Part IU.K. The Provision of Railway Services

Modifications etc. (not altering text)

C2Pt. 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)

Commencement Information

I1Pt. 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)

Enforcement by [F1the Office of Rail and Road] and the [F2Authority]E+W+S

Textual Amendments

F1Words in s. 55 cross-heading substituted (16.10.2015) by virtue of The Office of Rail Regulation (Change of Name) Regulations 2015 (S.I. 2015/1682), Sch. para. 1

F2Words 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.E+W+S

(1)Subject to subsections (2) to [F3(5C)] and section 56 below, where the appropriate [F4authority] is satisfied that a relevant operator is contravening, or is likely to contravene, any relevant condition or requirement, [F4it] 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 [F5subsections (5) to][F3(5C)] below, where it appears to the appropriate [F4authority]—

(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,

[F4it] shall (instead of taking steps towards the making of a final order) by a provisional order make such provision as appears to [F4it] 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 [F4authority] 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 [F5subsections (5) to][F3(5C)] and section 56 below, the appropriate [F4authority] shall confirm a provisional order, with or without modifications, if—

(a)[F4it] 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 [F4authority] shall not make a final order, or make or confirm a provisional order, in relation to a relevant operator if [F4it] is satisfied—

(a)that the duties imposed on [F4it] by section 4 [F6above F7. . . ] preclude the making or, as the case may be, the confirmation of the order;

F8(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F8(c). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F9(5ZA)[F10Neither the Secretary of State nor the Scottish Ministers [F11nor 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)[F12the Secretary of State, the Scottish Ministers or the Welsh Ministers (as the case may be) has or have] given notice to [F13the Office of Rail and Road] specifying a period within which [F14it] may give notice to [F15him or them] if [F14it] considers that the most appropriate way of proceeding is under the M1Competition Act 1998;

(b)that period has expired; and

(c)[F13the Office of Rail and Road] has not given notice to [F16the Secretary of State, the Scottish Ministers or the Welsh Ministers (as the case may be)] within that period that [F14it] so considers (or, if [F14it] has, [F14it] has withdrawn it).]

[F17(5A)Before making a final order or making or confirming a provisional order, [F18the Office of Rail and Road] shall consider whether it would be more appropriate to proceed under the Competition Act 1998.

(5AA)[F19The 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.]

[F20(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.]

[F21(5C)Neither the Secretary of State nor the Scottish Ministers [F22nor 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 [F23or 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 [F24the 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), [F25(5AA)] or (5B) above.]

[F26(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 [F4it] 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 [F4authority].

[F27(7A)The provision that may be made in a final or provisional order includes, in particular, provision requiring the relevant operator to pay [F28 in the event of a specified contravention of the order—

(a)in the case of an order made by the Scottish Ministers, to them, F29...

[F30(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 M2Judgments Act 1838.]

(9)Without prejudice to [F31section 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 [F32authority]” means—

    (a)

    in relation to any relevant condition or requirement in the case of a licence holder, F33. . . , F34. . . [F35the Office of Rail and Road];

    (aa)

    [F36in relation to any relevant condition or requirement in the case of—

    (i)

    a franchisee under a Scottish franchise agreement,

    (ii)

    a franchise operator in relation to such an agreement, or

    (iii)

    a person under Scottish closure restrictions,

    the Scottish Ministers; and

    (ab)

    [F37in 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;

    (ac)

    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;

    (ad)

    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;

    (ae)

    in relation to a duty mentioned in subsection (11) which is imposed or arises in a Welsh case, the Welsh Ministers;

    (af)

    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 [F38or 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—

    (a)

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

    (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;

    (c)

    [F39in the case of a person under closure restrictions, any duty mentioned in subsection (11) to which he is subject;]

  • [F40“relevant operator” means—

    (a)

    a licence holder;

    (b)

    a franchisee;

    (c)

    a franchise operator who is a party to the franchise agreement;

    (d)

    a person under closure restrictions.]

(11)In [F41subsections [F42(5ZA)] and (10)] above, “person under closure restrictions” means a person[F43 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).]

[F44(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;

F45...

(11B)[F46In 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.]

[F47(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.]

