Section 179
1
(1)
10A regulated rail vehicle which is prescribed, or is of a prescribed class or
description, must not be used for carriage unless a compliance certificate is
in force for the vehicle.
(2)
A “compliance certificate” is a certificate that the Secretary of State is
satisfied that the regulated rail vehicle conforms with the provisions of rail
15vehicle accessibility regulations with which it is required to conform.
(3) A compliance certificate is subject to such conditions as are specified in it.
(4)
A compliance certificate may not be issued for a rail vehicle unless the
Secretary of State has been provided with a report of a compliance
assessment of the vehicle.
(5)
20A “compliance assessment” is an assessment of a rail vehicle against
provisions of rail vehicle accessibility regulations with which the vehicle is
required to conform.
(6)
If a regulated rail vehicle is used for carriage in contravention of sub-
paragraph (1), the Secretary of State may require the operator of the vehicle
25to pay a penalty.
(7)
The Secretary of State must review a decision not to issue a compliance
certificate if before the end of the prescribed period the applicant—
(a) asks the Secretary of State to review the decision, and
(b) pays any fee fixed under paragraph 4.
(8)
30For the purposes of the review, the Secretary of State must consider any
representations made by the applicant in writing before the end of the
prescribed period.
2 (1) Regulations may make provision as to compliance certificates.
(2) 35The regulations may (in particular) include provision—
(a) as to applications for and issue of certificates;
(b) specifying conditions to which certificates are subject;
(c) as to the period for which a certificate is in force;
(d) as to circumstances in which a certificate ceases to be in force;
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(e) dealing with failure to comply with a specified condition;
(f)
for the examination of rail vehicles in respect of which applications
have been made;
(g)
with respect to the issue of copies of certificates in place of those
5which have been lost or destroyed.
3 (1) Regulations may make provision as to compliance assessments.
(2) The regulations—
(a)
may make provision as to the person who has to have carried out the
10assessment;
(b)
may (in particular) require that the assessment be one carried out by
a person who has been appointed by the Secretary of State to carry
out compliance assessments (an “appointed assessor”).
(3)
For the purposes of any provisions in the regulations made by virtue of sub-
15paragraph (2)(b), the regulations—
(a)
may make provision about appointments of appointed assessors,
including (in particular)—
(i)
provision for an appointment to be on application or
otherwise than on application;
(ii) 20provision as to who may be appointed;
(iii) provision as to the form of applications for appointment;
(iv)
provision as to information to be supplied with applications
for appointment;
(v)
provision as to terms and conditions, or the period or
25termination, of an appointment;
(vi)
provision for terms and conditions of an appointment,
including any as to its period or termination, to be as agreed
by the Secretary of State when making the appointment;
(b)
may make provision authorising an appointed assessor to charge
30fees in connection with, or incidental to, the carrying out of a
compliance assessment, including (in particular)—
(i) provision restricting the amount of a fee;
(ii) provision authorising fees that contain a profit element;
(iii) provision for advance payment of fees;
(c)
35may make provision requiring an appointed assessor to carry out a
compliance assessment, and to do so in accordance with any
procedures that may be prescribed, if prescribed conditions (which
may include conditions as to the payment of fees to the assessor) are
satisfied;
(d)
40must make provision for the referral to the Secretary of State of
disputes between—
(i)
an appointed assessor carrying out a compliance assessment,
and
(ii) the person who requested the assessment,
45relating to which provisions of rail vehicle accessibility regulations
the vehicle is to be assessed against or to what amounts to conformity
with any of those provisions.
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(4)
For the purposes of sub-paragraph (3)(b) to (d) a compliance assessment
includes pre-assessment activities (for example, a consideration of how the
outcome of a compliance assessment would be affected by the carrying out
of particular proposed work).
4
(1)
The Secretary of State may charge such fees, payable at such times, as are
prescribed in respect of—
(a) applications for, and the issue of, compliance certificates;
(b) copies of compliance certificates;
(c) 10reviews under paragraph 1(7);
(d)
referrals of disputes under provision made by virtue of paragraph
3(3)(d).
(2)
Fees received by the Secretary of State must be paid into the Consolidated
Fund.
(3)
15Regulations under this paragraph may make provision for the repayment of
fees, in whole or in part, in such circumstances as are prescribed.
(4)
Before making regulations under this paragraph the Secretary of State must
consult such representative organisations as the Secretary of State thinks fit.
5
(1)
20If the Secretary of State thinks that a regulated rail vehicle does not conform
with a provision of rail vehicle accessibility regulations with which it is
required to conform, the Secretary of State may give the operator of the
vehicle a notice—
(a)
identifying the vehicle, the provision and how the vehicle fails to
25conform;
(b) specifying the improvement deadline.
(2)
The improvement deadline may not be earlier than the end of the prescribed
period beginning with the day the notice is given.
