Source: http://www.legislation.gov.uk/ukpga/1993/43/schedule/4A
Timestamp: 2018-10-22 02:45:26
Document Index: 301312770

Matched Legal Cases: ['art. 2', 'art. 4', 'art. 4', 'art. 2', 'art. 2', 'art. 2', 'art. 4', 'art. 2', 'art. 2', 'art. 2', 'art. 2', 'art. 2', 'art. 4', 'art. 2', 'art. 2', 'art. 2', 'art. 2', 'art. 2', 'art. 2', 'art. 4', 'art. 2', 'art. 2', 'art. 2', 'art. 2', 'art. 2', 'art 3', 'art 3', 'art. 3', 'art. 3', 'art. 3', 'art. 3', 'art. 3', 'art. 2', 'art. 2', 'art. 2', 'art. 2', 'art. 2', 'art. 2', 'art. 2', 'art. 2', 'art. 2', 'art. 4', 'art. 2', 'art. 4', 'art. 2', 'art. 2', 'art. 2', 'art. 2', 'art. 2', 'art. 2', 'art. 2', 'art. 2', 'art. 2', 'art. 2', 'art. 2', 'art. 2', 'art. 2', 'art. 2', 'art 3', 'art 3', 'art. 2', 'art. 2', 'art. 3', 'art. 2', 'art. 3', 'art. 3', 'art. 2', 'art. 2', 'art. 2', 'art. 2', 'art. 2', 'art. 4', 'art. 2']

[F3Application of ScheduleE+W+S
1This Schedule applies where an access agreement provides, or is treated as providing, for [F4the Office of Rail and Road] to undertake reviews of the terms of that agreement as to—E+W+S
F4Words in Sch. 4A para. 1 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(ccc)(i)
1A(1)Where [F2the Office of Rail and Road] undertakes such a review, it must, at the same time, review the conditions of every linked licence both—E+W+S
1BWhere—E+W+S
(a)the Secretary of State or the Scottish Ministers suggest to [F2the Office of Rail and Road] that an access charges review should be carried out in any case, but
1C(1)Before beginning an access charges review, [F2the Office of Rail and Road] must give notice of its proposal to undertake the review to each of the following—E+W+S
(a)the period to which [F2the Office of Rail and Road] expects the review to relate (“the review period”);
(a)begins with the time as from which [F2the Office of Rail and Road] expects that any changes resulting from the review would fall to be implemented; and
(a)in a case which [F2the Office of Rail and Road] is satisfied is a case of urgency, four weeks; and
(6)Before setting out a date under sub-paragraph (3)(b) that is less than three months after the date of the notice, [F2the Office of Rail and Road] must consult each of the persons to whom the notice is to be given.
1EWhere the Secretary of State or the Scottish Ministers provide [F2the Office of Rail and Road] 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—E+W+S
1F(1)If, at any time in the course of an access charges review, it appears to [F2the Office of Rail and Road] that—E+W+S
1G(1)If, at any time in the course of an access charges review, it appears to [F2the Office of Rail and Road] that it is likely that the implementation of the review will adversely affect the interests of persons providing railway passenger services or of persons providing services for the carriage of goods by railway, that Office must so notify—E+W+S
(2)Where [F2the Office of Rail and Road] gives a notification under sub-paragraph (1) in respect of a review relating to an access agreement to which a facility owner is a party, the notification must include—
(a)may revise any information provided under paragraph 1D to [F2the Office of Rail and Road], together with any suggestion made under paragraph 1E; and
(4)Any notification under sub-paragraph (3) must be given within whatever period is specified by [F2the Office of Rail and Road] when notifying the Secretary of State or the Scottish Ministers in accordance with sub-paragraph (1).
