RETAIL STANDARDS GUIDE

JU L Y 2006

July 2006

Retail Standards Guide Retailing is vitally important for train companies. Not only is this how our customers buy our fares and services, there is also the need to provide accurate and relevant information in a fair and impartial manner. This guide simply explains requirements placed on train companies by the Ticketing & Settlement Agreement, as well as giving guidance on ways of selling rail tickets. It seeks to explain obligations in terms of: • retail and information office opening • internet and telesales retailing • products that have to be sold or may be sold • impartiality obligations • quality standards The guide is intended for train company retail managers and frontline supervisors although its contents are for all staff involved in retailing rail services. The guidance and advice in this guide may not be the only or right interpretation of Ticketing & Settlement Agreement chapter six and its associated schedules. You may therefore wish to seek your own legal advice where appropriate and necessary. If you have any comments on this guide or would like further guidance, please contact Mark Bryce on mark.bryce@atoc.org Mark Bryce Retail Support Manager ATOC July 2006

Checklist Page number Date updated Index i July 2006 Index ii July 2006 Index iii July 2006 Introduction 1 July 2006 Glossary i July 2006 Glossary ii September 2006 Glossary iii July 2006 Section A 1 July 2006 2 July 2006 3 July 2006 4 July 2006 5 July 2006 6 July 2006 7 July 2006 8 July 2006 9 July 2006 10 July 2006 11 July 2006 12 July 2006 Section B 13 July 2006 14 July 2006 15 July 2006 16 July 2006 17 July 2006 18 July 2006 19 July 2006 20 July 2006 21 July 2006 22 July 2006 23 July 2006 24 July 2006 Section C 25 July 2006 26 July 2006 27 July 2006 28 July 2006 29 July 2006 30 July 2006 Section D 31 July 2006 32 July 2006 Section E 33 July 2006

July 2006 Index i

Contents Section Subject Page

Introduction: the Ticketing & Settlement Agreement Intro i

Glossary Glossary i

A Operating station retail outlets 1

A.1 Regulated stations 1

A.2 Lead retailers 1

A.3 Ticket issuing and reservation equipment 2

A.4 Retail outlet opening hours 2

A.5 Information display and signage 2

A.5.1 Relating to the retail outlet 2

A.5.2 At each point of sale 2

A.6 Documents/information that must be available at retail outlets

3

A.7 Points of sale 3

A.7.1 Types of point of sale 3

A.7.2 The 51% impartiality rule 5

A.7.3 The 50% full product range rule 6

A.8 Self service ticket issuing machines 7

A.9 Permits to travel 7

A.10 Display space 8

A.11 Change procedures 8

A.11.1 Minor changes to lead retailer responsibilities 8

A.11.2 Experimental changes 9

A.11.3 Major changes to lead retailer responsibilities 9

A.11.4 Change of lead retailer 10

July 2006 Index ii

B The product range 11

B.1 Product categories simplified 11

B.2 Permanent, temporary and special fares 12

B.3 Basic products and rail products 13

B.4 Product range obligations 14

B.4.1 Products retailers must sell 14

B.4.2 Products retailers may choose to sell 14

B.4.3 Offering/selling a customer a fare or combination of fares for their journey

15

B.5 Other selling obligations 16

B.6 Information provision 16

B.6.1 Information that must be provided 16

B.6.2 Routeing 17

B.7 After sales service 17

B.7.1 Duplicate tickets 17

B.7.2 Refunds 17

B.7.3 Season ticket extensions 18

B.7.4 Passenger’s charter discounts 18

B.8 Ticket stock 18

B.8.1 Ticket supply 18

B.8.2 Design and wording 18

C Retailing standards at stations 20

C.1 Impartiality 20

C.2 Queuing times 24

C.3 Information failure 24

C.4 Reservations 24

C.5 Staff competence and conduct 24

July 2006 Index iii

D Commission 26

E Train company support 28

F Internet and telesales retailing 29

F.1 Accuracy and impartiality requirements 29

F.2 Internet service standards 30

F.3 Telesales service standards 31

July 2006 Introduction i

Introduction: The Ticketing & Settlement Agreement (TSA) This document sets out details of arrangements for retailing. Procedures are required to maintain the benefits of a national rail system, including: • Inter-available fares – so that customers can continue to travel on trains of more than one

train company (TOC) using the same ticket. • Through ticketing – so that customers can continue to buy a ticket to any destination on the

National Rail network. • National retailing of rail services – so that customers can continue to benefit from a range of

nationally available services and products. Procedures that specify how retailing will operate are set out in the TSA. This is a legally binding agreement that all TOCs are required to comply with under the terms of their Passenger Operating Licence granted by the Rail Regulator and, in the case of franchised TOCs, under the terms of their Franchise Agreement. Failure to comply with the TSA can result in other TOCs seeking redress and ultimately result in loss of the licence to operate train services. References to relevant clauses of the TSA are given where helpful. For further details and definitive wording, refer to these clauses. The TSA can be found in the RSP section of the website www.atoc.org Nothing in this guide should be interpreted as modifying the rights and obligations set out in the TSA.

July 2006 Glossary i

Glossary Key Term Explanation (words in bold in this column have a glossary

entry)

Basic Product A Rail Product valid for one or more journeys on the National Rail network (for example, a Fare for a journey). A Basic Product may also be a rail journey plus the right to goods or services (e.g. admission to an event) provided the one ticket covers rail travel and admission.

CIV rules Rules concerning the Contract for International Carriage of Passengers and Luggage by Rail set out in the Convention concerning International Carriage by Rail.

Commission The percentage of the price of a product paid to the TOC for selling that product.

Compliance Carrying out the requirements of the TSA.

Dedicated Fares Fares which entitle the purchaser to use the trains of a single TOC only.

Dedicated Point of Sale

A window at a ticket office, a position at a travel centre or specific telephone number for which it is clearly stated that the staff do not give impartial advice or sell rail products on an impartial basis. This will normally mean that the point of sale will only sell the products of the company that operates it.

