Legalize / United Kingdom / Public General Act

Transport Act 2000

Type Public General Act

Publication 2000-11-30

Last updated 2026-04-06

State In force

Department Statute Law Database

Source legislation.gov.uk

articles Not indexed

Reform history JSON API

(8) A person may not be required under this paragraph to give evidence that the person could not be compelled to give in civil proceedings before the High Court or, in Scotland, the Court of Session.

(9) Where a person is required under this paragraph to attend at a place more than 16 kilometres from the person's place of residence, an authorised member of the CMA must arrange for the person to be paid the necessary expenses of attendance.

(10) A notice under this paragraph may be given on behalf of the CMA by an authorised member of the CMA.

Written evidence

19

(1) The CMA may by notice require a person to produce a written statement with respect to a matter specified in the notice—

(a) to an authorised member of the CMA considering an application under paragraph 1 for permission to appeal;

(b) to an authorised member of the CMA considering an application under paragraph 4 for permission to intervene;

(d) to a group with the function of determining an appeal under section 19A.

(2) The notice may require the written statement—

(a) to be produced at the time and place specified in the notice;

(b) to be verified by a statement of truth.

(3) Where a notice requires a written statement to be verified by a statement of truth, the written statement may be disregarded unless it is so verified.

(4) A person may not be required under this paragraph to produce a written statement about a matter if the person could not be compelled to give evidence about that matter in civil proceedings before the High Court or, in Scotland, the Court of Session.

(5) A notice under this paragraph may be given on behalf of the CMA by an authorised member of the CMA.

Expert advice

20

Where permission to appeal is granted under paragraph 2, the CMA may commission expert advice with respect to any matter raised by—

(a) the appellant,

(b) an intervener, or

Enforcement of requirements in relation to evidence etc

21

(1) This paragraph applies where a person—

(a) fails to comply with a notice under paragraph 17, 18 or 19,

(b) fails to comply with any other requirement imposed under paragraph 17, 18 or 19,

(c) in complying with a notice under paragraph 19, makes a statement that is false or misleading in a material respect, or

(d) in providing information verified by a statement of truth required by appeal rules under paragraph 23, provides information that is false or misleading in a material respect.

(2) An authorised member of the CMA may certify to the appropriate court—

(a) the failure,

(b) the fact that the person has made a false or misleading statement in circumstances described in sub-paragraph (1)(c), or

(c) the fact that the person has provided false or misleading information in circumstances described in sub-paragraph (1)(d).

(3) The appropriate court may inquire into a certified failure or act and, if it does so, must hear—

(a) any witness against the person;

(b) any witness on behalf of the person;

(4) The appropriate court may punish the person as if the person had been guilty of contempt of court if it is satisfied that—

(a) the certified failure or act took place, and

(b) the person did not have a reasonable excuse for the failure or act.

(5) Where the person is a body corporate, the appropriate court may punish any director or other officer of that body, either instead or as well as punishing the body.

(6) In this paragraph—

“the appropriate court”—in relation to England and Wales and Northern Ireland, means the High Court;in relation to Scotland, means the Court of Session;

“director”, in relation to a body corporate whose affairs are managed by its members, means a member of the body.

Withdrawal of applications and appeals

22

(1) An application under paragraph 1 for permission to appeal may be withdrawn only with the consent of the CMA.

(2) After an application for permission to appeal is granted, the appeal may be withdrawn only with the consent of the CMA.

(3) An application under paragraph 4 for permission to intervene may be withdrawn only with the consent of the CMA.

(4) After an application for permission to intervene is granted, the intervener may withdraw from the appeal only with the consent of the CMA.

(5) For the purposes of sub-paragraphs (1) to (4), the consent of the CMA may be given by an authorised member of the CMA.

(6) Where the CMA has consented, the person wishing to withdraw the application or appeal, or withdraw as an intervener, may give notice of withdrawal to the CMA.

(7) An application under paragraph 6 for a direction suspending the effect of a decision may be withdrawn at any time by giving notice of withdrawal to the CMA.

(8) Withdrawal of an application under this Schedule or of an appeal, or as an intervener in an appeal, has effect when the notice of withdrawal is given to the CMA.

(9) A person giving notice of withdrawal to the CMA must send a copy of the notice to the CAA.

(10) The CAA must—

(a) publish the notice;

(b) send a copy of it to the persons listed in sub-paragraph (11) (other than the person who gave the notice).

(11) Those persons are—

(a) the holder of the licence that is the subject of the application or appeal;

(b) any other person with a qualifying interest in the decision that is the subject of the application or appeal;

(d) any owners or managers of prescribed aerodromes that the CAA considers appropriate.

Appeal Rules

23

(1) The CMA Board may make rules regulating the conduct and disposal of appeals.

(2) The rules may include provision supplementing the provisions of this Schedule in relation to any application, notice, hearing or requirement for which this Schedule provides.

(3) The rules may, in particular, include—

(a) provision requiring an application to be accompanied by information specified in the rules;

(b) provision requiring such information to be verified by a statement of truth;

(d) provision imposing time limits or other restrictions on the taking of evidence at an oral hearing;

(e) provision imposing time limits or other restrictions on the making of representations or observations at such a hearing.

(4) The rules may make different provision for different purposes.

(5) Before making rules under this paragraph the CMA Board must consult any persons that it considers appropriate.

(6) The CMA Board must publish the rules made under this paragraph.

Costs

24

(1) Where an application under this Schedule or an appeal is withdrawn, an authorised member of the CMA may make any order that the member thinks fit requiring the parties to the application or appeal to make payments to each other and to the CMA in respect of costs incurred in connection with the application or appeal.

(2) A group that determines an appeal must make an order requiring the payment to the CMA of the costs incurred by the CMA in connection with the appeal.

(3) Subject to sub-paragraph (4), an order under sub-paragraph (2) must require those costs to be paid—

(a) where the appeal is allowed in full, by the CAA;

(b) where the appeal is dismissed in full, by the appellant;

(c) where the appeal is allowed in part, by the appellant and the CAA in such proportions as the group considers appropriate.

(4) The order may require an intervener in the appeal to pay such proportion of those costs (if any) as the group considers appropriate.

(5) A group that determines an appeal may make any order that it thinks fit requiring one party to the appeal to make payments to another in respect of costs reasonably incurred by the other party in connection with the appeal.

(6) A person who is required to make a payment by an order under this paragraph must comply with the order before the end of the period of 28 days beginning with the day after the making of the order.

(7) If that person does not do so, the unpaid balance carries interest at a rate specified in the order or determined in accordance with it.

(8) In this paragraph, references to an intervener in an appeal, and to a party to an appeal, include a person who was granted permission to intervene in an appeal and subsequently withdrew from the appeal.

Secretary of State's power to modify time limits

25

The Secretary of State may by regulations modify any period of time specified in this Schedule.

Publication etc

26

Where the CAA, the CMA or an authorised member of the CMA is required by this Schedule to publish something or send a copy of something and this Schedule does not specify a time for doing so, it must be published or sent as soon as practicable.

Interpretation

27

(1) In this Schedule—

“appeal” means an appeal under section 19A;

“authorised member of the CMA” has the meaning given in sub-paragraph (2);

“CMA Board” and “CMA panel” have the same meaning as in Schedule 4 to the Enterprise and Regulatory Reform Act 2013;

“intervener”, in relation to an appeal, means a person who has been granted permission to intervene in the appeal and who has not withdrawn from the appeal;

“prescribed aerodrome” has the meaning given in section 19A(3);

“statement of truth”, in relation to the production of a statement or in relation to information provided by a person, means a statement that the person producing that statement or providing that information believes the facts contained in the statement or the information to be true.