(5)Where [F2the Office of Rail and Road] has already given a notification under this paragraph, it is required to give a further notification under this paragraph only if—
3F5. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .E+W+S
F5Sch. 4A para. 3 repealed (29.1.2007) by Railways Act 2005 (c. 14), ss. 4, 59, 60, Sch. 4 para. 3 {Sch. 13 Pt. 1} (with s. 14(4)(5), Sch. 11 para. 11(2)); S.I. 2007/62, art. 2
4(1)The implementation of an access charges review shall be initiated by [F6the Office of Rail and Road] giving notice (a “review notice")—E+W+S
(a)stating [F7its] conclusions on the access charges review and the reasons why [F8it] reached those conclusions;
(b)specifying the relevant changes which [F8it] proposes to make for or in connection with giving effect to those conclusions;
(c)stating, in relation to each of the proposed relevant changes, the date on which [F8it] proposes that it should come into operation; and
[F9(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 [F6the Office of Rail and Road] he wants to be achieved by any railway activities, or
(a)by publishing it in such manner as [F6the Office of Rail and Road] considers appropriate for the purpose of bringing it to the attention of persons likely to be affected by the proposed relevant changes; and
[F10(za)if the Secretary of State was given notice of the review under paragraph 1C, the Secretary of State;
(b)any other person who has an estate or interest in, or right over, the railway facility or network installation to which the access agreement relates and who [F6the Office of Rail and Road] considers ought to be given a copy; and
F6Words in Sch. 4A paras. 4-9 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(ccc)(ii)
F7Word in Sch. 4A substituted (5.7.2004) by Railways and Transport Safety Act 2003 (c. 20), ss. 16, 120, {Sch. 2 para. 3(c) Table}; S.I. 2004/827, art. 4(g)
F8Word in Sch. 4A 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)
F9Sch. 4A para. 4(2A) inserted (29.1.2007) by Railways Act 2005 (c. 14), ss. 4, 60, Sch. 4 para. 4(1); S.I. 2007/62, art. 2
F10Sch. 4A para. 4(4)(za)-(zc) inserted (29.1.2007) by Railways Act 2005 (c. 14), ss. 4, 60, Sch. 4 para. 4(2); S.I. 2007/62, art. 2
5(1)If no objections are duly made by a person within paragraph 4(4)(a) or (b) above (or any that are so made are withdrawn), [F6the Office of Rail and Road] shall give notice (a “notice of agreement") stating that fact.E+W+S
[F11(za)if the Secretary of State was given notice of the review under paragraph 1C, the Secretary of State;
(c)[F6the Office of Rail and Road].
F11Sch. 4A para. 6(3)(za)(zb) inserted (29.1.2007) by Railways Act 2005 (c. 14), ss. 4, 60, Sch. 4 para. 5; S.I. 2007/62, art. 2
Review implementation noticeE+W+S
(a)if he has not given a termination notice (or has withdrawn any notice which he has given), [F6the Office of Rail and Road] shall (unless [F12it] acts under paragraph 8(2) below) give a review implementation notice; or
(b)if he has given (and not withdrawn) a termination notice, [F6the Office of Rail and Road] may give such a notice.
(2)A review implementation notice is a notice stating that [F6the Office of Rail and Road]’s conclusions on the access charges review are to be implemented as proposed in the review notice.
(a)specify the relevant changes which [F6the Office of Rail and Road] is making; and
(a)by publishing it in such manner as [F6the Office of Rail and Road] considers appropriate for the purpose of bringing it to the attention of persons likely to be affected by the relevant changes; and
(b)by serving a copy on the persons on whom a copy of the review notice was served, F13. . . .
F12Word in Sch. 4A 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)
F13Words in Sch. 4A para. 7(4)(b) repealed (1.4.2006 for certain purposes and 1.12.2006 in so far as not already in force) by Railways Act 2005 (c. 14), ss. 59, 60, Sch. 13 Pt. 1 (with s. 14(4)(5), Sch. 11 para. 11(2)); S.I. 2006/266, art. 2(2), Sch. ; S.I. 2006/2911, art. 2, Sch. (subject to the transitional and saving provisions in arts. 3-7)
New review notice or [F14reference to CMA] E+W+S
F14Words in Sch. 4A para. 8 cross-heading substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 6 para. 81(2); S.I. 2014/416, art. 2(1)(d) (with Sch.)
(2)[F6the Office of Rail and Road] may—
(b)make a reference to the [F15CMA] under paragraph 9 below.
(b)one review notice is similar to another if they make provision which, in the opinion of [F6the Office of Rail and Road], is to broadly the same effect.
(4)Before acting under sub-paragraph (1) above, [F6the Office of Rail and Road] shall consider the objections referred to in that sub-paragraph.
[F16(4A)Paragraph 1H applies to the making of any determination by [F6the Office of Rail and Road] of what should be included in a new review notice to be given under this paragraph as it applies to the conduct of an access charges review.]
