The Chiltern Railways Company Limited Penalty Fares Scheme December 2015
1. Penalty Fares Trains 1.1. For the purposes of this scheme, all the trains operated by the company (Chiltern Railway Company Limited) on the following routes will be Penalty Fares Trains as described in the Penalty Fares Rules 2002. A map showing the routes in further detail is attached as Appendix A 1.2. Trains on which Penalty Fares maybe issued Kidderminster/Stourbridge/Birmingham to London Aylesbury Vale Parkway/Aylesbury to London Stratford-upon-Avon to London Oxford Parkway/Bicester Village to London Aylesbury to Princes Risborough 2. Penalty Fares Stations 2.1. For the purposes of this scheme, the following are stations at which the Chiltern Railways Penalty Fares Scheme will apply: London Marylebone London Paddington* Wembley Stadium Northolt Park Sudbury & Harrow Road Sudbury Hill Harrow West Ruislip South Ruislip Denham Denham Golf Club Gerrards Cross Seer Green & Jordans Beaconsfield High Wycombe Saunderton Princes Risborough Haddenham & Thame Parkway Bicester North Kings Sutton Banbury Leamington Spa Warwick Warwick Parkway Dorridge Hatton Lapworth Widney Manor* Solihull Olton* Acocks Green* Tyseley Birmingham Moor Street Birmingham Snow Hill* Jewellery Quarter* The Hawthorns* Smethwick Galton Bridge* Rowley Regis* Old Hill* Cradley Heath* Lye* Stourbridge Junction* Hagley* Blakedown* Kidderminster* Monks Risborough Little Kimble Aylesbury Vale Parkway Aylesbury Stoke Mandeville Wendover Great Missenden Harrow on the Hill* Rickmansworth* Chorleywood* Chalfont and Latimer* Amersham* Oxford* Oxford Parkway Islip Bicester Village Claverdon* Bearley* Wilmcote* Stratford-upon-Avon Parkway* Stratford-upon-Avon* Heyford* Tackley* Langley Green* Small Heath* Note: Stations where the station facility operator (SFO) is not Chiltern Railways are marked with an asterisk (*) 2
3. Compulsory Ticket Areas (CTAs) 3.1. Definition Compulsory Ticket Areas can be any area at a station identified by a notice which indicates that persons may not enter that area without being able to produce a ticket or other authority authorising travel on a train arriving at or departing from that area or otherwise authorising entry into that area. The need for a ticket does not apply in the following circumstances There were no facilities in working order for the issue or validation of tickets at the time when and the station where the journey started. There were no facilities for the issue or validation of the tickets at the station concerned When granted permission by an authorised person 3.2. The following stations have compulsory ticket areas Station Parts of Station Covered by CTA Reason for CTA London Marylebone All platforms South Ruislip All National Rail platforms Gerrards Cross All platforms and footbridge Beaconsfield All platforms and footbridge High Wycombe All platforms and footbridge Aylesbury All platforms and footbridge These are stations where all Bicester Village All platforms and footbridge passengers must hold a Oxford Parkway All platforms and footbridge valid ticket to enter the Birmingham Moor Street All platforms and footbridge platforms in order to make Birmingham Snow Hill* All platforms and concourse a barrier check practicable. Harrow on the Hill* Platforms, underpass & overbridge Rickmansworth* All Platforms Chorleywood* All Platforms Chalfont and Latimer* All Platforms Amersham* All Platforms Note: Stations where the station facility operator (SFO) is not Chiltern Railways are marked with an asterisk (*) 3.2 Changes of status to compulsory ticket areas New compulsory ticket areas will be advertised by way of warning notices for a period of not less than 28 days before the change takes place. 3.3 Platform tickets At stations where a CTA is in place platform tickets maybe sold by the ticket office. Where sold these tickets will be 0.10. Persons liable to purchase a platform ticket include but are not limited to people who are seeing off customers, those who wish to meet arriving customers off trains and those who wish to visit platforms but are not travelling. People assisting customers with disabilities will not be charged to enter the CTA 3