(2) In this Schedule “authorised member of the CMA”—

(a) in relation to a power exercisable in connection with an appeal, application or direction in respect of which a group has been constituted by the chair of the CMA under Schedule 4 to the Enterprise and Regulatory Reform Act 2013, means a member of that group who has been authorised by the chair of the CMA to exercise that power; and

(b) in relation to a power exercisable in connection with an appeal, application or direction in respect of which a group has not been so constituted by the chair of the CMA, means—

(i) any member of the CMA Board who is also a member of the CMA panel, or

(ii) any member of the CMA panel authorised by the Secretary of State (whether generally or specifically) to exercise the power in question.

(3) For the purposes of this Schedule and sections 19D and 19E, a person has a qualifying interest in a decision that is the subject of an appeal or an application under this Schedule if—

(a) the person has been granted permission to appeal against the decision and has not withdrawn the appeal,

(b) the person has applied for permission to appeal against the decision and the application has not been withdrawn or refused,

(c) the person has been granted permission to intervene in an appeal against the decision and the appeal has not been withdrawn,

(d) the person has applied for permission to intervene in an appeal against the decision and the application has not been withdrawn or refused, or

(e) the person has applied for a direction under paragraph 6, the application has not been withdrawn or refused and any direction made in response to the application has not been withdrawn.

SCHEDULE B1

PART 1 — Enforcement

Contravention notices

1

(1) The CAA may give a notice under this paragraph (a “contravention notice”) to a licence holder if it has reasonable grounds for believing that the licence holder is contravening, or has contravened, a Chapter 1 requirement.

(2) In this Schedule “Chapter 1 requirement”, in relation to a licence holder, means—

(a) a duty imposed on the licence holder by section 8, or

(b) a licence condition of the licence holder's licence.

(3) A contravention notice must—

(a) specify the Chapter 1 requirement and contravention in respect of which it is given;

(b) explain the action that the CAA may take under this Schedule in connection with the contravention;

(c) explain that representations may be made about the matters in the notice before the end of the period specified in the notice.

(4) The CAA must specify a period of not less than 30 days beginning with the day on which the contravention notice is given, subject to sub-paragraph (5).

(5) The CAA may specify a shorter period in a contravention notice given in respect of a repeated contravention.

(6) A contravention notice is given to a licence holder in respect of a repeated contravention if, in the period of two years ending with the day on which the notice is given, the CAA did one or more of the following in respect of a contravention by the licence holder of the same Chapter 1 requirement—

(a) gave the licence holder a contravention notice;

(b) gave the licence holder an enforcement order;

(d) imposed a penalty on the licence holder under paragraph 9 or 10.

(7) The CAA may extend the period specified in a contravention notice given to a licence holder on one or more occasions by giving a notice to that licence holder.

(8) The CAA may withdraw a contravention notice given to a licence holder at any time by giving a notice to the licence holder that includes its reasons for doing so.

(9) As soon as practicable after giving a notice under sub-paragraph (1), (7) or (8), the CAA must—

(a) publish the notice;

(b) send a copy of the notice to—

(i) any owners or operators of aircraft, or any bodies representing them, that the CAA considers appropriate;

(ii) any owners or managers of aerodromes, or any bodies representing them, that the CAA considers appropriate;

(iii) the Secretary of State.

(10) A contravention notice given in respect of a contravention that is or was a continuing contravention must specify the period of contravention in respect of which it is given.

(11) In this Schedule “representation period”, in relation to a contravention notice, means—

(a) the period specified in the contravention notice for making representations;

(b) where the period has been extended in accordance with sub-paragraph (7), the extended period.

Restrictions on giving contravention notices

2

(1) If the CAA gives a licence holder a contravention notice or an urgent enforcement order (see paragraph 5) in respect of a contravention, it may not subsequently give the licence holder a contravention notice in respect of the same contravention.

(2) Sub-paragraph (1) does not apply if—

(a) the CAA withdraws the first contravention notice without imposing a penalty on the person under paragraph 9, or

(b) the CAA revokes the urgent enforcement order without imposing a penalty on the licence holder under paragraph 10.

(3) Sub-paragraph (1) does not prevent the CAA giving a licence holder more than one contravention notice, or a contravention notice and urgent enforcement order, in respect of—

(a) contraventions of the same Chapter 1 requirement in different ways, or

(b) contraventions of the same Chapter 1 requirement at different times or during different periods.

Enforcement order

3

(1) The CAA may give an order under this paragraph (an “enforcement order”) to a licence holder if—

(a) it has given the licence holder a contravention notice (and has not withdrawn it),

(b) the representation period has ended,

(c) it has considered any representations made about the matters in the contravention notice before the end of that period (and not withdrawn), and

(d) sub-paragraph (2) or (3) is satisfied.

(2) This sub-paragraph is satisfied if the CAA has determined that the licence holder is contravening a Chapter 1 requirement specified in the contravention notice in one or more of the ways specified in the notice.

(3) This sub-paragraph is satisfied if the CAA has determined that the licence holder—

(a) has contravened a Chapter 1 requirement specified in the contravention notice in one or more of the ways specified in the notice, and

(b) did not, before the end of the representation period, take all of the appropriate steps mentioned in sub-paragraph (6)(b).

(4) An enforcement order must—

(a) specify the Chapter 1 requirement and contravention in respect of which it is given;

(b) require the licence holder to take any appropriate steps that are specified in the order;

(d) give the CAA's reasons for giving the order.

(5) As soon as practicable after giving an enforcement order, the CAA must—

(a) publish the order;

(b) send a copy of the order to—

(i) any owners or operators of aircraft, or any bodies representing them, that the CAA considers appropriate;

(ii) any owners or managers of aerodromes, or any bodies representing them, that the CAA considers appropriate;

(iii) the Secretary of State.

(6) In this paragraph “appropriate steps”, in relation to a contravention of a Chapter 1 requirement, means steps that the CAA has determined are appropriate—

(a) for complying with the requirement, and

(b) for remedying the consequences of the contravention.

Enforcement order: modification and revocation

4

(1) The CAA may—

(a) modify an enforcement order with the agreement of the licence holder to whom it was given, or

(b) revoke an enforcement order.

(2) Before modifying or revoking the order, the CAA must—

(a) publish a notice in relation to the proposed modification or revocation;

(b) send a copy of the notice to the licence holder to whom the order was given;

(3) The notice under sub-paragraph (2) must—

(a) state that the CAA proposes to modify or revoke the order;

(b) specify the proposed modification (if relevant);

(d) specify a reasonable period for making representations.

(4) As soon as practicable after modifying or revoking an enforcement order, the CAA must—

(a) publish a notice giving details of the modification or revocation;

(b) send a copy of the notice to the persons listed in sub-paragraph (5).

(5) The persons are—

(a) the licence holder to whom the enforcement order was given;

(b) any owners or operators of aircraft, or any bodies representing them, that the CAA considers appropriate;

(d) the Secretary of State.

Urgent enforcement order

5

(1) The CAA may give an order under this paragraph (an “urgent enforcement order”) to a licence holder if sub-paragraph (2) or (3) is satisfied.

(2) This sub-paragraph is satisfied if the CAA has reasonable grounds for believing that—

(a) the licence holder is contravening, or has contravened, a Chapter 1 requirement,

(b) the contravention has resulted in, or creates an immediate risk of, a serious economic or operational problem—

(i) for owners or operators of aircraft, or

(ii) for owners or managers of aerodromes, and

(3) This sub-paragraph is satisfied if the CAA has reasonable grounds for believing that—

(a) the licence holder is likely to contravene a Chapter 1 requirement,

(b) the contravention is likely to result in, or create an immediate risk of, a problem described in sub-paragraph (2)(b), and

(c) it is appropriate to give the urgent enforcement order to prevent, or reduce the likelihood of, that problem or risk arising.

(4) An urgent enforcement order must—

(a) specify the Chapter 1 requirement and the contravention in respect of which it is given;

(b) require the licence holder to take any appropriate steps that are specified in the order;

(d) give the CAA's reasons for giving the order.