F48(12). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

F3Words in s. 55(1)(2)(4) substituted (24.7.2005) by Railways Act 2005 (c. 14), ss. 1, 60, Sch. 1 para. 21(2); S.I. 2005/1909, art. 2

F4Words in s. 55(1)-(7) substituted (1.2.2001) by 2000 c. 38, s. 215, Sch. 16 para. 35(2); 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))

F5Words in s. 55(2)(4) substituted (1.2.2001) by 2000 c. 38, s. 252, Sch. 27 para. 30(3); S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to savings and transitional provisions in Sch. 2 Pt. II)

F6Words in s. 55(5)(a) substituted (1.2.2001) by 2000 c. 38, s. 252, Sch. 27 para. 30(4); S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to savings and transitional provisions in Sch. 2 Pt. II)

F7Words in s. 55(5) repealed (1.12.2006) by Railways Act 2005 (c. 14), ss. 1, 59, 60, Sch. 1 para. 21(3), Sch. 13 Pt. 1 (with s. 14(4)(5) Sch. 11 para. 11(2)); S.I 2006/2911, {art. 2} (subject to the transitional and saving provisions in arts. 3-7)

F8S. 55(5)(b)(c) repealed (1.2.2001) by 2000 c. 38, ss. 226(1)(a), 274, Sch. 31 Pt. IV (with Sch. 28 paras. 9, 17); S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to savings and transitional provisions in Sch. 2 Pt. II)

F9S. 55(5ZA) inserted (1.2.2001) by 2000 c. 38, s. 216, Sch. 17 para. 11(2); S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to savings and transitional provisions in Sch. 2 Pt. II)

F10Words in s. 55(5ZA) substituted 24.7.2005 for certain purposes and 16.10.2005 for certainh further purposes and 1.12.2006 in so far as not already in force) by Railways Act 2005 (c. 14), ss. 1, 60, Sch. 1 para. 21(4)(a); S.I 2005/1909, {art. 1}, Sch.; S.I. 2005/2812, art. 2(1), Sch. 1; S.I. 2006/2911, art. 2, Sch. (subject to the transitional and saving provisions in arts. 3-7)

F14Word in s. 55 substituted (5.7.2004) by Railways and Transport Safety Act 2003 (c. 20), ss. 16, 120, {Sch. 2 para. 3(b) Table}; S.I. 2004/827, art. 4(g)

F15Words in s. 55(5ZA(a)) substituted 24.7.2005 for certain purposes and 16.10.2005 for certain further purposes and 1.12.2006 in so far as not already in force) by Railways Act 2005 (c. 14), ss. 1, 60, Sch. 1 para. 21(4)(b); S.I 2005/1909, {art. 1}, Sch.; S.I. 2005/2812, art. 2(1), Sch. 1; S.I. 2006/2911, art. 2 Sch.; S.I. 2006/2911, art. 2, Sch. (subject to the transitional and saving provisions in arts. 3-7)

F20S. 55(5B) inserted (1.2.2001) by 2000 c. 38, s. 226(1)(b) (with Sch. 28 paras. 9, 17); S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to savings and transitional provisions in Sch. 2 Pt. II)

F21S. 55(5C)(5D) inserted (24.7.2005 for certain purposes and 16.10.2005 for certain further purposes and 1.12.2006 in so far as not already in force) by Railways Act 2005 (c. 14), ss. 1, 60, Sch. 1 para. 21(5); S.I 2005/1909, {art. 2}, Sch.; S.I. 2005/2812, art. 2(1), Sch. 1; S.I. 2006./2911, {art. 2}, Sch. (subject to the transitional and saving provisions in arts, 3-7)

F26S. 55(6): "words from the beginning to the end of paragraph (a)" substituted (24.7.2005 for certain purposes and 16.10.2005 for certain further purposes and 1.12.2006 in so far as not already in force) by virtue of Railways Act 2005 (c. 14), ss. 1, 60, Sch. 1 para. 21(6); S.I 2005/1909, {art. 1}, Sch.; S.I. 2005/2812, art. 2(1), Sch. 1; S.I. 2006/2911, art. 2, Sch. (subject to the transitional and saving provisions in arts. 3-7)

F27S. 55(7A)(7B)(7C) substituted (1.2.2001) for s. 55(8) by 2000 c. 38, s. 225(2); S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to savings and transitional provisions in Sch. 2 Pt. II)