4. Ticket facilities 4.1. Appendix B shows the ticket facilities that are provided at each station where the CRCL Penalty Fares Scheme will apply, along with the ticket office opening hours. At many stations a second way of buying tickets is provided by ticket vending machines. Permit to Travel (PERTIS) machines are also available at some locations 4.2. The ticket facilities at each penalty fares station are sufficient to meet the Ticketing and Settlement Agreement and the relevant SFOs Passenger Charter queuing standards under normal circumstances at all times of the day. The Passenger s Charter queuing standard at CRCL stations is 5 minutes during the peak and 3 minutes off peak. Where queuing standards are not met we will invoke provisions necessary to ensure compliance 4.3. At staffed stations operated by Chiltern Railways we will check that ticket vending machines are operable every day the station is staffed. Staff are trained to rectify simple faults themselves or with the aid of advice from a helpdesk, where this is not possible our maintenance contractor will repair any faults. Our maintenance contract states that machine faults will normally be corrected with 24 hours 4.4. Where the station is unstaffed ticket vending machines will be physically checked at least weekly but more normally every 2 days. Staff are trained to rectify simple faults themselves or with the aid of advice from a helpdesk, where this is not possible our maintenance contractor will repair any faults. Our maintenance contract states that machine faults will normally be corrected with 24 hours 4.5. TfL Oyster cards are valid on all Chiltern Railways services for journeys wholly within the London zones. In order to be valid for a particular journey the oyster card must be tapped in at the validator at each station. Facilities to top up oyster cards are available on our Ticket Vending machines at stations at all stations we operate within the London zones 4
5. Oyster, contactless payment and Apple/Android pay 5.1. Where applicable on our routes (please check before travelling) Oyster, contactless payment and Apple/Androidpay can be used. Please touch in an out on the yellow reader and ensure that your card or phone validates. If the payment card or phone has not been validated your ticket will not be valid 5
6. Publicity and Warning Notices 6.1. Chiltern Railways will maintain a penalty fares leaflet that will explain our penalty fares scheme in the format of frequently asked questions. The leaflet includes a map showing penalty fares stations and the routes operated by penalty fares trains. The penalty fares leaflet will be available at Chiltern Railways stations or on line free of charge. We will provide a hardcopy and also a copy of the Penalty Fares Rules 2002 to anyone who asks 6.2. We will from time to time use electronic station displays and announcements to provide additional warnings that we operate a penalty fares scheme 6.3. Our customer relations team can supply literature in alternate formats such as Braille, Large Print, Easy Read or Audio 6.4. All ticket office, platform, customer services and on train staff are briefed on our Penalty Fares Scheme and the customers obligations along with penalties that maybe imposed 6.5. Penalty Fares warning notices will continue to be displayed in line with rule 4 at each station and at the entrance to each CTA. These notices take the form of signs (either paper, plastic or metal) displayed at each entrance to each platform and on the platforms so that they can be seen by passengers changing on to a penalty fare train. Our signs are compliant with both the penalty fares rules 2002 and current ATOC guidance of September 2003. They are black on yellow and are very different from our normal signage and posters, they display a warning along with the penalty. We currently have 8 different variations dependent on TOCs using the station and CTAs in place. We will check that these signs are in place and correctly positioned as part of our regular station audits, they will also be checked by members of the revenue Protection Team 6.6. For stations where Chiltern is not the Station Facilities Owner (SFO) we will audit provision of signage and raise perceived deficiencies with the SFO 6
7. Selection and training of Authorised Collectors 7.1. All members of staff required to become authorised collectors as stipulated in the penalty fare rules will be interviewed by the Revenue Protection manager or another suitable member of staff. The object of the interview will determine if the candidate has the required competencies suitable for the duties of authorised collector. Records of each interview are kept on the personal file of successful candidates 7.2. Once appointed each member of staff who will fulfil the duties of authorised collector will receive appropriate training and personnel one on one mentoring during their induction training programme. Records of this training will be retained. Product training will include Various ticket types and restrictions by route or time National Rail Conditions of Carriage (NRCoC) Railway Bye-laws Penalty Fare Rules 2002 Chiltern Railways Penalty Fares Scheme Chiltern Railways Revenue Protection Strategy including the use of discretion Conflict awareness training Customer Service skills Training will be delivered either internally or by a third party. Training will be reviewed as appropriate with its suitability assessed 7.3. We will assess the knowledge and ability of each authorised collector regularly and address shortcomings as appropriate 7.4. We will only issue members of staff who have passed this training with the appropriate authorised collector identification. 