Derogation Relaxation of or exemption from a requirement.

Discount Card A document which entitles the holder to a discount on some or all Fares. The majority of discount cards are Railcards.

Excess Fare A variation in rights and restrictions applicable to a Fare which converts that Fare into another Fare.

Fare A Fare means the right to:

a) make one or more journeys on the network (whether or not together with other rights); or b) carry on such a journey an item of luggage or an animal.

A Fare will be subject to the rights and restrictions applicable to it and the payment of the relevant price (less any applicable discounts)

Full Product Range The products a retail outlet is obliged to sell and capable of selling through the ticket issuing systems in use at that outlet as recorded in Schedule 17 of the TSA.

Impartial Point of Sale A point of sale (other than on train) or telephone sales office at which Rail Products are sold in person which is not a dedicated point of sale.

Impartial Retailing Providing information and selling Fares in a manner which is fair and without bias towards any TOC. Providing accurate and factual information. Selling the Fare which is most appropriate to the customer’s needs.

July 2006 Glossary ii

Inter-Available Fares A Fare which entitles the purchaser to make a journey on the trains of more than one TOC.

Lead Retailer The Lead Retailer at a station is the TOC specified in Schedule 17 of the TSA against the name of that station. The Lead Retailer is responsible for operating the Retail Outlet at that station.

Non-Rail Products These are goods or services (other than a journey on the Network using the TOC’s trains) which are not included within a Fare but which may be sold by TOCs (or some of them), whether or not at the same time as the sale of a Fare.

Permanent Fares These are Fares whose terms are determined in the fares setting round (and are in the National Fares Manual).

Permitted Route A route between two stations which is permitted in the Routeing Guide.

Point of Sale A point of sale is a place where products are sold to customers in person. Examples are ticket office windows, Travel Centre counter positions and staff selling tickets on-train.

Rail Product A Rail Product is a Fare, an Excess Fare, a Discount Card, a Reservation or an Upgrade.

Rail Settlement Plan An ATOC owned company responsible for settlement and payment of monies between TOCs.

Regulated Stations Regulated Stations are listed in Schedule 17 of the Ticketing & Settlement Agreement. The Lead Retailer at a Regulated station must sell all Permanent Fares (that are basic products) and Reservations for flows shown in Schedule 17 for each station (unless exceptions are shown), and all Temporary fares (that are basic products) that it is asked to sell by another Operator. This is providing the Fares can be sold using an RSP Approved Ticket Issuing System. A Regulated station must also sell all Fares available for National Rail journeys, from that station to any other station, that can be made without changing trains.

Retail Outlet A location where rail products are sold. Staff on trains selling Fares are considered to be a Retail Outlet.

Routeing Guide This is the document published by Rail Settlement Plan RSP) which describes the Permitted Route(s) between any two stations.

Schedule 17 of the TSA

Gives name of station, opening hours, ticket issuing capability etc.

Special Fares These are Fares issued to special groups of people (e.g. Scholars Seasons Tickets, Inclusive Tour Tickets).

Temporary Promotional Fares

These are Fares whose terms are not determined in a fares setting round but which have nevertheless been approved by RSP.

Ticketing & Settlement Agreement (TSA)

A legal contract to which RSP and all TOCs are bound.

July 2006 1

A. OPERATING RETAIL OUTLETS A.1 Regulated Stations All stations with staffed points of sale on the National Rail network are governed by the TSA and are referred to as Regulated Stations. Regulated Stations are subject to control by the Department for Transport rail division (DfT Rail). Schedule 17 and 17a of the TSA give details, for all Regulated Stations, of: • The TOC operating the Retail Outlets • Opening hours • Peak demand periods • Whether the station can sell reservations • Ticket issuing capability • Which editions of the Fares Manual (whether in paper or electronic format) are held to

indicate rail products that can be sold • Whether there are any special conditions regarding when products are sold (eg Season Tickets

not sold until after 10.00 hrs) • Whether Credit Cards are accepted for payment of tickets • Any exceptions (Derogations) to provisions of the TSA A.2 Lead Retailers Definition of Lead Retailer: • The TOC operating the Retail Outlet at a staffed station is known as the Lead Retailer. • At some stations there may be more than one Retail Outlet. In this case the Lead Retailer will

be the TOC operating the principal Retail Outlet; other Retail Outlets will be Secondary Retail Outlets and, if operated by another TOC, that company will be known as a Secondary Retailer. Examples of stations where there are two Retailers include:

Station Lead Retailer TOC Secondary Retailer TOC Euston Virgin Trains Silverlink Victoria Southern Gatwick Express Secondary retail outlets operated by another TOC, and additional ticket offices operated by the Lead Retailer at a station do not have to comply with the Schedule 17 entry for a station. Only the main ticket office must meet Schedule 17 requirements. This allows for additional retail outlets to be only available to cope with peak demand, for example. Responsibilities of the Lead Retailer: As Lead Retailer, the TOC is responsible for ensuring that the TSA is complied with at its outlets.

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A.3 Ticket Issuing and Reservation Equipment Every regulated station was equipped with either APTIS or SPORTIS at the time when the TSA came into force in 1995, and Schedule 17 lists the system in use at each station. TRIBUTE and other new types of ticket machine have been introduced at many stations. The Lead Retailer must continue to operate the ticket issuing system shown for that station or another system, with at least the same functionality as that approved by RSP (TSA clause 6-15). The ticket issuing system must be available for use throughout the time that the Retail Outlet is open. Schedule 17 also indicates whether each station offers a reservation service for customers. This may be by means of reservation equipment at that station or by retail staff obtaining reservations by telephone from elsewhere. A.4 Retail Outlet Opening Hours Opening hours for every Retail Outlet have been listed in Schedule 17 of the TSA and have been verified by the Rail Regulator. Keeping to these opening hours is an obligation that must be honoured by the Lead Retailer. Failure to honour these times will only be tolerated in isolated emergencies such as staff going sick without notice. Arrangements should be in place to ensure that sickness and leave can be covered where they might affect Retail Outlet opening hours. Routinely reducing the hours of opening for extended periods during staff shortages will not be acceptable. Retailers may apply to adjust opening hours. See section A.11. A.5. Information Display and Signing A.5.1 Relating to the Retail Outlet The following information must be displayed: • Hours of opening- in a position where they can be read by the public at all times (clause 6-16) • Hours of peak demand for impartial outlets (TSA clause 6-36(4)) • Any restrictions on availability of the full product range (e.g. reservations not available before