(5)If [F6the Office of Rail and Road] gives a new review notice under paragraph 4 above by virtue of sub-paragraph (2)(a) above, the references in that paragraph and paragraph 7(2) above to [F17its] conclusions on the access charges review shall be read in relation to the new notice as references to those conclusions as modified since the previous review notice (in particular as the result of any objections or representations made in relation to it).
F15Word in Sch. 4A para. 8(2)(b) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 6 para. 81(3); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F16Sch. 4A para. 8(4A) inserted (29.1.2007) by Railways Act 2005 (c. 14), ss. 4, 60, Sch. 4 para. 6; S.I. 2007/62, art. 2
F17Word in Sch. 4A substituted (5.7.2004) by Railways and Transport Safety Act 2003 (c. 20), ss. 16, 120, {Sch. 2 para. 3(c) Table}; S.I. 2004/827, art. 4(g)
Reference to [F18CMA] E+W+S
F18Word in Sch. 4A para. 9 cross-heading substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 6 para. 81(4); S.I. 2014/416, art. 2(1)(d) (with Sch.)
9(1)A reference to the [F19CMA] under this paragraph shall be so framed as to require them to investigate and report on the questions specified in sub-paragraph (2) below.E+W+S
(3)[F6The Office of Rail and Road] may, at any time, by notice given to the [F20CMA] vary a reference under this paragraph—
(4)On receipt of such a notice the [F20CMA] shall give effect to the variation.
(5)[F6The Office of Rail and Road] may specify in a reference under this paragraph, or a variation of such a reference, for the purpose of assisting the [F20CMA] in carrying out the investigation on the reference—
[F21(6A)A reference to the [F22CMA] under this paragraph must be accompanied by—
(a)any information which in the case in question was provided to [F6the Office of Rail and Road] by the Secretary of State or the Scottish Ministers under paragraph 1D;
(7)For the purpose of assisting the [F22CMA] in carrying out an investigation on a reference under this paragraph, [F6the Office of Rail and Road] shall give to the [F22CMA] [F23(in addition to the information and revisions mentioned in sub-paragraph (6A))] any information in [F24its] possession which relates to matters falling within the scope of the investigation and—
(a)is requested by the [F22CMA] for that purpose; or
(b)is information which, in [F24its] opinion, it would be appropriate for that purpose to give to the [F22CMA] without any such request;
and any other assistance which the [F22CMA] may require, and which it is within [F24its] power to give, in relation to any such matters.
(8)For the purpose of carrying out such an investigation, the [F22CMA] shall take account of any information given to them for that purpose under [F25sub-paragraphs (6A) and] (7) above.
(9)In determining for the purposes of this paragraph whether any particular matter operates, or may be expected to operate, against the public interest, the [F22CMA] shall have regard to the matters as respects which duties are imposed on [F6the Office of Rail and Road] by section 4 of this Act [F26and to the information, suggestions and revisions mentioned in sub-paragraph (6A)]
[F27(10)The functions of the CMA with respect to a reference under this paragraph are to be carried out on behalf of the CMA by a group constituted for the purpose by the chair of the CMA under Schedule 4 to the Enterprise and Regulatory Reform Act 2013 (including functions relating to the making of changes following a report on a reference, and functions under sections 109 to 115 of the Enterprise Act 2002, as applied by paragraphs 10A and 15).]
F19Word in Sch. 4A para. 9(1) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 6 para. 81(5)(a); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F20Words in Sch. 4A para. 9(3)-(5) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 6 para. 81(5)(a); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F21Sch. 4A para. 9(6A) inserted (29.1.2007) by Railways Act 2005 (c. 14), ss. 4, 60, Sch. 4 para. 7(1); S.I. 2007/62, art. 2
F22Words in Sch. 4A para. 9(6A)-(9) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 6 para. 81(5)(a); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F23Words in Sch. 4A para. 9(7) inserted (29.1.2007) by Railways Act 2005 (c. 14), ss. 4, 60, Sch. 4 para. 7(2); S.I. 2007/62, art. 2
F24Word in Sch. 4A substituted (5.7.2004) by Railways and Transport Safety Act 2003 (c. 20), ss. 16, 120, {Sch. 2 para. 3(c) Table}; S.I. 2004/827, art. 4(g)
F25Words in Sch. 4A para. 9(8) substituted (29.1.2007) by Railways Act 2005 (c. 14), ss. 4, 60, Sch. 4 para. 7(3); S.I. 2007/62, art. 2
F26Words in Sch. 4A para. 9(9) inserted (29.1.2007) by Railways Act 2005 (c. 14), ss. 4, 60, Sch. 4 para. 7(4); S.I. 2007/62, art. 2
F27 Sch. 4A para. 9(10) inserted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 6 para. 81(5)(b); S.I. 2014/416, art. 2(1)(d) (with Sch.)
