Transport Act 2000 (c. 38)

(The document as of February, 2008)

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(a) under a franchise agreement; or

(b) under an agreement entered into by the Authority pursuant to its duty under section 30 below. "

213 Limited additional powers to provide railway services

(1) The Authority may provide services for the carriage of passengers or goods by railway if the Secretary of State consents to the provision of the services by the Authority and either--

(a) the services are the same as, or broadly correspond to, services which were provided by a person other than the Authority before the Authority begins to provide them, or

(b) a scheme under Schedule 19 provides for the transfer to the Authority of a liability to provide them.

(2) The Authority may for the purposes of, or in connection with, any services which it provides under this section--

(a) provide or operate network services, station services or light maintenance services, or

(b) store goods or consign them from any place to which they have been carried by rail.

(3) The Authority may not provide services for the carriage of passengers or goods by railway except in pursuance of the power conferred by this section or in compliance with a duty imposed by the [1993 c. 43.] Railways Act 1993.

214 Securing provision of substitute bus and taxi services

(1) The Authority may secure the provision by other persons of services for the carriage of passengers by road, by means of public service vehicles or licensed taxis or private hire vehicles, where railway services have been temporarily interrupted or discontinued.

(2) Where it is not practicable for a service by road to correspond precisely to the railway service which has been interrupted or discontinued, it may deviate from the route of that railway service.

(3) Even where it is practicable for it to do so, the route and stopping places of a service by road provided where a railway service has been discontinued need not correspond precisely with the discontinued service so long as it broadly corresponds with the discontinued service in terms of the localities it serves.

(4) Before entering into any agreement with any person in pursuance of this section for the provision of a service by road in a case where a railway service has been discontinued, the Authority shall invite other persons to submit tenders to provide the service by road service for such period, and on such basis, as may be specified in the invitation to tender.

(5) Subsection (4)--

(a) does not apply in relation to an agreement for the provision of a service in a case where such a service provided under an agreement entered into by the Authority in pursuance of this section has been temporarily interrupted, and

(b) does not require the Authority to accept any tender submitted in response to an invitation to tender.

(6) In this section "licensed taxis or private hire vehicles" means--

(a) in England and Wales, vehicles licensed under section 37 of the [1847 c. 89.] Town Police Clauses Act 1847, section 6 of the [1869 c. 115.] Metropolitan Public Carriage Act 1869, section 48 of the [1976 c. 57.] Local Government (Miscellaneous Provisions) Act 1976 or section 7 of the [1998 c. 34.] Private Hire Vehicles (London) Act 1998 or under any similar enactment, and

(b) in Scotland, taxis or private hire cars licensed under section 10 of the [1982 c. 45.] Civic Government (Scotland) Act 1982.

(7) In this section--

"public service vehicles" has the meaning given by section 1 of the [1981 c. 14.] Public Passenger Vehicles Act 1981, and
"stopping places", in relation to a service, means points at which passengers are taken up or set down in the course of the service.

Functions of Franchising Director, Regulator and Board

215 Assumption of functions of Franchising Director

(1) Schedule 16 transfers to the Authority the functions of the Franchising Director.

(2) All the property, rights and liabilities of the Franchising Director (including any rights and liabilities relating to staff appointed by him) are by virtue of this section transferred to the Authority.

(3) Nothing in this Part affects the validity of anything done by or in relation to the Franchising Director.

(4) There may be continued by or in relation to the Authority anything (including legal proceedings) which is in the process of being done by or in relation to the Franchising Director when his functions, property, rights and liabilities are transferred to the Authority.

(5) Anything done by the Franchising Director which is in effect immediately before his functions, property, rights or liabilities are transferred to the Authority shall be treated as if done by the Authority.

(6) The Authority shall be substituted for the Franchising Director in private Acts, instruments made under Acts, other documents and legal proceedings.

(7) For the purposes of the [1996 c. 18.] Employment Rights Act 1996, where a person employed in the civil service of the state becomes an employee of the Authority by virtue of this section--

(a) his period of employment in the civil service of the state counts as a period of employment with the Authority, and

(b) the change of employment does not break the continuity of the period of employment.

(8) In consequence of the preceding provisions of this section the office of Franchising Director is abolished.

(9) If the Secretary of State determines that there are special circumstances which make it right that the person who is the Franchising Director immediately before the office is abolished should receive compensation, the Secretary of State shall pay to that person such compensation as may be determined by the Secretary of State.

216 Assumption of certain functions of Regulator

Schedule 17 makes provision for the transfer to the Authority of certain functions of the Regulator and of associated property, rights and liabilities.

217 Assumption of Board's functions relating to transport police

(1) Schedule 18 transfers to the Authority the functions of the Board relating to the British Transport Police and associated property, rights and liabilities.