(3) Sub-paragraph (4) applies if—
(a) 30the Secretary of State has given a notice under sub-paragraph (1),
(b) the improvement deadline specified in the notice has passed, and
(c)
the Secretary of State thinks that the vehicle still does not conform
with the provision identified in the notice.
(4) The Secretary of State may give the operator a further notice—
(a)
35identifying the vehicle, the provision and how the vehicle fails to
conform;
(b) specifying the final deadline.
(5)
The final deadline may not be earlier than the end of the prescribed period
beginning with the day the further notice is given.
(6) 40The Secretary of State may require the operator to pay a penalty if—
(a) the Secretary of State has given notice under sub-paragraph (4), and
(b)
the vehicle is used for carriage at a time after the final deadline when
the vehicle does not conform with the provision identified in the
notice.
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6
(1)
If the Secretary of State thinks that a regulated rail vehicle has been used for
carriage otherwise than in conformity with a provision of rail vehicle
accessibility regulations with which the use of the vehicle is required to
5conform, the Secretary of State may give the operator of the vehicle a
notice—
(a) identifying the provision and how it was breached;
(b)
identifying each vehicle operated by the operator that is covered by
the notice;
(c) 10specifying the improvement deadline.
(2)
The improvement deadline may not be earlier than the end of the prescribed
period beginning with the day the notice is given.
(3) Sub-paragraph (4) applies if—
(a) the Secretary of State has given a notice under sub-paragraph (1),
(b) 15the improvement deadline specified in the notice has passed, and
(c)
the Secretary of State thinks that a vehicle covered by the notice has
after that deadline been used for carriage otherwise than in
conformity with the provision identified in the notice.
(4) The Secretary of State may give the operator a further notice—
(a) 20identifying the provision and how it was breached;
(b)
identifying each vehicle operated by the operator that is covered by
the further notice;
(c) specifying the final deadline.
(5)
The final deadline may not be earlier than the end of the prescribed period
25beginning with the day the further notice is given.
(6) The Secretary of State may require the operator to pay a penalty if—
(a) the Secretary of State has given notice under sub-paragraph (4), and
(b)
a vehicle covered by the notice is at a time after the final deadline
used for carriage otherwise than in conformity with the provision
30identified in the notice.
7
(1)
If the condition in sub-paragraph (2) is satisfied, a person authorised by the
Secretary of State (an “inspector”) may inspect a regulated rail vehicle for
conformity with provisions of the accessibility regulations with which it is
35required to conform.
(2) The condition is that the Secretary of State—
(a)
has reasonable grounds for suspecting that the vehicle does not
conform with such provisions, or
(b) has given a notice under paragraph 5(1) or (4) relating to the vehicle.
(3)
40For the purpose of exercising the power under sub-paragraph (1) an
inspector may—
(a)
enter premises if the inspector has reasonable grounds for suspecting
that the vehicle is at the premises;
(b) enter the vehicle;
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(c)
require any person to afford such facilities and assistance with
respect to matters under the person’s control as are necessary to
enable the inspector to exercise the power.
(4)
An inspector must, if required to do so, produce evidence of the Secretary of
5State’s authorisation.
(5)
For the purposes of paragraph 5(1) the Secretary of State may draw such
inferences as appear proper from any obstruction of the exercise of the
power under sub-paragraph (1).
(6)
Sub-paragraphs (7) and (8) apply if the power under sub-paragraph (1) is
10exercisable by virtue of sub-paragraph (2)(b).
(7)
The Secretary of State may treat paragraph 5(3)(c) as satisfied in relation to
a vehicle if—
(a)
the inspector takes steps to exercise the power after a notice is given
under paragraph 5(1) but before a notice is given under paragraph
155(4), and
(b) a person obstructs the exercise of the power.
(8)
The Secretary of State may require the operator of a vehicle to pay a penalty
if—
(a)
the operator, or a person acting on the operator’s behalf,
20intentionally obstructs the exercise of the power, and
(b)
the obstruction occurs after a notice has been given under paragraph
5(4) in respect of the vehicle.
(9) In this paragraph “inspect” includes test.
8
(1)
25For the purposes of paragraph 5 the Secretary of State may give notice to a
person requiring the person to supply the Secretary of State by a time
specified in the notice with a vehicle number or other identifier for a rail
vehicle—
(a) of which the person is the operator, and
(b) 30which is specified in the notice.
(2)
The time specified may not be earlier than the end of the period of 14 days
beginning with the day the notice is given.
(3)
If the person does not comply with the notice, the Secretary of State may
require the person to pay a penalty.
(4)
35If the Secretary of State has given a notice to a person under paragraph 5(1)
or 6(1), the Secretary of State may request the person to supply the Secretary
of State, by a time specified in the request, with a statement detailing the
steps taken in response to the notice.
(5) The time specified may not be earlier than the improvement deadline.