10F28. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .E+W+S
F28Sch. 4A para. 10 repealed (29.1.2007) by Railways Act 2005 (c. 14), ss. 59, 60, Sch. 13 Pt. 1 (with s. 14(4)(5), Sch. 11 para. 11(2)); S.I. 2007/62, art. 2
[F29References under paragraph 9: application of Enterprise Act 2002E+W+S
F29Sch. 4A: paras. 10, 10A substituted (20.6.2003) for para. 10 by 2002 c. 40, ss. 278, 279, Sch. 25 para. 30(15)(a); S.I. 2003/1397, art. 2(1), Sch. (with arts. 8, 12)
10A(1)The following sections of Part 3 of the Enterprise Act 2002 shall apply, with the modifications mentioned in sub-paragraphs [F30(1A),] (2) and (3) below, for the purposes of references under paragraph 9 above as they apply for the purposes of references under that Part—E+W+S
[F31(1A)Section 109 shall, in its application by virtue of sub-paragraph (1) above, have effect as if—
“(A1)For the purposes of this section, a permitted purpose is assisting the CMA in carrying out any functions exercisable by it in connection with a reference under paragraph 9 of Schedule 4A to the Railways Act 1993.”, and
(a)subsection (2) were omitted; F32...
[F33(aa)after subsection (3), there were inserted—
“(3A)No penalty shall be imposed by virtue of subsection (1) or (3) if more than 4 weeks have passed since the publication of the report of the CMA on the reference concerned; but this subsection shall not apply in relation to any variation or substitution of the penalty which is permitted by virtue of this Part.”; and]
[F34(3)Section 111(5)(b) shall, in its application by virtue of sub-paragraph (1) above, have effect as if for sub-paragraph (ii) there were substituted—
(4)Section 117 of the Enterprise Act 2002 (false or misleading information) shall apply in relation to functions of the [F35CMA] in connection with references under paragraph 9 above as it applies in relation to its functions under Part 3 of that Act but as if, in subsections (1)(a) and (2), [F36—
(b)for the words “their functions” there were substituted “ its functions ”.]
F30Word in Sch. 4A para. 10A(1) inserted (1.4.2014) by The Enterprise and Regulatory Reform Act 2013 (Competition) (Consequential, Transitional and Saving Provisions) Order 2014, (S.I. 2014/892), Sch. 1 para. 111(2) (with art. 3 Sch. 2 para. 2 Table)
F31Sch. 4A para. 10A(1A) inserted (1.4.2014) by The Enterprise and Regulatory Reform Act 2013 (Competition) (Consequential, Transitional and Saving Provisions) Order 2014, (S.I. 2014/892), Sch. 1 para. 111(3) (with art. 3 Sch. 2 para. 2 Table)
F32Word in Sch. 4A para. 10A(2)(a) omitted (1.4.2014) by The Enterprise and Regulatory Reform Act 2013 (Competition) (Consequential, Transitional and Saving Provisions) Order 2014, (S.I. 2014/892), Sch. 1 para. 111(4)(a) (with art. 3 Sch. 2 para. 2 Table)
F33Sch. 4A para. 10A(2)(aa) inserted (1.4.2014) by The Enterprise and Regulatory Reform Act 2013 (Competition) (Consequential, Transitional and Saving Provisions) Order 2014, (S.I. 2014/892), Sch. 1 para. 111(4)(b) (with art. 3 Sch. 2 para. 2 Table)
F34Sch. 4A para. 10A(3) substituted (1.4.2014) by The Enterprise and Regulatory Reform Act 2013 (Competition) (Consequential, Transitional and Saving Provisions) Order 2014, (S.I. 2014/892), Sch. 1 para. 111(5) (with art. 3 Sch. 2 para. 2 Table)
F35Word in Sch. 4A para. 10A(4) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 6 para. 81(6)(a); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F36Words in Sch. 4A para. 10A(4) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 6 para. 81(6)(b); S.I. 2014/416, art. 2(1)(d) (with Sch.)