(2) The Authority shall exercise its functions relating to the British Transport Police Force in such manner and to such extent as appears to the Authority to be best calculated to promote the efficiency and effectiveness of that Force; and section 207 does not apply to those functions.

218 Functions relating to Board's property

(1) Schedule 19 makes provision for the transfer to the Authority of other property, rights and liabilities of the Board.

(2) Any property, rights and liabilities which are transferred to the Authority by virtue of Schedule 19 but are not required by the Authority for the discharge of any of its other functions shall be disposed of or otherwise dealt with by the Authority--

(a) in accordance with directions given to it by the Secretary of State, and

(b) subject to that, in the way which appears to the Authority most economic and efficient.

(3) For the purposes of subsection (2) (and subject to directions given to it by the Secretary of State), the Authority may (in particular)--

(a) retain and manage property,

(b) develop land with a view to disposing of it, and

(4) Section 207 does not apply to the functions in subsections (2) and (3).

Other powers

219 Power to make bye-laws

(1) The Authority may make bye-laws regulating--

(a) the use and working of railway assets,

(b) travel on or by means of railway assets,

(d) the conduct of persons while on railway assets.

(2) The Authority may, in particular, make bye-laws--

(a) with respect to tickets issued for entry on railway assets or travel by railway and the evasion of payment of fares or other charges,

(b) with respect to interference with, or obstruction of, the working of any railway or any railway asset or the provision of any railway service,

(d) with respect to the prevention of nuisance,

(e) with respect to the receipt and delivery of goods, and

(f) for regulating the passage of bicycles and other vehicles on footways and other premises intended for the use of those on foot.

(3) Schedule 20 makes further provision about bye-laws under this section.

(4) For the purposes of this section and that Schedule "railway assets" includes rolling stock other than trains (as well as what is specified in section 6(2) of the [1993 c. 43.] Railways Act 1993); and "operator", in relation to such rolling stock, means the person having management of the rolling stock for the time being.

220 Power to make transfer schemes

Schedule 21 makes provision for the making of transfer schemes by the Authority.

221 Power to promote and oppose Bills

The Authority--

(a) may promote in Parliament Bills relating to railways, and

(b) may oppose any Bill in Parliament.

222 Other incidental powers

(1) The Authority may do anything which it considers--

(a) is necessary or appropriate for or for facilitating, or

(b) is incidental or conducive to,

the exercise of any of its functions.

(2) In particular, the Authority may--

(a) enter into agreements,

(b) acquire or dispose of property,

(d) form bodies corporate or acquire or dispose of interests in bodies corporate, and

(e) promote or assist in the promotion of publicity.

(3) This section has effect subject to any provision of this Part, or of any other enactment, limiting the powers of the Authority.

Chapter II Other provisions about railways

Directions to provide etc. railway facilities

223 Regulator's power to require provision etc. of railway facilities

In the [1993 c. 43.] Railways Act 1993, after section 16 insert--

" Directions to provide, improve or develop railway facilities

16A Provision, improvement and development of railway facilities

(1) The Regulator may, on an application--

(a) made by the Authority, or

(b) made by any other person with the consent of the Authority,

give to the operator of a network, station or light maintenance depot a direction to provide a new railway facility if the Regulator considers him to be an appropriate person to provide the new railway facility.

(2) The Regulator may, on an application--

(a) made by the Authority, or

(b) made by any other person with the consent of the Authority,

give to a person who has an estate or interest in, or right over, an existing railway facility a direction to improve or develop the railway facility if the Regulator considers him to be an appropriate person to improve or develop the railway facility.

(3) The Authority's consent to the making by any other person of an application under subsection (1) or (2) above may be given subject to compliance with conditions (and may be withdrawn if any condition is not complied with before the Regulator decides whether to give the direction).

16B Exemption of railway facilities from section 16A

(1) The Secretary of State may, after consultation with the Regulator, by order grant exemption from subsection (1) or (2) of section 16A above (or from both of those subsections) in respect of such railway facilities as may be specified in the order, but subject to compliance with such conditions (if any) as may be so specified.

(2) An exemption under subsection (1) above may be granted in respect of--

(a) railway facilities of a particular class or description, or

(b) a particular railway facility,

or in respect of part only of railway facilities of a particular class or description or a particular railway facility.

(3) An exemption under subsection (1) above may be granted generally, to persons of a particular class or description or to a particular person.

(4) If a person fails to comply with any condition subject to compliance with which an exemption was granted, the Secretary of State may give a direction declaring that the exemption is revoked, so far as relating to that person, to such extent and as from such date as may be specified in the direction.

(5) Subject to subsection (4) above, an exemption, unless previously revoked in accordance with any term contained in the exemption, shall continue in force for such period as may be specified in, or determined by or under, the exemption.

