1. Educación

Con
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2
Con
ten
t
s
In
t
roduc
t
ion
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4
Howtore
spond.
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6
F
reedomo
fIn
fo
rma
t
ion.
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7
A
imo
fthecon
su
l
ta
t
ion.
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8
S
t
ruc
tu
reo
fcon
su
l
ta
t
iondocumen
t.
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9
P
roposedchangestothepena
l
tyfa
reappea
lsp
roce
ss.
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10
In
t
roduc
t
iono
f‘S
topthec
loc
k
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10
E
s
tab
l
ish
ingthe
independenceo
fappea
lsbod
ies.
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12
E
s
tab
l
ish
ingath
i
rds
tageappea
l.
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14
S
t
reng
then
ingD
fTove
rs
igh
t.
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17
Remov
ingtheth
rea
to
fc
r
im
ina
lsanc
t
ionsf
romrem
inde
r
le
t
te
r
s.
20
Add
i
t
iona
lcommen
ts.
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22
Wha
tw
i
l
lhappennex
t.
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23
Ques
t
ionandan
swe
rb
r
ie
f.
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24
AnnexA
:Consu
l
ta
t
ionp
r
inc
ip
les.
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27
AnnexB
:L
is
to
ftho
seconsu
l
ted.
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28
3
In
t
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5
Howtore
spond
Theconsu
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ta
t
ionpe
r
iodbeganon3Feb
rua
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i
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lrunun
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27Ap
r
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.P
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A
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1
.1 Th
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roms
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in
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.2 The Gove
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Pena
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1
.3 The Gove
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te
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.
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.4 TheD
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is
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repo
l
icyfo
rmu
la
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ion
:
• Thein
t
roduc
t
iono
fa‘s
topthec
loc
k
’p
rov
is
ionwhendea
l
ing
w
i
thpena
l
tyfa
reappea
ls
.I
t
isp
roposedtha
tthe21day
dead
l
inefo
rpa
ymen
twou
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spendedfo
rthedu
ra
t
ion
o
ftheappeal
,
res
ta
r
t
ingon
l
yfo
l
low
inganunsucces
s
fu
l
appea
l
.
• Thein
t
roduc
t
iono
farequ
i
remen
tfo
ral
la
ppea
l
sbod
iesto
beindependen
to
ft
ranspo
r
tope
ra
to
r
sandown
ingg
roups.
• Thees
tab
l
ishmen
to
fath
i
rds
tageappea
lsp
ro
cess
.The
p
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tab
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fanIndependen
t
Appea
lsPane
l(
IAP
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ldhaveaf
ina
lde
c
is
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ind
iv
idua
lappea
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reng
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ingo
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igh
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l
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appea
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sp
roces
s
.The Gove
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i
tsr
igh
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im
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rom
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le
t
te
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s
.
1
.5 TheD
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i
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t
rys
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lde
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ssenge
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ta
i
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r
8
ou
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s
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.You
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assump
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.
1
.6 Thesep
roposa
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tanea
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lys
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fde
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.You
r
commen
tsw
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tofu
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t
ion
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S
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reo
fconsu
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ta
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iondocumen
t
1
.7 Th
isdocumen
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t
sfo
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ropo
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adm
in
is
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ra
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re
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Fo
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:
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l
lenges
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r
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roposedchange-ade
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lde
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andpa
ssenge
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s
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.
9
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t
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fa
re
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sp
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ce
s
s
In
t
roduc
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topthec
loc
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Backg
round
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.8 Wheng
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tyfa
re
,passenge
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ta
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dec
ide
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,they mu
s
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iof
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,the
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rCodeo
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rac
t
iceandd
i
sc
re
t
ion
.
1
.9 IPFASandI
RCASa
rethetwobod
ie
stha
tcu
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lyhand
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appea
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sf
rompassenge
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ingapena
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tyfa
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.Bo
th
bod
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ingappea
ls
.
1
.10 Cu
r
ren
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ly
,IPFASg
ivespassenge
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s21day
stopaythepena
l
ty
fa
re
.I
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rappea
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in
s
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t
yfa
reandi
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succe
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fu
l
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y mays
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i
l
lbecha
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in
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ra
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ionfee
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r
igge
redbyla
tepa
ymen
t
.
1
.11 IRCAScu
r
ren
t
lyope
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tead
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ren
tsys
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y
dead
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.I
ti
s
on
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ta
r
tedfo
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low
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ssueo
fanunsu
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lappea
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ou
tcomele
t
te
r
.
1
.12 Conce
rnshavebeenra
i
sedabou
ttheappea
lsp
rocess
,
pa
r
t
icu
la
r
l
yabou
tpassenge
r
sbe
ingcha
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in
is
t
ra
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ive
feesbe
fo
retheou
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comeo
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i
rmedo
r
evena
f
te
ri
tha
sbeenuphe
ld
.
10
P
roposedchange
1
.13 TheD
fTwou
ldrequ
i
rethe
'
s
topthec
lock
'app
roachtobe
imp
lemen
tedbya
l
lpena
l
t
yfa
resappea
lbod
ies
.Th
iscou
ldbe
en
fo
r
cedth
roughamendmen
tstotheD
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rovedCodeo
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P
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iceusedb
ytheappea
lsbod
ies
.
1
.14 Imp
lemen
t
ing
'
s
topthec
loc
k
'wou
ld meanthe21da
ydead
l
ine
fo
rpa
ymen
tissuspendeda
tthepo
in
tanappea
lisrece
i
ved
bytheappea
lsbod
y
.
1
.15 Oncetheappea
lbodyis
sue
sthepas
senge
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i
thale
t
te
r
no
t
i
fy
ingthemontheou
t
comeo
fthe
i
rappea
l
,thec
lockwou
ld
resume
.
1
.16 I
ftheappea
lwasunsuccess
fu
l
,thepassenge
rwou
ldbeg
iven
anadd
i
t
iona
lse
vendaysto makethepaymen
t
.A
f
te
rth
i
st
ime
,
adm
in
is
t
ra
t
ivefees maybecha
rged
.
