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Statutory Instruments made by the National Assembly for Wales |
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You are here: BAILII >> Databases >> Statutory Instruments made by the National Assembly for Wales >> The Mandatory Travel Concessions (Reimbursement Arrangements) (Wales) Regulations 2001 URL: http://www.bailii.org/wales/legis/num_reg/2001/20013764e.html |
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| Made | 22 November 2001 | ||
| Coming into force | 30 November 2001 |
| 1. | Citation commencement and application |
| 2. | Interpretation |
| 3. | General objective with respect to all operators |
| 4. | Formulation of reimbursement arrangements |
| 5. | Manner of making reimbursement payments |
| 6. | Standard method of determining number of, and fares value of, journeys |
| 7. | Review of standard method calculation |
| 8. | Calculation of reimbursement payments |
| 9. | Application of regulations 10 to 17 |
| 10. | Use of information supplied by operators |
| 11. | Prohibition of requirements of certain information |
| 12. | Limitation on requirements for certain information |
| 13. | Exemption of certain operators from supplying information |
| 14. | Frequency of supply of certain information |
| 15. | Surveys in services |
| 16. | Installation and use of equipment |
| 17. | Changes in services and fares |
| 18. | Employment of administering agents |
| 19. | General restriction on interference with the manner of providing services |
| 20. | Application of regulations 21 to 32 |
| 21. | Content of notices |
| 22. | Service of notices |
| 23. | Applicant's written statement |
| 24. | Authority's written statement |
| 25. | Further written statements and documents |
| 26. | Hearings and appearances |
| 27. | Defaults in delivery of statements or documents or in appearing |
| 28. | Procedure at hearings |
| 29. | Decisions by the National Assembly |
| 30. | Restriction on use of information in connection with hearings |
| 31. | Frivolous or vexatious applications |
| 32. | Application of regulations 23 to 25, 27 to 29 and 31 to nominee of the National Assembly |
(2) References in these Regulations to the date on which a notice is given are, in relation to notices sent by post, references to the date on which the notice is, in accordance with regulation 22(2), deemed to be received at the address to which it is sent.
(3) Any reference in these Regulations to a numbered regulation or Schedule is a reference to the regulation or Schedule bearing that number in these Regulations except where otherwise expressly provided.
(4) Any reference in these Regulations to estimates or calculations made by an authority in relation to reimbursement payments is a reference to estimates or calculations made by the best practical method available to the authority.
Manner of making reimbursement arrangements
5.
- (1) The payment periods and payment days are to be specified in the reimbursement arrangements and -
(2) Each reimbursement payment must not be less than 85% of the amount estimated by the authority to be due to the operator in respect of the relevant payment period.
(3) Subject to paragraph (9) of this regulation, the balance of each reimbursement payment must be paid, subject to any adjustments shown to be necessary in the light of information available to the authority pursuant to arrangements giving effect to these Regulations, not later than 3 months after the end of the relevant payment period.
(4) Subject to paragraph (6) of this regulation, if any such balance as is mentioned in paragraph (3) of this regulation is not paid in accordance with that paragraph, provision must be made for the authority to pay simple interest (at a rate of base rate plus 1%) on the amount for the time being unpaid for the period beginning with the last date on which the balance should have been paid in accordance with paragraph (3) and ending with the date of actual payment.
(5) For the purposes of paragraph (4) of this regulation:
(6) Interest is not be payable until the entitlement to mandatory travel concessions under section 145(1) of the Act has been in force for 6 months nor in respect of any period falling wholly or partly within the first 6 months after that entitlement comes into force.
(7) If the amount of any reimbursement payment made in accordance with paragraph (2) of this regulation in respect of any payment period exceeds the total amount of the payment found to be payable in respect of that period, provision must be made for the authority to notify the operator in writing accordingly and the authority may thereafter deduct the amount of the excess from the reimbursement payments due to that operator in respect of any subsequent payment period.
(8) If the circumstances described in paragraph (7) of this regulation arise in relation to a person who is no longer an operator, the authority must notify that person accordingly and, unless that person disputes the existence or amount of the excess, that person must pay the amount of the excess to the authority within 30 days of the date of receipt of the notification.
(9) Provision may be made for any reimbursement payment due in accordance with paragraphs (2) and (3) of this regulation to be made otherwise than in accordance with this regulation in any case where an operator fails to supply information in accordance with reimbursement arrangements giving effect to these Regulations -
(10) Subject to paragraph (9) of this regulation, provision must be made for any reimbursement payment or any part of such a payment due to an operator in respect of mandatory concessions provided during any period of 12 months commencing on a date specified in the arrangements but not paid to be paid not later than 3 months after the expiry of that period.
Standard method of determining number of, and fares value of, journeys
6.
- (1) Subject to paragraph (6) of this regulation, in relation to each scheme, the authority must adopt a standard method to be used, subject to regulation 4, in determining -
(2) The standard method must provide for the authority to take into account any data which shows that the method by which such data was derived is more accurate than the standard method.