Report on referenceE+W+S
11(1)In making a report on a reference under paragraph 9 above, the [F37CMA ] shall include in the report—E+W+S
(a)definite conclusions on the questions comprised in the reference; and
(b)such an account of their reasons for those conclusions as in their opinion is expedient for facilitating a proper understanding of those questions and of their conclusions.
(2)Where they conclude that any of the matters specified in the reference operate, or may be expected to operate, against the public interest, they shall specify in the report the effects adverse to the public interest which those matters have or may be expected to have.
(3)Where they conclude that any adverse effects so specified could be remedied or prevented by the making of relevant changes, they shall in the report—
(a)specify the relevant changes by which those effects could be remedied or prevented; and
(b)state, in relation to each of the relevant changes, the date on which it should come into operation.
(4)A date stated in the report as that on which a relevant change should come into operation may be a date before the report is made, provided that it is not before the earliest date specified in the review notice for the coming into operation of a relevant change proposed in it.
[F38(4A)For the purposes of paragraphs 12 to 14 below, a conclusion contained in a report of the [F39CMA] is to be disregarded if the conclusion is not that of at least two-thirds of the members of the group constituted [F40by the chair of the CMA for the purpose of carrying out the functions of the CMA with respect to the reference] .]
[F38(4B)If a member of a group so constituted disagrees with any conclusions contained in a report made on a reference under paragraph 9 above as the conclusions of the [F41CMA] , the report shall, if the member so wishes, include a statement of his disagreement and of his reasons for disagreeing.]
[F42(5)For the purposes of the law relating to defamation, absolute privilege attaches to any report made by the [F41CMA] on a reference under paragraph 9 above.
(5A)In making any report on a reference under paragraph 9 above the [F41CMA] must have regard to the following considerations before disclosing any information.
(5B)The first consideration is the need to exclude from disclosure (so far as practicable) any information whose disclosure the [F41CMA] thinks is contrary to the public interest.
(a)commercial information whose disclosure the [F41CMA] thinks might significantly harm the legitimate business interests of the undertaking to which it relates, or
(b)information relating to the private affairs of an individual whose disclosure the [F41CMA] thinks might significantly harm the individual’s interests.
(5D)The third consideration is the extent to which the disclosure of the information mentioned in sub-paragraph (5C)(a) or (b) above is necessary for the purposes of the report.]
(6)A report of the [F43CMA] on a reference under paragraph 9 above shall be made to [F44the Office of Rail and Road].
(7)[F44The Office of Rail and Road] shall, on receiving such a report, send a copy of it to the Secretary of State and the Authority.
(8)Not less than 14 days after that copy is received by the Secretary of State, [F44the Office of Rail and Road] shall send a copy to each of the persons on whom a copy of the review notice was served.
(9)Not less than 24 hours after complying with sub-paragraph (8) above, [F44the Office of Rail and Road] shall publish the report in such manner as [F45it] considers appropriate for bringing the report to the attention of persons likely to be affected by it.
(10)If it appears to the Secretary of State that the publication of any matter in the report would be against the public interest or the commercial interests of any person, he may, before the end of the period of 14 days after he receives his copy of the report, direct [F44the Office of Rail and Road] to exclude that matter from—
(a)every copy of the report sent under sub-paragraph (8) above, and
(b)the version of the report published under sub-paragraph (9) above.
F37Word in Sch. 4A para. 11(1) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 6 para. 81(7)(a); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F38Sch. 4A para. 11(4A)(4B) inserted (20.6.2003) by 2002 c. 40, ss. 278, 279, Sch. 25 para. 30(15)(b)(i); S.I. 2003/1397, art. 2(1), Sch.
F39Word in Sch. 4A para. 11(4A) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 6 para. 81(7)(b)(i); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F40Words in Sch. 4A para. 11(4A) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 6 para. 81(7)(b)(ii); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F41Words in Sch. 4A para. 11(4B)-(5C) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 6 para. 81(7)(c); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F42Sch. 4A: para. 11(5)-(5D) substituted (20.6.2003) for para. 11(5) by 2002 c. 40, ss. 278, 279, Sch. 25 para. 30(15)(b)(ii); S.I. 2003/1397, art. 2(1), Sch.
F43Word in Sch. 4A para. 11(6) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 6 para. 81(7)(c); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F44Words in Sch. 4A paras. 11-16 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(ccc)(iii)
F45Word in Sch. 4A 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)
Changes following reportE+W+S
12(1)Where a report of the [F46CMA] on a reference under paragraph 9 above—E+W+S
[F44the Office of Rail and Road] shall, subject to the following provisions of this paragraph and paragraph 13 below, make such relevant changes as appear to [F47it] requisite for the purpose of remedying or preventing the adverse effects specified in the report.
