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60

Railways Bill
Schedule 1 — Transfer etc. of functions of the Strategic Rail Authority
Part 1 — Transfer and abolition of functions

 

Schedules

Schedule 1

Section 1

 

Transfer etc. of functions of the Strategic Rail Authority

Part 1

Transfer and abolition of functions

5

Transfer to ORR of consumer protection and other functions relating to licensing

1     (1)  

In section 7 of the 1993 Act—

(a)   

in subsections (1) and (3) (consultation with SRA about exemptions),

omit “and the Authority”; and

(b)   

subsections (5A), (6A) and (8A) (consumer protection conditions)

10

shall cease to have effect.

      (2)  

In subsection (9) of that section, for “subsections (6) and (6A)” substitute

“subsection (6)”.

2          

Section 7A of the 1993 Act (consumer protection conditions) shall cease to

have effect.

15

3     (1)  

In section 8 of the 1993 Act (licences), in subsection (1)—

(a)   

in paragraph (a), omit “and the Authority”;

(b)   

in paragraph (b), omit “given after consultation with the Authority”.

      (2)  

In subsection (2) of that section, paragraph (a) shall cease to have effect.

      (3)  

In subsection (6) of that section (consent required for surrender of licence),

20

for “and the Authority consent” substitute “consents”.

      (4)  

In subsection (7) of that section—

(a)   

in paragraph (a), omit “, to the Authority”; and

(b)   

in paragraph (b), for “Authority” substitute “Secretary of State”.

      (5)  

In subsection (8) of that section, omit “and the Authority”.

25

4          

In section 11 of the 1993 Act (assignment of licences)—

(a)   

in subsection (2)(b), omit “and the Authority”;

(b)   

in subsection (4), omit “or persons”.

5     (1)  

In section 12 of the 1993 Act, subsections (1A) to (1C) (modification of

consumer protection conditions) shall cease to have effect.

30

      (2)  

In subsection (2) of that section, for “of any conditions of a licence that do not

relate to consumer protection” substitute “under this section”.

 

 

Railways Bill
Schedule 1 — Transfer etc. of functions of the Strategic Rail Authority
Part 1 — Transfer and abolition of functions

61

 

6          

In section 13 of the 1993 Act (modification references to Competition

Commission)—

(a)   

for “the appropriate authority”, wherever occurring, substitute “the

Office of Rail Regulation”; and

(b)   

subsections (1A) to (1C) shall cease to have effect.

5

7          

In section 13A of the 1993 Act (time limits under section 13), for “the

appropriate authority”, wherever occurring, substitute “the Office of Rail

Regulation”.

8          

In section 14 of the 1993 Act (reports on modification references)—

(a)   

for “the appropriate authority”, wherever occurring, substitute “the

10

Office of Rail Regulation”; and

(b)   

subsection (5A) shall cease to have effect.

9          

In section 15 of the 1993 Act (modification following report)—

(a)   

subsections (1B) and (3A) (reports to the SRA) shall cease to have

effect;

15

(b)   

in subsections (2), (4A), (4B), (4C) and (4D), omit “or Authority”

wherever occurring; and

(c)   

in subsection (4), omit “or (3A)” and “or the Authority”.

10    (1)  

This paragraph applies to things done under or for the purposes of any

provision of sections 13 to 15C of the 1993 Act (modification of licences) so

20

far as they were done before the commencement of this paragraph by or in

relation to the Strategic Rail Authority as the appropriate authority.

      (2)  

In relation to times after the commencement of this paragraph, those things

shall have effect, so far as necessary for giving them continuing validity or

effect, as if done by or in relation to the Office of Rail Regulation.

25

Transfers relating to the provision, improvement or development of railway facilities

11    (1)  

In sections 16A, 16C(3), 16D, 16E(2)(a), 16F(3)(a) and 16G of the 1993 Act

(directions by Office of Rail Regulation, on applications made by or with the

consent of the SRA, to provide, improve or develop railway facilities), for

“Authority”, wherever occurring, substitute “appropriate facilities

30

authority”.

      (2)  

In section 16A of that Act, in subsection (3), for “Authority’s consent”

substitute “consent of the appropriate facilities authority”.