7.5. Where complaints are made they will be fully investigated. Complaints about the scheme will be divorced from complaints about conduct. Records of each investigation will be maintained by the investigating manager along with any action taken. If we consider it appropriate we will suspend a member of staffs authorised collector status and withdraw their identification until such time as investigations have been completed. 7.6. Authorised collectors will be provided with the technology and training to read mobile tickets, contactless payments and Apple/Androidpay. 7
8. Identification of authorised collectors 8.1. All members of staff who are required to undertake the duties of an authorised collector will normally wear the Chiltern Railways uniform (along with a name badge). In line with rule 5 they will additionally carry identification and produce this when requested by a passenger. This identification will include The authorised collector s photograph The authorised collector s name The authorised collector s identifying number A statement that the bearer is authorised to collect penalty fares on behalf of Chiltern Railways or on behalf of other operators who have granted their permission 8.2. The design of the identification is in line with the ATOC code of practice on Penalty Fares. A sample is attached as appendix D 8.3. On certain occasions Chiltern Railways will deploy authorised collectors in plain clothes to tackle specific problems. On such occasions the authorised collector will carry their identification and produce it as they introduce themselves to passengers they are checking. 8
9. Penalty Fares Notices 9.1. Each time a penalty fare is charged authorised collectors will comply with rule 8 by issuing a penalty fare notice. The artwork for this notice is shown as appendix E 9
10. Chiltern Railways Revenue Protection Strategy. 10.1. The Chiltern Railways Penalty Fares scheme forms part of the overarching Chiltern Railways Revenue Protection Strategy. The strategy clearly sets out when passengers are to be charged a penalty fare and when other action will be taken. It covers scenarios such as Passengers who have changed on to a Penalty Fare train from a non Penalty Fare train Passengers who have a ticket valid for their journey but are travelling at a different time or route than that permitted Railcard and season ticket holders who do not have their supporting documentation with them 10.2. The Chiltern Railways Revenue Protection Strategy gives authorised collectors the discretion not to charge a penalty fare to any passenger who could not reasonably have been expected to buy a ticket before boarding. At their discretion the authorised collector can either charge the appropriate full single or return fare in line with the National Rail Conditions of Carriage or charge a relevant discounted fare as appropriate. 10.3. The strategy sets out a framework that gives clear guidelines for using discretion and includes the following scenarios Passengers who are frail and have mobility impairments Passengers who are elderly Passengers who are heavily pregnant Passengers who are not aware of the scheme because they are blind or partially sighted, are foreign visitors who live abroad, do not speak English very well, or have learning difficulties Passengers who are identified as foreign visitors who live abroad Passengers who are travelling from stations where the only available ticket facilities are ticket machines or a permit to travel machine, who have enough money (or credit or debit cards) to buy a ticket, but not the correct coins or notes needed to use the ticket or permit to travel machine; Passengers travelling from stations where the only available ticket facilities are ticket machines, who claim that the machines were accepting coins only or the exact fare only and the passenger did not have the necessary coins (unless the authorised collector can confirm that the machines are in fact working normally); Passengers who are travelling from a station where the authorised collector has been told about long ticket office queues, or where fewer ticket windows than normal are open; and When the train service is severely disrupted. 