1
.17 I
tisp
roposedtha
tfu
r
the
rappea
lsw
i
l
lbea
ccep
tedw
i
th
ina
spec
i
f
iedt
ime
f
rame
.I
fath
i
rds
tageappea
lp
ro
cess
is
imp
lemen
tedasp
roposedinth
isconsu
l
ta
t
ion(see1
.341
.49)
,
thenumbe
ro
fappea
lswou
ldbel
im
i
tedtoth
ree
.Ineach
ins
tan
cethec
lo
ckwou
ldbes
topped
.
1
.18 TOC
swou
ldrema
inab
letoemp
loydeb
tco
l
lec
to
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f
neces
sa
r
ywhenapaymen
ti
sno
trece
ivedf
romapassenge
r
whoseappea
lhasbeenre
je
c
tedb
yanappea
lsbody
.
Impac
t
1
.19 IRCASandT
ranspo
r
tfo
rLondon(T
fL
)a
l
read
yp
ra
c
t
ice
'
s
top
thec
lock
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. Weth
in
kimp
lemen
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ingacons
is
ten
tapp
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ion
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r
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r
lya
timpo
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t
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Ra
i
l
/T
fLin
te
r
fa
ces
inLondon
.
1
.20 TheD
fT'
sin
i
t
ia
lv
iew
isth
a
ttheco
s
to
f
imp
lemen
t
ing
'
s
topthe
c
lock
'wou
ldbeneg
l
ig
ib
letoIPFASandTOC
s
.
1
.21 Webe
l
ie
vethep
roposa
lwou
ldensu
retha
tpa
ssenge
rswho
fee
ltheyhavew
rong
lybeenawa
rdedapena
l
tyfa
recan
appea
lw
i
thou
tthefea
ro
fadd
i
t
iona
lcha
rge
s
.
1
.22 Howeve
r
,the
re
isapo
ten
t
ia
lr
is
ktha
tpassenge
rswhohave
beenawa
rdedapena
l
tyfa
re maykeepappea
l
ingino
rde
rto
avo
idpaymen
t
.I
ti
san
t
ic
ipa
tedtha
tth
iscou
ldhappen
ina
11
sma
l
lnumbe
ro
fcasesando
the
rp
roposa
l
sinth
is
consu
l
ta
t
ion mayp
rov
idesu
i
tab
le m
i
t
iga
t
ion
.
1
.23 Wean
t
ic
ipa
tetha
tth
isp
roposa
lw
i
l
lhave m
in
ima
lf
inan
c
ia
l
impac
tfo
rIRCASasthebodya
l
read
yope
ra
te
sthep
roposed
sys
tem
.IPFAS mayneedtorev
iew
in
te
rna
lp
ro
cesse
sand
th
iscou
ld
incu
rm
ino
rco
s
ts
.
Q
.1Doyouag
ree w
i
ththep
roposa
ltoimp
lemen
tnew
ru
leson‘s
topp
ingthec
lock
’du
r
ingthepena
l
tyfa
res
appea
lsp
rocess?Yes
/No
.P
leasep
rov
ideyou
rra
t
iona
le
hav
ingrega
rdstoimpac
tsonpassenge
rsandadd
i
t
iona
l
cos
tstotheindus
t
ry
.
Es
tab
l
i
sh
ingtheindependen
ceo
fappea
lsbod
ies
Backg
round
1
.24 Ino
rde
rtoensu
rethes
tanda
rdo
fthepena
l
t
yfa
re
sappea
ls
bod
ies
,theD
fTrequ
i
resthemtoen
fo
rceanapp
rovedCodeo
f
P
rac
t
ice
.
1
.25 EachCodeo
fP
ra
c
t
ices
ta
testha
ttheappea
lsbod
ie
s mus
t
ope
ra
teindependen
t
lyf
romanyt
ra
inope
ra
to
rwhocha
rges
pena
l
t
yfa
reswhen
judg
ingtheou
tcomeo
fanappea
l
.
1
.26 Conce
rnshavebeenra
i
sedabou
tthefac
ttha
tIPFAS
isa
subs
id
ia
r
yo
faTOC
.Th
iss
i
tua
t
ionhaseme
rgedasaresu
l
to
f
achang
ingf
ran
ch
iseland
scapes
in
cep
r
iva
t
isa
t
ionin1996
.
Owne
rsh
ipo
fIPFAS wasf
i
rs
tt
ran
s
fe
r
redf
romB
r
i
t
ishRa
i
lto
ConnexSou
thEas
te
rnandnowres
t
sw
i
ththecu
r
ren
trou
te
f
ranch
isee
,Sou
theas
te
rn(
pa
r
to
fthe GoAheadg
roup
)
.
1
.27 Wh
i
ls
twedono
tcons
ide
rth
isha
shadanega
t
iveimpac
ton
passenge
rsinp
rac
t
ice–wea
recon
f
iden
ttha
tIPFAShas
ac
tedob
jec
t
ive
lyandp
rope
r
lyind
ischa
rg
ingi
t
sfunc
t
ion
s–
webe
l
ievetha
t
i
fwecan ma
kechangestoes
tab
l
ishi
ts
independencew
i
thou
tdoub
tandsecu
retheh
ighes
tposs
ib
le
s
tanda
rd
so
ft
ranspa
ren
cyweshou
lddoso
.
12
P
roposedchange
1
.28 TheD
fTwou
ldin
t
roducenewru
lesto
theS
t
ra
teg
icRa
i
l
4
Au
tho
r
i
ty
'
s(
SRA
'
s)Pena
l
tyFa
resRu
les(2002
) tha
twou
ld
p
roh
ib
i
tTOC
sf
romus
ingappea
lsbod
iestha
ta
ref
inanc
ia
l
ly
o
r manage
r
ia
l
l
yas
soc
ia
tedinanywa
yw
i
tht
ranspo
r
t
ope
ra
to
rso
rown
ingg
roups.