      (3)  

In that section, after that subsection insert—

“(3A)   

In this section and sections 16B to 16G below ‘the appropriate

35

facilities authority’—

(a)   

in relation to facilities in Scotland, means the Scottish

Ministers; and

(b)   

in relation to any other facilities, means the Secretary of

State.”

40

      (4)  

In section 16B(1) and (4) of that Act (exemptions of facilities from section

16A), for “Secretary of State”, in each place, substitute, “appropriate facilities

authority”.

 

 

Railways Bill
Schedule 1 — Transfer etc. of functions of the Strategic Rail Authority
Part 1 — Transfer and abolition of functions

62

 

      (5)  

In section 16B of that Act, after subsection (6) insert—

“(7)   

A statutory instrument containing an order made under this section

by the Scottish Ministers shall be subject to annulment in pursuance

of a resolution of the Scottish Parliament.”

      (6)  

An exemption granted under subsection (1) of section 16B of that Act before

5

the commencement of this paragraph—

(a)   

which is in force at the time of the commencement of this paragraph

or is to come into force after that time, and

(b)   

is contained in an order the power to make which is exercisable after

that time by the Scottish Ministers,

10

           

is to have effect after that time as if contained in an order made by those

Ministers which is not subject to subsection (7) of that section.

Transfer of functions relating to access agreements

12    (1)  

In sections 17 to 19 of the 1993 Act (access agreements) except in sections

17(4) and 19(7), for “the Authority”, wherever occurring, substitute “the

15

Secretary of State”.

      (2)  

In each of sections 17(4) and 19(7) (references to operating on behalf of

SRA)—

(a)   

for “Authority”, where first occurring, substitute “Secretary of State”;

(b)   

for “Authority”, in the second place, substitute “Secretary of State or

20

the Scottish Ministers”; and

(c)   

for “the Authority”, in the third and fourth places, substitute “him or

them”.

      (3)  

In section 18(6A)(b) of that Act, for “its” substitute “his”.

Transfer of functions relating to franchise agreements

25

13    (1)  

In section 23 of the 1993 Act (passenger services to be subject to franchise

agreements), in subsections (1) and (2), for “Authority”, wherever occurring,

substitute “appropriate designating authority”.

      (2)  

After subsection (2) of that section insert—

“(2ZA)   

Where the Scottish Ministers designate Scotland-only services, they

30

may also designate cross-border services which—

(a)   

they consider should be provided under the same franchise

agreement as particular Scotland-only services or a particular

class of them; and

(b)   

are not exempt from designation under subsection (1) by

35

virtue of section 24.

(2ZB)   

Nothing in this section requires the Secretary of State to designate a

cross-border service already designated by the Scottish Ministers.

(2ZC)   

Before the Secretary of State or the Scottish Ministers designate a

cross-border service he or they must consult the other.”

40

      (3)  

Subsection (2B) of that section (publication of designations etc.) shall cease

to have effect.

      (4)  

In subsection (3) of that section—

 

 

Railways Bill
Schedule 1 — Transfer etc. of functions of the Strategic Rail Authority
Part 1 — Transfer and abolition of functions

63

 

(a)   

before the definition of “franchise agreement” insert—

“‘the appropriate designating authority’—

(a)   

in relation to Scotland-only services, means

the Scottish Ministers; and

(b)   

in relation to all other services, means the

5

Secretary of State;

‘the appropriate franchising authority’—

(a)   

in relation to a Scottish franchise agreement,

means the Scottish Ministers; and

(b)   

in relation to any other franchise agreement,

10

means the Secretary of State;”

(b)   

in the definition of “franchise agreement”, for “with the Authority”

substitute “with the Secretary of State, with the Scottish Ministers or

with the Secretary of State and the National Assembly for Wales

jointly,”.

15

      (5)  

Every designation made by the Strategic Rail Authority under section 23 of

the 1993 Act which is in force immediately before the commencement of sub-

paragraph (1) shall have effect after the commencement of that sub-

paragraph as a designation in accordance with that section—

(a)   

in the case of services that at that time were being provided under a

20

franchise agreement the franchised services under which consist of

or include Scotland-only services, by the Scottish Ministers; and

(b)   

in any other case, by the Secretary of State.

14    (1)  

Section 24 of the 1993 Act (franchise exemptions granted by the Secretary of

State) is amended as follows.