(2)Before making relevant changes under this paragraph, [F44the Office of Rail and Road] shall have regard to the relevant changes specified in the report.
(3)Before making relevant changes under this paragraph, [F44the Office of Rail and Road] shall give notice—
(a)stating that [F47it] proposes to make the relevant changes and setting out their effect,
(b)stating the reasons why [F47it] proposes to make the relevant changes,
(c)stating, in relation to each of the proposed relevant changes, the date on which [F47it] proposes that it should come into operation, and
(a)by publishing the notice in such manner as [F44the Office of Rail and Road] considers appropriate for the purpose of bringing the matters to which the notice relates to the attention of persons likely to be affected by the making of the relevant changes; and
[F48(4A)Where (after considering any representations and objections which are duly made and not withdrawn) [F44the Office of Rail and Road] proposes to make relevant changes under this paragraph, it must give a notice to the relevant authorities which—
(4B)If in consequence of any revision of that information that is notified to [F44the Office of Rail and Road] within the period specified in that notice, that Office decides to modify its proposals, it must—
(b)comply again with sub-paragraph (4A) and this sub-paragraph before giving notice of the modified proposals to the [F49CMA] .
(5)Where (after considering any representations or objections which are duly made and not withdrawn [F50and any revisions of information provided under paragraph 1D that were notified within the period specified under sub-paragraph (4A)]) [F44the Office of Rail and Road] proposes to make relevant changes under this paragraph, [F47it] shall give notice to the [F51CMA] —
(a)setting out the relevant changes [F47it] proposes to make;
(b)stating the reasons why [F47it] proposes to make the relevant changes; and
(c)stating, in relation to each of the proposed relevant changes, the date on which [F47it] proposes that it should come into operation.
(6)[F44The Office of Rail and Road] shall include with the notice under sub-paragraph (5) above a copy of any representations and objections which have been considered [F52and a copy of any revisions of information provided under paragraph 1D that have been notified within the period specified in the notice under sub-paragraph (4A)].
(8)If the period within which a direction may be given by the [F53CMA] under paragraph 13 below expires without such a direction being given, [F44the Office of Rail and Road] shall make the relevant changes set out in the notice under sub-paragraph (5) above.
(9)If a direction is given by the [F54CMA] under paragraph 13(1)(b) below, [F44the Office of Rail and Road] shall make such of those relevant changes as are not specified in the direction.
(10)As soon as practicable after making relevant changes under this paragraph, [F44the Office of Rail and Road] shall send a copy of the relevant changes
[F55(a)where the Secretary of State was given notice of the review under paragraph 1C, to the Secretary of State; and
F46Word in Sch. 4A para. 12(1) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 6 para. 81(8); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F47Word in Sch. 4A 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)
F48Sch. 4A para. 12(4A)-(4C) inserted (29.1.2007) by Railways Act 2005 (c. 14), ss. 4, 60, Sch. 4 para. 8(1); S.I. 2007/62, art. 2
F49Word in Sch. 4A para. 12(4B) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 6 para. 81(8); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F50Words in Sch. 4A para. 12(5) inserted (29.1.2007) by Railways Act 2005 (c. 14), ss. 4, 60, Sch. 4 para. 8(2); S.I. 2007/62, art. 2
F51Word in Sch. 4A para. 12(5) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 6 para. 81(8); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F52Words in Sch. 4A para. 12(6) inserted (29.1.2007) by Railways Act 2005 (c. 14), ss. 4, 60, Sch. 4 para. 8(4); S.I. 2007/62, art. 2
F53Word in Sch. 4A para. 12(8) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 6 para. 81(8); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F54Word in Sch. 4A para. 12(9) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 6 para. 81(8); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F55Sch. 4A: para. 12(10)(a)(b) substituted (29.1.2007) for words in para. 12(10) by Railways Act 2005 (c. 14), ss. 4, 60, Sch. 4 para. 8(5); S.I. 2007/62, art. 2
[F56CMA's] power to veto changesE+W+S
F56Word in Sch. 4A para. 13 cross-heading substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 6 para. 81(9); S.I. 2014/416, art. 2(1)(d) (with Sch.)