10.00) • Name of TOC operating the Retail Outlet. This may be either the legal or trading name • A summary of the range of services provided at the Retail Outlet Display of this information must conform to the following rules laid down by DfT Rail: • Posters and other methods of displaying this information must incorporate the double arrow

symbol. • The poster or display must not incorporate any company specific branding or logos. In special circumstances, DfT Rail may agree that opening times need not be published where this could put the security of staff at risk. A.5.2 At Each Point of Sale The following information must be displayed: • Whether it is open or closed (TSA clause 6-28(2)(b)). • When not selling the full product range, it must clearly indicate what services can be bought at

the point of sale, e.g. “Tickets for Today” (TSA clause 6-28(2)(b)). • Impartial Points of Sale do not require any specific signing. If any is provided it must say simply

“Tickets” or “Tickets, Information and Reservations” as appropriate or the recognised Tickets Pictogram. They must not be branded in any way that links them with the retailer.

July 2006 3

Dedicated points of sale must, in addition to the above, be signed to make it clear that they do not operate impartially and which TOC, or companies’ services are sold. A.6 Documents/information that must be available at Retail Outlets Each Retail Outlet must hold: • Fares Manuals information (either in paper or electronic format) as specified in Schedule 17 of

the TSA • The National Rail Conditions of Carriage • A list of Participating Operators On-train staff involved in ticket issuing, providing information and revenue protection must carry: • The National Rail Conditions of Carriage • A list of Participating Operators • Fares Manuals information (either in paper or electronic format) as specified by their TOC A.7 Points of Sale and retail channels A.7.1 Types of Point of Sale and retail channels A.7.1.1 There are several types of place from which a Train Company can sell Rail Products. Point of Sale refers to an individual position or window within a Retail Outlet where rail products can be purchased. Retail Outlet refers to a Ticket Office, Travel Centre or combination of both with one or more point of sale. A.7.1.1.1 Impartial • A Retail Outlet or individual point of sale where Rail Products of all TOCs are sold – not just

those of the TOC running the office. • As staff are selling products and giving information on behalf of all TOCs there is an obligation

to ensure that the products and services of the TOC running the point of sale are not promoted at the expense of the others.

• The TOC must make it clear to customers that tickets and information provided by these outlets are given impartially without preference to any operator (TSA clause 6-30).

A.7.1.1.2 Dedicated • A Retail Outlet or point of sale that does not sell the products of all TOCs. Generally it will

only sell the products of the TOC that operates it although agreement may be reached to sell the products of other specific TOCs.

• Staff working at dedicated points of sale are not required to give customers impartial (see below) information or advice about Rail Products nor to sell on an impartial basis.

• Dedicated points of sale must be signed to make it clear that they are not impartial (see section A.5.2) (TSA clause 6-28(2)(a)).

A.7.1.1.3 On Trains • On-train staff who sell tickets and give information are required to do so on behalf of all TOCs

in an impartial manner. • There is no requirement to sell a particular range of products or journeys, but whatever

products or journeys are sold must include all such products provided by any TOC. A.7.1.1.4 Self-Service Ticket Machines • See section A8.

July 2006 4

A.7.1.2 Telesales services • Operators providing train service information and selling rail products through a telesales

office which offers an impartial (as opposed to dedicated) service, must comply with standards shown in TSA Schedule 44 (TSA clause 6-20(1)).

• Impartial outlets must be accredited through Ticketing & Settlement Scheme Council. Accreditation comes through passing a features audit in an annual mystery shopping survey, and achieving 96.5% in an annual accuracy and impartiality survey.

• If an impartial service is offered, any advertisement promoting the service must make it clear to the public that it gives impartial advice about rail products and sells rail products on an impartial basis.

• Any TOC which provides a Telesales service that does not offer an impartial service must ensure that any advertisement about the service makes it clear to callers that they will not receive impartial advice or information (TSA clause 6-28(4)).

A.7.1.3 Internet services • Operators providing train service information and selling rail products through an internet site

which offers an impartial (as opposed to dedicated) service, must comply with standards shown in TSA Schedule 44 (TSA clause 6-20(1)).

• Impartial internet sites must be accredited through Ticketing & Settlement Scheme Council. Accreditation comes through passing a features audit in an annual mystery shopping survey, and achieving 96.5% in an annual accuracy and impartiality survey.

• An impartial internet site must be marked in such a way that it is clear that it gives impartial information and sells rail products and non-rail products impartially.

• If an impartial service is offered, any advertisement promoting the service must make it clear to the public that it gives impartial advice about rail products and sells rail products on an impartial basis.

Unlike other impartial distribution channels, internet sites and telephone sales offices can use a brand name, providing that the TOC responsible for the point of sale can demonstrate compliance with impartiality rules through an annual mystery shopping exercise. A.7.1.4 Third party retailers • Chapter 9 of the TSA covers appointment of third party retail agents by TOCs, on their own,

or with other TOCs under the Third Party Agents Scheme. • Selected third party retailers, such as the Trainline, may be granted investor licences by TOCs

through ATOC to enable them to sell rail products through the internet or telephone sales offices. This takes place through the ‘Third Party Retailing and Clearance Agreement’ which is Part VI of TSA Schedule 27 and is referred to in the TSA as the ‘new ATOC Licence’.

• Investor licences are written appropriate to the particular third party retailer and include services standards similar to those applying to TOC retail outlets. The licence requires agents to act impartially.

