Introducing the Debt Recovery and Prosecutions Unit

Welcome to the Debt Recovery and Prosecutions Unit. If you are reading this page then it is likely you are seeking advice in relation to a fare dispute.

Arriva Rail North Limited is required by the terms of its franchise to ensure that it protects revenue from ticket sales. This is a sensible requirement designed to ensure that fare paying passengers and tax payers in general do not have to subsidise the cost of travel for those who do not pay their fare. To do this we employ dedicated revenue officers to apprehend fare evaders, we have also invested in revenue protection measures such as automatic ticket barriers. In addition Arriva Rail North is working tirelessly to improve upon existing retailing opportunities on the network. We take every offence of travelling without a ticket very seriously and we are also committed to preventing anti-social behaviour both on board trains and at stations to ensure our customers enjoy a safe and comfortable experience.

In order to protect its revenue and therefore provide the best possible value for money to its customers the Debt Recovery and Prosecutions Unit utilise the provisions of the Regulation of Railways Act 1889 and the Railway Byelaws pursuant of the Transport Act 2000.

I would like to reassure you that Arriva Rail North is committed to applying this legislation in a fair and consistent manner. However it is important to realise that as with any legal process engagement is imperative to facilitate a satisfactory outcome for all.

The vast majority of matters The Debt Recovery and Prosecutions Unit deal with could be resolved before the need for prosecution arises and my message is a simple one. Should you find yourself in a fare dispute, do not ignore it and contact the department to resolve the matter at the earliest opportunity. After all, a disagreement or a difference of opinion may not amount to a defence in respect of impending criminal proceedings.

Yours faithfully,

Phil Jones

Debt Recovery and Prosecutions Unit Manager


 1. Introduction

1.1 Arriva Rail North Limited is required by the terms of its franchise to ensure that it protects revenue from ticket sales. This is a sensible requirement designed to ensure that fare paying passengers and tax payers in general do not have to subsidise the cost of travel for those who do not pay their fare. Arriva Rail North Limited also protects revenue from its car parks as well as making sure that important safety access routes are kept clear, and that bad parking does not reduce the number of available parking spaces. Arriva Rail North Limited is also committed to preventing anti-social behaviour both onboard trains and at stations by pursuing those alleged to behaved in any way that is unacceptable to passengers and employees.

1.2 Through its Debt Recovery and Prosecutions Unit (DRPU) Arriva Rail North Limited actively pursues those who choose to ignore the laws and byelaws that govern rail travel, railway stations and station car parks. The vast majority of infringements are dealt with by the DRPU. In addition the DRPU works closely with the Crown Prosecution Service, the police and the British Transport Police to pursue those who breach the wider criminal law whilst travelling by train or whilst on railway property in order to ensure the safety of passengers and employees alike.

1.3 The DRPU recognises that the decision to prosecute any individual is a serious one. Before making any such decision the individual circumstances of each case are considered and an evidential and public interest test is applied both objectively and robustly.

1.4 The National Rail Conditions of Travel set out the legal contract you have with us 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.

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2. General Principles

2.1 Arriva Rail North Limited prosecutes those alleged to have committed offences contrary to the Regulation of Railways Act 1889 and/or the 2011 Railway Byelaws made pursuant to the Transport Act 2000.

2.2 These cases are heard in the Magistrates Court. Appeals in respect of sentence and/or conviction are heard before the Crown Court.

2.3 Offences relate to fare evasion, anti-social behaviour, breach of car park regulations (station car parks are regulated by the Railway Byelaws) but not usually acts of physical violence known as assaults. (See 3.1 below).

2.4 DRPU will cooperate with the police, the British Transport Police and the CPS in respect of allegations of assault on passengers and employees. In the event that Arriva Rail North Limited is dissatisfied with a charging decision of the police and/or the CPS in respect of an allegation of assault upon an employee it reserves the right to seek to bring a Private Prosecution by way of the DRPU. (The CPS has agreed that an allegation of assault of a railway employee is not suitable for disposal by way of caution).

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3. Category of Offences

3.1 Arriva Rail North Limited will prosecute the following type of offences using the provisions of the regulation of Railways Act 1889 and the Railway Byelaws.

Fares

Failing to purchase before travel
Failing to purchase
Travelling beyond valid destination
Altering documents
Forged documents
Providing false details
Refusing to provide details
Refusing to produce documents


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 obstruction
Non rail user
Overstayed
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.

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4. Decision to Prosecute

4.1 The DRPU applies the same principles as the Crown Prosecution Service when deciding whether or not to prosecute.

4.2 Each case is individually assessed 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 Arriva Rail North Limited. However, these small amounts add up to a large sum and comprise the revenue that Arriva Rail North Limited 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.

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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.