25

      (2)  

In subsections (1) to (5) and (9), for “Secretary of State”, wherever occurring,

substitute “appropriate designating authority”.

      (3)  

In subsection (3)(a) and (b), for “he” in each place substitute “the appropriate

designating authority”.

      (4)  

After subsection (3) insert—

30

“(3A)   

Before granting a franchise exemption in respect of a cross-border

service, the Secretary of State must consult the Scottish Ministers.”

      (5)  

In subsection (4), for “he”, in both places, substitute “it”.

      (6)  

In subsection (6), for “is not complied with, the Secretary of State” substitute

“granted by the appropriate designating authority is not complied with, it”.

35

      (7)  

In subsection (9), for “him”, in each place, substitute “it”.

      (8)  

After subsection (12) insert—

“(12A)   

A statutory instrument containing an order under this section by the

Scottish Ministers is subject to annulment in pursuance of a

resolution of the Scottish Parliament.”

40

15    (1)  

Section 26 of the 1993 Act (invitation to tender for franchises) is amended as

follows.

      (2)  

In subsection (1), for the words from the beginning to “Authority” substitute

“The appropriate franchising authority may select the person who is to be

the franchisee in relation to a franchise agreement”.

45

 

 

Railways Bill
Schedule 1 — Transfer etc. of functions of the Strategic Rail Authority
Part 1 — Transfer and abolition of functions

64

 

      (3)  

In subsections (2) and (3), for “Authority”, wherever occurring, substitute

“appropriate franchising authority”.

      (4)  

Subsection (4) shall cease to have effect.

      (5)  

For subsections (5) to (10) (statement by the Secretary of State about his

power to give directions) substitute—

5

“(4A)   

The Secretary of State and the Scottish Ministers shall each publish a

statement of policy about how he proposes, or (as the case may be)

they propose, to exercise the power under subsection (1) above.

(4B)   

The statement must in particular include the policy of the Secretary

of State or the Scottish Ministers about—

10

(a)   

when his or their selection of the person to be a franchisee

under a franchise agreement is likely to be from those

submitting tenders in response to an invitation to do so;

(b)   

when it is likely such an invitation will not be issued; and

(c)   

the means by which he is, or they are, proposing that the

15

selection will be made in cases where there is no such

invitation.

(4C)   

In deciding whether to select the person who is to be the franchisee

under a franchise agreement by means of an invitation to tender and

whom so to select, the appropriate franchising authority must have

20

regard to its statement of policy.

(4D)   

The Secretary of State or Scottish Ministers—

(a)   

may at any time alter or replace the statement of policy which

he has made or (as the case may be) which they have made;

and

25

(b)   

where that statement is altered or replaced, must publish the

altered or replacement statement.

(4E)   

Before preparing, altering or replacing a statement of policy—

(a)   

the Secretary of State must consult the National Assembly for

Wales and undertake such other consultation as he considers

30

appropriate; and

(b)   

the Scottish Ministers must undertake such consultation as

they consider appropriate.

(4F)   

Where a statement of policy is prepared, altered or replaced, a copy

of it must be laid—

35

(a)   

in the case of a statement prepared, altered or replaced by the

Secretary of State, before Parliament; and

(b)   

in the case of a statement prepared, altered or replaced by the

Scottish Ministers, before the Scottish Parliament.”

      (6)  

The fact that a statement of policy has not been published by any person

40

under section 26(4A) of the 1993 Act does not affect the validity of any

selection made as mentioned in section 26(1) of that Act.

16         

For sections 26A, 26B and 26C of the 1993 Act (directions of the Secretary of

 

 

Railways Bill
Schedule 1 — Transfer etc. of functions of the Strategic Rail Authority
Part 1 — Transfer and abolition of functions

65

 

State where no tenders or tenders appear unsatisfactory) substitute—

“26ZA   

 No adequate tender for franchise received

(1)   

This section applies in the case of an invitation to tender under

section 26 for the provision of services if—

(a)   

the appropriate franchising authority receives no tender in

5

response to the invitation; or

(b)   

it receives a tender but considers that the services would be

provided more economically and efficiently if they were

provided otherwise than under a franchise agreement

entered into in response to the tender.