13(1)The [F57CMA] may, within the period of four weeks beginning with the day on which they are given notice under paragraph 12(5) above, give a direction to [F44the Office of Rail and Road] —E+W+S
(2)The Secretary of State may, if an application is made to him by the [F57CMA] within that period of four weeks, extend the period within which a direction may be given under this paragraph to one of six weeks beginning with the day on which the [F57CMA] are given notice under paragraph 12(5) above.
(3)The [F57CMA] may give a direction under this paragraph only if the relevant changes to which it relates do not appear to them requisite for the purpose of remedying or preventing the adverse effects specified in their report on the reference under paragraph 9 above.
(4)If the [F57CMA] give a direction under this paragraph, they shall give notice—
(a)by publishing the notice in such manner as the [F57CMA] consider appropriate for the purpose of bringing the matters to which the notice relates to the attention of persons likely to be affected by the direction; and
F57Words in Sch. 4A para. 13(1)-(5) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 6 para. 81(10); S.I. 2014/416, art. 2(1)(d) (with Sch.)
Making of changes by [F58CMA] E+W+S
F58Word in Sch. 4A para. 14 cross-heading substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 6 para. 81(11); S.I. 2014/416, art. 2(1)(d) (with Sch.)
14(1)If the [F59CMA] give a direction under paragraph 13 above, they shall themselves make such relevant changes as appear to them requisite for the purpose of remedying or preventing—E+W+S
(b)such of those adverse effects as would not be remedied or prevented by the relevant changes made by [F44the Office of Rail and Road] under paragraph 12(9) above.
(2)In exercising the function conferred by sub-paragraph (1) above, the [F59CMA] shall have regard to the matters as respects which duties are imposed on [F44the Office of Rail and Road] by section 4 of this Act.
(3)Before making relevant changes under this paragraph, the [F59CMA] shall give notice—
[F60(6)As soon as practicable after making relevant changes under this paragraph, the [F61CMA] must send a copy of those relevant changes—
(c)in each of those cases, to [F44the Office of Rail and Road].]
F59Words in Sch. 4A para. 14(1)-(3) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 6 para. 81(12); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F60Sch. 4A: para. 14(6) substituted (29.1.2007) "for the last sub-paragraph of paragraph 14" by virtue of Railways Act 2005 (c. 14), ss. 4, 60, Sch. 4 para. 9; S.I. 2007/62, art. 2
F61Words in Sch. 4A para. 14(5)(6) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 6 para. 81(12); S.I. 2014/416, art. 2(1)(d) (with Sch.)
15[F62(1)For the purposes of the law relating to defamation, absolute privilege attaches to any notice under paragraph 13(4) or 14(3) above.E+W+S
(2)In giving any notice under paragraph 13(4) or 14(3) above, the [F63CMA] must have regard to the following considerations before disclosing any information.
(2A)The first consideration is the need to exclude from disclosure (so far as practicable) any information whose disclosure the [F63CMA] thinks is contrary to the public interest.
(a)commercial information whose disclosure the [F63CMA] thinks might significantly harm the legitimate business interests of the undertaking to which it relates, or
(b)information relating to the private affairs of an individual whose disclosure the [F63CMA] thinks might significantly harm the individual’s interests.
(2D)The following sections of Part 3 of the Enterprise Act 2002 shall apply, with the modifications mentioned in sub-paragraphs [F64(2DA),] (2E) and (2F) below, in relation to any investigation by the [F65CMA] for the purposes of the exercise of its functions under paragraph 13 or 14 above, as they apply for the purposes of any investigation on references under that Part—
[F66(2DA)Section 109 shall, in its application by virtue of sub-paragraph (2D) above, have effect as if—
“(A1)For the purposes of this section, a permitted purpose is assisting the CMA in carrying out any functions exercisable by it in connection with an investigation for the purposes of the exercise of its functions under paragraphs 13 or 14 of Schedule 4A to the Railways Act 1993.”, and
[F67(b)after subsection (3), there were inserted—
“(3A)No penalty shall be imposed by virtue of subsection (1) or (3) if more than 4 weeks have passed since the sending of a copy to [F44the Office of Rail and Road] under paragraph 14 of Schedule 4A to the Railways Act 1993 of the relevant changes made by the CMA in connection with the reference concerned or, if no direction has been given by the CMA under paragraph 13 of that Schedule to that Act in connection with the reference concerned and within the period permitted for that purpose, the latest day on which it was possible to give such a direction within the permitted period; but this subsection shall not apply in relation to any variation or substitution of the penalty which is permitted by virtue of this Part.”; and]
“(ii)if earlier, the day on which a copy of the relevant changes made by the [F68CMA] in connection with the reference concerned is sent to [F44the Office of Rail and Road] under paragraph 14 of Schedule 4A to the Railways Act 1993 or, if no direction is given by the [F68CMA] under paragraph 13(1) of that Schedule to that Act in connection with the reference concerned and within the period permitted for that purpose, the latest day on which such a direction may be given within the permitted period. ".