• Third party retailers may either operate under their own brand name or as a supplier of a retailing service to TOCs, under the particular TOC’s brand name.

A.7.1.5 Travel agents • Travel agents operate under Schedule 27 of the TSA and are licensed by ATOC. • Part 11 of Schedule 27 shows the form of ATOC Licence for use with ATOC Travel Agents. A.7.1.6 Station retailing agents • TOCs may appoint third party station agents to operate station retail outlets on their behalf. • Station agents are controlled through a contract between a TOC and its retailing agent. A

template Retailing Agent’s Licence forms Schedule 26 of the TSA. • Station agents must meet the retailing standards that apply to TOC-operated station retail

outlets, including the need to retail accurately and impartially.

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A.7.1.7 Information centres Information Centres are locations that do not sell Rail Products, e.g. Connections Desks, Help Desks or counter positions only giving information. There are two types of Information Centre: A.7.1.7.1 Impartial Information Centres • The TOC running it must provide information about services of all TOCs without favouring its

own services or products over those of another TOC. A.7.1.7.2 Dedicated Information Centres • Only information about services of the TOC running it is provided. The TOC must make it

clear to customers that impartial advice is not provided (clause 6-29(2)). A.7.2 The 51% Impartiality Rule The Lead Retailer must ensure that at station retail outlets with several sales positions, including those located in a Travel Centre, at least 51% of those open for business at any one time must offer an Impartial service (TSA clause 6-30 (1)(b)). The remainder can if the TOC wishes, be dedicated to selling the products of its own company. The following example demonstrates the impartiality obligation: • 6 Sales Positions with 5 open for business • 3 of those open (60%) are selling impartially • 2 (40%) are dedicated to selling the tickets of the Lead Retailer only

July 2006 6

CLOSED ALL TICKETS ALL

TICKETS ALL TICKETS ACE

TRAINS ACE TRAINS

ACCEPTABLE In the next example there are: • 5 Sales Positions • 2 (40%) of the open Sales Positions are selling impartially • 3 (60%) are dedicated to selling only the products of the Lead Retailer

CLOSED ALL TICKETS ALL

TICKETS ACE TRAINS ACE

TRAINS ACE TRAINS

NOT PERMITTED A.7.3 The 50% Full Product Range Rule • 50% of the Sales Positions open for business and offering an Impartial service must sell the full

range of Rail Products (TSA clause 6.30(1)(c)). • The remainder can, if the operator chooses, be devoted to the sale of specified Rail Products

such as Season Tickets or ‘Tickets For Travel Today’. • When a TOC chooses to restrict sales to certain Rail Products only at one or more Sales

Positions, each must be clearly signed so that customers can easily see which Rail Products are sold there (TSA clause 6-30(1)(c)).

• The Full Product Range is defined as those products that the Retail Outlet is capable of selling according to the information listed in Schedule 17.

• Lead Retailers of larger Retail Outlets that incorporate separate Ticket Offices and Travel Centres need to give careful consideration to this rule. A Ticket Office only selling tickets for immediate travel is assumed to be selling a restricted range of tickets. A Travel Centre, offering an information and advance booking service (which includes selling all ticket types, reservations and Railcards) is assumed to be selling the full product range.

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• The total number of sales positions in both Ticket Office and Travel Centre combined need to be taken into account in assessing compliance with the 50% Rule. If it is not practicable, due to physical constraints or due to patterns of demand, for at least 50% of the open and impartial sales positions to sell the full product range, then application must be made to DfT Rail for a Derogation (or exception) to this rule.

• In the following example all open Sales Positions are offering an impartial service with 4 (80%) selling all products of all TOCs. 1 Sales Position of those open (20%) is selling a limited range, in this case Tickets for Today. The 50% rule is being met.

CLOSED TICKETS

FOR TODAY

ALL TICKETS ALL

TICKETS ALL TICKETS ALL

TICKETS

At least half the impartial points of sale that are open must sell the full range of products unless DfT Rail agrees otherwise.

A.8 Sale of tickets through self-service ticket machines Each TOC must ensure that its Self-Service ticket machines have notices on them showing: • The name of the TOC • The fares that the machine sells • The address to which customers should apply for a refund • Details of where the customer can go to buy a ticket on the station if they do not wish to or

cannot use the machine (TSA clause 6-32) All written information must be impartial between the ticket types of different TOCs except where the full range of fares is not offered (see below). Self-Service Ticket Issuing Machines can offer tickets for any range of journeys, but for these journeys customers must be offered the choice of all types of ticket with similar rights and restrictions, including those that would enable the customer to use the trains of other TOCs (TSA clause 6-30(3)). This requirement does not apply where the machine is operated by a TOC that is not the Lead Retailer at that station, providing it is made clear that the machine does not offer the full range of fares. Otherwise, only DfT Rail can allow exceptions to this rule (TSA clause 6-30(3)). A.9 Permits to Travel • Where Penalty Fares operate, a TOC can issue Permits to Travel from machines on stations.

They can only be issued if the ticket office is closed or where the station is unstaffed. • Permits to Travel must state on them the date and time of issue, the amount paid and the

name of the station they were sold from. • The Permit to Travel must have the following words on it:

“This permit authorises the holder to travel during one journey from the station named and on the date shown providing that it is exchanged promptly for a valid ticket and any balance of fare due is paid at the first opportunity and in any case within two hours of the time stamped hereon. This document is issued subject to the National Rail Conditions of Carriage.”

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• Other than in exceptional circumstances, all Permits to Travel must be printed to a specified design and comply with the appropriate technical specification.

A.10 Allocation of display space in Ticket Offices and Travel Centres • A reasonable amount of display space for Rail Products created through an ATOC Scheme (eg.

Railcard leaflets) must be made available at Retail Outlets where there are impartial points of sale (TSA clause 6-38(1)). This is agreed at 10 to 15% of display space.

• The remaining display space can be used to promote the products of TOCs allocated in an impartial manner.