1
.29 TheCodeo
fP
rac
t
iceusedbyea
chpena
l
tyfa
resappea
lbody
wou
ldrequ
i
reupda
t
ingtop
roh
ib
i
tthemf
rombe
ingf
inan
c
ia
l
ly
o
rmanage
r
ia
l
l
yas
soc
ia
tedinanywa
yw
i
tht
ranspo
r
t
ope
ra
to
rso
rown
ingg
roups
.
1
.30 Sou
theas
te
rnandtheGoAheadg
roupwou
ldneedtobe
p
rov
idedw
i
thsu
f
f
i
c
ien
tno
t
i
cetoa
r
rangethesepa
ra
t
iono
f
IPFAS
.
Impac
t
1
.31 TOC
swou
ldberequ
i
redtousean
independen
tappea
l
sbod
y
tha
tisf
inanc
ia
l
lyand manage
r
ia
l
l
yindependen
tf
romt
ranspo
r
t
ope
ra
to
rso
rown
ingg
roups
.
1
.32 Inrecogn
i
t
iono
fthepo
ten
t
ia
ladve
rseimpac
t
,Sou
theas
te
rn
wou
ldbeg
ivenun
t
i
lJanua
ry2016toe
f
fec
tthede
te
rm
ined
change
.
1
.33 I
fthedec
i
s
ioni
sto ma
in
ta
inIPFASasanappea
lbody
,
Sou
theas
te
rnwou
ldberespons
ib
lefo
rf
ind
inganewbu
ye
r
.
Q
.2Doyouag
ree w
i
th thep
roposa
ltoes
tab
l
ishthe
independenceo
fa
l
lpena
l
tyfa
re
sappea
lsbod
ies?
Yes
/No
.P
leasep
rov
ideyou
rra
t
iona
lehav
ingrega
rdsto
impac
tsonpassenge
rsandadd
i
t
iona
lcos
tstothe
indus
t
ry
.
4h
t
tp
s
:
/
/www
.
i
rca
s
.co
.u
k
/do
cs
/SRA%20
-%20Pena
l
ty%20Fa
re%20Ru
le
s%202002
.pd
f
13
Es
tab
l
i
sh
ingath
i
rds
tageappea
l
Backg
round
1
.34 A
tIPFASandIRCAS
,passenge
rappea
lsunde
rgode
ta
i
led
rev
iewb
yt
ra
ined membe
rso
fs
ta
f
f
.I
fapa
ssenge
rappea
ls
aga
ins
tthef
i
rs
tappea
lsbod
ydec
i
s
ion
,thecaseise
sca
la
ted
andre
v
iewedfo
rasecondt
imebya membe
ro
fthe
managemen
tteamwho wasno
t
invo
lved
inthein
i
t
ia
lrev
iew
.
1
.35 Be
tweeneachs
tage
,pas
senge
rshavetheoppo
r
tun
i
tyto
subm
i
tan
yfu
r
the
rsuppo
r
t
ingev
idencebe
fo
retheca
sei
sre
exam
inedf
romthebeg
inn
ing
. Manage
rsoc
cas
iona
l
lype
r
fo
rm
in
te
rna
laud
i
tso
ftheappea
lstoen
su
recon
s
is
tencyi
s
ma
in
ta
ined
.
1
.36 The
reisnol
im
i
tonthenumbe
ro
fappea
lsapassenge
ris
ab
leto makepe
rcase
.Th
is meansinasma
l
lnumbe
ro
f
cases
,d
i
spu
te
scon
t
inueove
racons
ide
rab
leleng
tho
ft
ime
.
1
.37 Thepena
l
tyfa
resappea
lsbod
iescanre
fe
rpassenge
r
sto
re
levan
twa
tchdog
s(Passenge
rFocusandLondon
T
rave
lWa
tch
)i
fthe
yw
ishtora
isecon
ce
rns
.Thewa
tchdogs
dono
tha
vethepowe
rtoove
r
tu
rnde
c
is
ion
s
,bu
tthe
ycan
ra
ise
issuesfo
rcons
ide
ra
t
ion
.
1
.38 TfLfo
l
lowad
i
f
fe
ren
tth
ree
s
tageappea
lp
roce
ss
.Thef
i
rs
t
appea
l madebyapassenge
risrev
iewedbyIndependen
t
5
Appea
lsSe
rv
ice(
IAS
)
.I
fthedec
i
s
iono
fIAS
isre
je
c
tedby
thepa
ssenge
r
,aseconds
tageappea
lisrev
iewedbytheT
fL
You
thandPena
l
tyFa
res Manage
r
.I
fthede
c
is
iono
fth
is
manage
r
isa
lsore
jec
tedbythepas
senge
r
,thecasei
s
cons
ide
redbyanIndependen
tAppea
lsPane
l(
IAP
)who make
thef
ina
ldec
is
ion
.
1
.39 TheIAPes
tab
l
ishedbyT
fLcomp
r
ise
sth
reepe
rson
so
f
su
i
tab
les
tand
ingandexpe
r
t
ise
.Theya
reen
t
i
re
lyindependen
t
f
romT
fL
,
i
tssubs
id
ia
r
ies
,con
t
rac
to
rs
,ope
ra
to
r
sand
p
rov
ide
rs
.Theya
reappo
in
tedbyT
fL
inconsu
l
ta
t
ionw
i
th
LondonT
rave
lWa
t
chandre
ce
ivea modes
tfeefo
rthe
i
r
se
rv
i
ces
.T
fLisboundbythedec
i
s
iono
ftheIAP
.
5I
ndependen
tRe
venueCo
l
lec
t
ionandSuppo
r
t(
IRCAS
)andIndependen
tAppea
l
sSe
rv
i
ce(
IAS
)a
re
t
rad
ingname
so
fIndependen
tT
ran
spo
r
tAsso
c
ia
te
sL
im
i
ted(
reg
i
s
te
redEng
land& Wa
le
sNumbe
r
:
04784751
)
.
14
P
roposedchange
1
.40 TheD
fTwou
ldupda
teRu
le9o
ftheSRA
'
sPena
l
tyFa
res
Ru
les(2002
)
.Theupda
tewou
ldin
c
ludere
fe
rencetothe
es
tab
l
ishmen
to
fath
i
rds
tageappea
lp
rocesstha
ta
l
lappea
ls
bod
iesusedbyTOC
s mus
timp
lemen
t
.
