Railways Bill

House of Commons

Session 2004 - 05
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Other Bills before Parliament

Railways Bill

Railways Bill
Schedule 3 — Transfer of safety functions
84

      (2)
Where the Secretary of State considers that any of the statutory or other
functions of—
(a)
a government department, or
(b)
any other public authority,

can appropriately be carried out by the Office of Rail Regulation in
5
connection with the carrying out of its safety functions, he may authorise the
Office and that department or authority to enter into an agreement for that
Office to carry out those functions on behalf of that department or authority.
      (3)
An agreement under this paragraph—
(a)
may include provision for payments to be made to the Office of Rail
10
Regulation for the carrying out of the functions that it is authorised
or required to carry out under the agreement; but
(b)
may not authorise or require the Office of Rail Regulation to carry
out any function consisting in a power to make regulations or other
instruments of a legislative character.
15
Government departments and other public authorities acting as agent of ORR
8     (1)
Where the Office of Rail Regulation considers that any of its safety functions
can appropriately be carried out—
(a)
by a government department, or
(b)
by any other public authority,
20

that Office and the department or authority may enter into an agreement for
the department or authority to carry out those functions on that Office’s
behalf.
      (2)
An agreement under this paragraph may include provision for payments to
be made by the Office of Rail Regulation to a government department or
25
public authority for the carrying out of the functions that it is authorised or
required to carry out under the agreement.
Restrictions on codes of practice by HSC
9     (1)
In subsection (1) of section 16 of the 1974 Act (codes of practice with respect
to the requirements of certain provisions), for “sections 2 to 7 or of health and
30
safety regulations or of any of the existing statutory provisions” substitute
“any of the enactments or instruments mentioned in subsection (1A) below”.
      (2)
After that subsection insert—
“(1A)
Those enactments and instruments are—
(a)
sections 2 to 7 above;
35
(b)
health and safety regulations, except so far as they make
provision exclusively in relation to transport systems falling
within paragraph 1(3) of Schedule 3 to the Railways Act 2005;
and
(c)
the existing statutory provisions that are not such provisions
40
by virtue of section 117(4) of the Railways Act 1993.”
Co-operation with the HSC
10    (1)
It shall be the duty of the Office of Rail Regulation and the Health and Safety
Commission—

Railways Bill
Schedule 3 — Transfer of safety functions
85

(a)
as soon as practicable after the commencement of this paragraph, to
enter into arrangements with each other for securing co-operation
and the exchange of information in connection with the carrying out
of safety functions;
(b)
to maintain and from time to time to review those arrangements; and
5
(c)
to revise them whenever they consider it appropriate to do so.
      (2)
In sub-paragraph (1) “safety functions” means all the functions of the Health
and Safety Commission and of the Health and Safety Executive and the
safety functions of the Office of Rail Regulation.
      (3)
In section 18(5)(b) of the 1974 Act (duty of enforcing authority to act in
10
accordance with guidance of HSC), at the beginning insert “except where
that authority is the Office of Rail Regulation,”.
Information powers corresponding to section 27 of the 1974 Act
11    (1)
The Office of Rail Regulation may serve a notice under this paragraph on
any person for the purpose of obtaining information which that Office needs
15
for the carrying out of its safety functions.
      (2)
A notice under this paragraph is one requiring the person on whom it is
served—
(a)
to provide the Office of Rail Regulation with information about such
matters as may be specified in the notice; and
20
(b)
to do so in the form and manner so specified.
      (3)
The consent of the Secretary of State is required for the service of a notice
under this paragraph.
      (4)
The consents that may be given for the purposes of sub-paragraph (3)
include a general consent relating to notices of a specified description.
25
      (5)
Nothing in the Statistics of Trade Act 1947 (c. 39) is to be construed as
preventing or penalising the disclosure by a Minister of the Crown or
government department to—
(a)
the Office of Rail Regulation,
(b)
a member, officer or employee of that Office, or
30
(c)
a committee established by that Office,

of information falling within sub-paragraph (6) about an undertaking
(within the meaning of that Act).
      (6)
Information about an undertaking falls within this sub-paragraph if it
consists of—
35
(a)
the names and addresses of the persons carrying on the undertaking;
(b)
the nature of the undertaking’s activities;
(c)
the number of persons of different descriptions who work in the
undertaking;
(d)
the addresses or places where activities of the undertaking are or
40
were carried on;
(e)
the nature of the activities carried on there; or
(f)
the number of persons of different descriptions who work or worked
in the undertaking there.

