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SCHEDULE 4
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TRANSFERS TO AUTHORITY FROM REGULATOR |
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PART I |
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FUNCTIONS RELATING TO LICENCES |
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Introductory |
| | 1. The Railways Act 1993 has effect subject to the following amendments.
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Exemptions |
| | 2. - (1) Section 7 (exemptions from requirement for operator of railway asset to be authorised by licence) is amended as follows.
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(2) In subsection (1) (power of Secretary of State to grant exemption after consultation with Regulator), after "Regulator" insert "and the Authority".
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(3) In subsection (3) (power of Regulator to grant exemption after consultation with Secretary of State), after "Secretary of State" insert "and the Authority".
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(4) After subsection (5) insert-
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"(5A) The Regulator shall obtain the approval of the Authority to any condition of a licence exemption which relates to consumer protection; but a failure to comply with this subsection shall not affect the validity of the licence exemption."
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(5) After subsection (6) insert-
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"(6A) If the broken condition relates to consumer protection, the Authority may require the Regulator to give to any relevant person specified by the Authority a direction declaring that the licence exemption is revoked, so far as relating to that person, to such extent and from such date as is specified by the Authority."
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(6) In subsection (7), for "subsection (6) above" substitute "this section".
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(7) After subsection (8) insert-
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"(8A) The Authority may require the Regulator, when he gives a direction to any person in compliance with a requirement under subsection (6A) above, also to direct that person to refrain from being the operator of any railway assets, any railway assets specified by the Authority or any railway assets of a class or description so specified."
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(8) In subsection (9), for "subsection (6)" substitute "subsections (6) and (6A)".
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Consumer protection conditions |
| | 3. After section 7 insert-
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| "Consumer protection conditions. |
7A. - (1) For the purposes of this Part a condition of a licence or licence exemption is a condition which relates to consumer protection if it-
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(a) is aimed at protecting the interests of the public, and |
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(b) is not a condition of any of the sorts specified in subsection (3) below. |
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(2) Examples of the sorts of conditions which (subject to subsection (3) below) are conditions which relate to consumer protection are-
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(a) conditions about fares; |
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(b) conditions about complaints against the operator by members of the public or liabilities of the operator to members of the public; |
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(c) conditions about insurance; |
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(d) conditions about policing or security; |
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(e) conditions for facilitating the use of railway services by members of the public (for instance, conditions about timetable information, enquiries, sale of tickets, through ticketing and conditions of carriage); |
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(f) conditions to protect the interests of persons who are disabled; and |
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(g) conditions about liaison with the Central Committee or consultative committees. |
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(3) The following sorts of conditions are not conditions which relate to consumer protection-
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(a) conditions about technical standards or procedures (including safety standards or procedures); |
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(b) conditions about the protection of the environment; |
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(c) conditions about responsibility for, or access to, the railway assets to which the licence or licence exemption relates; |
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(d) conditions relating to the development, improvement or maintenance of the network; |
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(e) conditions about anti-competitive practices (including predatory fare pricing and cross-subsidy), investment, financial standards or auditing (including efficiency audits); and |
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(f) conditions of such other descriptions as may be prescribed. |
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(4) If a question arises whether a condition (or proposed condition) of a licence or licence exemption is a condition which relates (or would relate) to consumer protection it shall be determined by the Secretary of State; and such a determination shall not be questioned by any legal proceedings (apart from any proceedings for the review of the determination).
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(5) In the case of the exercise by the Authority of any function in relation to conditions of a licence or licence exemption which relate to consumer protection-
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(a) section 7 of the Railways Act 1999 shall not apply; but |
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(b) section 4 above shall apply (as if the Authority were the Regulator)." |
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Grant |
| | 4. - (1) Section 8 (licences) is amended as follows.
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(2) In subsection (1)-
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(a) in paragraph (a) (grant by Secretary of State after consultation with Regulator), after "Regulator" insert "and the Authority", and |
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(b) in paragraph (b) (grant by Regulator with consent of, or in accordance with general authority given by, Secretary of State), for the words after "consent" substitute ", or in accordance with a general authority, of the Secretary of State given after consultation with the Authority,". |
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(3) In subsection (2) (general authority may require Regulator to consult, or obtain approval of, Secretary of State), for the words after "above" substitute-
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"(a) shall include a requirement for the Regulator before granting a licence to consult the Authority about, or a requirement for him before doing so to obtain the approval of the Authority to, any conditions to be included in the licence which relate to consumer protection, and |
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(b) may include a requirement for the Regulator either to consult the Secretary of State, or a requirement to obtain his approval before granting a licence; |
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but a failure to comply with such a requirement shall not affect the validity of the licence."
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(4) In subsection (6) (certain licences not capable of being surrendered without consent of Regulator), for "without the consent of the Regulator" substitute "unless the Regulator and the Authority consent to the surrender".
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(5) In subsection (7) (grantor of licence to give copies)-
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(a) in paragraph (a), after "Regulator" insert ", to the Authority", and |
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(b) in paragraph (b), after "Regulator," insert "to the Authority and". |
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Assignment |
| | 5. - (1) Section 11 (assignment of licences) is amended as follows.
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(2) In subsection (2) (requirement of consent of whichever of the relevant authorities is specified), for the words after "consent of" substitute-
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"(a) the Secretary of State, if he is specified for the purpose in the licence, or |
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(b) the Regulator and the Authority, in any other case." |
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(3) Omit subsection (3) (definition of "relevant authorities").
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(4) In subsection (4) (consent may be given subject to conditions imposed by person giving consent), for "the person giving the consent thinks fit to impose" substitute "are imposed by the person or persons giving the consent".
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Modification |
| | 6. - (1) Section 12 (modification by agreement) is amended as follows.
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(2) In subsection (1) (power of Regulator to modify licence conditions), for the words after "section" substitute-
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"(a) the Authority may, after consultation with the Regulator, require the Regulator to modify the conditions of a licence which relate to consumer protection, and |
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(b) the Regulator may, after consultation with the Authority, modify the other conditions of the licence, |
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if the holder of the licence consents to the modifications."
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(3) After that subsection insert-
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"(1A) Before requiring the Regulator to make modifications under subsection (1)(a) above, the Authority shall give notice-
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(a) stating that it proposes to require the making of the modifications and setting out their effect, |
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(b) stating the reasons why it proposes to require the making of the modifications, and |
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(c) specifying the period (not being less than 28 days from the date of publication of the notice) within which representations or objections with respect to the proposed modifications may be made, |
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and shall consider any representations or objections which are duly made and not withdrawn."
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(4) In subsection (2) (notice by Regulator), for "this section" substitute "subsection (1)(b) above".
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(5) In subsection (3) (giving of notice)-
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(a) after "subsection" insert "(1A) or", and |
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(b) for "the Regulator" substitute "the Authority, or the Regulator,". |
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(6) In subsection (4) (Regulator to send copy of modifications to Health and Safety Executive), after "to" insert "the Authority and".
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