(5) As soon as practicable after giving an urgent enforcement order, the CAA must—

(a) publish the order;

(b) send a copy of the order to—

(i) any owners or operators of aircraft, or any bodies representing them, that the CAA considers appropriate;

(ii) any owners or managers of aerodromes, or any bodies representing them, that the CAA considers appropriate;

(iii) the Secretary of State.

(6) In this paragraph “appropriate steps”—

(a) in relation to a contravention of a Chapter 1 requirement that has occurred or is occurring, means steps that the CAA has determined are appropriate—

(i) for complying with the requirement, and

(ii) for remedying the consequences of the contravention;

(b) in relation to a contravention of a Chapter 1 requirement that is likely to occur, means steps that the CAA has determined are appropriate for securing that the contravention does not occur.

Urgent enforcement order: confirmation

6

(1) As soon as practicable after giving an urgent enforcement order, the CAA must—

(a) confirm the order, or

(b) revoke the order (see paragraph 7).

(2) The CAA may confirm an urgent enforcement order with or without modifications.

(3) The CAA may confirm an urgent enforcement order given in reliance on paragraph 5(2) only if it has determined that—

(a) the licence holder is contravening, or has contravened, a Chapter 1 requirement specified in the order in one or more of the ways specified in the order,

(b) the contravention has resulted in, or creates an immediate risk of, a problem described in paragraph 5(2)(b), and

(c) it is appropriate to confirm the urgent enforcement order, with any modifications, to prevent, remove or reduce that problem or risk.

(4) The CAA may confirm an urgent enforcement order given in reliance on paragraph 5(3) only if—

(a) it has determined that paragraphs (a) to (c) of sub-paragraph (3) of this paragraph are satisfied, or

(b) it has determined that—

(i) the licence holder is likely to contravene a Chapter 1 requirement specified in the order in one or more of the ways specified in the order,

(ii) the contravention is likely to result in, or create an immediate risk of, a problem described in paragraph 5(2)(b), and

(iii) it is appropriate to confirm the urgent enforcement order, with any modifications, in order to prevent, or reduce the likelihood of, that problem or risk arising.

(5) Before confirming an urgent enforcement order, the CAA must—

(a) publish a notice in relation to the proposal to confirm the order;

(b) send a copy of the notice to the licence holder to whom the order was given;

(6) The notice under sub-paragraph (5) must—

(a) state that the CAA proposes to confirm the order;

(b) specify any proposed modifications of the order;

(d) specify a reasonable period for making representations.

(7) As soon as practicable after confirming an urgent enforcement order, the CAA must—

(a) publish a notice giving details of the confirmation, including any modifications of the order;

(b) send a copy of the notice to the persons listed in sub-paragraph (8).

(8) Those persons are—

(a) the licence holder to whom the urgent enforcement order was given;

(b) any owners or operators of aircraft, or any bodies representing them, that the CAA considers appropriate;

(d) the Secretary of State.

Urgent enforcement order: modification and revocation

7

(1) The CAA may—

(a) modify an urgent enforcement order with the agreement of the licence holder to whom it was given, or

(b) revoke an urgent enforcement order.

(2) Before modifying or revoking the order, the CAA must—

(a) publish a notice in relation to the proposed modification or revocation;

(b) send a copy of the notice to the licence holder;

(3) The notice under sub-paragraph (2) must—

(a) state that the CAA proposes to modify or revoke the order;

(b) specify the proposed modification (if relevant);

(d) specify a reasonable period for making representations.

(4) As soon as practicable after modifying or revoking an urgent enforcement order, the CAA must—

(a) publish a notice giving details of the modification or revocation;

(b) send a copy of the notice to the persons listed in sub-paragraph (5).

(5) Those persons are—

(a) the licence holder to whom the urgent enforcement order was given;

(b) any owners or operators of aircraft, or any bodies representing them, that the CAA considers appropriate;

(d) the Secretary of State.

(6) Nothing in this paragraph restricts, or applies in relation to the exercise of, the CAA's power under paragraph 6 to modify an urgent enforcement order when confirming the order.

Civil proceedings

8

(1) A licence holder who is given an enforcement order must comply with it (unless it is revoked).

(2) The obligation to comply with an enforcement order is a duty owed to every person who may be affected by a contravention of a requirement of the order.

(3) A licence holder who is given an urgent enforcement order must comply with it, whether or not it has been confirmed (unless it is revoked).

(4) The obligation to comply with an urgent enforcement order that has been confirmed is a duty owed to every person who may be affected by a contravention of a requirement of the order.

(5) Where a duty is owed to a person under sub-paragraph (2) or (4), the following are actionable by the person—

(a) a breach of the duty that causes the person to sustain loss or damage;

(b) an act that—

(i) by inducing a breach of the duty or interfering with its performance, causes that person to sustain loss or damage, and

(ii) is done entirely or partly for achieving that result.

(6) In proceedings brought against a licence holder by virtue of sub-paragraph (5), it is a defence for the licence holder to show that it took all reasonable steps and exercised all due diligence to avoid contravening the requirements of the order.

(7) The CAA may enforce the duties under sub-paragraphs (1) and (3)—

(a) in civil proceedings for an injunction,

(b) in civil proceedings in Scotland for an interdict or for specific performance of a statutory duty under section 45 of the Court of Session Act 1988, or

(8) Enforcement of a duty under sub-paragraph (1) or (3) by the CAA does not prejudice any rights a person may have by virtue of sub-paragraph (5).

Penalty for contravention of Chapter 1 requirement

9

(1) The CAA may impose a penalty on a licence holder if—

(a) it has given the licence holder a contravention notice (and has not withdrawn it),

(b) the representation period has ended,

(c) it has considered any representations made about the matters in the contravention notice before the end of that period (and not withdrawn), and

(d) it has determined that the licence holder is contravening, or has contravened, a Chapter 1 requirement specified in the notice in one or more of the ways specified in the notice.

(2) If the contravention notice specifies more than one contravention, the CAA may impose a separate penalty under this paragraph for each contravention.

(3) If the contravention notice specifies more than one period of contravention, the CAA may impose a separate penalty under this paragraph for each period.

Penalty for contravention of order

10

The CAA may impose a penalty on a licence holder if it has determined that the licence holder is contravening, or has contravened, a requirement of—

(a) an enforcement order, or

(b) an urgent enforcement order that has been confirmed.

Procedure before imposing penalty

11

(1) Before imposing a penalty on a licence holder under paragraph 9 or 10 the CAA must—

(a) give the licence holder a notice about the proposed penalty;

(b) publish the notice as soon as practicable;

(d) consider any representations made about the proposed penalty in the period specified in the notice (and not withdrawn).

(2) A notice under sub-paragraph (1) must—

(a) state that the CAA proposes to impose a penalty;

(b) state the proposed amount of the penalty;

(d) specify the act or omission that the CAA has determined constitutes a contravention of the requirement;

(e) where the penalty would be imposed under paragraph 10, specify the Chapter 1 requirement in respect of which the enforcement order or urgent enforcement order (as the case may be) was given.

(3) The persons are—

(a) any owners or operators of aircraft, or any bodies representing them, that the CAA considers appropriate;

(b) any owners or managers of aerodromes, or any bodies representing them, that the CAA considers appropriate;

(4) In the case of a penalty calculated entirely or partly by reference to a daily amount (see paragraph 13(2)), a notice must specify—

(a) the day on which daily amounts would begin to accumulate;

(b) the day on which, or the circumstances in which, they would cease to accumulate.

(5) The period specified in a notice under sub-paragraph (1) for making representations must be a period of not less than 21 days beginning with the day on which the notice is given to the licence holder.

(6) Before varying the proposed amount of a penalty, the CAA must—

(a) give the licence holder on whom the penalty is to be imposed a notice about the proposed variation;

(b) publish the notice as soon as practicable;

(d) consider any representations made about the proposed variation in the period specified in the notice (and not withdrawn).