(2G)Section 117 of the Enterprise Act 2002 (false or misleading information) shall apply in relation to functions of the [F69CMA] in connection with the exercise of its functions under paragraph 13 or 14 above as it applies in relation to its functions under Part 3 of that Act but as if, in subsections (1)(a) and (2), [F70—
(3)For the purpose of assisting the [F71CMA] in exercising their functions under paragraphs 13 and 14 above, [F44the Office of Rail and Road] shall give to the [F71CMA] [F72(in addition to the information provided in accordance with paragraph 12(5) and (6))] any information in [F73its] possession which relates to matters relevant to the exercise of those functions and—
(a)is requested by the [F71CMA] for that purpose; or
(b)is information which, in his opinion, it would be appropriate for that purpose to give to the [F71CMA] without any such request;
and any other assistance which the [F71CMA] may require, and which it is within [F73its] power to give, in relation to any such matters.
(4)For the purpose of exercising those functions, the [F71CMA] shall take account of
[F74(a)every revision of which they have been given notice under paragraph 12(6) of information provided under paragraph 1D; and
F62Sch. 4A: para. 15(1)-(2I) substituted (20.6.2003) for para. 15(1)(2) by 2002 c. 40, ss. 278, 279, Sch. 25 para. 30(15)(c); S.I. 2003/1397, art. 2(1), Sch.
F63Words in Sch. 4A para. 15(2)-(2B) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 6 para. 81(13)(a); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F64Word in Sch. 4A para. 15(2D) substituted (1.4.2014) by The Enterprise and Regulatory Reform Act 2013 (Competition) (Consequential, Transitional and Saving Provisions) Order 2014 (S.I. 2014/892), Sch. 1 para. 112(2) (with art. 3 Sch. 2 para. 2)
F65Word in Sch. 4A para. 15(2D) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 6 para. 81(13)(a); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F66Sch. 4A para. 15(2DA) inserted (1.4.2014) by The Enterprise and Regulatory Reform Act 2013 (Competition) (Consequential, Transitional and Saving Provisions) Order 2014, (S.I. 2014/892), Sch. 1 para. 112(3) (with art. 3 Sch. 2 para. 2)
F67Sch. 4A para. 15(2E)(b) substituted (1.4.2014) by The Enterprise and Regulatory Reform Act 2013 (Competition) (Consequential, Transitional and Saving Provisions) Order 2014, (S.I. 2014/892), Sch. 1 para. 112(4) (with art. 3 Sch. 2 para. 2)
F68Word in Sch. 4A para. 15(2F) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 6 para. 81(13)(b); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F69Word in Sch. 4A para. 15(2G) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 6 para. 81(13)(c)(i); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F70Words in Sch. 4A para. 15(2G) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 6 para. 81(13)(c)(ii); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F71Words in Sch. 4A para. 15(3)(4) substituted (1.4.2014) by Enterprise and Regulatory Reform Act 2013 (c. 24), s. 103(3), Sch. 6 para. 81(13)(d); S.I. 2014/416, art. 2(1)(d) (with Sch.)
F72Words in Sch. 4A para. 15(3) inserted (29.1.2007) by Railways Act 2005 (c. 14), ss. 4, 60, Sch. 4 para. 10(1); S.I. 2007/62, art. 2
F73Words in Sch. 4A substituted (5.7.2004) by Railways and Transport Safety Act 2003 (c. 20), ss. 16, 120, {Sch. 2 para. 3(c) Table}; S.I. 2004/827, art. 4(g)
F74Sch. 4A: para. 15(4)(a)(b) substituted (29.1.2007) for words in para. 15(4) by Railways Act 2005 (c. 14), ss. 4, 60, Sch. 4 para. 10(2); S.I. 2007/62, art. 2
(c)[F44the Office of Rail and Road] .