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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.”

 

 

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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.

 

 

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

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      (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

 

 

 
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