1
.41 Theappea
lsp
roce
ssfo
l
lowedbyeachTOCwou
ldbe
s
t
ruc
tu
redasdep
i
c
tedinF
ig.1
.TheIAPcou
ldcomp
r
iseth
ree
peop
lew
i
thre
levan
texpe
r
t
i
seands
tand
ing
, muchl
iketheT
fL
IAP
.Theywou
ldbeindependen
to
fa
l
lTOC
s,own
ingg
roups
andappea
lsbod
ie
s.
1
.42 TOC
sope
ra
t
ingapena
l
t
yfa
reschemewou
ldberespon
s
ib
le
fo
ren
su
r
ingthe
y mee
ttheamendedru
les
.Theycou
ldwo
rk
toge
the
rtoes
tab
l
ishandfundana
t
ionw
ideIAPequ
iva
len
tto
p
rov
idethef
ina
lrev
iewo
fappea
l
so
rcou
ldse
tup mo
rethan
oneIAP
.T
fLes
t
ima
testha
tIAP membe
rscomm
i
ttobe
tween
12and15day
spe
ryea
rtoth
isro
le
.
1
.43 L
ikeT
fL
,TOC
scou
ldengagew
i
thpassenge
rwa
tchdogsto
sou
rcere
commendedcand
ida
testos
i
tontheIAPpane
lto
makedec
is
ions
.Thecand
ida
teswou
ldno
tbeemp
loyeeso
f
thewa
tchdogs
.
1
.44 Passenge
rwa
tchdogswou
ldrema
inunab
letoove
r
tu
rn
dec
is
ionsonind
iv
idua
lcase
s
.Howeve
r
,theycou
ldfeedback
b
roade
rconce
rnstotheTOC
s
,appea
lsbod
ie
sandD
fT
.
15
F
ig
.1
Th
i
rdS
tageappea
lp
roposa
l
Pena
l
tyFa
re
Issued
1s
tS
tage
Appea
l
2ndS
tage
Appea
l
3
rdS
tage
Appea
l
•I
ssuedbyTOC
•Cons
ide
redbyre
levan
tappea
lsbody
•Recons
ide
redbya manage
ra
tappea
lsbodywhowasno
t
invo
lved
intheo
r
ig
ina
lassessmen
t
•Cons
ide
redbyIAPwho makef
ina
ldec
is
ion
Impac
t
1
.45 Th
isp
roposa
lcou
ldhe
lptoa
l
ignthetwoindus
t
ryp
roces
ses
andredu
cecon
fus
ionamongs
tpa
ssenge
rschoos
ingto
appea
lpena
l
tyfa
res
.Th
isi
spa
r
t
icu
la
r
lythecasefo
r
passenge
rsus
ingra
i
lse
rv
icesintheLondona
rea
.
1
.46 Theadd
i
t
iona
lappea
lss
tagewou
ldp
rov
idepa
ssenge
rsw
i
th
fu
r
the
ras
su
ran
cetha
tthe
i
rappea
l
isbe
ingdea
l
tw
i
thinafa
i
r
andcons
i
s
ten
t manne
rinl
inew
i
thD
fTapp
rovedc
r
i
te
r
ia
.
1
.47 Thel
im
i
tonth
reeappea
l
swou
ldendthep
re
sen
ts
i
tua
t
ion
whe
read
ispu
tecancon
t
inueove
racons
ide
rab
leleng
tho
f
t
imew
i
thnopaymen
tbe
ing made
.Appea
lcaseswou
ldhave
af
ina
l
i
ty
.Th
iswou
ld maketheappea
lsp
ro
ces
sc
lea
re
rfo
r
passenge
rsandenab
leTOC
stobe mo
ree
f
f
ic
ien
ta
trevenue
con
t
ro
l
.
1
.48 A
l
thoughsomeco
s
ts maybe
incu
r
redwhenes
tab
l
ish
ingIAP
pane
ls
,thecos
tto ma
in
ta
intheth
i
rds
tagei
sexpec
tedtobe
sma
l
l
.TheD
fTdoesno
tan
t
ic
ipa
te manyappea
lsreach
ingthe
th
i
rds
tage
.IAP membe
rs mayon
lyberequ
i
redafewt
imesa
yea
rbyeachTOCandcou
ldbepa
ida modes
tfeea
stheya
re
byT
fL
.TOC
scou
ldwo
rktoge
the
rtoreducecos
tsb
yse
t
t
ing
16
upana
t
ionw
ideIAPpane
lra
the
rthandup
l
i
ca
t
inge
f
fo
r
t
s
ind
iv
idua
l
ly
.
1
.49 I
tise
xpe
c
tedtha
tp
ropo
sa
lswou
ldcause m
in
ima
ld
is
rup
t
ion
fo
rIRCAS
.Theya
l
read
yope
ra
teasp
ropo
sedfo
rT
fLand
wou
lds
imp
lyberep
l
ica
t
ingthesep
rocessesac
ros
stheres
to
f
thebody
.IPFAS mayha
vetoamendanumbe
ro
fin
te
rna
l
p
roce
sse
sto mee
ttherequ
i
remen
tso
fth
isp
roposa
l
.
Q
.3 Doyouag
ree w
i
ththeimp
lemen
ta
t
iono
fath
i
rds
tage
appea
lintheappea
lsp
rocess?Yes
/No
.P
leasep
rov
ide
you
rra
t
iona
lehav
ingrega
rdstoimpac
tsonpassenge
rs
andadd
i
t
iona
lcos
tstotheindus
t
ry
.
Q
.4How wou
ld theindus
t
ryes
tab
l
ishandfundath
i
rd
s
tageappea
l?P
leasep
rov
ideyou
rra
t
iona
lehav
ing
rega
rdstoimpac
t
sonpassenge
rsandadd
i
t
iona
lcos
tsto
theindus
t
ry
.