(6) Exemptions may make different provision, or be granted subject to compliance with different conditions, for different cases.

16C Making of applications for directions

(1) An application for a direction under section 16A above must be made to the Regulator in writing.

(2) The application must--

(a) specify the person to whom the direction would be given;

(b) state what it would require him to do; and

(c) give the applicant's reasons for considering that person to be an appropriate person to do what the direction would require him to do.

(3) The applicant may at any time vary what the direction would require that person to do by giving to the Regulator notice in writing of the variation; but if the applicant is a person other than the Authority such a notice may only be given with the consent of the Authority.

(4) The application or notice of a variation may be accompanied by any written representations which the applicant wishes to make in relation to the direction.

16D Procedure for considering applications

(1) When the Regulator has received the application or notice of a variation, he must--

(a) send a copy to the person specified in the application, the Authority (if it is not the applicant) and any other persons who the Regulator considers ought to be sent one; and

(b) invite them to make written representations within a period specified in the invitation.

(2) If the person specified in the application makes representations that he is not an appropriate person to do what the direction would require him to do, the Regulator must decide that issue in advance of considering any other matters which may be relevant in deciding whether to give the direction.

(3) If that person makes such representations but the Regulator decides that he is an appropriate person to do what the direction would require him to do, the Regulator must--

(a) notify him of that decision; and

(b) invite him to make written representations within a period specified in the invitation about any other matters which may be relevant in deciding whether to give the direction.

(4) The Regulator must--

(a) send the applicant a copy of any representations received by him in response to any invitation under subsection (1) or (3) above; and

(b) invite him to make further written representations within a period specified in the invitation.

(5) Subject to subsection (6) below, the Regulator may substitute as the applicant any other person if--

(a) the applicant,

(b) the other person, and

consent to the substitution.

(6) The applicant may, by giving notice in writing to the Regulator, withdraw or suspend the application at any time before the Regulator decides whether to give the direction.

(7) The Regulator may direct--

(a) the person specified in the application,

(b) the applicant, or

to provide him with any information required by him in order to decide whether to give the direction.

(8) If a person fails to comply with a direction under subsection (7) above, the High Court or the Court of Session may, on the application of the Regulator, make such order as it thinks fit for requiring the failure to be made good.

(9) Such an order may provide that all the costs or expenses of and incidental to the application shall be borne by--

(a) the person who failed to comply; or

(b) in the case of a company or other association, any officers who are responsible for the failure to comply.

16E Decisions on applications: adequate reward

(1) The Regulator may only give a direction to a person under section 16A above to provide, improve or develop a railway facility if he is satisfied that the person will be adequately rewarded for providing, improving or developing the railway facility in accordance with the direction.

(2) In considering whether he is so satisfied the Regulator shall take into account (in particular)--

(a) any receipts obtained or likely to be obtained by the person (from the Authority, passengers, operators of railway services or any other persons) in connection with, or as a result of, the provision, improvement or development of the railway facility; and

(b) any other benefit obtained or likely to be obtained by him in consequence of its provision, improvement or development.

(3) Representations made by the applicant for a direction--

(a) under section 16C(4) above, or

(b) in response to an invitation under section 16D(4) above,

may, in particular, include representations as to matters which he considers the Regulator should take into account in deciding whether the person to whom the direction would be given would be adequately rewarded for doing what it would require him to do.

16F Other provisions about decisions

(1) If the Regulator does not consider it right to give a direction under section 16A above in the terms applied for (or to reject the application), he may give a direction under that section in modified terms.

(2) The Regulator may include supplementary provisions in any direction under section 16A above, including (in particular)--

(a) provision adding detail (for instance, as to the time by which, or standard to which, the person to whom it is given is to do anything which it requires him to do); and

(b) provision imposing requirements on the applicant (for instance, to make arrangements for rewarding the person to whom the direction is given or to make payments to him).

(3) Before giving a direction under section 16A above which is in modified terms or includes supplementary provisions, the Regulator shall--

(a) notify his intention to give a direction to the applicant, the Authority (if it is not the applicant) and any other persons who the Regulator considers ought to be notified; and

(b) invite them to make written representations within a period specified in the invitation;

and if the applicant makes representations that the direction should not be given, the Regulator shall not give it.

(4) Whatever the Regulator's decision on an application he shall notify the decision to--

(a) the person specified in the application;

(b) the applicant; and

(5) The Regulator may direct the person specified in the application or the applicant to pay to--

(a) the other of those persons, or

(b) any other person directed to provide information under section 16D(7) above,

any such amount as he considers appropriate in respect of costs incurred in connection with the application.

16G Directions: compliance, variation and revocation

(1) A person shall not be regarded as failing to comply with a direction under section 16A above if he has done everything which it is reasonably practicable to do in order to comply with the direction.

