Penalties, Notices and Reports
Legal
Introducing the Debt Recovery and Prosecutions Unit
Northern is required by the Department for Transport to ensure that it safeguards revenue using various strategies.
Revenue Enforcement Manager
1. Introduction
1.2 The National Rail Conditions of Travel set out the legal contract you have with us please remove this gap when you purchase a ticket and travel with Northern. You can view the Conditions of Travel here. You can also download them from nationalrail.co.uk.
2.1 These cases are heard in the Magistrates Court.
2.2 In accordance with its obligation to the Department of Transport and the public, Northern trains is required to protect revenue and will usually seek to recover the costs of any court proceedings that result in a conviction which will include counsel's fee.
2.3 Northern may impose Banning Orders against those whose behaviour has caused or is likely to cause harassment, alarm or distress to other passengers or employees.
2.4 We will provide information in support of applications by our partner agencies to obtain relevant orders to prevent anti-social behaviour.
Penalties, Appeals and Payments
Appealing against the Penalty Fare Notice
If you believe we have made a mistake have evidence that you should not have been issued with a Penalty Fare Notice, you may wish to appeal against the issue of the Penalty Fare Notice. To appeal you should visit www.penaltyservices.co.uk or write to:
3. Category of Offences
3.1 Northern will prosecute the following type of offences using the provisions of the Regulation of Railways Act 1889, the Railway Byelaws or Fraud Act 2006.
Fares
- Failing to purchase before travel
- Intending to avoid payment
- Travelling beyond valid destination/requesting a short fare
- Altered documents
- Forged documents
- Providing false details
- Refusing to provide details
- Claiming refunds and/or compensation not entitled to Digital Fraud
- Refusing to produce a valid ticket on request
Anti-social behaviour
- Disorderly behaviour
- Abusive language/ behaviour
- Trespass
- Threatening behaviour
- Obscene behaviour
- Littering/fouling/spitting
- Smoking including e-cigarettes
- Intoxication
Parking
- Not displaying ticket
- Causing an obstruction
- Non rail user
- Overstayer
- Unauthorised use of disabled bay
- Use of non-designated area
- Altered ticket
This is not an exhaustive list but provides an understanding of typical types of case undertaken.
3.2 The provisions of the Regulations of Railways Act 1889 and the Railway Byelaws made pursuant to the Transport Act 2000 can be found at www.legislation.gov.uk/ukpga/Vict/52-53/57/contents and www.gov.uk/government/publications/railway-byelaws. The provisions of the Fraud Act 2006 can be found at www.legislation.gov.uk/ukpga/2006/35/contents
4. Decision to Prosecute
4.1 The DRPU applies the same principles as the CPS when deciding whether or not to prosecute.
4.2 Each case is individually assessed by a solicitor to establish whether there is sufficient admissible evidence to make a conviction more likely than not. This is the evidential test. We will not prosecute a case that fails the evidential test.
4.3 If a case passes the evidential test we then apply a public interest test. We do this by assessing whether or not it is in the public interest to prosecute a case. (An example of a case that would fail the public interest test is where the individual concerned acted due to an emergency). If the case fails the public interest test we will not prosecute that case even if it has passed the evidential test.
4.4 In applying the public interest test our approach differs from that of the CPS in one important regard. A large number of the cases prosecuted by the DRPU involve relatively small amounts of money. This reflects the fares charged for travel on the network operated by Northern. However, these small amounts add up to a large sum and comprise the revenue that Northern is committed to protect. Because of this the DRPU will not regard a case as failing the public interest test just because the sum in dispute is relatively small.
Likewise in assessing allegations due to parking we remain aware of the particular issues relating to safety and access that can arise at a station car park.
4.5 If a case is judged to meet both limbs of the test and a prosecution commences that case will be assessed again should further information come to light.
5. Disclosure
5.1 We will disclose all aspects of our case ahead of trial.
5.2 If we have material in our possession that may undermine our case or assist the defence (unused material) we will disclose that material in good time ahead of trial.
5.3 Our prosecutors undertake regular training from independent senior prosecutors in all aspects of disclosure of unused material.
6. Juvenile Offenders
6.1 Where appropriate Northern will seek to divert young people away from the Criminal Justice System. However in applying this policy we will not compromise on the safety of our passengers and our employees. This aspect of a case involving a young person will form part of our consideration when applying the public interest test.
6.2 Even if we decide not to prosecute a particular case we may still provide details of the allegation to the police.
6.3 If the BTP ask for assistance in relation to the prosecution of a young person Northern will provide such assistance.
6.4 If requested Northern will attend Referral Panel Order Hearings.
7. Our Prosecutors
7.1 The DRPU has a team of experienced lay-prosecutors who undertake regular training provided by experienced independent counsel.
7.2 If an individual faces additional prosecution by other agencies (such as the CPS) DRPU prosecutors will work alongside the representatives of that agency.