Railways Bill
Schedule 3 — Transfer of safety functions
86

      (7)
A person to whom a disclosure that is authorised by sub-paragraph (5) is
made must not use the information except for the purposes of the safety
functions of the Office of Rail Regulation.
      (8)
It is an offence for a person—
(a)
to contravene a requirement imposed by a notice under this
5
paragraph; or
(b)
to use information in contravention of sub-paragraph (7).
      (9)
A person guilty of an offence under sub-paragraph (8) shall be liable—
(a)
on summary conviction, to a fine not exceeding the statutory
maximum;
10
(b)
on conviction on indictment—
(i)
in the case of an offence of contravening a notice, to a fine;
and
(ii)
in the case of an offence of using information in
contravention of sub-paragraph (7), to imprisonment for a
15
term not exceeding two years or to a fine, or to both.
     (10)
Section 52 of the 1974 Act (meaning of “work” and related expressions)
applies for the purposes of this paragraph as it applies for the purposes of
Part 1 of that Act.
Railway safety levy
20
12    (1)
Section 43A of the 1974 Act (railway safety levy) is amended as follows.
      (2)
In subsection (2) (expenses in respect of which levy raised), for paragraphs
(a) and (b) substitute—
“(a)
in respect of activities undertaken by the Office of Rail
Regulation under or by virtue of this Act or Schedule 3 to the
25
Railways Act 2005; or
(b)
in respect of activities in relation to a transport system falling
within paragraph 1(3) of that Schedule that are undertaken
by that Office under or by virtue of any other enactment.”
      (3)
In subsections (5) and (6), for “Commission or the Executive” substitute
30
“Office of Rail Regulation”.
      (4)
In subsection (9), for “to which section 117 of the Railways Act 1993 applies”
substitute “falling within paragraph 1(3) of Schedule 3 to the Railways Act
2005.”
Removal of requirement of consultation with HSC for railway safety regulations
35
13
In section 50 of the 1974 Act (consultation with HSC), after subsection (1)
insert—
“(1A)
Subsection (1) does not apply to the exercise of a power to make
regulations so far as it is exercised—
(a)
for giving effect (with or without modifications) to proposals
40
submitted by the Office of Rail Regulation under paragraph
2(5) of Schedule 3 to the Railways Act 2005; or
(b)
otherwise for or in connection with the railway safety
purposes.”

Railways Bill
Schedule 4 — Reviews by ORR of access charges and licence conditions
87

Interpretation
14    (1)
In this Schedule—
“the 1974 Act” means the Health and Safety at Work etc. Act 1974
(c. 37); and
“railway safety purposes” has the meaning given by paragraph 1.
5
      (2)
In this Schedule a reference to the safety functions of the Office of Rail
Regulation is a reference to—
(a)
its functions under this Schedule;
(b)
its functions under the 1974 Act; and
(c)
its other functions so far as carried out for the railway safety
10
purposes.
      (3)
In section 53(1) of the 1974 Act (interpretation of Part 1), after the definition
of “prohibition notice” insert—
“‘railway safety purposes’ has the same meaning as in Schedule
3 to the Railways Act 2005;”.
15
Schedule 4
Section 4

Reviews by ORR of access charges and licence conditions
Introductory
1
Schedule 4A to the 1993 Act (review of access charges by ORR) is amended
as follows.
20
Conduct of access charges reviews
2
For paragraph 1 (meaning of access charges review) substitute—
“Application of Schedule
1
This Schedule applies where an access agreement provides, or is
treated as providing, for the Office of Rail Regulation to undertake
25
reviews of the terms of that agreement as to—
(a)
the amounts payable under the agreement by one of the
parties to the other; and
(b)
the times at which, and the manner in which, those
amounts are payable.
30
Scope of review
1A    (1)
Where the Office of Rail Regulation undertakes such a review, it
must, at the same time, review the conditions of every linked
licence both—
(a)
in relation to the matters mentioned in paragraph 1(a) and
35
(b); and
(b)
in relation to the matters about which that Office is
provided with information under paragraph 1D.

Railways Bill
Schedule 4 — Reviews by ORR of access charges and licence conditions
88

      (2)
A review by that Office of both—
(a)
the terms of an access agreement as to the matters
mentioned in paragraph 1(a) and (b), and
(b)
the conditions of a linked licence,

is referred to in this Schedule as an access charges review.
5
      (3)
An access charges review must include a consideration of—
(a)
the time at which the next access charges review is to be
undertaken in relation to both the access agreement in
question and every linked licence; and
(b)
the circumstances in which it would be appropriate to
10
undertake such a review before that time.
      (4)
In this Schedule ‘linked licence’, in relation to an access
agreement, means a licence of which the holder is—
(a)
the facility owner, or installation owner, who is a party to
the agreement; or
15
(b)
a person other than that owner who has an estate or
interest in the railway facility or network installation to
which the agreement relates or who has a right over it.
Response to request to carry out review
1B
Where—
20
(a)
the Secretary of State or the Scottish Ministers suggest to
the Office of Rail Regulation that an access charges review
should be carried out in any case, but
(b)
that Office decides not to carry out the suggested review,

that Office must provide the Secretary of State or Scottish
25
Ministers with its reasons for that decision.
Notice of access charges review
1C    (1)
Before beginning an access charges review, the Office of Rail
Regulation must give notice of its proposal to undertake the
review to each of the following—
30
(a)
the Secretary of State;
(b)
the Scottish Ministers;
(c)
the Treasury;
(d)
the parties to the access agreement in question; and
(e)
such other persons as that Office considers appropriate.
35
      (2)
No notice is required to be given under sub-paragraph (1) to the
Secretary of State or the Scottish Ministers—
(a)
in the case of the Secretary of State, if the facility or
installation to which the relevant agreement relates is
situated wholly in Scotland; or
40
(b)
in the case of the Scottish Ministers, if the facility or
installation to which the relevant agreement relates is
situated wholly in England and Wales.
      (3)
A notice under this paragraph must set out—