• The amount of display space allocated to TOCs must be reasonable and based on their share of revenue at that station in the previous year, excluding Season Ticket revenue (TSA clause 6-38(2)). This means that a TOC’s trains do not have to call at that station for it to be entitled to have its publicity material displayed.

• If there is a dispute between TOCs over the amount of space allocated, the ATOC Schemes Committee will be asked resolve it.

All display space must be allocated according to the above rules at Retail Outlets with Impartial Points of Sale. No TOC can provide display space additional to that allocated for its exclusive use (TSA clause 6-38(3)). Use of display space • A Retailer that receives promotional material must ensure it is displayed prominently, in the

condition it was received in, and not hidden from the customer’s view in any way (TSA clause 6-39(1)).

• It is the responsibility of the Retailer to monitor the quantity of publicity material on display, and to advise the TOC that provided it, when quantities are running low, so that more can be supplied (TSA clause 6-39(2)).

• Retailers are responsible for changing publicity displays following instructions from the supplying TOC as long as the new material has been received in time (TSA clause 6-39(3)).

• The size of publicity (posters and leaflets) must conform to guidelines set by the Ticketing & Settlement Scheme Management Group (TSA clause 6-39(4)).

• A Retailer does not have to display any publicity material that does not comply with these guidelines unless reasonable charges are paid to it for doing so.

Promotional material at Information Centres • There is no obligation on Retailers to display promotional material at Information Centres

(TSA clause 6-41). • However, Retailers must give customers any promotional material supplied by other TOCs if

requested. • If they do display promotional material, then this must be done following the rules for Ticket

Offices as detailed above. A.11 Change procedures Making changes to Retailing responsibilities requires formal contact with DfT Rail, other TOCs and railway industry bodies. Persons initiating these procedures must ensure that they are suitably authorised and acting in accordance with their TOC’s policy. It is recommended that reference is made to the relevant section of the TSA before proceeding. A.11.1 Minor changes to Lead Retailer responsibilities (TSA clause 6-17) TOCs are permitted to make: • Changes to the range of Basic Products sold • Changes to hours of opening of the Retail Outlet • Changes to the range of Credit Cards accepted No change can be made if it would have an adverse effect on customers or sales made on behalf of other TOCs.

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Changes to the range of Basic Products sold or opening hours can be made if there has been a genuine alteration to the pattern of business provided that the total time the ticket office is open each day is not substantially altered. Ticket office hours can also be varied at bank holidays or if services are altered by engineering works without DfT Rail approval, to reflect the altered train service pattern. Altered hours on such occasions must have no adverse effect on passengers in terms of ticket costs or availability. Such temporary changes should be fully publicised at stations. Any change to the range of Credit Cards accepted must result from the TOC being unable to agree suitable terms with the Credit Card company. The change process • Advise RSP/ATOC of what is being proposed, allowing 28 days for others TOCs and the DfT

to register an objection. • ATOC will issue a fortnightly (or as required) notice to all TOCs and DfT Rail and if there is

no objection to the change proposed within 28 days of the notice, it can be implemented. • If DfT Rail object then the change cannot be implemented. • If an objection is made by another TOC, the Retailer wishing to make the change must:

(a) withdraw the proposal, or (b) resolve the objection with the TOC concerned, or (c) resolve the dispute in accordance with the ATOC Dispute Resolution Rules Once the change has been approved the TOC must advise RSP so that Schedule 17 can be amended and other TOCs informed.

A.11.2 Experimental Changes (TSA clause 6-17(3)) A TOC can use this procedure to increase or improve the range of services provided on a trial basis, without these changes becoming a permanent obligation. It tells DfT Rail what the change is and when it is to come into operation. Experimental changes may be withdrawn unilaterally by the Lead Retailer up to 18 months from the date of introduction. Beyond 18 months, they are considered to be permanent and must be added to Schedule 17. Between 12 and 18 months from the date of the notice of an experimental change, the TOC must notify RSP of the opening hours and give details of Rail Products that have been sold during the previous 6 months at the station at which the ticket office is situated. RSP will then amend Schedule 17 to reflect the new position. A.11.3 Major changes to Lead Retailer responsibilities (TSA clause 6-18) Major changes to the range of Basic Products offered for sale, or the hours of ticket office opening, can be made provided that: • The change offers an improvement to the quality of service • Is more cost effective • Does not prevent members of the public from continuing to have easy access to buying tickets • The change is required by a Passenger Transport Executive Major changes to responsibilities of the Lead Retailer can only be made by following the detailed procedure shown in TSA clause 6-18, to which reference should be made for full information.

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A.11.4 Changing the Lead Retailer at a station A request to change the Lead Retailer at a station may be made to DfT Rail by the Lead Retailer or any other TOC whose trains stop at that station. This request must nominate another TOC as the New Lead Retailer, which must have given its prior consent to the nomination and a case must be made for the change. DfT Rail will notify the TOCs affected by the change. If the proposed change is agreed, it will take effect after four months unless an earlier change is agreed. If a TOC ceases to run trains which stop at a station where it is the Lead Retailer then DfT Rail will appoint another TOC as the Lead Retailer after consultation with those concerned. Any change will come into effect 4 months after those concerned have been advised by DfT Rail.