7.3 In certain circumstances the DRPU will instruct independent counsel to prosecute on behalf of Northern.
8. Alternatives to Prosecution
8.1 The police may of their own motion or at the direction of the CPS offer to dispose of a criminal case by way of caution or conditional caution. That process will result in a criminal record number. Northern is not under an obligation to replicate that process and does not do so.
8.2 Northern may offer an alternative resolution by way of an out of court settlement or a contribution to costs incurred by Northern. Resolution by this method does not result in a criminal conviction.
8.3 In order to ensure that all disposals are consistent with the franchise obligation of revenue protection, Northern may seek to recover costs incurred.
9. Costs after Trial
9.1 In accordance with its franchise obligation to protect revenue Northern will usually seek to recover the costs of any court proceedings that result in a conviction. In cases in which counsel has been instructed an application for costs will include counsel's fee.
9.2 An indication of costs and the extent to which they will increase if proceedings are contested will be notified to a defendant in the course of the progression of the case.
10. Banning Orders
10.1 Northern may impose Banning Orders against all persons whose behaviour has caused or is likely to cause harassment, alarm or distress to any passenger or employee.
10.2 We will provide information in support of applications by our partner agencies to obtain injunctive orders to prevent anti-social behaviour.
11. Appeals against conviction and/or sentence
11.1 In the event of an accused person seeking to appeal against his conviction and/or sentence DRPU will be represented at the Crown Court by counsel. Any application for costs in the event of an appeal being dismissed will reflect this.
11.2 Once an appeal is lodged Northern will consider any new material supplied by the appellant and will forward the same to counsel instructed. Counsel will be asked to advise on the merits of the appeal as lodged.
12. Policy Ownership
12.1 Queries in relation to this policy should be made in writing to the DRPU Manager, Northern Trains Limited, FREEPOST NEA 3188, Bradford BD1 1BR.
12.2 Northern Trains Limited and DRPU reserve the right to update and amend this policy.
12.3 This policy document will be published on the website of Northern Trains Limited
If you are travelling from a station that has the facility to purchase tickets it is a legal requirement that a ticket is purchased prior to travel. Railway Byelaw 18(1).
The DRPU deals with people who have been unable to evidence a valid ticket for their journey taken, or if a person contravenes one of the Railway Byelaws. Depending on the circumstance, you may be given an Unpaid Fare Notice, a Penalty Fares Notice or a Travel Incident Report. Please see below for further information.
13. Unpaid Fare Notice
This is a request that payment of the unpaid fare is made within 21 days of the date of the notice. It may be issued when someone has travelled from a station without having bought a ticket and is genuinely unable to do so. Failure to respond to the notice within 21 days will result in the case being referred for prosecution.
Please do not contact Penalty Services Ltd if you do not have a Penalty Fares Notice
14. Penalty Fares Notice
A Penalty Fare Notice may be issued if a passenger gets on a train without a ticket or Promise to Pay Notice at a station where ticket-buying facilities are available. A Penalty Fare is £100 plus the price of the appropriate single fare for your intended journey. However, if it is paid within 21 days, the Penalty Fare is reduced to £50 plus the price of the single fare
How to Pay
We accept all major credit and debit cards. Online payments can be made at https://www.pcitelecom.uk/northernrailway/
Automated telephone payments can be made by calling 0330 022 1661.
The Penalty Fare Notice may also be paid by Postal Order (please quote your reference number on the reverse of the Postal Order) made payable to Northern Trains Limited and sent to the following address:
Northern Trains Limited
Debt Recovery & Prosecutions Unit
FREEPOST NEA 3188
Bradford, BD1 1BR
Appealing against the Penalty Fare Notice
If you believe we have made a mistake you may wish to appeal against the issue of the Penalty Fare Notice. To appeal you should visit www.penaltyservices.co.uk or write to:
Penalty Services
12 Deben Mill Business Centre
Old Maltings Approach
Woodbridge
IP12 1BL
If you are unhappy with the outcome of your appeal then you have the right to appeal that decision on two further occasions.
For further information regarding Penalty Fares please follow the below link https://www.northernrailway.co.uk/legal/fines-penalties
15. Other
If the employee who stops you does not issue a notice but takes your details for an incident report we will consider that report and then write to you.
Prosecutions in relation to fares, anti-social behaviour and car parking are brought in accordance with the provisions of the Regulation of Railways Act 1889 and the Railway Byelaws that were made pursuant to the Transport Act 2000.
Please do not contact Penalty Services Ltd if you do not have a Penalty Fares Notice
16. Car Parking
Northern also protects revenue from its car parks as well as making sure that important safety access routes are kept clear, and that inappropriate parking does not reduce the number of available parking spaces.