S
t
reng
then
ingD
fTove
rs
igh
t
Backg
round
1
.50 Gove
rnmen
tove
rs
igh
tontheac
t
ionso
fappea
l
sbod
ieshas
in
ten
t
iona
l
lybeenl
igh
ttou
ch
,inl
inew
i
thp
rev
iousgo
ve
rnmen
t
po
l
icytof
i
l
te
rrespons
ib
i
l
i
tytotheindus
t
ryandpassenge
r
wa
tchdog
s
.A
l
thoughwedono
tw
ishtoin
te
r
fe
reinthede
ta
i
l
asp
roces
sesa
rewo
rk
inge
f
fec
t
ive
ly
,wewou
ldl
iketoga
in
fu
r
the
rcon
f
iden
ceonthefunc
t
ion
ingo
fthecu
r
ren
ts
ys
tem
th
roughimp
rovedacces
stoh
ighleve
lda
ta
.
1
.51 TheD
fTa
l
read
yhaspowe
r
storeques
tda
taf
romt
ra
inand
s
ta
t
ionope
ra
to
r
s
,a
sg
ran
ted
intheSRAPena
l
tyFa
resRu
les
,
2002unde
rRu
le10
.3
.
At
ra
ino
rs
ta
t
ionope
ra
to
r mu
s
tp
romp
t
lysupp
lyany
in
fo
rma
t
iono
rexp
lana
t
ionstha
tthe[D
fT
]asksfo
rin
conne
c
t
ionw
i
thcha
rg
ingo
rap
roposa
ltocha
rgepena
l
t
y
fa
res
.Th
i
sinc
lude
sany
in
fo
rma
t
ionneededbythe[D
fT
]to
inves
t
iga
tecomp
la
in
tso
rtocon
f
i
rmtha
tanope
ra
to
r
is
17
fo
l
low
ingtheRegu
la
t
ionsandtheseru
les
.I
ta
l
soinc
ludesan
y
in
fo
rma
t
ionneededtode
c
idewhe
the
rtop
reven
tthecha
rg
ing
o
fpena
l
tyfa
resunde
rru
le13
,o
rtoe
xe
rc
i
sethe[D
fT
]
’
s
powe
rsunde
rru
le5
.5
.I
fthe[D
fT
]ask
sa[T
ran
spo
r
t
Wa
tchdog
]tohe
lp
i
tca
r
ryou
tany
inves
t
iga
t
ionconne
c
ted
w
i
thpena
l
tyfa
res
,theope
ra
to
r mus
trep
lytoan
yreques
tfo
r
in
fo
rma
t
ion madebythe[T
ranspo
r
t Wa
tchdog
]asi
fi
twas
madebythe[D
fT
]
.
1
.52 ATOChavesugge
s
tedpe
r
iod
ica
l
lypub
l
ish
ingappea
l
sf
igu
res
torevea
lthenumbe
rre
ce
ivedanduphe
ld
.
1
.53 In
'T
icke
ttoR
ide-anupda
te
'
,Passenge
rFocusreque
s
ted
tha
tt
ra
incompan
ie
sse
tou
thow manypena
l
t
ie
sa
re
issued
,
fo
rwha
tandhow manya
reove
r
tu
rned
.Thewa
tchdoghas
a
lsosugges
tedtha
tappea
lsshou
ldbeaud
i
tedtoche
ck
6
appea
lbodyandTOCcomp
l
iance mo
rec
lose
l
y
.
P
roposedchange
1
.54 TheD
fTp
ropo
sestoreque
s
tthefo
l
low
ingda
taf
romTOC
sto
suppo
r
tpe
r
iod
i
ch
ighleve
l
'hea
l
thchecks
'o
ftheappea
ls
sys
temandtoenab
lecon
t
inuousimp
rovemen
t
:
a
.How manypena
l
tyfa
reshavebeen
is
suedandfo
rwha
t
reason(da
tasp
l
i
tb
yTOC
)
.
b
.How manypena
l
tyfa
reshavebeenappealed(da
tasp
l
i
t
byTOCandrea
son
).
c
.How manyo
ftheseappea
lshavebeenuphe
ld.
1
.55 I
twou
ldbecompu
l
so
ryfo
rTOC
stop
rov
idetherequ
i
redda
ta
totheD
fTa
trequ
i
redin
te
rva
ls
.Th
isda
tacou
ldp
ro
v
idethe
D
fTw
i
thh
ighle
ve
love
r
s
igh
to
fke
ys
ta
t
is
t
i
csandcon
f
i
rma
t
ion
tha
tTOCsandappea
lsbod
iesa
readhe
r
ingtothe
i
rapp
roved
Codeo
fP
rac
t
iceandf
ramewo
rk
.I
twou
lda
lsoa
le
r
ttheD
fTto
p
rob
lema
reassosu
i
tab
lea
c
t
ioncou
ldbeta
ken
.
1
.56 Whe
rere
su
l
tssugges
ttha
tthe
re ma
ybepoo
radhe
ren
ceto
thepena
l
tyfa
reru
les
,TOC
so
rappea
lsbod
iescou
ldf
i
rs
tbe
requ
i
redtop
ro
v
ideanexp
lana
t
ion
.I
fth
ise
xp
lana
t
ion
is
6h
t
tp
:
/
/www
.passenge
r
fo
cu
s
.o
rg
.u
k
/
re
sea
rch
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l
i
ca
t
ion
s
/
t
i
cke
tto
r
ide
anupda
te
18
unsa
t
i
s
fa
c
to
ry
,TOC
so
rappea
lsbod
iescou
ldbeno
t
i
f
iedo
f
theis
sue
stheyneedtoadd
ressandse
tadead
l
inefo
r
change
.Sanc
t
ion
s maythenbeimposedi
ffo
l
low
upre
v
iew
s
showacon
t
inu
ingneedfo
rimp
rovemen
t
.