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6. Juvenile Offenders

6.1 Where appropriate Arriva Rail North Limited 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 police ask for assistance in relation to the prosecution of a young person Arriva Rail North Limited will provide such assistance.

6.4 If requested Arriva Rail North Limited will attend Referral Panel Order Hearings.

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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 Arriva Rail North Limited.

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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. Arriva Rail North Limited is not under an obligation to replicate that process and does not do so.

8.2 Arriva Rail North Limited may offer to resolve a case by way of Formal Warning or Fixed Penalty. Resolution by either method does not result in a criminal conviction.

8.3 A Formal Warning may be appropriate if someone of good character in circumstances where there is strong mitigation admits an allegation. However there may well be circumstances where despite those factors being present it will not be an appropriate course.

8.4 Arriva Rail North Limited regards court proceedings as a last resort and so reserves the right to offer to resolve matters through the use of a Fixed Penalty Notice where the circumstances of the offence and the offender are appropriate.

8.5 In order to ensure that all disposals are consistent with the franchise obligation of revenue protection Arriva Rail North Limited may seek to recover the administrative costs associated with any form of disposal.

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9. Costs after Trial

9.1 In accordance with its franchise obligation to protect revenue Arriva Rail North Limited 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.

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10. Banning Orders

10.1 Arriva Rail North Limited will 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 other agencies to obtain orders to prevent anti-social behaviour.

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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 Arriva Rail North Limited 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.

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12. Policy Ownership

12.1 Queries in relation to this policy should be made in writing to the DRPU Manager, Arriva Rail North Limited, FREEPOST NEA 3188, Bradford BD1 1BR.

12.2 Arriva Rail North Limited and DRPU reserve the right to update and amend this policy.

12.3 This policy document will be published on the website of Arriva Rail North Limited.

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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 deal with people accused of failing to pay their fare. The DRPU has a number of ways of dealing with passengers who have travelled without buying a ticket. The particular method will depend on the circumstances of each individual case. If you are suspected of fare evasion and an authorised member of Arriva Rail North's staff stops you and issues a notice to you it will be one of the following:


1.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 or is unable to do so. Failure to respond to the notice within 21 days will result in the case being referred for prosecution.

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2. Failure to Purchase Notice

This is a notice issued to people who travel from a station at which it is possible to buy a ticket but did not purchase a ticket before travelling. It is a legal requirement that tickets be bought before travel if they are available for purchase. The fare must be paid within 21 days of the date of the notice. Failure to pay will result in the matter being referred for prosecution. Receipt of two or more 'Failure to Purchase Notices' in a two year period will result in the matter being referred for prosecution.

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3. 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. If we are proceeding with the incident we will offer to deal with the matter in one of the following ways. Either, a letter requesting the payment of the outstanding fare or a fixed penalty. In the case of a fixed penalty you must respond within 14 days of our letter. Occasionally the matter may be dealt with by way of a formal warning which also carries a £30 administration fee. If you do not reply within the appropriate timescale the case will be referred for prosecution.

We may also decide to offer to deal with the case by way of a fixed penalty after a case has been referred for prosecution. In any case involving a fixed penalty it allows the matter to be disposed of by the payment of a fixed amount of £80 providing the payment together with any outstanding fare is paid within 14 days of the date of our letter. Failure to respond to the offer of a fixed penalty is likely to result in the case being taken to court. Whether we choose to offer the option of a fixed penalty will depend on the circumstances of the incident. 

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4. Car Parking

Arriva Rail North Limited also protects revenue from its car parks as well as making sure that important safety access routes are kept clear, and that bad 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 14 days of the date of the Notice. If we do not receive a response to within 14 days 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.


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 introduced in 2011 pursuant of the Transport Act 2000.

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Arriva Rail North 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 and Failure to Purchase 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 post your representations to: ITAL, PO Box 212, Petersfield, GU32 7BQ or alternatively Email: This email address is being protected from spambots. You need JavaScript enabled to view it.

• Representations regarding a Fixed Penalty Notice must be made within 14 days of the date of our letter making the offer of a Fixed Penalty Notice. They must be made in writing but can be sent by post or email. Please make sure that you include your details and the reference number from the notice.

Email: This email address is being protected from spambots. You need JavaScript enabled to view it.
Post: ITAL, PO Box 212, Petersfield, GU32 7BQ


• Representations regarding a Penalty Parking Notice must be made within 14 days of the date of the notice. They must be made in writing but can be sent by post or email. Please make sure that you include your details and the reference number from the notice.

Email: This email address is being protected from spambots. You need JavaScript enabled to view it.
Post: DRPU, Arriva Rail North Limited, FREEPOST NEA 3188, Bradford BD1 1BR.


Complaints should be directed to: This email address is being protected from spambots. You need JavaScript enabled to view it.