Drivers who do not park in accordance with the rules displayed in our car parks will be issued with a Penalty Parking Notice. The penalty is £50 and this must be paid within 28 days of the date of the Notice. If we do not receive a response within 28 days the amount outstanding will increase to £100, if this amount is not settled the case will be referred for prosecution. In those circumstances the details of the registered keeper of the vehicle will be obtained from the DVLA.
Northern Trains Limited has an objective disputes and appeal process that will consider any aspect of an individual case. We will consider any matter arising in a case up to and including the day of trial. We will also consider any additional matter raised as part of an appeal post-conviction be it in relation to conviction or sentence. So that we can consider things properly anything that you would like us to consider must be sent to us in writing. We cannot consider representations over the telephone.
- Representations regarding Unpaid Fare Notices must be made within 21 days of issue.
Please make sure that you include your details and the reference number from our notice and email [email protected]. Alternatively you may post your representations to: DRPU, Northern Trains Limited, FREEPOST NEA 3188, Bradford, BD1 1BR however, please be aware that due to reduced Royal Mail postal services, this may miss the 21 day deadline.
- Representations regarding a Penalty Parking Notice must be made within 14 days of the date of the notice. They must be made in writing and should be sent by email to [email protected]. Alternatively you may post your representations to DRPU, Northern Trains Limited, FREEPOST NEA 3188, Bradford, BD1 1BR however, please be aware that due to reduced Royal Mail postal services, this may miss the 14 day deadline. Please make sure that you include your details and the reference number from the notice.
Complaints should be directed to: [email protected]
To make a payment
- Automated payment number for Penalty Fares Notice (PFN) and Unpaid Fares Notice (UFN): 0330 022 1661
- Internet: www.northernrailway.co.uk/paymynotice
- Payment of parking notice: 0330 022 1661
- Internet for penalty parking notices: www.paynr.co.uk
Q. Do I have to attend court?
A. It depends. If you have been issued with a Single Justice Procedure Pack, you must make your plea by post (information provided in the pack). If you have been issued summons to attend court and you wish to plead guilty, you can come to court or you may plead guilty by post by completing the form provided with the summons. This must then be returned it to the court, along with the form that asks for details of your financial circumstances.
If you are pleading not guilty you can fill in the form with the summons or attend. If you do not fill in the form or attend, your mitigation will not be taken into account. If you attend the hearing to plead not guilty but then you do not attend court for the trial itself, the case may proceed without you and so the court will not hear your evidence.
Q. If I plead guilty or if I am convicted after a trial will I get a criminal record?
A. It depends. If you are convicted of an recordable offence you will get a criminal record. If you are convicted of a summary offence, you will have a criminal conviction which will show on an enhanced DBS check. As with most convictions it will eventually become 'spent'. How long it takes to become spent will depend on the nature of the offence and sentence that is imposed by the court.
Q. If I have a trial will I be able to challenge Northern's witnesses?
A. Yes. You will be able to put your questions to all of the witnesses.
Q. Can I just pay Northern's costs and have the case withdrawn?
A. No. The court has issued the summons and you should respond to the summons.
Q. If I attend court will I be able to get 'legal aid' for a lawyer to represent me?
A. Please contact the court for information about this.
Q. If I plead guilty or if I am convicted after a trial will I get a criminal record?
A. If you are convicted of an offence or if you plead guilty you may get a criminal record. As with most convictions it will eventually become 'spent'. How long it takes to become spent will depend on the nature of the sentence that is imposed by the court.
Q. “They won’t prosecute for a matter as small as my fare will they?”
A. It is estimated that fare evasion costs the rail industry approximately £400 million a year. A large number of the cases prosecuted by the DRPU involve relatively small amounts of money. This reflects the fares charged for travel on the network operated by Northern. However, these small amounts add up to a large sum and comprise the revenue that Northern is committed to protect. Because of this the DRPU will not regard a case as failing the public interest test just because the sum in dispute is relatively small.
Q. “Isn’t this a civil matter? I shouldn’t take too much notice!”
A. No, these are not civil matters. Northern prosecutes under the provisions of the Regulation of Railways Act 1889 and the Railway Byelaws made pursuant to the Transport Act 2000, these can be found at www.legislation.gov.uk/ukpga/Vict/52-53/57/contents and www.gov.uk/government/publications/railway-byelaws
Q. “Is it an offence to board a train without having first bought a ticket? I didn’t realise”
A. Yes, where there is an opportunity to do so, a ticket must be purchased prior to travel.
Railway Byelaw 18(1). This is known as an offence of strict liability, i.e. there is no need to prove intention beyond the act itself.
Q. “There’s not sufficient machines to buy tickets, they can’t prosecute can they?”
A. Northern is committed to improving the customer experience and is investing heavily in its future retailing strategy. Each case will turn on its own merits, however it is important to note that frustration or a difference of opinion may not amount to a defence where evidence of an offence exists.
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