1
.57 TOC
swou
ldberequ
i
redtof
inancetheaud
i
to
fthepena
l
ty
fa
resappea
lsbod
iesandp
rocu
rethese
rv
iceso
findependen
t
supp
l
ie
rstodoso
.Th
isapp
roachhasp
rovedsucces
s
fu
l
in
thepa
s
tw
i
ththeaud
i
t
so
fpe
r
fo
rman
ces
ta
t
is
t
i
csunde
rthe
p
rev
iousPassenge
r'
s
Cha
r
te
rcompensa
t
ionreg
ime.Th
is
requ
i
remen
twou
ldfo
rmpa
r
to
faTOC
'
sf
ranch
i
seag
reemen
t
i
ftheya
res
igneduptothePena
l
tyFa
resscheme
.
1
.58 ATOCshou
ldcon
t
inuew
i
thp
lanstopub
l
ishpe
r
iod
icrepo
r
ts
onappea
lstha
tde
ta
i
lthenumbe
ro
fappea
lsre
ce
ivedand
numbe
ruphe
ldsp
l
i
tbyTOC
.
Impac
t
1
.59 TheD
fTwou
ldha
veh
ighle
ve
love
rs
igh
to
ftheappea
ls
p
roce
ss
.Passenge
rswou
ldbefu
r
the
rrea
ssu
redtha
tTOC
s
andappea
lsbod
ie
sa
readhe
r
ingtothe
i
rapp
rovedCodeo
f
P
rac
t
ice
.
1
.60 TheD
fTes
t
ima
te
sthef
inan
c
ia
limpa
c
tonTOC
stobe
m
in
ima
l
. Independen
tsupp
l
ie
rscou
ldbeusedtoaud
i
tpena
l
ty
fa
res
i
fth
i
sp
ro
ces
swasno
ta
l
read
ytak
ingp
la
ce
.
19
Q
.5a Doyouag
ree w
i
ththep
roposa
ltos
t
reng
thenD
fT
ove
rs
igh
tonthepena
l
tyfa
resandtheappea
lsp
rocess?
Yes
/No
.P
leasep
rov
ideyou
rra
t
iona
lehav
ingrega
rdsto
impac
tsonpassenge
rsandadd
i
t
iona
lcos
tstothe
indus
t
ry
.
Q
.5bHowf
requen
t
lyshou
ldtheaudi
tstakep
lace?P
lease
p
rov
ideyou
rra
t
iona
lehav
ingrega
rdstoimpac
tson
passenge
rsandadd
i
t
iona
lcos
tstotheindus
t
ry
.
Remov
ingtheth
rea
to
fc
r
im
ina
lsanc
t
ionsf
rom
rem
inde
r
le
t
te
rs
Backg
round
1
.61 Passenge
rswhodono
timmed
ia
te
lypaythe
i
rpena
l
t
yfa
rea
re
o
f
tensen
trem
inde
rle
t
te
rsb
yTOC
sask
ingfo
rpaymen
t
.
1
.62 Conce
rnshavebeenra
i
sedove
rtheth
rea
ten
ingtoneo
fsome
pena
l
t
yfa
repa
ymen
trem
inde
rle
t
te
rs
.TheD
fTisawa
reo
f
someins
tanceswhe
repa
ssenge
r
shavebeenth
rea
tenedw
i
th
c
r
im
ina
lsanc
t
ionsinapp
rop
r
ia
te
lytoencou
ragethepa
ymen
t
o
fdeb
t
.
1
.63 Thenonpaymen
to
fapena
l
tyfa
rei
t
se
l
fisno
tac
r
im
ina
l
ma
t
te
r
.A
si
ti
sac
i
v
i
lo
f
fence
,theth
rea
to
fc
r
im
ina
l
p
rose
cu
t
iontorecove
rdeb
t
isinapp
rop
r
ia
teand m
is
lead
ing
.
1
.64 Thenonpaymen
to
fapena
l
tyfa
recanbeu
sedase
v
idence
tosuppo
r
tthecasefo
rin
ten
t
iontoavo
idpay
ingafa
re
.Unde
r
theRegu
la
t
iono
fRa
i
lwaysA
c
t1889th
isisac
r
im
ina
l ma
t
te
r
tha
tcanleadtoaf
ineo
f£1000andth
ree mon
ths
imp
r
isonmen
t
.
1
.65 Appea
lsbod
iescanre
fe
run
succe
ss
fu
lappea
l
sbac
ktoTOC
s
w
i
ththerecommenda
t
iono
fpu
rsu
ingp
ro
secu
t
ionfo
ra
c
r
im
ina
lo
f
fencef
o
rthenonpaymen
to
fapena
l
tyfa
re
.
1
.66 Passenge
rsa
reno
t
i
f
iedo
fthedec
is
iono
ftheappea
lbodyb
y
le
t
te
r
.Insomeca
seswhe
retheappea
lisre
je
c
ted
,TOCs
20
choosetono
tpu
rsueind
i
v
idua
lca
sesfu
r
the
rbasedonthe
ba
lanceo
fbene
f
i
t
/cos
t
.
P
roposedchange
1
.67 TheD
fTcou
ld
issuegu
idanceonthepu
r
su
i
to
fpena
l
tyfa
res
paymen
t
,s
ta
t
ingwha
tlanguageisac
cep
tab
leinrem
inde
r
le
t
te
r
sf
romTOC
s
.
1
.68 Thegu
idancewou
ldaskTOC
sto makei
tc
lea
rtopa
ssenge
rs
whenc
iv
i
lo
rc
r
im
ina
lsan
c
t
ionsa
rebe
ingpu
rsuedandwhy
.
1
.69 TheD
fTexpec
tstowo
rkw
i
thTOC
stoensu
res
ta
f
fa
re
su
i
tab
lyt
ra
inedonthespec
i
f
iedgu
idance
,a
swe
l
laso
the
r
ma
t
te
rs
.
1
.70 TOC
swou
ldrema
inab
letopu
rsuec
r
im
ina
lsanc
t
ion
sin
caseswhe
reth
isi
sadv
isedbyre
levan
tappea
l
sbod
ies
.
1
.71 I
faTOCwasfoundtoigno
reissuedgu
idan
ce
,the
Gove
rnmen
tcou
ldw
i
thd
rawthe
i
rr
igh
ttoope
ra
teapena
l
ty
fa
resscheme
.
