I1C1C2Part I The Provision of Railway Services

Annotations:
Commencement Information
I1

Pt. I (ss. 1-83) applied (1.4.1994) by 1993 c. 43, ss. 36(2) (inserting s. 10(1)(viiia) in 1968 c. 73); S.I. 1994/571, art. 5

Pt. I (ss. 1-83) applied (18.12.1996) by 1996 c. 61, s. 16(5)

Modifications etc. (not altering text)
C1

Pt. I (ss. 1-83) modified (18.12.1996) by 1996 c. 61, s. 21(6)

C2

Pt. 1 (ss. 1-83) applied (S.) (27.4.2006) by Edinburgh Tram (Line Two) Act 2006 (asp. 6), s.78 (with s.75)

Pt. 1 (ss. 1-83) applied (S.) (8.5.2006) by Edinburgh Tram (Line One) Act 2006 (asp. 7), s.79 (with ss.76, 84)

Enforcement by the Regulator and the F1Authority

Annotations:
Amendments (Textual)
F1

Words in the heading before section 55 substituted (1.2.2001) by 2000 c. 38, s. 215, Sch. 16 para. 35(5); S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to savings and transitional provisions in Sch. 2 Pt. II) (which S.I. was amended by S.I. 2001/115, art. 2(2))

55 Orders for securing compliance.

1

Subject to subsections (2) to F2(5B) and section 56 below, where the appropriate F3authority is satisfied that a relevant operator is contravening, or is likely to contravene, any relevant condition or requirement, F3it 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 F4subsections (5) to (5B) below, where it appears to the appropriate F3authority—

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,

F3it shall (instead of taking steps towards the making of a final order) by a provisional order make such provision as appears to F3it 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 F3authority 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 F4subsections (5) to (5B) and section 56 below, the appropriate F3authority shall confirm a provisional order, with or without modifications, if—

a

F3it 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 F3authority shall not make a final order, or make or confirm a provisional order, in relation to a relevant operator if F3it is satisfied—

a

that the duties imposed on F3it by section 4 F5above or, as the case may be, section 207 of the Transport Act 2000 preclude the making or, as the case may be, the confirmation of the order;

F6b

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

F6c

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

F75ZA

The Authority shall not make a final order, or make or confirm a provisional order, in relation to a licence holder or person under closure restrictions unless—

a

it has given notice to the Regulator specifying a period within which he may give notice to it if he considers that the most appropriate way of proceeding is under the M1Competition Act 1998;

b

that period has expired; and

c

the Regulator has not given notice to the Authority within that period that he so considers (or, if he has, he has withdrawn it).

F85A

The Regulator shall not make a final order, or make or confirm a provisional order, F9. . . if F3it is satisfied that the most appropriate way of proceeding is under the Competition Act 1998.

F105B

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.

6

Where the appropriate F3authorityF11does not make a final order, or make or confirm a provisional order, because of any provision contained in any of subsections (5) to (5B) above, it shall—

a

serve notice of that fact on the relevant operator; and

b

publish the notice in such manner as F3it 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 F3authority.

F127A

The provision that may be made in a final or provisional order includes, in particular, provision requiring the relevant operator to pay to the Authority in the event of any specified contravention of the order such reasonable sum in respect of the contravention as is specified in, or determined in accordance with, the order in such manner, at such place and by such date as is so specified or determined.

7B

The amount of the sum may not exceed 10 per cent. of the turnover of the relevant operator determined in accordance with an order made by the Secretary of State; and an order under this subsection shall not be made unless a draft of the statutory instrument containing it has been laid before and approved by a resolution of each House of Parliament.

7C

If the whole or any part of the sum is not paid by the date by which it is to be paid, the unpaid balance from time to time shall carry interest at the rate for the time being specified in section 17 of the M2Judgments Act 1838.

9

Without prejudice to section 50 above, 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 F13authority” means—

    1. a

      in relation to any relevant condition or requirement in the case of a licence holder F14, apart from a condition which relates to consumer protection,. . . the Regulator;

    2. b

      in relation to F14any condition relating to consumer protection in the case of a licence holder or toany relevant condition or requirement in the case of a franchisee F15, a franchise operator, a person under closure restrictions or a person (other than the Authority) who is required to comply with closure conditions or has agreed to comply with conditions under section 37(1), 39(1) or 41(1) above the F13Authority;

  • “final order” means an order under this section, other than a provisional order;

  • “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—

    1. a

      in the case of a licence holder, any condition of his licence;

    2. b

      in the case of a franchisee, or any franchise operator who is a party to the franchise agreement, any term of the franchise agreement;

    3. c

      in the case of a person under closure restrictions—

    4. i

      the duty under section 37(1), 39(1) or 41(1) above not to discontinue a railway passenger service, or the operation of the whole or any part of a network, station or light maintenance depot, before the date stated by him in accordance with section 37(3), 39(4) or 41(3) above; and

    5. ii

      the duty under section 48(3) above not to discontinue an experimental passenger service before the expiry of the notice period;

F16d

in the case of a person (other than the Authority) who is required to comply with closure conditions or has agreed to comply with conditions under section 37(1), 39(1) or 41(1) above, any of those conditions;

“relevant operator” means any licence holder, franchisee, franchise operator who is a party to the franchise agreement F17, person under closure restrictions or person who is required to comply with closure conditions or has agreed to comply with conditions under section 37(1), 39(1) or 41(1) above.

11

In F18subsections F19(5ZA)and (10)above, “person under closure restrictions” means a person—

a

who proposes a closure in circumstances such that he is required by any provision of this Part to give notice of the proposal to the F20Authority; or

b

who proposes to discontinue an experimental passenger service in circumstances such that he is required by section 48 above to give due notice of the proposal.

F2112

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