10

(2)   

The appropriate franchising authority may —

(a)   

issue a new invitation to tender under section 26 for the

provision of the services;

(b)   

decide to secure the provision of the services under a

franchise agreement with a person who did not submit a

15

tender; or

(c)   

decide not to seek to secure the provision of the services

under a franchise agreement.

(3)   

Nothing in this section prevents the appropriate franchising

authority, where it has decided not to seek to secure the provision of

20

services under a franchise agreement, from subsequently making a

decision to issue a new invitation to tender for the provision of those

services.”

17    (1)  

In section 27 of the 1993 Act (transfer of franchise assets or shares), for

“Authority”, wherever occurring, substitute “appropriate franchising

25

authority”.

      (2)  

In subsection (8) and (9) of that section, for “Schedule 21 to the Transport Act

2000” substitute “section 12 of the Railways Act 2005”.

18    (1)  

In section 28 of the 1993 Act (fares and approved discount fare schemes), in

subsection (2), for “Authority”, substitute “appropriate franchising

30

authority”.

      (2)  

In subsection (4)—

(a)   

after “regarded” insert “, in relation to a franchise agreement,”; and

(b)   

for “Authority” substitute “appropriate franchising authority”.

      (3)  

Discount fare schemes which immediately before the commencement of this

35

paragraph are approved for the purposes of section 28 of the 1993 Act are to

be treated after the commencement of this paragraph as approved for the

purposes of that section by the appropriate franchising authority.

19         

In section 29 of the 1993 Act (other terms and conditions of franchise

agreements), for “Authority”, wherever occurring, substitute “appropriate

40

franchising authority”.

Transfer of functions as operator of last resort

20    (1)  

In section 30 of the 1993 Act (operator of last resort to provide or secure

provision of service where no franchise agreement), for “Authority”,

wherever occurring, substitute “relevant franchising authority”.

45

 

 

Railways Bill
Schedule 1 — Transfer etc. of functions of the Strategic Rail Authority
Part 1 — Transfer and abolition of functions

66

 

      (2)  

Subsection (1)(a) shall cease to have effect.

      (3)  

In subsection (2), for “begin (or again begin) to be provided” substitute

“begin to be provided again”.

      (4)  

After subsection (3) of that section, insert—

“(3A)   

For the purposes of this section the Secretary of State and the Scottish

5

Ministers shall each have power—

(a)   

to provide or operate network services, station services or

light maintenance services; or

(b)   

to store goods or consign them from a place to which they

have been carried by rail;

10

   

and the Scottish Ministers shall have power to provide Scotland-only

services and cross-border services.

(3B)   

In this section ‘relevant franchising authority’ means the person who

was the appropriate franchising authority in relation to the franchise

agreement that has been terminated or otherwise come to an end.”

15

      (5)  

Where immediately before the commencement of this paragraph any service

is being provided or secured by the Secretary of State by virtue of section 30

of the 1993 Act, that section is to have effect after the commencement of this

paragraph as if—

(a)   

the condition in subsection (1)(b) of that section were satisfied; and

20

(b)   

the relevant franchising authority were—

(i)   

except where sub-paragraph (ii) applies, the Secretary of

State; and

(ii)   

where the franchised services under the franchise agreement

in accordance with which the services in question were last

25

provided included Scotland-only services, the Scottish

Ministers.

Transfer etc. of functions relating to enforcement

21    (1)  

Section 55 of the 1993 Act (orders for securing compliance) is amended as

follows.

30

      (2)  

In subsections (1), (2) and (4), for “(5B)”, in each place, substitute “(5C)”.

      (3)  

In subsection (5), omit “or, as the case may be, section 207 of the Transport

Act 2000”.

      (4)  

In subsection (5ZA)—

(a)   

for “The Authority shall not” substitute “Neither the Secretary of

35

State nor the Scottish Ministers shall”;

(b)   

in paragraph (a), for “it has” and “the Authority” substitute,

respectively “the Secretary of State has or (as the case may be) those

Ministers have” and “him or them”; and

(c)   

in paragraph (c), for “the Authority” substitute “the Secretary of State

40

or (as the case may be) the Scottish Ministers”.

      (5)  

After subsection (5B) insert—

“(5C)   

Neither the Secretary of State nor the Scottish Ministers shall be

required, in respect of any contravention or apprehended

contravention of the terms of a franchise agreement, to make a final

45

 

 

 
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