Impac
t
1
.72 Th
isp
roposa
lwou
ldd
i
re
c
t
lyadd
re
ssconce
rnsra
isedby
passenge
rwa
tchdogsandwou
ldp
reven
tinapp
rop
r
ia
te
th
rea
t
so
fp
rosecu
t
ionf
romTOC
stopassenge
r
s
.
1
.73 Theremo
va
lo
ftheth
rea
t
sf
romrem
inde
rle
t
te
r
scou
ldreduce
thenumbe
ro
fpena
l
tyfa
restha
ta
rese
t
t
leda
ttha
ts
tage
.The
D
fTp
red
ic
tsth
isw
i
l
limpac
tasma
l
lnumbe
ro
fcases
.
1
.74 Passenge
rswou
ldbep
rov
idedw
i
thfu
r
the
ras
su
ran
cetha
t
the
i
rcasew
i
l
lbedea
l
tw
i
thfa
i
r
lyasre
fe
ren
cestoc
r
im
ina
l
sanc
t
ionswou
ldon
lybera
isedwhenapp
rop
r
ia
te
.
Q
.6 Doyouag
ree w
i
ththep
roposa
lstoremove
inapp
rop
r
ia
teth
rea
tso
fc
r
im
ina
lsanc
t
ionsf
rompena
l
ty
fa
repaymen
trem
inde
rle
t
te
rs? Yes
/No
.P
leasep
rov
ide
you
rra
t
iona
lehav
ingrega
rdstoimpac
tsonpassenge
rs
andadd
i
t
iona
lcos
tstotheindus
t
ry
.
21
Add
i
t
iona
lcommen
t
s
1
.75 Commen
tsrece
ivedinresponsetoth
isconsu
l
ta
t
ionw
i
l
la
id
po
l
icyfo
rmu
la
t
ion
.TheD
fTcou
ld
imp
lemen
tanycomb
ina
t
ion
o
fthep
roposa
l
sfea
tu
red
inth
isconsu
l
ta
t
iono
rwo
rktopu
rsue
a
l
te
rna
t
ivepo
l
i
c
ies
.
1
.76 The Gove
rnmen
twe
lcomescommen
tonthep
ropo
sa
ls
fea
tu
redinth
iscon
su
l
ta
t
ion
,aswe
l
la
sanyadd
i
t
iona
l
recomm
enda
t
ionsonhowthepena
l
tyfa
ressys
temcou
ldbe
fu
r
the
rimp
roved
.
Q
.7Doyouhaveanyadd
i
t
iona
lcommen
tso
rsugges
t
ions
tha
tyoube
l
ievethe Gove
rnmen
tshou
ldcons
ide
r when
exam
in
ingpo
ten
t
ia
lchangestothepena
l
tyfa
ressys
tem?
P
leasep
rov
ideyou
rra
t
iona
lehav
ingrega
rdstoimpac
ts
onpassenge
rsandadd
i
t
iona
lcos
tstotheindus
t
ry
.
22
Wha
tw
i
l
lhappenne
x
t
Asumma
ryo
fresponses
,in
c
lud
ingthenex
ts
teps
,w
i
l
lbepub
l
i
shed
w
i
th
inth
ree mon
th
so
ftheconsu
l
ta
t
ionc
los
ingon w
ebs
i
te
www
.gov
.uk
/d
f
t
Pape
rcop
iesw
i
l
lbeava
i
lab
leonreques
t
.
I
fyouhaveques
t
ionsabou
tt
h
isconsu
l
ta
t
ionp
leasecon
tac
t
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Pena
l
tyFa
resCon
su
l
ta
t
ion
Ra
i
lE
xecu
t
ive-Passenge
rSe
rv
ices
Depa
r
tmen
tfo
rT
ranspo
r
t
4
thF
loo
r-G
rea
tM
ins
te
rHouse
33Ho
rse
fe
r
ryRoad
London
SW1P4DR
Te
lephone03003303000
Fu
r
the
rbackg
roundin
fo
rma
t
ioncanbefounda
twebs
i
te
www
.gov
.uk
/d
f
t
23
Que
s
t
ionand an
swe
rb
r
ie
f
Be
lowisal
is
to
ff
requen
t
lyaskedques
t
ion
sabou
tthesep
roposa
ls
.
I
fyous
t
i
l
lhaveques
t
ion
sa
f
te
ryouhavereadth
issec
t
ionp
lease
con
ta
c
t
:
Ema
i
l
:pena
l
ty
fa
res
consu
l
ta
t
ion@df
t
.g
s
i
.gov
.uk
o
r
Pena
l
tyFa
resCon
su
l
ta
t
ion
Ra
i
lE
xecu
t
ive-Passenge
rSe
rv
ices
Depa
r
tmen
tfo
rT
ranspo
r
t
4
thF
loo
r–G
rea
tM
ins
te
rHouse
33Ho
rse
fe
r
ryRoad
London
SW1P4DR
Te
lephone03003303000
Q
.
) Whya
reyouconsu
l
t
ingaga
inonchangestopena
l
tyfa
res?
TheD
fT
iscon
su
l
t
ingtoadd
resscon
ce
rnsra
isedbypas
senge
r
wa
tchdog
sandthew
ide
rra
i
l
indus
t
ryrega
rd
ingthefa
i
rness
,
cons
i
s
ten
cyandt
ranspa
ren
cyo
fthepena
l
t
yfa
resappea
lsp
roce
ss
.
In2009
,theD
fThe
ldacon
su
l
ta
t
iononap
roposedinc
reaseto
pena
l
t
yfa
res
.Th
isp
ropo
sa
li
sno
tcu
r
ren
t
lybe
ingpu
r
sued
.
Q
.
) When wou
ldthep
roposedchangespo
ten
t
ia
l
lycomein
to
e
f
fec
t?
Changestotheappea
lsp
ro
cessw
i
l
lbecon
s
ide
redonacasebycasebas
i
sandthe
re
fo
rethep
ropo
sedchange
s mayno
tbe
i
n
t
roduceds
imu
l
taneous
l
y
.A
t
ten
t
ionw
i
l
lbepa
idtothepo
ten
t
ia
l
impac
to
fp
ropo
sedchangestos
ta
keho
lde
r
swhense
t
t
ingdead
l
ine
s
.