(2) If a person is unable to comply with such a direction because he does not have the necessary powers or rights (including rights over land), he shall not be taken to have done everything which it is reasonably practicable to do in order to comply with the direction unless he has done everything which it is reasonably practicable to do in order to obtain those powers or rights.

(3) A direction under section 16A above may only be revoked or varied by the Regulator--

(a) on the application of the person to whom the direction was given, the applicant for the direction or the Authority (if it was not the applicant); and

(b) after consultation with the other persons with power to apply for a revocation or variation.

(4) Such a direction may only be varied on an application by the applicant for the direction or the Authority if the Regulator is satisfied that the person to whom the direction was given will be adequately rewarded for providing, improving or developing the railway facility in accordance with the varied direction, taking into account (in particular) the matters specified in section 16E(2) above.

(5) The Regulator may grant an application for the variation or revocation of a direction under section 16A above by the applicant for the direction or the Authority on condition that he or it secures that any such compensation as the Regulator may specify is paid to the person to whom the direction was given in respect of any liabilities incurred, or other things done, by him in complying with the direction.

16H Code of practice

(1) The Regulator shall prepare, and from time to time revise, a code of practice supplementing sections 16A to 16G above and shall publish it in such manner as he considers appropriate.

(2) The Regulator shall have regard to the code of practice in the exercise of his functions under those sections.

(3) The code of practice may (in particular)--

(a) set out minimum periods to be specified in invitations to make representations;

(b) include provision about requesting the provision of information prior to giving a direction under section 16D(7) above;

(d) make provision about the consultation required by section 16G(3)(b) above.

16I Supplementary

(1) References in sections 16A to 16H above and this section to a railway facility include part of a railway facility.

(2) Nothing in any of those sections or a direction under section 16A above--

(a) limits any power of the Regulator under any other provision of this Act; or

(b) affects any obligation to provide a new railway facility, or to improve or develop an existing railway facility, arising otherwise than from such a direction. "

Objectives of Regulator and Secretary of State

224 Amendment of objectives

(1) Section 4 of the [1993 c. 43.] Railways Act 1993 (general duties of Regulator and Secretary of State) is amended as follows.

(2) In subsection (1) (objectives)--

(a) for "Secretary of State and the Regulator shall each" substitute "Regulator shall",

(b) before paragraph (a) insert--

" (za) to facilitate the furtherance by the Authority of any strategies which it has formulated with respect to its purposes; " ,

" (ba) to contribute to the development of an integrated system of transport of passengers and goods;

(bb) to contribute to the achievement of sustainable development; " , and

(d) in paragraph (d) (promotion of competition in provision of railway services), insert at the end "for the benefit of users of railway services".

(3) In subsection (2) (objectives)--

(a) for "Secretary of State and the Regulator shall each" substitute "Regulator shall", and

(b) omit "the Secretary of State or, as the case may be,".

(4) In subsection (3) (safety and the environment), for "Secretary of State and the Regulator shall each" substitute "Regulator shall".

(5) After that subsection insert--

" (3A) Subsections (1) to (3) above shall have effect in relation to the Secretary of State as in relation to the Regulator, except that in their application to the Secretary of State--

(a) paragraph (za) of subsection (1) above shall be disregarded; and

(b) the references in each of the subsections to the functions transferred or assigned to the Secretary of State under or by virtue of this Part include only the functions transferred or assigned to him under or by virtue of sections 6 to 22 and 37 to 50 below. "

(6) In subsection (5) (additional duties of Regulator), for paragraph (a) (duty until 31st December 1996 to take account of guidance of Secretary of State) substitute--

" (a) to have regard to any general guidance given to him by the Secretary of State about railway services or other matters relating to railways; " .

(7) After subsection (7) insert--

" (7ZA) Any general guidance given by the Secretary of State to the Regulator about railway services or other matters relating to railways--

(a) shall be published by the Secretary of State in such manner as he considers appropriate; and

(b) may be varied or revoked. "

Enforcement regime

225 Penalties

(1) In the [1993 c. 43.] Railways Act 1993, after section 57 insert--

" 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 to the Authority.

(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) The Authority shall not impose a penalty on 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 [1998 c. 41.] Competition 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).

(6) The Regulator shall not impose a penalty if he is satisfied that the most appropriate way of proceeding is under the [1998 c. 41.] Competition Act 1998.

57B Statement of policy

(1) The Authority and the Regulator 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 Authority and Regulator shall have regard to any statement of its or his policy published at the time when the contravention occurred.

(4) The Authority and Regulator--

(a) may at any time alter or replace a statement of his or its policy; and

(b) shall publish the altered or replacement statement.

(5) The Authority and Regulator shall undertake appropriate consultation when preparing, altering or replacing a statement of policy.

(6) The Authority and Regulator 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.

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