F28Words in s. 55(7A) substituted 24.7.2005 for certain purposes and 16.10.2005 for certain further purposes and 1.12.2006 in so far as not already in force) by Railways Act 2005 (c. 14), ss. 1, 60, Sch. 1 para. 21(7); S.I 2005/1909, {art. 1}, Sch.; S.I. 2005/2812, art. 2(1), Sch. 1; S.I. 2006/2911, art. 2, Sch. (subject to the transitional and saving provisions in arts. 3-7)

F31Words in s. 55(9) substituted (1.12.2006) by Railways Act 2005 (c. 14), ss. 54, 60, Sch. 11 para. 7(1); S.I 2006/2911, {art. 2}, Sch. (subject to the transitional and saving provisions in arts. 3-7)

F32Words in s. 55(10) substituted (1.2.2001) by 2000 c. 38, s. 215, Sch. 16 para. 35(3); 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))

F33S.55(10): words in definition of "the appropriate authority" repealed (24.7.2005) by Railways Act 2005 (c. 14), ss. 1, 59 60, Sch. 1 para. 21(4)(b), {Sch. 13 Pt. 1} (with s. 14(4)(5) Sch. 11 para. 11(2)); S.I 2005/1909, {art. 2}, Sch.

F34Words in s. 55(10) repealed (1.2.2001) by 2000 c. 38, ss. 216, 274, Sch. 17 para. 26(a), Sch. 31 Pt. IV; S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to savings and transitional provisions in Sch. 2 Pt. II)

F36S. 55(10): paras. (aa)(b) in definition of "the appropriate authority" substituted (24.7.2005 for certain purposes and 16.10.2005 for certain further purposes and 1.12.2006 in so far as not already in force) for para. (b) by Railways Act 2005 (c. 14), ss. 1, 60, Sch. 1 para. 21(8)(b); S.I. 2005/1909, art. 1, Sch. S.I. 2005/2812, {art. 2(1)}, Sch. 2; S.I. 2006/2911, art. 2, Sch. (subject to the transitional and saving provisions in arts. 3-7)

F38S. 55(10): words in definition of "final order" inserted (24.7.2005) by Railways Act 2005 (c. 14), ss. 54, 60, Sch. 11 para. 7(2); S.I. 2005/1909, art. 2, Sch.

F39S. 55(10): para. (c) in definition of "relevant condition or requirement" substituted (1.12.2006) for paras. (c)(d) by Railways Act 2005 (c. 14), ss. 54, 60, Sch. 11 para. 7(3); S.I 2006/2911, {art. 2}, Sch. (subject to the transitional and saving provisions in arts. 3-7)

F40S. 55(10): definition of "relevant operator" substituted (1.12.2006) by Railways Act 2005 (c. 14), ss. 54, 60, Sch. 11 para. 7(4); S.I 2006/2911, {art. 2}, Sch. (subject to the transitional and saving provisions in arts. 3-7)

F41Words in s. 55(11) substituted (1.3.2000) by 1998 c. 41, s. 66(5), Sch. 10 Pt. IV para. 15(7)(b) (with s. 73); S.I. 2000/344, art. 2, Sch.

F42Word in s. 55(11) substituted (1.2.2001) by 2000 c. 38, s. 216, Sch. 17 para. 11(4); S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to savings and transitional provisions in Sch. 2 Pt. II)

F43S. 55(11)(a)-(c) and words substituted (1.12.2006) for s. 55(11)(a)(b) by Railways Act 2005 (c. 14), ss. 54, 60, Sch. 11 para. 7(5); S.I 2006/2911, {art. 2}, Sch. (subject to the transitional and saving provisions in arts. 3-7)

F44S. 55(11A)(11B) inserted (1.12.2006) by Railways Act 2005 (c. 14), ss. 54, 60, Sch. 11 para. 7(6); S.I 2006/2911, {art. 2}, Sch. (subject to the transitional and saving provisions in arts. 3-7)

F48S. 55(12) repealed (1.2.2001) by 2000 c. 38, ss. 252, 274, Sch. 27 para. 30(5), Sch. 31 Pt. IV; S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to savings and transitional provisions in Sch. 2 Pt. II)

Modifications etc. (not altering text)

Marginal Citations