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

88

 

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.

 

 

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

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      (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—

 

 

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

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(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

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

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expected failure of the conditions set out under paragraph 1C(3)(c)

to be satisfied.

      (9)  

In this paragraph ‘railway activities’ means activities consisting

in, or involving, any of the following—

(a)   

providing railway services;

5

(b)   

making available railway facilities;

(c)   

making use of such facilities;

(d)   

using railway assets;

(e)   

allowing others to use such assets.

     (10)  

In this paragraph ‘Scottish railway activities’ means activities

10

which are railway activities by reference only to—

(a)   

railway services which begin and end in Scotland;

(b)   

railway services in relation to which financial assistance is

provided by the Scottish Ministers and which (without

falling within paragraph (a)) begin or end in Scotland;

15

(c)   

railway facilities that are situated in Scotland; or

(d)   

railway assets so situated.

     (11)  

In this paragraph ‘public financial resources’ means any of the

following—

(a)   

money charged on and payable out of the Consolidated

20

Fund;

(b)   

money provided by Parliament;

(c)   

money payable out of the Scottish Consolidated Fund.

Suggestions about future reviews

1E         

Where the Secretary of State or the Scottish Ministers provide the

25

Office of Rail Regulation with information under paragraph 1D,

he or they may also, at the same time, make a suggestion to that

Office setting out his or their opinion about—

(a)   

when the next access charges review should be undertaken

in relation to both the access agreement in question and

30

every linked licence; and

(b)   

the circumstances in which it would be appropriate to

undertake such a review before that time.

Revision of outputs and financial information

1F    (1)  

If, at any time in the course of an access charges review, it appears

35

to the Office of Rail Regulation that—

(a)   

the information that has been provided to it by the

Secretary of State or the Scottish Ministers under

paragraph 1D, or

(b)   

the information, taking it all together, that has been so

40

provided by the Secretary of State and the Scottish

Ministers,

           

shows that the public financial resources that are or are likely to

become available will be inadequate to secure the achievement of

what he or they, or both of them, want to be achieved, that Office

45

 

 

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

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must so notify the Secretary of State or the Scottish Ministers or (as

the case may be) each of them.

      (2)  

The Office of Rail Regulation must send a copy of every

notification under sub-paragraph (1) to the Treasury.

      (3)  

On being notified under sub-paragraph (1), the Secretary of State

5

or the Scottish Ministers or (as the case may be) each of them—

(a)   

may revise any information provided to the Office of Rail

Regulation, together with any suggestion made under

paragraph 1E; and

(b)   

if the information or such a suggestion is revised, must

10

notify the revisions to that Office.

      (4)  

Any notification under sub-paragraph (3) must be given within

whatever period is specified by the Office of Rail Regulation when

notifying the Secretary of State or Scottish Ministers in accordance

with sub-paragraph (1).

15

      (5)  

Where the Office of Rail Regulation has already given a

notification under this paragraph with respect to any information,

it is required to give a further notification under this paragraph

with respect to that information, or any revision of it, only if—

(a)   

a revision has been made in response to its previous

20

notification; and

(b)   

it has not previously given a notification in respect of an

earlier revision of the information.

Duty to have regard to information about desired outputs and finances etc

1G    (1)  

The Office of Rail Regulation must conduct an access charges

25

review in the manner that it considers is most likely to secure that

the implementation of the review will make the best and most

practicable contribution to the achievement of—

(a)   

what the Secretary of State wants to be achieved by railway

activities in Great Britain as a whole; and

30

(b)   

what the Scottish Ministers want to be achieved by Scottish

railway activities.

      (2)  

Where in the case of an access charges review the Office of Rail

Regulation considers (notwithstanding any notification or

revision under paragraph 1F) that the public financial resources

35

that are or are likely to become available will be inadequate to

secure the achievement of, as the case may be—

(a)   

everything that the Secretary of State wants to be achieved,

(b)   

everything that the Scottish Ministers want to be achieved,

or

40

(c)   

everything that both the Secretary of State and the Scottish

Ministers want to be achieved,

           

it is to be for that Office to determine, for the purposes of the

review, how much of what is wanted should be achieved using

(but only for the purposes for which they may be applied) all the

45

public financial resources that it considers are or are likely to be

available.

 

 

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

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      (3)  

In considering the matters mentioned in paragraph 1A(3), the

Office of Rail Regulation must have regard to any suggestion

made under paragraph 1E, and to any revision of that suggestion.

      (4)  

For the purposes of this paragraph—

(a)   

expressions used in this paragraph and in paragraph 1D

5

have the same meanings in this paragraph as in that;

(b)   

what the Secretary of State or the Scottish Ministers want

must be determined in every case in accordance with the

information provided in that case under paragraph 1D,

and with any revisions notified under paragraph 1F(3)(b);

10

and

(c)   

the Office of Rail Regulation must have regard to the

financial information so provided and revised whenever

considering what is likely to make the best and most

practicable contribution to the achievement of what the

15

Secretary of State or the Scottish Ministers want.”

Repeal of paragraph 3

3          

Paragraph 3 (which provides for consideration of when the next review

should be undertaken) shall cease to have effect.

Implementation notice

20

4     (1)  

In paragraph 4 (review notice), after sub-paragraph (2) insert—

   “(2A)  

Before giving a review notice specifying modifications of a linked

licence that are proposed for purposes connected with securing—

(a)   

what the Secretary of State has informed the Office of Rail

Regulation he wants to be achieved by any railway

25

activities, or

(b)   

what the Scottish Ministers have informed that Office they

want to be achieved by any such activities,

           

that Office must consult the Secretary of State or (as the case may

be) those Ministers.”

30

      (2)  

In sub-paragraph (4) of that paragraph, before paragraph (a) insert—

“(za)   

if the Secretary of State was given notice of the review

under paragraph 1C, the Secretary of State;

(zb)   

if the Scottish Ministers were given notice of the review

under that paragraph, those Ministers;

35

(zc)   

the Treasury;”.

Termination notice

5          

In paragraph 6(3) (service of termination notice), before paragraph (a)

insert—

“(za)   

if the Secretary of State was given notice of the review

40

under paragraph 1C, the Secretary of State;

(zb)   

if the Scottish Ministers were given notice of the review

under that paragraph, those Ministers;”.

 

 

 
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