(7) In the case of a penalty calculated entirely or partly by reference to a daily amount (see paragraph 13(2)), the reference in sub-paragraph (6) to varying the proposed amount includes—

(a) varying the day on which daily amounts would begin to accumulate;

(b) varying the day on which, or the circumstances in which, they would cease to accumulate.

(8) The notice under sub-paragraph (6) must—

(a) specify the proposed variation;

(b) give the CAA's reasons for the proposed variation.

(9) The period specified in a notice under sub-paragraph (6) for making representations must be a period of not less than 21 days beginning with the day on which the notice is given to the licence holder.

(10) The CAA may withdraw a notice under sub-paragraph (1) or (6) at any time by giving notice to the licence holder on whom it proposed to impose the penalty.

(11) As soon as practicable after giving a notice under sub-paragraph (10), the CAA must—

(a) publish the notice;

(b) send a copy of the notice to the persons listed in sub-paragraph (3).

Procedure after imposing a penalty

12

(1) As soon as practicable after imposing a penalty under paragraph 9 or 10 the CAA must—

(a) give a notice to the licence holder on whom the penalty is imposed;

(b) publish the notice;

(2) The notice must—

(a) state that the CAA has imposed a penalty;

(b) state the amount of the penalty;

(d) specify the act or omission that the CAA has determined constitutes a contravention of the requirement;

(e) where the penalty is imposed under paragraph 10, specify the Chapter 1 requirement in respect of which the enforcement order or urgent enforcement order (as the case may be) was given;

(f) specify a reasonable period within which the penalty must be paid or reasonable periods within which different portions of the penalty must be paid.

(3) The persons are—

(a) any owners or operators of aircraft, or any bodies representing them, that the CAA considers appropriate;

(b) any owners or managers of aerodromes, or any bodies representing them, that the CAA considers appropriate;

(4) In the case of a penalty calculated entirely or partly by reference to a daily amount (see paragraph 13(2)), the notice must specify—

(a) the day on which the daily amounts begin to accumulate;

(b) the day on which, or the circumstances in which, they cease to accumulate.

(5) As soon as practicable after daily amounts cease to accumulate, the CAA must—

(a) give a notice to the licence holder on whom the penalty was imposed confirming the day on which they ceased to accumulate;

(b) publish the notice;

Amount of penalty

13

(1) The amount of a penalty imposed on a person under paragraph 9 or 10 must be the amount that the CAA determines to be—

(a) appropriate, and

(b) proportionate to the contravention for which it is imposed.

(2) The penalty may consist of either or both of the following—

(a) a fixed amount (see paragraph 14);

(b) a daily amount (see paragraph 15).

(3) In determining the amount of a penalty, the CAA must have regard, in particular, to—

(a) any representations made to it in a period specified in a notice proposing to give a penalty under paragraph 11(1) or (6) (and not withdrawn);

(b) any steps taken by the licence holder on whom the penalty is to be imposed towards complying with—

(i) the requirement specified in the notice under paragraph 11(1) by virtue of paragraph 11(2)(c), and

(ii) where the penalty is to be imposed under paragraph 10, the Chapter 1 requirement specified in the notice under paragraph 11(1) by virtue of paragraph 11(2)(e);

(c) any steps taken by that licence holder towards remedying the consequences of the contravention of the requirement mentioned in paragraph (b)(i) and, where relevant, paragraph (b)(ii).

Amount of penalty: fixed amount

14

(1) A penalty imposed on a licence holder under paragraph 9 or 10 for a contravention may not consist of or include a fixed amount exceeding 10% of the licence holder's qualifying turnover for the qualifying period.

(2) A licence holder's qualifying turnover is the licence holder's turnover from its provision of air traffic services.

(3) The qualifying period is the last regulatory year ending on or before the day on which the notice proposing the penalty is given under paragraph 11(1) (“the notice day”), except in the cases described in sub-paragraph (4).

(4) Those cases are—

(a) where a licence holder was not authorised to provide air traffic services in respect of a managed area throughout the last regulatory year that ends on or before the notice day;

(b) where there is no regulatory year or the last regulatory year ended more than 12 months before the notice day;

(c) where a licence holder has not provided the CAA with accounts prepared in accordance with the licence for the last regulatory year that ends on or before the notice day.

(5) In those cases—

(a) if the licence holder was authorised to provide air traffic services in respect of a managed area on the notice day, the qualifying period is the year ending with the notice day (or, if shorter, the period ending with the notice day during which the licence holder was authorised to provide such services in respect of such an area);

(b) otherwise, the qualifying period is the year ending with the last day before the notice day on which the licence holder was authorised to provide air traffic services in respect of a managed area (or, if shorter, the period ending with the last day before the notice day during which the licence holder was authorised to provide such services in respect of such an area).

(6) A licence holder's qualifying turnover for a qualifying period is to be taken to be the qualifying turnover for that period as reported in accounts that the licence holder is required to prepare by a licence condition, unless regulations under sub-paragraph (7) provide otherwise.

(7) The Secretary of State may by regulations—

(a) amend or otherwise modify the definition of qualifying turnover;

(b) make provision about how a licence holder's qualifying turnover for a qualifying period is to be calculated.

(8) The regulations may in particular—

(a) make provision about cases in which turnover is or is not to be treated as qualifying turnover for a qualifying period;

(b) provide that a licence holder's qualifying turnover for a qualifying period is to be taken to be the qualifying turnover reported in accounts specified or described in the regulations;

(c) provide that a licence holder's qualifying turnover is to be calculated entirely or partly using accounting rules specified or described in the regulations.

(9) In this paragraph “regulatory year”, in relation to a licence holder, means a year for which the licence holder was required to prepare accounts by a licence condition for air traffic services provided in respect of a managed area.

Amount of penalty: daily amount

15

(1) In relation to a penalty under paragraph 9 or 10, a daily amount is an amount payable where the contravention in respect of which the penalty is imposed continues after it is imposed.

(2) A penalty under paragraph 9 may not consist of or include a daily amount unless that contravention has been continuous since the end of the representation period for the contravention notice in which the contravention was specified.

(3) A daily amount must not exceed 0.1% of the licence holder's qualifying turnover for the qualifying period.

(4) A daily amount is payable in respect of each day in a period specified by the CAA in the notice under paragraph 12 stating that it has imposed the penalty.

(5) A specified period during which daily amounts accumulate must be the period that the CAA considers appropriate, subject to sub-paragraphs (6) and (7).

(6) The period must begin after the day on which the CAA gives the notice under paragraph 12.

(7) The period must end before—

(a) the day on which the contravention specified in the notice under paragraph 12 ceases, or

(b) if more than one contravention is specified in that notice, the day on which the last of those contraventions ceases.

(8) In this paragraph “qualifying turnover” and “qualifying period” have the same meaning as in paragraph 14.

Use of powers under Competition Act 1998

16

(1) Before exercising a power listed in sub-paragraph (3), the CAA must consider whether it would be more appropriate to proceed under the Competition Act 1998.

(2) The CAA must not exercise such a power to the extent that it considers it would be more appropriate to proceed under that Act.

(3) Those powers are—

(a) the power to give a contravention notice under paragraph 1;

(b) the power to give an enforcement order under paragraph 3;

(d) the power to impose penalties under paragraphs 9 and 10.

PART 2 — Appeals against orders and penalties

Appeals against enforcement orders and urgent enforcement orders

17

(1) A licence holder may appeal to the Competition Appeal Tribunal (referred to in this Schedule as “the Tribunal”) against—

(a) an enforcement order given to the licence holder, or

(b) an urgent enforcement order given to the licence holder that has been confirmed.

(2) The appeal may be against one or more of the following—

(a) the decision to give the order or, in the case of an urgent enforcement order, to confirm the order;

(b) the decision as to the steps specified in the order;

(3) The making of an appeal under this paragraph against an enforcement order suspends the effect of the order until the appeal is decided or withdrawn, unless the Tribunal orders otherwise.

(4) The making of an appeal under this paragraph against an urgent enforcement order does not suspend the effect of the order, unless the Tribunal orders otherwise.