(3) Where the standard method does not provide for the recording of all such journeys as are mentioned in paragraph (1) of this regulation, that method may provide for -
(4) Where the amounts of reimbursement payments are estimated or calculated otherwise than by reference to a standard method which provides for the recording of all the journeys mentioned in paragraph (1)(a) of this regulation, the estimates or calculations (but not the standard method) must be adjusted if the information upon which they were based is shown to be inaccurate in any material respect.
(5) An authority or an operator who have reason to believe that the standard method used by them is inappropriate in relation to any particular operator may, at their own cost and expense, make provision for a more accurate calculation of the total number and fares value of journeys in respect of that operator.
(6) If , in the opinion of an authority, application of the standard method would, by reason of the nature or extent of the services on which mandatory travel concessions are provided by a particular operator or operators, impose an unreasonable administrative or financial burden on such operator or operators, reimbursement arrangements relating to them may include an exemption from the standard method in any case where the authority and the operator so agree and each of the following conditions are satisfied -
Review of standard method calculation
7.
Provision must be made for an authority to review the calculations made in accordance with the standard method not less than once every three years.
Calculation of reimbursement payments
8.
When adopting the standard method in accordance with Regulation 6, and when calculating reimbursement payments in accordance with that method, an authority must have regard to any guidance given by the National Assembly to authorities generally or to that authority in particular for the purposes of this regulation.
Application of Regulations 10 to 17
9.
Regulations 10 to 17 apply to the provisions that are to be or (as the case may be) may or may not be included in reimbursement arrangements with respect to operators.
Use of information supplied by operators
10.
Any information supplied by an operator to an authority pursuant to arrangements giving effect to this regulation and regulations 11 to 17 may only be used for and in connection with the calculation of reimbursement payments and such information must not be disclosed by the authority except -
Prohibition of requirements of certain information
11.
Information may not be required on any of the following subjects -
Limitation on requirements for certain information
12.
- (1) This regulation applies to information on or concerning the following subjects -
(2) Subject to paragraph (3) of this regulation, an operator may only be required to supply information to which this regulation applies in relation to all the services which that operator provides and on which mandatory travel concessions are provided.
(3) Where arrangements provide for the division of the area of a travel concession authority into different parts, an operator may be required to supply information to which this regulation applies in relation to each part, but not if this will require him to disclose the numbers of passengers carried on any particular service or group of services provided by him or (as the case may be) the amount of the fares received by him from those passengers.
(4) Provision may be made, in any case where information to which this regulation applies is supplied in accordance with arrangements giving effect to this regulation, for the information to be accompanied by a certificate of its accuracy and completeness given by a responsible person.
(5) In paragraph (4) of this regulation "responsible person" means a person who is a member of one or more of the following bodies -
(6) If an authority requires information to be accompanied by a certificate of its accuracy and completeness supplied by a responsible person in accordance with paragraph (4) any reasonable additional expense incurred by an operator by reason of that requirement is to be re-imbursed by the authority and for that purpose is to be deemed to form part of the balance payable under regulation 5(3) in respect of the relevant payment period during which the authority was provided with full particulars of such expense.
Exemption of certain operators from supplying information
13.
- (1) This regulation applies to operators in respect of whom an exemption from the standard method is being applied under regulation 6(6).
(2) An operator to whom this regulation applies may not be required to supply any information to which regulation 12 applies.
Frequency of supply of certain information
14.
Information may not be required to be supplied more frequently than once in every 28 days nor in respect of periods of less than 28 days.
Surveys in services
15.
An authority may require an operator to allow officers, servants or agents of that authority to have access with reasonable frequency to (including the right to travel free of charge on) the vehicles of the operator on which mandatory travel concessions are provided for the purpose of -
Installation and use of equipment
16.
- (1) Subject to paragraph (2) of this regulation, an authority may require an operator to have in its vehicles, and to use, equipment which complies with a specification laid down by that authority for the purpose of issuing and cancelling tickets or otherwise recording the numbers and descriptions of passengers on those vehicles.
(2) The costs and expense of providing and installing any such equipment are to be borne by the authority.
(3) Without prejudice to regulation 12, an operator may not, except where the standard method requires the calculation of average fares values in relation to all passengers and for that purpose alone, be required to supply to the authority information derived from the use of any such equipment and relating to journeys by passengers not entitled to be provided with mandatory travel concessions.
(4) An authority may, in relation to any vehicle on which mandatory travel concessions are being provided, require an operator to display on that vehicle, at the operator's expense, a sign making that fact clear and which is reasonably legible to those in general likely to be entitled to such concessions.
Changes in services and fares
17.
Provision may be made for an operator to inform the authority of any changes in the services operated by that operator on which mandatory travel concessions are provided, and of any changes in the fares table applicable to those services, in either case when the change takes effect or not later than 7 days thereafter.
Employment of administering agents
18.
An authority may not employ as its agent for the purposes of the administration of reimbursement arrangements any person who is a holder of a PSV operator's licence.
General restriction on interference with the manner of providing services
19.
Except where done to give effect to this Part of these Regulations, arrangements may not include provisions compliance with which would require the operator to alter the manner in which the operator provides the services on which concessions are provided.
