee as may be specified in an order so made, require the Franchising Director 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 Franchising Director to be a true copy or extract.
(7) The contents of the register shall be available for inspection at any time by the Regulator, without payment of any fee; and the Regulator may require the Franchising Director, 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 Franchising Director to be a true copy or extract.
(8) Any sums received by the Franchising Director under this section shall be paid into the Consolidated Fund.
(1) The Regulator shall, as soon as practicable after the end of the first relevant financial year and of each subsequent financial year, make to the Secretary of State a report on—
(a) his activities during that year; and
(b) the Monopolies Commission’s activities during that year, so far as relating to references made by the Regulator.
(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 the Regulator’s functions;
(b) general surveys of any developments during that year which relate to—
(i) the provision of railway passenger services or station services for, or the use of such services by, persons who are disabled; or
(ii) the employment by licence holders of persons who are disabled;
(c) a statement setting out any general directions given to the Regulator during that year under section 69(2) above; and
(d) a general survey of the activities during that year of the Central Committee and the consultative committees and a summary of any reports made to him by the Central Committee or any consultative committee.
(3) The Secretary of State shall lay a copy of every report made by the Regulator 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.
(4) The Regulator may also prepare such other reports as he thinks fit with respect to any matter falling within the scope of his functions.
(5) The Regulator may arrange for copies of any report prepared under subsection (4) above to be published in such manner as he may consider appropriate.
(6) In making or preparing any report under this section, the Regulator 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) Section 125(1) of the 1973 Act (annual and other reports) shall not apply to activities of the Monopolies Commission on which the Regulator is required to report by this section.
(8) In this section—
“financial year” means a period of twelve months ending with 31st March; and
“first relevant financial year” means the financial year in which is made the first appointment of a person as the Regulator.
(1) The Franchising Director shall, as soon as practicable after the end of the first relevant financial year, and of each subsequent financial year, make to the Secretary of State a report on—
(a) his activities during that year; and
(b) the general performance of franchisees during that year in carrying out their functions under their franchise agreements.
(2) The Secretary of State shall lay a copy of every report made by the Franchising Director under subsection (1) above before each House of Parliament and shall arrange for copies of every such report to be published in such manner as he may consider appropriate.
(3) In making or preparing any report under this section, the Franchising Director shall have regard to the need for excluding, so far as that is practicable, the matters specified in paragraphs (a) and (b) of section 71(2) above, for this purpose taking references in those paragraphs to the Regulator as references to the Franchising Director.
(4) In this section—
“financial year” means a period of twelve months ending with 31st March; and
“first relevant financial year” means the financial year in which is made the first appointment of a person as the Franchising Director.
(1) It shall be the duty of the Central Committee to investigate any matter which relates—
(a) to the provision of railway passenger services—
(i) by the Board or any subsidiary of the Board,
(ii) under a franchise agreement, or
(iii) on behalf of the Franchising Director, 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 Committee by a user or potential user of railway passenger services and does not appear to the Committee to be frivolous or vexatious;
(b) the matter is referred to the Committee by the Regulator; or
(c) the matter appears to the Committee to be one which it ought to investigate.
(3) If any matter falling within paragraph (a) of subsection (2) above appears to the Central Committee to relate only to the provision of railway passenger services, or of station services, within the area of one consultative committee, the Committee shall refer that matter to the consultative committee for that area.
(4) If, on investigating any matter, the Central Committee considers it appropriate to do so, the Committee shall make representations to the person providing the service 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 Franchising Director, to the Franchising Director,
about the matter, or any matter to which it relates or which appears to the Committee to be relevant to the subject of the matter investigated.
(5) Where the Central Committee—
(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 the holder of a passenger licence or a station licence is contravening, or is likely to contravene, any condition of the licence,
the Committee shall refer the matter to the Regulator, with a view to his exercising such of his powers as he considers appropriate in the circumstances of the case.
(6) Where the Central Committee investigates any matter—
(a) it may prepare, and send to the Secretary of State and the Regulator, 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 Central Committee by the Regulator as mentioned in subsection (2)(b) above.
(7) Where the Central Committee 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 Regulator 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 Committee considers will be enjoyed by any person in consequence of the taking of those steps, the Committee is of the opinion, on the basis of the information available to it, that the expenditure involved represents good value for money.
(8) The services which are to be regarded for the purposes of this section as provided on behalf of the Franchising Director are the same services as are to be so regarded for the purposes of section 37 above.
(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; and in this subsection, “bus substitution services” has the same meaning as it has in sections 120 to 124 of the [1985 c. 67.] Transport Act 1985.
Railways Act 1993