Appeals against modifications or revocations of existing orders

18

(1) A person may appeal to the Tribunal against—

(a) a decision to modify or revoke an enforcement order, or

(b) a decision to modify or revoke an urgent enforcement order that has been confirmed.

(2) An appeal under this paragraph may be made only by a person—

(a) who is not the person to whom the order was given, but

(b) who appears to the Tribunal to have sufficient interest in the decision.

(3) The making of an appeal under this paragraph against a modification or revocation of an order suspends the modification or revocation until the appeal is decided or withdrawn, unless the Tribunal orders otherwise.

Appeals against penalties

19

(1) A licence holder may appeal to the Tribunal against a penalty imposed on the licence holder under paragraph 9 or 10.

(2) The appeal may be against one or more of the following—

(a) the decision to impose the penalty;

(b) the decision as to the amount of the penalty;

(c) in the case of a penalty calculated entirely or partly by reference to a daily amount, the decision as to the period during which the daily amounts accumulate;

(d) the decision as to the period allowed for payment of the penalty.

(3) Where a licence holder appeals under this paragraph against a penalty, the CAA may not require the licence holder to pay the penalty until the appeal is decided or withdrawn.

Decisions on appeal

20

(1) The Tribunal may allow an appeal under paragraph 17, 18 or 19 only to the extent that it is satisfied that the decision appealed against was wrong on one or more of the following grounds—

(a) that the decision was based on an error of fact;

(b) that the decision was wrong in law;

(2) It may—

(a) confirm or set aside the order, modification, revocation or penalty;

(b) give the CAA any directions it considers appropriate, including directions about the time within which the CAA must act.

(3) It may not direct the CAA to do anything that the CAA would not have the power to do apart from the direction.

(4) When deciding an appeal under paragraph 17, 18 or 19 (including giving directions) the Tribunal must have regard to the matters in respect of which duties are imposed on the CAA by section 2.

Further appeals

21

(1) An appeal lies to the appropriate court on a point of law arising from a decision of the Tribunal under paragraph 20, including a direction.

(2) An appeal under this paragraph may be brought by a party to the proceedings before the Tribunal.

(3) An appeal may not be brought without the permission of—

(a) the Tribunal, or

(b) the appropriate court.

(4) “The appropriate court”—

(a) in the case of an appeal from proceedings in England and Wales or Northern Ireland, means the Court of Appeal;

(b) in the case of an appeal from proceedings in Scotland, means the Court of Session.

PART 3 — Interpretation

22

References in this Schedule to remedying the consequences of a contravention of a Chapter 1 requirement, or a requirement of an enforcement order or an urgent enforcement order, include paying an amount to a person—

(a) by way of compensation for loss or damage suffered by the person, or

(b) in respect of annoyance, inconvenience or anxiety suffered by the person.

SCHEDULE C1

PART 1 — Power to obtain information

Power to obtain information

1

(1) The CAA may by notice require a person to provide—

(a) information, or

(b) a document that is in the person's custody or under the person's control.

(2) In this Schedule “document” means anything in which information is recorded.

(3) The CAA may give a notice under this paragraph only in respect of information or documents that it reasonably requires for the purpose of carrying out its functions under section 34 or Schedule B1.

(4) The notice may require the information or document to be provided—

(a) at a time and place specified in the notice;

(b) in a form and manner specified in the notice.

(5) The notice may not require a person to provide information or documents that the person could not be compelled to provide in evidence in civil proceedings before the High Court or, in Scotland, the Court of Session.

PART 2 — Enforcement: information

Enforcement of information notice

2

(1) If a person fails to comply with a notice under paragraph 1 without reasonable excuse, the CAA may do either or both of the following—

(a) impose a penalty on the person;

(b) enforce the duty to comply with the notice in civil proceedings for an injunction or, in Scotland, for specific performance of a statutory duty under section 45 of the Court of Session Act 1988.

(2) The amount of the penalty must be the amount that the CAA determines to be—

(a) appropriate, and

(b) proportionate to the failure in respect of which it is imposed.

(3) A penalty may consist of either or both of the following—

(a) a fixed amount;

(b) an amount payable in respect of each day in a period specified by the CAA (a “daily amount”).

(4) A fixed amount must not exceed £2,000,000.

(5) A daily amount must not exceed £100,000.

(6) A specified period during which daily amounts accumulate must be the period that the CAA considers appropriate, subject to sub-paragraphs (7) and (8).

(7) The period must begin after the day on which the CAA gives the notice under paragraph 6 stating that it has imposed the penalty.

(8) The period must end before the day on which the person provides the information or documents specified in the notice under paragraph 1.

(9) The Secretary of State may by regulations replace the amount for the time being specified in sub-paragraph (4) or (5).

Penalty for providing false information

3

(1) The CAA may impose a penalty of a fixed amount on a person where it is satisfied beyond reasonable doubt that the person, in giving information to the CAA, has committed an offence under section 101 (making of false statements etc).

(2) Where a penalty is imposed on a person under this paragraph by the CAA, that person may not at any time be convicted of the offence under section 101 in respect of the act or omission giving rise to the penalty.

(3) The amount of a penalty imposed on a person under this paragraph must be the amount that the CAA determines to be—

(a) appropriate, and

(b) proportionate to the action in respect of which it is imposed,

but subject to a maximum of £2,000,000.

Penalty for destroying documents etc.

4

(1) The CAA may impose a penalty of a fixed amount on a person if the person intentionally alters, suppresses or destroys a document that the person is required to produce by a notice under paragraph 1.

(2) The reference in sub-paragraph (1) to suppressing a document includes a reference to destroying the means of reproducing information recorded otherwise than in a legible format.

(3) The amount of a penalty imposed on a person under this paragraph must be the amount that the CAA determines to be—

(a) appropriate, and

(b) proportionate to the action in respect of which it is imposed,

but subject to a maximum of £2,000,000.

Procedure before imposing a penalty

5

(1) Before imposing a penalty on a person under paragraph 2, 3 or 4, the CAA must—

(a) give the person a notice about the proposed penalty;

(b) publish the notice as soon as practicable;

(d) consider any representations made about the proposed penalty in the period specified in the notice (and not withdrawn).

(2) The notice under sub-paragraph (1) must—

(a) state that the CAA proposes to impose a penalty;

(b) state the proposed amount of the penalty;

(3) In the case of a penalty under paragraph 2 calculated entirely or partly by reference to a daily amount, the notice under sub-paragraph (1) must specify—

(a) the day on which daily amounts would begin to accumulate;

(b) the day on which, or the circumstances in which, they would cease to accumulate.

(4) The persons are—

(a) any owners or operators of aircraft, or any bodies representing them, that the CAA considers appropriate;

(b) any owners or managers of aerodromes, or any bodies representing them, that the CAA considers appropriate;

(5) The period specified in the notice under sub-paragraph (1) for making representations must be a period of not less than 21 days beginning with the day on which the notice is given to the person.

(6) Before varying the proposed amount of a penalty, the CAA must—

(a) give the person on whom the penalty is to be imposed a notice about the proposed variation;

(b) publish the notice as soon as practicable;

(d) consider any representations made about the proposed variation in the period specified in the notice (and not withdrawn).

(7) In the case of a penalty under paragraph 2 calculated entirely or partly by reference to a daily amount, the reference in sub-paragraph (6) to varying the proposed amount of the penalty includes a reference to—

(a) varying the day on which daily amounts would begin to accumulate, and

(b) varying the day on which, or circumstances in which, they would cease to accumulate.

(8) The notice under sub-paragraph (6) must—

(a) specify the proposed variation;

(b) give the CAA's reasons for the proposed variation.

(9) The period specified in the notice under sub-paragraph (6) for making representations must be a period of not less than 21 days beginning with the day on which the notice is given to the person.

(10) The CAA may withdraw a notice under sub-paragraph (1) or (6) at any time by giving notice to the person on whom it is proposed to impose the penalty.