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B. THE PRODUCT RANGE B.1 Product categories simplified The range of fares and products sold in station Retail Outlets can be categorised in a number of different ways. This gives rise to rights and obligations on the part of Retailers for the sale of these products. Fares, prices and tickets Although the words fare, price and ticket are often used interchangeably by staff and customers alike, each word has its own distinct meaning when used in the TSA. These distinct meanings are shown below. A Fare is the right to travel on particular operators’ services subject to the rights and restrictions that apply to it. A Fare is roughly equivalent to a ticket type. For example, a London Terminals – Birmingham Saver is a Fare, a Haywards Heath – London Terminals Season Ticket is a Fare. However an “Excess Fare” is not a Fare in this sense. Each Fare is sold at its own price. A Ticket is a document which shows that the price has been paid for a Fare. Permanent / Temporary / Special Fares Determines how fares are created and communicated, and confers rights on the part of the Retailer. Rail / Non-Rail Products A Rail Product means a Fare, an Excess Fare, a Discount Card such as a Railcard, a Reservation or an Upgrade which give entitlement to one or more journeys on the National Rail network. A Non-Rail Product means any other product or rights to goods or services, (other than a rail journey) not included within a Fare, which is sold by Retailers either with, or separately to a Rail Fare. Examples include admission tickets to special events like the Motor Show (when not part of a combined rail travel and admission ticket), car parking tickets or phonecards. Basic / Non-Basic Products Basic Products are Rail Products, and all services that these products entitle the holder to, that can be purchased by recognised methods of payment, and are issued by a rail ticket and, where appropriate, a reservation voucher. Non-Basic Products require part or whole payment in a non-monetary form (eg newspaper coupon). Lead Retailers have Obligations to sell Basic Products, but sell Non-Basic products only by agreement. Other selling obligations also exist.

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Inter-Available / Dedicated Fares Inter-available fares entitle the purchaser to choose between the trains of more than one operator. Dedicated fares entitle the purchaser to travel only by the trains of one or more specific operators. Every fare is sponsored by a particular TOC and the relevant NFM entry includes a code which identifies the TOC concerned. Any query or difficulty which arises in selling that fare should be referred to the TOC which sponsors it. If the sponsoring TOC fails to follow fares creation rules correctly, the fare concerned will be declared invalid. Retailers will not be allowed to sell that fare even if their own TOC created it (TSA clause 6-7(1)). B.2 Permanent, Temporary and Special Fares

Permanent Fares Special Fares Temporary Fares • Held within National

Database

• Held within Ticket Machine memories

• Published in NFM & local manuals

• Revised in normal fares rounds (Jan, Summer or Autumn)

• Via a specified route or by “any permitted route”

• Can be inter-available or dedicated

• Every Permanent Fare is sponsored by a particular TOC

• In general can be sold by any Retailer

• Normally valid throughout the “life” of an NFM

• Only sold at specified outlets by agreement

• May involve special ticket issuing routines

• Examples are: Inclusive Tour (ITX) fares, special Scholars Season rates

• Created outside the normal fares setting round

• Two types:

1. New fares created between NFMs which become Permanent when next edition published

2. Special promotions available for limited periods

• Sponsoring TOC can specify which locations may retail the fare. Others can “opt in” only with the TOC’s agreement

• Can only be on sale for maximum of 17 weeks

• Can’t be reintroduced until another 17 weeks have passed

• May require use of barcodes or special issuing routines

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B.3 Basic Products & Rail Products

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B.4 Product Range Obligations B.4.1 Products Retailers Must Sell • ALL fares for journeys with a DIRECT service from that station • Young Persons and Senior Railcards • Permanent Fares that are BASIC contained in NFM information held at that station • Temporary Fares if:

– They are BASIC products – The creator of the fare wishes it to be sold at that station – The creator of the fare has supplied the relevant supporting material and issuing

instructions • Reservations or Upgrades that relate to the flows mentioned above. • Other Discount Cards (e.g. Railcards) if:

– They are BASIC products – The creator of the fare wishes it to be sold at that station – The creator of the fare has supplied the relevant supporting material and issuing

instructions These obligations apply only if the relevant fares can be issued on the Ticket Issuing Machine in use at that station. B.4.2. Products Retailers May Choose to Sell • Any other permanent fare (TSA clause 6-6(1)) • Any temporary or special fare if:

– It was created by their own TOC – The TOC that created it wishes that fare to be sold at that station – It has been provided with relevant issuing instructions, bar-codes and back up material – It has been supplied with the means for the sale to be recorded for Rail Settlement Plan

purposes (TSA clauses 6-6(2) & 6-6(3)) • Excess Fares (subject to certain rules) - see separate publication(s) (TSA clause 6-6(4)) • Any other Discount Card if:

– It was created by their own TOC – The TOC that created it wishes that fare to be sold at that station (TSA clause 6-6(5))

• Any Reservation or Upgrade if the TOC that created it wishes it to be sold at that station. The Retailer can do this even if it has not sold or been asked for a travel ticket for that journey (TSA clause 6-6(6)).

• Any non-rail product if: – It was created by their own TOC – The TOC that created it wishes it to be sold there and has provided all necessary details – Rail Settlement Plan says it is required or permitted to sell it (TSA clause 6-9(1))

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B.4.3 Offering / Selling a Customer a Fare or a Combination of Fares for their Journey • When a customer requests a journey for which a through fare is available, the Retailer should

always offer / sell that through fare to the customer. The Retailer should not suggest that the customer buys a combination of fares.

• When a customer requests a specific combination of fares for a journey for which a through

fare is also available, the Retailer, at an impartial point of sale, should sell this combination (provided the Retailer would normally be allowed to sell those fares separately) and between them, they are valid for the whole journey requested. The Retailer must make a reasonable attempt to ensure that the combined fares meet the customer’s requirements (TSA clause 6-31). The Retailer must specifically refer the customer to the limitations on the use of combinations of tickets shown in the National Rail Conditions of Carriage (clause 19).

• When a customer requests a journey for which a through fare is not available in the Fares

database, the Fare Manuals or Ticket Machines provided at an impartial point of sale, the Retailer should offer / sell a combination of two or more point to point fares (provided the Retailer would normally be allowed to sell those fares separately) which, between them, are valid for the whole journey. For example, a customer may wish to “double back” via London to take advantage of a faster journey opportunity. Without a “via London” fare, two separate tickets would be required. The Retailer must make a reasonable attempt to ensure that the combined fares meet the customer’s requirements (TSA clause 6-31). The Retailer must specifically refer the customer to clause 19 of the National Rail Conditions of Carriage.