Service of notices
22.
- (1) Notices required to be served or given under section 150(4) or (5) of the Act may be delivered by hand or sent by prepaid registered or recorded delivery post.
(2) Any notice sent by post in accordance with paragraph (1) of this regulation is to be deemed to have been received when it ought in due course of post to be delivered at the address to which it is sent.
Applicant's written statement
23.
- (1) The applicant must, with the notice required to be given under section 150(4) of the Act, submit to the National Assembly a written statement of -
(2) The applicant must, at the same time as it submits the above-mentioned notice and statement to the National Assembly, send a copy of that notice and of that statement to the authority.
Authority's written statement
24.
- (1) Subject to regulation 30, the authority must submit to the National Assembly a written statement of any matters which it considers to be relevant to the application.
(2) At the same time as it submits the statement to the National Assembly, the authority must send a copy of it to the applicant.
(3) Unless otherwise allowed by the National Assembly, any such statement must be submitted to the National Assembly and sent to the applicant within 28 days of the date of the notice given to the National Assembly by the applicant.
(4) The National Assembly must inform the applicant forthwith if it allows the authority a longer period for the submission of its statement.
Further written statements and documents
25.
- (1) Subject to regulation 30, the National Assembly may, after the authority have submitted their statement, request the applicant or the authority, or both of them, to submit to it such further written statements and documents as it may direct.
(2) Any such further statements and documents must be submitted within such time as the National Assembly may direct, but such time must not, unless the applicant and the authority otherwise agree, be less than 14 days commencing with the date of the National Assembly's request.
(3) The applicant or the authority (as the case may be) submitting any further statement or document to the National Assembly must at the same time send a copy of it to (as appropriate) the authority or the applicant.
Hearings and appearances
26.
- (1) The National Assembly may, after the submission of the last written statement or document required under regulations 23 to 25, invite the applicant and the authority to appear before a person appointed by it.
(2) Where the National Assembly has in accordance with regulation 32 appointed a person to determine the application on its behalf, that person is to be the person before whom the applicant and the authority are to be invited to appear.
(3) The hearing pursuant to an invitation from the National Assembly under this regulation must take place not less than 14 days after the date of that invitation (or, if invitations were given on separate dates, the date of the second or last of those invitations).
(4) The applicant may appear in person or be represented by counsel, solicitor or any other person.
(5) The authority may appear by any officer or other person appointed for that purpose, or by counsel, or by solicitor.
Defaults in delivery of statements or documents or in appearing
27.
If the applicant or the authority fails -
the National Assembly may nevertheless proceed with the determination of the application.
Procedure at hearings
28.
- (1) Subject to regulation 27, at any hearing the person appointed by the National Assembly must give to the applicant and the authority an opportunity -
(2) The National Assembly or any person appointed by it to conduct a hearing under this regulation may receive in evidence any document or information notwithstanding that such document or information would be inadmissible in a court of law.
(3) Except as otherwise provided in this Part of these Regulations, the procedure at any hearing is to be such as the person appointed by the National Assembly may in that person's discretion determine.
Decision by the National Assembly
29.
- (1) The National Assembly, having considered the report of the person, if any, appointed by it pursuant to regulation 26(1) will determine the application and its decision must be recorded in a document signed on behalf of the National Assembly and dated when so signed.
(2) Such document must contain a summary of the reasons for the decision of the National Assembly.
(3) A copy of the document recording the decision of the National Assembly must be sent to the applicant and the authority.
(4) The decision is to be be treated as having been made on the date on which the copy of the above-mentioned document is sent to the applicant.
Restrictions on use of information in connection with hearings
30.
- (1) This regulation applies to information relating to the reimbursement of a relevant operator and received by an authority from that operator pursuant to reimbursement arrangements.
(2) In this regulation "relevant operator" means an operator of public transport services on which there is an entitlement to mandatory travel concessions.
(3) Notwithstanding any provision of regulations 24 to 28, any statement or document submitted or sent by an authority, and any statement made on behalf of an authority appearing before a person appointed by the National Assembly, must not contain any information to which this regulation applies unless the relevant operator has given its consent in writing to such inclusion.
Frivolous or vexatious applications
31.
If it appears to the National Assembly that an application is frivolous or vexatious it may, after giving the applicant an opportunity of making representations in writing, decide to dismiss the application forthwith and the provisions of regulation 29 is to apply to such decision.
Application of regulations 23 to 25, 27 to 29 and 31 to nominee of the National Assembly
32.
- (1) If the National Assembly appoints a person in accordance with section 150(6)(b) of the Act to determine an application on its behalf, it must give notice in writing of the appointment to the applicant and the authority.
(2) If the National Assembly appoints a person to determine an application on its behalf, references in regulations 23 to 25 and regulations 27 to 29 to the National Assembly are to be read, with effect from the date of the appointment, as references to the person so appointed.
Signed on behalf of the National Assembly for Wales under section 66(1) of the Government of Wales Act 1998[2].
D. Elis-Thomas
Presiding Officer of the National Assembly
22 November 2001