(11) As soon as practicable after giving a notice under sub-paragraph (10), the CAA must—

(a) publish the notice;

(b) send a copy of the notice to the persons listed in sub-paragraph (4).

Procedure after imposing penalty

6

(1) As soon as practicable after imposing a penalty on a person under paragraph 2, 3 or 4, the CAA must—

(a) give a notice to the person on whom the penalty is imposed;

(b) publish the notice;

(2) The notice must—

(a) state that the CAA has imposed the penalty;

(b) state the amount of the penalty;

(d) specify a reasonable period within which the penalty must be paid or reasonable periods within which different portions of the penalty must be paid.

(3) In the case of a penalty under paragraph 2 calculated entirely or partly by reference to a daily amount, the notice must specify—

(a) the day on which the daily amounts begin to accumulate;

(b) the day on which, or circumstances in which, they cease to accumulate.

(4) The persons are—

(a) any owners or operators of aircraft, or any bodies representing them, that the CAA considers appropriate;

(b) any owners or managers of aerodromes, or any bodies representing them, that the CAA considers appropriate;

(5) As soon as practicable after daily amounts cease to accumulate, the CAA must—

(a) give a notice to the person on whom the penalty was imposed confirming the day on which they ceased to accumulate;

(b) send a copy of the notice to the persons listed in sub-paragraph (4).

PART 3 — Appeals against penalties: information

Appeals against penalties

7

(1) A person may appeal to the Competition Appeal Tribunal against a penalty imposed on the person under paragraph 2, 3 or 4.

(2) The appeal may be against one or more of the following—

(a) a decision to impose a penalty;

(b) a decision as to the amount of the penalty;

(c) in the case of a penalty calculated entirely or partly by reference to a daily amount, a decision as to the period during which daily amounts accumulate;

(d) a decision as to the period allowed for payment of the penalty.

(3) Where a person appeals under this paragraph against a penalty, the CAA may not require the person to pay the penalty until the appeal is decided or withdrawn.

(4) In any appeal where the commission of an offence under section 101 is an issue requiring determination, the CAA must prove that offence according to the same burden and standard of proof as in a criminal prosecution.

Decisions on appeal

8

(1) The Competition Appeal Tribunal may allow an appeal under paragraph 7 only to the extent that it is satisfied that the decision appealed against was wrong on one or more of the following grounds—

(a) that the decision was based on an error of fact;

(b) that the decision was wrong in law;

(2) It may—

(a) confirm or set aside the penalty;

(b) give the CAA any directions that it considers appropriate, including directions about the time within which the CAA must act.

(3) It may not direct the CAA to do anything that the CAA would not have the power to do apart from the direction.

(4) When deciding an appeal under paragraph 7 (including giving directions), the Competition Appeal Tribunal must have regard to the matters in respect of which duties are imposed on the CAA by section 2.

Further appeals

9

(1) An appeal lies to the appropriate court on a point of law arising from a decision of the Competition Appeal Tribunal under paragraph 8, including a direction.

(2) An appeal under this paragraph may be brought by a party to the proceedings before the Competition Appeal Tribunal.

(3) An appeal may not be brought under this paragraph without the permission of—

(a) the Competition Appeal Tribunal, or

(b) the appropriate court.

(4) “The appropriate court”—

(a) in the case of an appeal from proceedings in England and Wales or Northern Ireland, means the Court of Appeal;

(b) in the case of an appeal from proceedings in Scotland, means the Court of Session.

The Schedule to be inserted after Schedule 4 to the Railways Act 1993 is as follows—

The Schedule to be inserted after Schedule 1 to the Goods Vehicles (Licensing of Operators) Act 1995 is as follows—

Competition test: functions and agreements relating to buses

The Schedule to be inserted after Schedule 4 to the Railways Act 1993 is as follows—

The repeal of section 3(2) of the Civil Aviation (Eurocontrol) Act 1983 does not affect the operation of the words in it from “and that subsection” onwards in relation to any time before the coming into force of the repeal.

Application of proceeds by Welsh Ministers

14

(1) In the case of a trunk road charging scheme—

(a) which is made by virtue of subsection (3) of section 167, and

(b) which is made wholly or partly for the purpose of reducing or limiting air pollution,

the Welsh Ministers must publish a statement and lay it before Senedd Cymru as soon as reasonably practicable after the scheme is made.

(2) The statement must—

(a) state that the scheme is made wholly or partly for the purpose of limiting or reducing air pollution;

(b) provide an estimate of the net proceeds of the scheme for at least the first five financial years in which the scheme will be in operation;

(d) provide an assessment of the expected effect of those proposals on air quality (if any).

15

(1) In the case of a trunk road charging scheme—

(a) which is made by virtue of subsection (3) of section 167, and

(b) which is not made (either wholly or partly) for the purpose of reducing or limiting air pollution,

the Welsh Ministers’ share of the net proceeds of the scheme is available only for application for the purpose of directly or indirectly facilitating the achievement of any policies or proposals relating to transport.

(2) Where the scheme is made by virtue of paragraph (a) of subsection (3) of section 167, sub-paragraph (1) applies only during the period of ten years beginning with the coming into force of the scheme.

(3) The Welsh Ministers may by regulations make provision as to circumstances in which—

(a) the same scheme is to be regarded as continuing in force in spite of a variation of the scheme or the revocation and replacement (with or without modifications) of the scheme, or

(b) a different scheme is, or is not, to be regarded as coming into force,

for the purposes of determining when the period specified in sub-paragraph (2) begins or expires in the case of a scheme.

(4) Where sub-paragraph (1) no longer applies to a scheme made by virtue of paragraph (a) of subsection (3) of section 167, the Welsh Ministers’ share of the net proceeds of the scheme is available to be applied only as may be specified in, or determined in accordance with, regulations made by the Welsh Ministers.

(5) The provision that may be made by regulations under sub-paragraph (4) includes provision for sub-paragraph (2) to apply with the substitution for the number of years for the time being mentioned in it of a number of years greater than ten.

The Schedule to be inserted after Schedule 4 to the Railways Act 1993 is as follows—

The Schedule to be inserted after Schedule 1 to the Goods Vehicles (Licensing of Operators) Act 1995 is as follows—

Notice and consultation requirements.

Tendering for quality contracts.

Variation: preparation, notice and consultation

Information about bus services.

Power to obtain information about local services.

Training of staff

144F

(1) The holder of a PSV operator’s licence must ensure that the training requirement is fulfilled in relation to any person who—

(a) drives a public service vehicle being used under the licence to provide a local service, or

(b) on behalf of the holder of the licence deals directly with—

(i) passengers travelling on vehicles being used under the licence to provide local services, or

(ii) issues related to such passengers.

(2) The training requirement is that, within the past five years, the person has completed training the aim of which is to assist the person to identify, respond appropriately to and, where safe to do so, prevent—

(a) criminal offences that would cause a victim or potential victim of the offence to fear for their personal safety, and

(b) anti-social behaviour, within the meaning given by section 29(1) of the Anti-social Behaviour Act 2003.

(3) The Secretary of State may by regulations require holders of PSV operators’ licences—

(a) to keep such records relating to their compliance with the requirements of this section as are specified or described in the regulations,

(b) to publish, in such manner and at such times as the regulations specify, such information relating to their compliance with the requirements of this section as is specified or described in the regulations, and

(c) to provide to the Secretary of State such information relating to their compliance with the requirements of this section as the Secretary of State may require.

(4) The Secretary of State may issue guidance about compliance with the requirements of this section and of regulations made under it.

(5) The Secretary of State may at any time vary or revoke guidance issued under subsection (4).

(6) The Secretary of State must publish—

(a) guidance issued under subsection (4), and

(b) any variation or revocation of the guidance.

144G

(1) Subsections (1) and (2) of section 144F apply in relation to a local service which has one or more stopping places in Wales only if regulations made by the Secretary of State so provide.