The National Rail Conditions of Carriage state (Clause 19) that a customer may use two or more tickets to travel on one train journey provided that: a. The tickets cover the entire journey; AND b. one of the following applies: (i) they are zonal tickets; (ii) the train the customer wishes to travel on (or is travelling on) calls at the station(s) where the ‘change from one ticket to another; or (iii) one of the tickets is a Season Ticket and one of them is not (not including a Season Ticket or travel pass issued on behalf of a passenger transport executive or local authority). If these conditions are not met the customer is treated as having joined the train without a valid ticket for that part of the journey not covered by the tickets held.

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B.5 Other selling obligations Retailers MUST: • Always sell Special Fares, Reservations, Upgrades and Accompanied Animals or Articles at the

full price, unless the purchaser is entitled to Railcard, Child or Passenger’s Charter discounts, (TSA clause 6-10(1)).

• Always sell all other Rail Products at no more than the full price, less any applicable Railcard, Child or Passenger’s Charter discount. Retailers selling these products at less than the full price, will be debited at the full price through settlement procedures (TSA clause 6-10(3)).

• Always sell Non-Rail Products at the full price (TSA clause 6-10(4)). • Avoid selling fares that have been discontinued or replaced (TSA clause 6-7(1)). • Avoid saying or doing anything that is not consistent with the Rights and Restrictions applicable

to the fare, the National Rail Conditions of Carriage and/or any other conditions which may apply to the product being sold.

• Ensure that the customer understands the Rights and Restrictions that apply to the fare being sold (TSA clause 6-25).

• Always issue a ticket to the purchaser of a fare, Excess Fare or upgrade (TSA clause 6-26). • Always issue a ticket / reservation voucher to the purchaser of a reservation (TSA clause 6-

26). • Issue only one ticket, if possible, where the price paid requires two or more people to travel

together (TSA clause 6-26). • Take all reasonable steps to make sure that intending purchasers of Discount Cards satisfy the

relevant eligibility conditions (TSA clause 6-27). • Only sell a Season Ticket to a customer if they hold any necessary supporting Photocard or

are presenting a photograph of themselves to obtain the required Photocard at the same time (TSA clause 6-7(4)).

• Always issue a Rail Settlement Plan approved Photocard upon request (TSA clause 6-7(4)). • Only sell a permitted temporary fare in accordance with the validity and other terms and

conditions of that fare as advised by the fare creator (TSA clause 6-7(2)). • Only sell a permitted special fare to the particular type of person allowed to purchase that fare

as specified by the fare creator (TSA clause 6-7(3)). • Sell Excess Fares in accordance with instructions (see Retail Manual). • Where payment is received for a fare to be issued at another location, account for the sum

received to the Retailer issuing the fare (TSA clause 6-10(5)). Retailers must not • Sell any fare that has not been created in accordance with TSA rules, even if its own TOC

created the fare (TSA clause 6-7(1)). • Sell any fare that is out of date, has been discontinued or has been replaced. • Sell a temporary fare outside the period specified or fail to comply with any other conditions

relevant to the fare (TSA clause 6-7(2)). • Sell a permitted special fare to an ineligible customer (TSA clause 6-7(3)). • Sell a Season Ticket which normally requires possession of a Photocard to someone who does

not have a Photocard, unless you issue the Photocard at the same time (TSA clause 6-7(4)). • Issue any Photocard which does not comply with Rail Settlement Plan standards (TSA clause

6-7(4)). PTE and local authority Photocards existing at July 1995 do comply with these standards.

B.6 Information provision B.6.1 Information that must be provided Applies at Impartial Points of Sale and Information Centres: • All TOCs’ train times (as published in the National Rail Timetable). • All alterations or additions to the Timetable that they have been advised (especially those due

to engineering work and Bank Holidays). • On-train facilities, especially those relating to disabled travel, cycle conveyance, classes of

accommodation and catering arrangements.

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• Station facilities (as described in the National Rail Timetable). • The fares that may be purchased at that point of sale or the information that may be obtained

at that Information Centre. See B.4.3 for the fares that may be offered. • Station and Transport for London interchange times as described in the National Rail

Timetable or other publications. • Reservation arrangements for seats, cycles, disabled customers, Sleepers and accompanied

animals and articles. A Retailer can only provide such information if they have been supplied with it (TSA clause 6-32). B.6.2 Routeing Routeing Guide information defines Permitted Routes for every flow. Routeing Guide information is incorporated in some ticketing systems or an electronic version of the Routeing Guide is available in the RSP section of the website www.atoc.org. B.7 After sales service B.7.1 Duplicates Retailers must • Issue a duplicate for a ticket / Discount Card they sold if the purchaser is entitled to one under

the National Rail Conditions of Carriage, CIV rules or any other condition applicable to the product (TSA clause 6-48(1)(a)).

• Issue a duplicate for a ticket which is malfunctioning such that information cannot be read electronically, eg. it will not operate ticket gates (TSA clause 6-48(1)(b)).

• Issue only duplicates that comply with any security measure specified (TSA clause 6-48.1.d). Retailers may • Issue duplicate tickets/Discount Cards at their discretion if the National Rail Conditions of

Carriage, CIV rules, etc, state that “a duplicate ticket may be available from a Retailer that has sold such a fare” (TSA clause 6-48(1)(c)).

• Make a reasonable administrative charge to the customer except where a duplicate ticket is issued in exchange for one that is damaged or malfunctioning. If such a charge is raised the charge must be the same for all duplicate tickets that the Retailer issues. A different charge may be made for duplicate Discount Cards but, again, it must be the same for all such duplicates (TSA clause 6-48(2)).

B.7.2 Refunds Retailers must • Make a refund for any Rail Product they sold if the purchaser is entitled to one under the

National Rail Conditions of Carriage, the CIV rules or any other conditions that apply to that product (TSA clause 6-49(1)).

• Retailers asked to make refunds on products they did not sell MUST: – Give the customer a claim form and help them to complete it. – Accept and forward the form (with the ticket) to the Retailer that sold the ticket (TSA

clause 6-49(3)). Retailers may • Make a refund for any Rail Product they sold if they believe that:

– The ticket, reservation voucher or Discount Card was lost, stolen or accidentally destroyed before it was fully used or expired and the circumstances of the case prevent the subsequent use of the product or a further application for refund in respect of it.