24
Q
.
) Thep
roposedp
rac
t
iseo
f'
s
topp
ingthec
lock'isunusua
l
ly
gene
rous
.Cou
ldi
tno
tp
romo
teinc
reaseduseo
ftheappea
ls
mechan
ism?
The Gove
rnmen
tdoesno
tbe
l
ievetha
tpas
senge
rsshou
ldbe
pena
l
i
sedfo
re
xe
r
c
is
ingthe
i
r
lega
lr
igh
ttoappea
l
.IRCAShas
a
l
read
y madethecho
iceonbus
ines
sg
round
stoin
t
roduceth
is
p
rov
i
s
ion
,andwehaveno
tedanin
c
reaseduseino
the
r
indus
t
r
ie
s
,
inc
lud
ingthepa
rk
ingindus
t
ry
.
Q
.
)Youhavep
resen
tedf
ived
i
f
fe
ren
tp
roposa
ls
.Basedon
consu
l
ta
t
ionresponses
, wou
ldyouon
lybelook
ingtob
r
ingin
oneo
fthesep
roposa
ls?
Thecommen
tsre
ce
ivedinresponsetoth
i
sconsu
l
ta
t
ionw
i
l
la
id
po
l
icyfo
rmu
la
t
ion
.A
cco
rd
ingtofeedback
,theD
fTcou
ld moveto
imp
lemen
tanycomb
ina
t
iono
fthep
roposa
ls
inc
ludedinth
is
consu
l
ta
t
iono
rwo
r
ktopu
rsuea
l
te
rna
t
ivepo
l
i
c
ies
.
Q
.
) Who wou
ldfundtheth
i
rds
tageappea
lsp
rocess?
Th
isp
roposa
li
sno
tye
tfu
l
lyde
f
ined
.I
tisl
i
ke
lytha
ttheth
i
rds
tage
in
theappea
lsp
roce
sswou
ldbefundedbyTOC
swhochooseto
ope
ra
teapena
l
t
yfa
resscheme
.
Q
.
) Asanappea
lsbody
, wefo
l
lowou
rcodeo
fp
rac
t
iceand
appea
lsscena
r
ioc
r
i
te
r
iaasapp
rovedbytheD
fT– whyshou
ld
wenowberequ
i
redtochange ou
rowne
rsh
ip?
TheD
fTdoesno
tbe
l
ievetheappea
lsbod
ie
shaveta
kenpa
r
tinany
w
rongdo
ing
.Howeve
r
,wedoseeTOCowne
rsh
ipo
fanappea
l
s
bodya
sinapp
rop
r
ia
te
.I
tfa
i
l
sto mee
t mode
rns
tanda
rd
so
f
t
ranspa
rencyo
rbe
s
tre
f
lec
tpassenge
rin
te
res
t
s
.
25
Q
.
) Aspa
r
to
ftheth
i
rds
tageappea
lp
roposa
l
, why wou
ldyou
l
im
i
tthenumbe
ro
fappea
ls
tagesapassenge
rcan maketo
th
ree?
B
yhav
ingth
reec
lea
rs
tage
so
fappea
l
,thepa
ssenge
rcou
ldbe
fu
r
the
ras
su
redthe
i
rca
seha
sbeenfu
l
lyand
independen
t
ly
rev
iewed
.
A
tp
resen
t
,apa
ssenge
rcanappea
las manyt
imesasthe
yw
ish
.
The Gove
rnmen
tbe
l
ievestha
tthe
in
t
rodu
c
t
iono
fa
l
im
i
tonthe
numbe
ro
fappea
lstha
tcanbe madebyan
ind
i
v
idua
lwou
ldp
rov
ide
ac
lea
rendpo
in
t
.Th
iswou
ldf
reeresou
rceanda
l
lowpaymen
ttobe
pu
rsued mo
ree
f
f
i
c
ien
t
l
y
.
Q
.
) Whyisthe D
fTseek
ingtoin
t
roducenewgu
idanceonhow
pena
l
tyfa
repaymen
tcanbepu
rsued?
Passenge
rFocushavep
re
sen
tedtheD
fTw
i
thev
idenceo
fthe
languagecu
r
ren
t
lyused
insomepena
l
tyfa
rerem
inde
rle
t
te
rs
.The
D
fTw
ishestoensu
retha
tpassenge
r
sa
reno
tm
is
ledandthe
language
inle
t
te
rs
isapp
rop
r
ia
te
.
26
Anne
xA
:Con
su
l
ta
t
ionp
r
in
c
ip
le
s
Theconsu
l
ta
t
ionisbe
ingconduc
tedinl
inew
i
ththe Gove
rnmen
t
'
s
keyc
onsu
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ionp
r
inc
ip
leswh
icha
re
l
is
tedbe
low
.Fu
r
the
r
in
fo
rma
t
ionisava
i
lab
lea
t
h
t
tps
:
/
/www
.gov
.uk
/gove
rnmen
t
/pub
l
ica
t
ions
/
consu
l
ta
t
ionp
r
inc
ip
lesgu
idan
ce
I
fyouhaveanycommen
tsabou
ttheconsu
l
ta
t
ionp
roce
ssp
lease
con
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:
Consu
l
ta
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ionCoo
rd
ina
to
r
Depa
r
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tfo
rT
ranspo
r
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Zone1
/29G
rea
tM
ins
te
rHouse
LondonSW1P4DR
Ema
i
lconsu
l
ta
t
ion@d
f
t
.gs
i
.gov
.u
k
P
leasedono
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isadd
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Consu
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inc
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Depa
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tsw
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imesca
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the
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fau
l
t
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weekpe
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iod
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icu
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lywhe
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tens
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veengagemen
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;
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andconsu
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ted
;
depa
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la
inwha
tresponsesthe
yhavere
ce
ivedand
howthesehavebeenused
info
rmu
la
t
ingpo
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i
cy;
consu
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ionshou
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ig
i
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27
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28