(2) But the regulations may not provide for those subsections to apply in relation to—

(a) a local service that is provided in fulfilment of a duty imposed on the Welsh Ministers by an Act of Senedd Cymru, or

(b) a local service to the extent that it is provided in Wales under a permit granted by the Welsh Ministers under an Act of Senedd Cymru.

Zero-emission vehicles

151A

(1) The operator of a service that falls within subsection (2) may not use a vehicle that falls within subsection (3) to provide the service in England.

(2) A service falls within this subsection if it is—

(a) a local service which has one or more stopping places in England and which—

(i) is registered under section 6 of the Transport Act 1985, or

(ii) is not required to be registered under that section because of section 123J(2) or an exemption granted under section 123PA(1), or

(b) a London local service (within the meaning given by section 179 of the Greater London Authority Act 1999).

(3) A vehicle falls within this subsection if—

(a) it is constructed or adapted to carry both seated and standing passengers, with the number of seated passengers being more than 22 (determined in accordance with regulations made under section 26 of the Public Passenger Vehicles Act 1981),

(b) it is first registered under the Vehicle Excise and Registration Act 1994 on or after a date specified in regulations made by the Secretary of State, and

(i) carbon dioxide;

(ii) carbon monoxide;

(iii) hydrocarbon;

(iv) nitrogen oxide;

(v) particulates.

(4) The Secretary of State may by regulations—

(a) specify descriptions of document that may be relied on in order to determine for the purposes of this section what is included in the tailpipe emissions from a vehicle,

(b) specify descriptions of vehicle in relation to which subsection (1) does not apply, and

(5) The date specified under subsection (3)(b) may not be before 1 January 2030.

The Schedule to be inserted after Schedule 4 to the Railways Act 1993 is as follows—

The Schedule to be inserted after Schedule 1 to the Goods Vehicles (Licensing of Operators) Act 1995 is as follows—

123MA

(1) Subsections (2) to (10) of section 123H apply in relation to a franchising scheme varied in accordance with section 123M as they apply in relation to a franchising scheme made in accordance with subsection (1) of section 123H, but subject to subsection (2) of this section.

(2) Where the variation of the scheme adds to the scheme area the scheme must specify, in addition to the information previously specified under section 123H(2)(c) and (d), the date and minimum period to be specified in relation to local service contracts relating to local services to be provided in the additional area.

(3) In Schedule 9A—

(a) Parts 1 and 2 contain provision about the procedure to be followed when varying the area specified under section 123H(2)(a) in the scheme, and

(b) Part 3 contains provision about the procedure to be followed when making certain other variations of the scheme.

(4) For the purposes of this section and Schedule 9A—

(a) a variation of a franchising scheme “adds to the scheme area” if it involves adding an area to the area specified under section 123H(2)(a) in the scheme, and

(b) “the additional area” is the area added.

154A

(1) A local transport authority whose area is in England may make grants to operators of the services mentioned in subsection (2) towards their costs in operating those services in that area.

(2) The services are—

(a) local services which have one or more stopping places in the authority’s area, and

(b) services which have one or more stopping places in the authority’s area and would be local services but for section 2(4)(b) of the Transport Act 1985.

(3) Grants under this section are to be of such amount and subject to such conditions (including conditions requiring their repayment in specified circumstances) as may be determined by the authority.

(4) If a local transport authority is a mayoral combined authority, the function under subsection (1) is a function of the combined authority exercisable only by the mayor acting on behalf of the combined authority.

(5) If a local transport authority is a mayoral CCA, the function under subsection (1) is a function of the combined county authority exercisable only by the mayor acting on behalf of the combined county authority.

(6) The Secretary of State may issue guidance as to the exercise of functions under this section by local transport authorities and mayors; and they must have regard to any such guidance.

(7) The guidance may, in particular, include guidance—

(a) about the protection of services mentioned in subsection (2) that are socially necessary,

(b) about how the services mentioned in that subsection can contribute to economic growth and the protection of the environment, and

(8) The Secretary of State may at any time vary or revoke guidance issued under subsection (6).

(9) The Secretary of State must publish—

(a) guidance issued under subsection (6), and

(b) any variation or revocation of the guidance.

(10) Section 88(1) of the Transport Act 1985 (application to subsidy agreements of sections 89 to 92 of that Act) does not apply in relation to grants under this section.

Schedule 9A

Part 1 — Adding to scheme area

Application

1

A franchising authority or authorities must comply with the requirements of this Part of this Schedule before varying the area specified under section 123H(2)(a) in a franchising scheme where the variation adds to the scheme area.

2

(1) The franchising authority or authorities must prepare an assessment of the proposed variation.

(2) The assessment must—

(a) describe the effects that the proposed variation is likely to produce, and

(b) compare the proposed variation to making an enhanced partnership plan or scheme in relation to the additional area.

(3) The assessment must also include consideration of—

(a) whether the proposed variation would contribute to the implementation of—

(i) the authority’s or authorities’ policies under section 108(1)(a), and

(ii) other policies affecting local services that the authority or authorities have adopted and published,

(b) whether the proposed variation would contribute to the implementation—

(i) by neighbouring local transport authorities of those authorities’ policies under section 108(1)(a), and

(ii) by neighbouring relevant local authorities of other policies affecting local services that those authorities have adopted and published,

(d) whether the authority or authorities would be able to afford to operate the scheme as proposed to be varied,

(e) whether the scheme as proposed to be varied would represent value for money, and

(f) the extent to which the authority or authorities are likely to be able to secure that local services in the area of the scheme as proposed to be varied are operated under local service contracts.

(4) Sub-paragraphs (2) and (3) do not prevent inclusion of other matters.

(5) The Secretary of State must issue guidance concerning the preparation of an assessment under this paragraph, and that guidance may, in particular, include guidance about methods to be used when assessing a proposed variation.

(6) Franchising authorities must have regard to any such guidance.

(7) In this paragraph “relevant local authority” means—

(a) a local transport authority,

(b) a London transport authority,

(d) a council in Scotland.

3

Before preparing an assessment of a proposed variation under paragraph 2, the franchising authority or authorities must publish, in such manner as they consider appropriate, a notice stating that they intend to prepare such an assessment.

4

(1) The franchising authority or authorities may not proceed with the proposed variation unless they have obtained a report from an independent approved person on the assessment of the proposed variation (see paragraph 2).

(2) The report must state whether, in the opinion of the approved person—

(a) the information relied on by the authority or authorities in considering the matters referred to inparagraph 2(3)(d) and (e) is of sufficient quality,

(b) the analysis of that information in the assessment is of sufficient quality, and

(3) The Secretary of State must issue guidance as to—

(a) the time at which it is appropriate to appoint an approved person to produce a report for the purposes of sub-paragraph (1), and

(b) the matters to be taken into account by a franchising authority when selecting such a person, including for the purposes of determining whether a person is independent.

(4) Franchising authorities must have regard to any such guidance.

(5) The Secretary of State must issue guidance concerning the matters to be taken into account by an approved person when forming an opinion as to whether the information relied on, and the analysis of that information, by an authority is of sufficient quality for the purposes of sub-paragraph (2).

(6) Approved persons must have regard to any such guidance.

(7) In this paragraph “approved person” means a person specified, or of a description specified, in regulations made by the Secretary of State.

5

(1) This paragraph applies if, after a report under paragraph 4, the authority or authorities wish to proceed with the proposed variation.

(2) The authority or authorities must—

(a) publish a consultation document relating to the proposed variation (see paragraph 6),

(b) publish the assessment of the proposed variation,

(d) give notice of the proposed variation in such manner as the authority or authorities consider appropriate for bringing it to the attention of persons in the area to which the scheme as proposed to be varied relates.

(3) A notice under sub-paragraph (2)(d) must—

(a) describe the proposed variation, and

(b) state where copies of the proposed variation and the documents mentioned in sub-paragraph (2)(a) to (c) may be inspected.