10.4. The strategy also supports the penalty fare rules by allowing the issuance of nil paid notices allowing passengers 21 days to pay the full amount 10.5. Within our strategy we reserve the right to commence prosecutions if we believe that there is sufficient evidence that the passenger intended to avoid paying their fare. In these circumstances we will either not charge a penalty fare or where a penalty fare has already been charged we will cancel it and refund any monies paid. We will also write to the passenger using the address provided to advise them that the Penalty fare has been cancelled and that they will now be dealt with under more appropriate legislation. In these circumstances we will write to the customer within 21 days of the penalty Fare being issued 10
11. Station Checks 11.1. Chiltern Railways may undertake revenue operations on board train or at stations. Where an operation is carried out at a non CTA the person in charge of the operation will ensure that the team Are in a position where they can see that a person approaching the barrier has got off a train; or That they carry out a thorough search of the platform area before the check starts, to make sure that there is no-one on the platform side of the barrier check who is not travelling. 12. Ensuring availability of Ticket Purchasing Facilities and Warning Notices 12.1. Chiltern Railways operate an integrated control centre which is manned 24 hours a day (with the exception of Christmas Day). Ticket office staff at each penalty fares station which we operate will inform the control centre of the following: When a ticket office closes out of course and when it re-opens When a ticket office closes early When very long queues develop and when queuing levels return to normal levels When self service machines develop a fault or when their functionality changes. i.e. they only accept cash or correct fare Faults identified at unmanned stations either by staff visit or customer report 12.2. London Underground (TfL), London Midland, Cross Country Trains, Great Western Railway and Network Retail also provide information that may affect the operation of our penalty fare scheme via the Integrated Control Centre 12.3. The integrated control centre will log information received (using the companies Compass Log) and issue alerts and updates to authorised collectors using the Tyrell Check mobile application downloaded on their personnel issue mobile device 12.4. The Integrated Control Centre will also make their records available to the Independent Appeal Service as required on order for them to investigate penalty fare appeals 13. Grades of staff trained 13.1. The only staff trained as Authorised Collectors are Customer Service Inspectors and Team Leaders, Train Managers and On Train Service Managers and certain Gateline Operators. Staff who are not trained as Authorised Collectors will NOT be permitted to collect Penalty fares 14. Kit Checks and Controls 14.1. All authorised collectors will be subject to an equipment check at least every 3 months. Random checks will also be carried out by Team Leaders to make sure that all equipment is carried and is functioning 11
15. Arrangements with other operators 15.1. The following table identifies each penalty fares station served by other operators and sets out the arrangements we apply with those operators. Station CTA? (y/n) Also served by Penalty fares Scheme? (y/n) Arrangements that apply Kings Sutton No Great Western No Type A Banbury No Great Western Cross Country No No Type A Type A Leamington Spa No Cross Country No Type A London Midland Oxford* No Great Western Yes Yes (To Oxford) No Type B Type B Cross Country Type A Warwick No London Midland Yes Type B Dorridge No London Midland Yes Type B Solihull No London Midland Yes Type B Hatton No London Midland Yes Type B Lapworth No London Midland Yes Type B Birmingham Moor Yes London Midland Yes Type B Street Wilmcote* No London Midland Yes Type C Stratford upon Avon No London Midland Yes Type C Parkway* Stratford upon Avon* No London Midland Yes Type C Widney Manor* No London Midland Yes Type C Olton* No London Midland Yes Type C Acocks Green* No London Midland Yes Type C Tyseley* No London Midland Yes Type C Small Heath* No London Midland Yes Type C Birmingham Snow No London Midland Yes Type C Hill* Jewellery Quarter* No London Midland Yes Type C The Hawthorns* No London Midland Yes Type C Smethwick Galton No London Midland Yes Type C Bridge* Langley Green* No London Midland Yes Type C Rowley Regis* No London Midland Yes Type C Old Hill* No London Midland Yes Type C Cradley Heath* No London Midland Yes Type C Lye* No London Midland Yes Type C Stourbridge Junction* No London Midland Yes Type C Hagley* No London Midland Yes Type C Blakedown* No London Midland Yes Type C Kidderminster* No London Midland Yes Type C Amersham* Yes London Underground Yes Type A Chalfont and Latimer* Yes London Underground Yes Type A Chorleywood* Yes London Underground Yes Type A Harrow on the Hill* Yes London Underground Yes Type A Rickmansworth* Yes London Underground Yes Type A Note: Stations where the station facility operator (SFO) is not Chiltern Railways are marked with an asterisk (*) 12