(6)
40The Secretary of State may treat paragraph 5(3)(c) or (as the case may be)
paragraph 6(3)(c) as being satisfied in relation to a vehicle if a request under
sub-paragraph (4) is not complied with by the time specified.
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9
(1)
In this paragraph and paragraphs 10 to 12 “penalty” means a penalty under
this Schedule.
(2) The amount of a penalty must not exceed whichever is the lesser of—
(a) 5the maximum prescribed for the purposes of this sub-paragraph;
(b) 10% of the turnover of the person on whom it is imposed.
(3) Turnover is to be determined by such means as are prescribed.
(4)
A penalty must be paid to the Secretary of State before the end of the
prescribed period.
(5)
10A sum payable as a penalty may be recovered as a debt due to the Secretary
of State.
(6) In proceedings for recovery of a penalty no question may be raised as to—
(a) liability to the penalty;
(b) its amount.
(7)
15Sums paid to the Secretary of State as a penalty must be paid into the
Consolidated Fund.
10
(1)
The Secretary of State must issue a code of practice specifying matters to be
considered in determining the amount of a penalty.
(2) 20The Secretary of State may—
(a) revise the whole or part of the code;
(b) issue the code as revised.
(3)
Before issuing the code the Secretary of State must lay a draft of it before
Parliament.
(4)
25After laying the draft before Parliament, the Secretary of State may bring the
code into operation by order.
(5)
The Secretary of State must have regard to the code and any other relevant
matter—
(a) when imposing a penalty;
(b) 30when considering an objection under paragraph 11.
(6)
In sub-paragraphs (3) to (5) a reference to the code includes a reference to the
code as revised.
11
(1)
If the Secretary of State decides that a person is liable to a penalty the
35Secretary of State must notify the person.
(2) The notification must—
(a) state the Secretary of State’s reasons for the decision;
(b) state the amount of the penalty;
(c)
specify the date by which and manner in which the penalty must be
40paid;
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(d) explain how the person may object to the penalty.
(3)
The person may give the Secretary of State notice of objection to the penalty
on the ground that—
(a) the person is not liable to the penalty, or
(b) 5the amount of the penalty is too high.
(4) A notice of objection must—
(a) be in writing;
(b) give the reasons for the objection;
(c)
be given before the end of the period prescribed for the purposes of
10this sub-paragraph.
(5) On considering a notice of objection the Secretary of State may—
(a) cancel the penalty;
(b) reduce the amount of the penalty;
(c) do neither of these things.
(6)
15The Secretary of State must inform the objector of the decision under sub-
paragraph (5) before the end of the period prescribed for the purposes of this
sub-paragraph (or such longer period as is agreed with the objector).
12 (1) A person may appeal to the court against a penalty on the ground that—
(a) 20the person is not liable to the penalty;
(b) the amount of the penalty is too high.
(2) The court may—
(a) allow the appeal and cancel the penalty;
(b) allow the appeal and reduce the amount of the penalty;
(c) 25dismiss the appeal.
(3)
An appeal under this section is a re-hearing of the Secretary of State’s
decision and is to be determined having regard to—
(a)
any code of practice under paragraph 10 which has effect at the time
of the appeal;
(b)
30any other matter which the court thinks is relevant (whether or not
the Secretary of State was aware of it).
(4) An appeal may be brought under this section whether or not—
(a) the person has given notice of objection under paragraph 11(3);
(b) the penalty has been reduced under paragraph 11(5).
(5) 35In this section “the court” is—
(a) in England and Wales, a county court;
(b) in Scotland, the sheriff.
(6) The sheriff may transfer the proceedings to the Court of Session.
(7)
If the sheriff makes a determination under sub-paragraph (2), a party to the
40proceedings may appeal against the determination on a point of law to—
(a) the Sheriff Principal, or
(b) the Court of Session.
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13 (1) Section 181 has effect—
(a) as if a compliance certificate were a “relevant document”;
(b) as if subsection (4) included a reference to a compliance certificate.
(2)
5A person commits an offence by pretending, with intent to deceive, to be a
person authorised to exercise a power under paragraph 7.
(3)
A person guilty of an offence under sub-paragraph (2) is liable on summary
conviction to a fine not exceeding level 4 on the standard scale.
14
10A power to make regulations under this Schedule is exercisable by the
Secretary of State.
15 (1) In this Schedule—
“compliance assessment” has the meaning given in paragraph 1(5);
15“compliance certificate” has the meaning given in paragraph 1(2);
“operator”, in relation to a rail vehicle, means the person having the
management of the vehicle.
(2)
If an exemption order under section 176 authorises the use of a rail vehicle
even though the vehicle does not conform with a provision of rail vehicle
20accessibility regulations, a reference in this Schedule to provisions of rail
vehicle accessibility regulations with which the vehicle is required to
conform does not, in relation to the vehicle, include a reference to that
provision.