(4) After giving notice under sub-paragraph (2)(d), the authority or authorities must consult—

(a) all persons operating local services which have one or more stopping places in the area or areas to which the scheme as proposed to be varied relates,

(b) all other persons holding a PSV operator’s licence or a community bus permit who would, in the opinion of the authority or authorities, be affected by the proposed variation,

(c) such persons as appear to the authority or authorities to represent employees of persons falling within paragraph (a),

(d) such organisations appearing to the authority or authorities to be representative of users of local services as they think fit,

(e) such persons with disabilities (within the meaning given by section 6 of the Equality Act 2010) who are users or prospective users of local services, or such organisations appearing to the authority or authorities to be representative of such persons, as they think fit,

(f) the Welsh Ministers if, in the opinion of the authority or authorities, any part of Wales would be affected by the proposed variation,

(g) any other relevant local authority any part of whose area would, in the opinion of the authority or authorities, be affected by the proposed variation,

(h) a traffic commissioner,

(i) the chief officer of police for each police area covering the whole or part of the area to which the scheme as proposed to be varied relates,

(j) the Passengers’ Council, and

(k) the Competition and Markets Authority.

(5) The authority or authorities may modify the proposed variation after consulting those persons and organisations.

(6) In sub-paragraph (4)(g) “relevant local authority” means—

(a) a local transport authority,

(b) a district council,

(d) the Broads Authority,

(e) a London transport authority,

(f) a Transport Partnership created under the Transport (Scotland) Act 2005, or

(g) a council in Scotland.

6

(1) A consultation document under paragraph 5(2)(a) relating to the proposed variation must include—

(a) a description of the area to which the scheme as proposed to be varied relates,

(b) a description of areas within that area for which different provision is proposed to be made, if such provision is proposed to be included in the scheme as proposed to be varied,

(d) a description of the local services that are proposed to be excepted from regulation arising because of the scheme as proposed to be varied,

(e) the date on which the scheme is proposed to be varied,

(f) the date or dates by which it is proposed that local service contracts first be entered into under the scheme as proposed to be varied,

(g) the period or periods it is proposed will expire between the making of local service contracts and the provision of local services under such contracts,

(h) a description of the authority’s or authorities’ proposed plans for consulting in order to seek views on how well the scheme as varied is working,

(i) a statement about how, in conducting the procurement process for the provision of local services under the scheme as varied, the authority or authorities propose to facilitate the involvement of small and medium-sized operators in the provision of local services, and

(j) the date by which responses to the consultation must be received.

(2) The consultation document must also include a summary of the assessment prepared under paragraph 2 in relation to the proposed variation.

7

(1) A franchising authority or authorities that conduct a consultation under paragraph 5 must publish a report setting out—

(a) the authority’s or authorities’ response to the consultation;

(b) the authority’s or authorities’ decision on whether to vary the franchising scheme.

(2) If the decision is to vary the franchising scheme, the report must be published at the same time as the notice of the decision is published under section 123M(2)(a).

(3) The authority or authorities must give notice of the report to a traffic commissioner.

(4) If the authority or authorities decide to vary the franchising scheme, the report must set out how, in conducting the procurement process for the provision of local services under the scheme as varied, the authority or authorities will facilitate the involvement of small and medium-sized operators in the provision of local services.

(5) If a franchising authority are a mayoral combined authority, the function of deciding whether to vary the franchising scheme is a function of the combined authority exercisable only by the mayor acting on behalf of the combined authority (including in a case where the decision is to vary a scheme jointly with one or more other franchising authorities).

(6) If a franchising authority are a mayoral CCA, the function of deciding whether to vary the franchising scheme is a function of the combined county authority exercisable only by the mayor acting on behalf of the combined county authority (including in a case where the decision is to vary a scheme jointly with one or more other franchising authorities).

Part 2 — Reducing scheme area

8

9

(1) The authority or authorities must—

(a) publish a consultation document relating to the proposed variation (see paragraph 10), and

(b) give notice of the proposed variation in such manner as the authority or authorities consider appropriate for bringing it to the attention of persons in the area to which the scheme relates.

(2) A notice under sub-paragraph (1)(b) must—

(a) describe the proposed variation, and

(b) state where copies of the proposed variation and the consultation document may be inspected.

(3) After giving notice under sub-paragraph (1)(b), the authority or authorities must consult—

(a) all persons operating local services which have one or more stopping places in the area or areas to which the scheme relates,

(b) all other persons holding a PSV operator’s licence or a community bus permit who would, in the opinion of the authority or authorities, be affected by the proposed variation,

(c) such persons as appear to the authority or authorities to represent employees of persons falling within paragraph (a),

(d) such organisations appearing to the authority or authorities to be representative of users of local services as they think fit,

(e) such persons with disabilities (within the meaning given by section 6 of the Equality Act 2010) who are users or prospective users of local services, or such organisations appearing to the authority or authorities to be representative of such persons, as they think fit,

(f) the Welsh Ministers if, in the opinion of the authority or authorities, any part of Wales would be affected by the proposed variation,

(g) any other relevant local authority any part of whose area would, in the opinion of the authority or authorities, be affected by the proposed variation,

(h) a traffic commissioner,

(i) the chief officer of police for each police area covering the whole or part of the area to which the scheme relates,

(j) the Passengers’ Council, and

(k) the Competition and Markets Authority.

(4) The authority or authorities may modify the proposed variation after consulting those persons and organisations.

(5) In sub-paragraph (3)(g) “relevant local authority” means—

(a) a local transport authority,

(b) a district council,

(d) the Broads Authority,

(e) a London transport authority,

(f) a Transport Partnership created under the Transport (Scotland) Act 2005, or

(g) a council in Scotland.

10

A consultation document under paragraph 9 relating to the proposed variation must include—

(a) a description of the area to which the scheme as proposed to be varied relates,

(b) a description of the local services that are proposed to be provided under local service contracts under the scheme as proposed to be varied,

(d) the date by which responses to the consultation must be received.

11

(1) A franchising authority or authorities that conduct a consultation under paragraph 9 must publish a report setting out—

(a) the authority’s or authorities’ response to the consultation;

(b) the authority’s or authorities’ decision on whether to vary the scheme.

(2) If the decision is to vary the franchising scheme, the report must be published at the same time as the notice of the decision is published under section 123M(2)(a).

(3) The authority or authorities must give notice of the report to a traffic commissioner.

(4) If a franchising authority are a mayoral combined authority, the function of deciding whether to vary the franchising scheme is a function of the combined authority exercisable only by the mayor acting on behalf of the combined authority (including in a case where the decision is to vary a scheme jointly with one or more other franchising authorities).

(5) If a franchising authority are a mayoral CCA, the function of deciding whether to vary the franchising scheme is a function of the combined county authority exercisable only by the mayor acting on behalf of the combined county authority (including in a case where the decision is to vary a scheme jointly with one or more other franchising authorities).

Part 3 — Other variations

12

A franchising authority or authorities must comply with the requirements of this Part of this Schedule before varying a franchising scheme where the variation—

(a) does not include a variation of the area specified under section 123H(2)(a) in the scheme, but

(b) does include one or more of the following—

(i) a variation of additional facilities identified under section 123A(3)(d) in the scheme;

(ii) a variation of the plans for consultation included in the scheme under section 123A(9);

(iii) a variation of the local services specified under section 123H(2)(b) in the scheme;

(iv) a variation of the scheme sub-areas specified under section 123H(3)(a) in the scheme;

(v) a variation of the period specified under section 123H(2)(d) or (3)(c) in the scheme;

(vi) a variation of the local services that are excepted under section 123H(5) from regulation arising because of the scheme.

13

(1) The franchising authority or authorities must consult—

(a) in the case of a variation mentioned in paragraph 12(b)(ii), (iii), (iv) or (vi)—

(i) the Welsh Ministers if, in the opinion of the authority or authorities, any part of Wales would be affected by the proposed variation,

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