Arrangements to apply Type A:- Passengers who claim to have alighted from this operators trains will not be considered for a Penalty Fare either because the operator s train they travelled on does not operate a Penalty Fares Scheme or the Scheme is different to the Chiltern Scheme Type B:- Passengers who claim to have alighted from this operator s services may be issued a Penalty Fare under the terms of that operator s scheme as long as the authorised collector has been authorised to collect penalty fares on behalf of that operator. These Authorised Collectors will be trained to enforce the other operator s scheme and will be aware of that companies discretionary guidelines. They will also know how to confirm what facilities were available to passengers at the time of boarding. The identification carried by such Authorised Collectors will show the names of the operators on whose behalf they are authorised to collect Penalty Fares Type C:- These are stations where Chiltern Railways is not the Station Facility Owner. In this instance we authorise this operators Authorised Collectors to collect Penalty fares under the terms of our scheme and on our behalf. These Authorised Collectors will be conversant with our scheme and discretionary framework. 13
16. Appeals 16.1. All appeals against the issue of a Penalty Fare charged under this scheme will be handled by Independent Appeals Service (IAS). In line with the Penalty Fare Rules, every passenger charged a Penalty fare under our scheme will be made aware of their right of appeal. The IAS contact details are shown on our Penalty Fare Notices together with details on how to appeal as shown in Appendix F 16.2. IAS will decide appeals in line with the code of practice agreed by the Department for Transport 16.3. We will provide IAS with details of our scheme, including detail of ticket buying facilities at stations and elsewhere, the guidelines provided to authorised collectors, furthermore we will provide IAS contact details for our control centre in order that they may investigate appeals 16.4. We pay IAS to provide an appeals service for us, this payment is on a per case basis and the fee is the same irrespective of the outcome of the appeal 14
Appendix A: A Map showing the Chiltern Railway Penalty Fares Stations and Routes London Midland operate a separate Penalty fares Scheme (Under the 2002 rules) at their stations and on trains between Kidderminster and Stratford-upon-Avon and Leamington Spa London Underground as a part of TfL operate a separate Penalty fares Scheme (under The London Regional Transport (Penalty Fares) Act 1992 and the Greater London Authority Act 1999) at their stations and on board their services. Stations at Beaconsfield, Bicester Village, Birmingham Snow Hill, Birmingham Moor Street, Gerrards Cross, High Wycombe, London Marylebone, Oxford Parkway, South Ruislip and West Ruislip have compulsory ticket areas 15
Appendix B: Summary of Ticket office facilities available at Penalty fare stations 16
Appendix C: Artwork for Penalty Fare Warning Notices Type 1 Stations only served by Chiltern Railways with no gates/cta 17
Type 2 TfL Stations with gates. Note reference to the separate London Underground scheme 18
Type 3 Displayed only at Kings Sutton and Banbury making reference to both GWR and Cross Country not operating a PF Scheme 19
Type 4 Displayed at stations where Chiltern is the SFO, where there are no gates and where services are provided by both Chiltern and London Midland 20
Type 5 Displayed at Birmingham Moor Street 21
Type 6 Displayed at stations where the only scheduled services are provided by Chiltern Railways and the station is protected by automatic ticket gates 22
Type 7 Displayed only at Leamington Spa making reference to Cross Country not operating a PF Scheme 23
Appendix D: Artwork for Authorised Collectors Identification 24
Appendix E: Penalty Fare Notice Artwork 25
Appendix F: Penalty Fare Notice Artwork (Reverse of Customer Copy) 26