To make a payment
• Automated payment number for Fail to Purchase (FTP) and Unpaid Fares Notice (UFN): 0844 544 4974
• Payment queries: 0870 067 9856
• Payment of parking notice: 0844 848 2571
• Internet: www.ircas.co.uk

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Q. Why am I being taken to court?
A. Because it is alleged that you have committed the offence described on the summons and you have previously declined our offer to deal with the case without it having to go court or you have ignored correspondence from us about the matter.


Q. Do I have to attend court?
A. It depends. You can come to court to plead guilty but if you would prefer to plead guilty by post you can complete the form provided with the summons and return 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 view on things like the date of the trial will not be known. If 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 have a trial will I be able to challenge Arriva Rail North's witnesses?
A. Yes. You will be able to put your questions to all of the witnesses.


Q. Can I just pay Arriva Rail North'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. Yes. If you are convicted of an offence or if you plead guilty you will 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.

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Q.   “ Why did I get fined at the barrier when I got off the train?”
A.   Northern Rail does not issue any fines instantaneously. Typically an “unpaid fares notice” or a “fail to purchase notice” will be issued granting the customer 21 days to remedy the payment of the fare only. In some instances an incident report will be created and further information will be requested before a final decision is made as to the outcome.

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 over £200 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 Rail Limited. However, these small amounts add up to a large sum and comprise the revenue that Northern Rail Limited 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 Rail prosecutes under the provisions of the Regulations 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 rail 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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Complying with our obligations under the Data Protection Act 1998 (‘the DPA’) and related legislation is important to us, and we have taken steps to ensure that we do. The DPA requires data to be processed fairly and lawfully. Personal data shall be obtained only for lawful purposes, and shall not be further processed in any manner incompatible with those purposes.

This section of the website explains what information we collect about our customers, how it is used and the procedures we have in place to safeguard their privacy.

Data controllers

Arriva Rail North Ltd are the data controllers, as defined under the DPA. We are only allowed to process your personal data in accordance with the DPA and for the purposes notified to the Information Commissioner. You can find more information at the Information Commissioner’s website.

What personal information do we collect?

Information which is provided when issued with a Failure to Purchase Notice, Unpaid Fare Notice, Penalty Parking Notice or if our Loss Prevention Officers compile a report is all subject to the DPA. Additionally when you complete one of our forms, provide information via the website or answer our questions over the phone including when you use our services e.g. make payments online, all such information is managed in accordance with the DPA. We may also obtain or share information about you from other lawful sources e.g. ITAL partners in the course of our lawful business. We will amend or delete any personal data relating to you that is found to be incorrect or out of date. If you are aware of any changes that should be made to your personal data, please contact us at the address below as soon as possible. You also have a right to see the personal data held on you and we will provide this information on written request, a fee of up to £10 permitted by law may be applicable. Please send your request in writing to: DRPU, Arriva Rail North Ltd, Bradford Interchange, Bridge Street, Bradford, BD1 1TU or by email to This email address is being protected from spambots. You need JavaScript enabled to view it..

Do we collect sensitive personal data?

Generally we will have no need to collect sensitive personal data outside the context of the notice in question.

What do we use the personal data for?

The personal information that we collect is used for the following purposes:

  • • for the prevention and detection of crime, fare evasion and other travel irregularity
  • • to provide you with the service requested
  • • for the ongoing administration of the service
  • • to allow us to improve the products and services we offer to our customers
  • • for research and statistical analysis
  • • to enable us to comply with our legal and regulatory obligations (including HMRC).

To ensure that we follow your instructions correctly and to improve our customer service, we may monitor and/or record any communication between you and us.

Do we use your information for marketing purposes?

No.

How we will contact you

This may be by post, e-mail, telephone or text messaging to SMS enabled devices depending on the information you have provided to us.

How long do we keep your personal data?

We will retain your information for as long as necessary to fulfil the purpose(s) above, and in accordance with the law. In general, this will be:

  • • Seven years for data relating to Failure to Purchase Notices, Unpaid Fare Notices, Penalty Parking Notices and reports for possible prosecution
  • • One year for data relating to name and address checking enquiries by our customers’ inspectors.

When do we disclose your information to third parties, and why?

We will only disclose your information to other parties in the following limited circumstances:

  • • where we are legally obliged to do so, e.g. to law enforcement and regulatory authorities
  • • where there is a duty to disclose in the public interest
  • • where disclosure is necessary to protect our interest or that of our customers e.g. to prevent or detect crime and fare evasion or other travel irregularity on the railway network
  • • where you give us permission to do so.

How do we protect your data?

Records on systems are protected by Firewalls externally and are penetration tested by Trustwave every quarter to ensure that we have not slipped on data security. A copy of our current certificate is available on request, paper records are always kept in a secure storage facility accessible only by authorised personnel.

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