Section 57A Penalties.F1C1C2
England, Wales and Scotland
If the appropriate authority is satisfied that a relevant operator has contravened or is contravening—
a relevant condition or requirement, or
a final or provisional order made by the appropriate authority,
the appropriate authority may impose on the relevant operator a penalty of such amount as is reasonable.
The amount of a penalty imposed on a relevant operator may not exceed 10 per cent. of his turnover determined in accordance with an order made by the Secretary of State; and an order under this subsection shall not be made unless a draft of the statutory instrument containing it has been laid before and approved by a resolution of each House of Parliament.
No penalty may be imposed in respect of any contravention of a final or provisional order if provision was made in the order by virtue of section 55(7A) above in relation to the contravention.
F5Neither the Secretary of State nor the Scottish Ministers F6nor the Welsh Ministers shall impose a penalty on a licence holder or person under closure restrictions unless—
F7the Secretary of State, the Scottish Ministers or the Welsh Ministers (as the case may be) has or have given notice to F8the Office of Rail and Road specifying a period within which F9it may give notice to F10him or them if it considers that the most appropriate way of proceeding is under the M1Competition Act 1998;
that period has expired; and
the Office of Rail and Road has not given notice to F11the Secretary of State, the Scottish Ministers or the Welsh Ministers (as the case may be) within that period that it so considers (or, if it has, it has withdrawn it).
Before imposing a penalty under this section, the Office of Rail and Road shall consider whether it would be more appropriate to proceed under the Competition Act 1998.
The Office of Rail and Road shall not impose a penalty under this section if it considers that it would be more appropriate to proceed under the Competition Act 1998.
Annotations
Textual amendments
- F1
Ss. 57A-57F inserted (1.2.2001) by 2000 c. 38, s. 225(1) (with Sch. 28 paras. 6-8, 17); S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to savings and transitional provisions in Sch. 2 Pt. II)
- F2
S. 57A(2)(a)(b) substituted (24.7.2005 for certain purposes and 16.10.2005 for certain further purposes and 1.12.2006 in so far as not already in force) for words by Railways Act 2005 (c. 14), ss. 1, 60, Sch. 1 para. 23(2); S.I 2005/1909, {art. 1}, Sch.; S.I. 2005/2812, art. 2(1), Sch. 1; S.I. 2006/2911, art. 2, Sch. (subject to the transitional and saving provisions in arts. 3-7)
- F3
Word in s. 57A(2) omitted (14.10.2018 at 2.00 a.m.) by virtue of The Welsh Ministers (Transfer of Functions) (Railways) Order 2018 (S.I. 2018/631), art. 1(3), Sch. para. 15(2)
- F4
S. 57A(aa) inserted (14.10.2018 at 2.00 a.m.) by The Welsh Ministers (Transfer of Functions) (Railways) Order 2018 (S.I. 2018/631), art. 1(3), Sch. para. 15(2)
- F5
Words in s. 57A(5) substituted (24.7.2005 for certain purposes and 16.10.2005 for certain further purposes and 1.12.2006 in so far as not already in force) by Railways Act 2005 (c. 14), ss. 1, 60, Sch. 1 para. 23(3)(a); S.I 2005/1909, {art. 1}, Sch.; S.I. 2005/2812, art. 2(1), Sch. 1; S.I. 2006/2911, art. 2, Sch. (subject to the transitional and saving provisions in arts. 3-7)
- F6
Words in s. 57A(5) inserted (14.10.2018 at 2.00 a.m.) by The Welsh Ministers (Transfer of Functions) (Railways) Order 2018 (S.I. 2018/631), art. 1(3), Sch. para. 15(3)(a)
- F7
Words in s. 57A(5)(a) substituted (14.10.2018 at 2.00 a.m.) by The Welsh Ministers (Transfer of Functions) (Railways) Order 2018 (S.I. 2018/631), art. 1(3), Sch. para. 15(3)(b)
- F8
Words in ss. 57A(5)-(7) substituted (16.10.2015) by The Office of Rail Regulation (Change of Name) Regulations 2015 (S.I. 2015/1682), reg. 1(2), Sch. para. 1(ll)
- F9
Word in s. 57A substituted (5.7.2004) by Railways and Transport Safety Act 2003 (c. 20), ss. 16, 120, {Sch. 2 para. 3(b) Table}; S.I. 2004/827, art. 4(g)
- F10
Words in s. 57A(5)(a) substituted (24.7.2005 for certain purposes and 16.10.2005 for certain further purposes and 1.12.2006 in so far as not already in force) by Railways Act 2005 (c. 14), ss. 1, 60, Sch. 1 para. 23(3)(b); S.I 2005/1909, {art. 1}, Sch.; S.I. 2005/2812, art. 2(1), Sch. 1; S.I. 2006/2911, art. 2, Sch. (subject to the transitional and saving provisions in arts. 3-7)
- F11
Words in s. 57A(5)(c) substituted (14.10.2018 at 2.00 a.m.) by The Welsh Ministers (Transfer of Functions) (Railways) Order 2018 (S.I. 2018/631), art. 1(3), Sch. para. 15(3)(c)
- F12
S. 57A(6)(7) substituted for s. 57A(6) (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 14 para. 13; S.I. 2014/416, art. 2(1)(e) (with Sch.)
Marginal citations
- M1
Modifications
- C1
Ss. 55-58 applied (25.6.2010) by The Rail Passengers Rights and Obligations Regulations 2010 (S.I. 2010/1504), reg. 17
- C2
S. 57A applied (with modifications) (28.11.2005) by The Railway (Licensing of Railway Undertakings) Regulations 2005 (S.I. 2005/3050), reg. 15,{Sch. 3 para. 1(c)}
- C3
S. 57A(2)(3)(6)(7) modified (29.7.2016) by The Railways (Access, Management and Licensing of Railway Undertakings) Regulations 2016 (S.I. 2016/645), regs. 1(1), 38(3)(4) (with reg. 4)
Notes on Part I
Modifications
- C1
Pt. I (ss. 1-83) modified (18.12.1996) by 1996 c. 61, s. 21(6)
- C2
Pt. 1 (ss. 1-83) applied (S.) (27.4.2006) by Edinburgh Tram (Line Two) Act 2006 (asp. 6), s.78 (with s.75)
Pt. 1 (ss. 1-83) applied (S.) (8.5.2006) by Edinburgh Tram (Line One) Act 2006 (asp. 7), s.79 (with ss.76, 84)
Commencement
- I1
Pt. I (ss. 1-83) applied (1.4.1994) by 1993 c. 43, ss. 36(2) (inserting s. 10(1)(viiia) in 1968 c. 73); S.I. 1994/571, art. 5
Pt. I (ss. 1-83) applied (18.12.1996) by 1996 c. 61, s. 16(5)
Notes on Enforcement by the Office of Rail and Road and the Authority
Textual amendments
- F1
Words in s. 55 cross-heading substituted (16.10.2015) by virtue of The Office of Rail Regulation (Change of Name) Regulations 2015 (S.I. 2015/1682), Sch. para. 1
- F2
Words in the heading before section 55 substituted (1.2.2001) by 2000 c. 38, s. 215, Sch. 16 para. 35(5); S.I. 2001/57, art. 3(1), Sch. 2 Pt. I (subject to savings and transitional provisions in Sch. 2 Pt. II) (which S.I. was amended by S.I. 2001/115, art. 2(2))