Railways Bill
Schedule 4 — Reviews by ORR of access charges and licence conditions
89

(a)
the period to which the Office of Rail Regulation expects
the review to relate (‘the review period’);
(b)
the date by which the Secretary of State, the Scottish
Ministers or (as the case may be) each of them needs to
provide the information that has to be provided under
5
paragraph 1D; and
(c)
any conditions which that Office requires to be satisfied in
the period ending with that date if it is to proceed with the
review.
      (4)
The period set out under sub-paragraph (3)(a) must be the one
10
which—
(a)
begins with the time as from which the Office of Rail
Regulation expects that any changes resulting from the
review would fall to be implemented; and
(b)
ends with the time as from which it thinks it likely (in the
15
absence of special circumstances making an earlier review
appropriate) that any changes resulting from the next
access review in relation to the same agreement and licence
would fall to be implemented.
      (5)
The date set out under sub-paragraph (3)(b) must be not less than
20
the following period after the date of the notice—
(a)
in a case which the Office of Rail Regulation is satisfied is
a case of urgency, four weeks; and
(b)
in any other case, three months.
      (6)
Before setting out a date under sub-paragraph (3)(b) that is less
25
than three months after the date of the notice, the Office of Rail
Regulation must consult each of the persons to whom the notice is
to be given.
Duty to notify ORR about desired outputs and finances
1D    (1)
Where a notice under paragraph 1C is given to the Secretary of
30
State, he must provide the Office of Rail Regulation with—
(a)
information about what he wants to be achieved by
railway activities in Great Britain as a whole during the
review period; and
(b)
such information as it is reasonable for him to provide
35
about the public financial resources that are or are likely to
become available to be applied during the review period
for purposes that contribute (directly or indirectly)
towards the achievement of what he wants.
      (2)
Where a notice under paragraph 1C is given to the Scottish
40
Ministers (whether instead of or as well as to the Secretary of
State), they must provide the Office of Rail Regulation with—
(a)
information about what they want to be achieved by
Scottish railway activities during the review period; and
(b)
such information as it is reasonable for them to provide
45
about the public financial resources that are or are likely to
become available to be applied during that period for
purposes that contribute (directly or indirectly) towards
the achievement of what they want.

Railways Bill
Schedule 4 — Reviews by ORR of access charges and licence conditions
90

      (3)
The information that may be provided as falling within sub-
paragraph (1)(a) or (2)(a) includes objectives and standards to be
achieved in the course of carrying on railway activities.
      (4)
Those objectives and standards may include, in particular,
objectives and standards with respect to any of the following
5
matters—
(a)
the capacity (in terms of types and numbers of trains) of
networks;
(b)
the frequency of railway passenger services;
(c)
journey times;
10
(d)
reliability of railway services (both in terms of punctuality
and otherwise);
(e)
the taking of measures to prevent or mitigate
overcrowding;
(f)
levels and types of fares;
15
(g)
the quality of information provided to passengers;
(h)
the accessibility of railway services to people with
disabilities;
(i)
the carrying out of major projects to improve railway
services;
20
(j)
the protection of persons from dangers arising from the
operation of railways.
      (5)
In a case where information is also required to be provided by the
Scottish Ministers, the information that is required to be provided
by the Secretary of State does not include—
25
(a)
any information about what he wants to be achieved by
Scottish railway activities not relating to cross-border
services; or
(b)
information about any public financial resources so far as
they appear to him to be available, or to be likely to become
30
available, to be applied for purposes relating only to such
activities.
      (6)
An obligation of the Secretary of State or the Scottish Ministers to
provide information under this paragraph—
(a)
must be discharged before the date set out in the notice
35
given under paragraph 1C or, if a later date is fixed under
sub-paragraph (7), by that later date; but
(b)
may be discharged by a notification that refers that Office
to information previously provided under this paragraph.
      (7)
The Office of Rail Regulation may at any time, by notice to each of
40
the persons to whom the notice under paragraph 1C was given, fix
a later date for the provision of information under this paragraph.
      (8)
Neither—
(a)
the Secretary of State, nor
(b)
the Scottish Ministers,
45

are required to provide information for the purposes of a review
at any time after a decision has been made by the Office of Rail
Regulation not to proceed with the review because of an actual or