– A refusal of the application would cause hardship (TSA clause 6-49(2)). • Make a refund for any Rail Product they sold if the customer was prevented from using the

product as a result of severe disruption to any TOC’s services. The amount of any refund made on a Season Ticket must be reasonably proportional to the extent to which the customer was prevented from using it (TSA clause 6-49(2)(b and c)).

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• Make an administrative charge upon the customer if it is permitted to do so under the National Rail Conditions of Carriage, CIV rules, etc. If a charge is raised it must be the same for all refunds made for that category of product. The amount can differ for Discount Cards, Reservations, Upgrades, etc. The charge must reasonably reflect the cost of processing the application (TSA clause 6-49(4)).

B.7.3 Season Ticket extensions Retailers may • Make an extension to a Season Ticket provided the consent of all TOCs who receive income

from that fare is obtained or reasonable compensation is paid to them subsequently. The extension must be given by the Retailer that sold the ticket (TSA clause 6-50(1)).

B.7.4 Passenger’s Charter discounts A TOC whose services result in claims under the Passenger’s Charter for discount or extension must, as soon as it becomes aware of the situation, notify details to ATOC (TSA clause 6-50(1)). Once these details are received ATOC will circulate necessary information to other Retailers selling the Season Ticket fares to which they relate (TSA clause 6-50(2)). B.8 Ticket stock B.8.1 Supply of ticket stock A TOC is responsible for ordering sufficient stocks of blank tickets to enable Retailers to comply with their obligations or for contracting with Rail Settlement Plan for supply of same (TSA clause 6-26(2)). B.8.2 Design and wording of Tickets, Discount Cards and Reservation Vouchers National Rail Conditions of Carriage Tickets and reservation labels issued by a TOC or a Retailer must contain the following statement (or something to the same effect):

“This document is issued subject to the National Rail Conditions of Carriage and the conditions of carriage of any other operators on whose services it is valid. It is not transferable. Unless indicated otherwise, it is valid for travel by any permitted route and on the services of participating operators. The National Rail Conditions of Carriage and a list of participating operators are available at ticket offices.”

Format Unless the ticket or reservation voucher relates to other than a Rail Settlement Plan-settled product it must also: • Be printed in a Ticketing & Settlement Scheme Council specified format • Comply with Rail Settlement Plan technical specifications to reduce risk of fraud and enable it

to be issued on Rail Settlement Plan approved ticket issuing machines. If the Ticket or Reservation Voucher does relate to a non-Rail Settlement Plan-settled product it must not be issued in a format confusingly similar to Rail Settlement Plan-settled products (TSA clause 6-26(3)). Class of accommodation Tickets for Standard accommodation fares must contain the words “Standard Class” or a recognised abbreviation of it. Tickets for First Class fares must simply signify that a class other than Standard applies. Actual wording is at the discretion of the operator concerned (TSA clause 6-26(4)).

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Discount cards (Railcards etc) Discount Cards must state the conditions to which they are subject or make reference to a document which states them. Unless a Discount Card provides for use only on the services of one TOC, Cards must: • Be printed in a Ticketing & Settlement Scheme Council specified format. • Comply with RSP technical specifications to reduce risk of fraud and to enable cards to be

issued on RSP approved ticket issuing machines.

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C. RETAILING STANDARDS This section deals with the way transactions are conducted with each customer: how a ticket is sold or information given. C.1 Impartiality This is the most important requirement and is necessary because Retailers will be selling tickets or giving information about different TOCs. Retailers at impartial Points of Sale must therefore act fairly and impartially between TOCs and any information that is provided must be factual, accurate and impartial (TSA clause 6-30(1)(a)). Impartiality simply means providing the customer with information or a ticket that is the most suitable for their needs. Retailers must not favour their own train services, or those of any TOC over others in providing information or selling the ticket. Where a customer asks to purchase a specific fare for a specific journey, this can be sold without giving any further information (TSA clause 6-30(2)(d)). In many cases only one fare will meet the customer’s requirements as only one TOC provides a service for the journey concerned. Even where more than one TOC is involved the customer may be specific by stating their requirements in terms of: • Destination station • Ticket Type • Train • Class In these circumstances, the Retailer only needs to seek further information when the customer wants to make a journey that cannot be made with that fare. An example is a customer requesting a discounted fare at a time of day when this fare is not valid. Where the customer does not specify which fare they want and more than one is available that may meet their requirements, the Retailer must seek additional information to enable the correct fare to be sold. If more than one fare is suitable for their needs, the Retailer must explain the main features of the alternatives impartially (TSA clause 6-30(2)).

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Impartial selling

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There is no mandatory list of information that must be requested as circumstances will differ, but the following are examples of the things that are likely to be important to customers: • Departure or arrival time required • Journey time • Price • Change of Train – both the number of changes and ease of interchange • Flexibility of return – can they be tied to a specific return train • Inter-availability – being able to use other TOCs’ services • Other special needs In the Advance Purchase situation the customer frequently needs to be provided with information about services and fares available before a decision is made. Impartiality simply demands that information is provided in a fair and even handed manner with no TOC’s service being promoted above others. In a Time of Travel Purchase the need to serve customers swiftly and efficiently particularly at busy times must be balanced with the importance of acting impartially. In many cases the customer will simply want the next train, but there will be circumstances when additional information will be needed from the customer: • Does a following train offer a potential benefit compared to the first service available, eg.

cheaper fare available, faster journey time or alternative terminal in the destination city? • Are there alternative operators for a further leg of the journey? For a Northampton to

Gatwick Airport journey, there are three options for the journey onward from London to Gatwick Airport. Customers should be offered alternative journey options even if an inter-available ticket is to be issued.

• What you can tell about the customer may help to offer the best choice of service for them. For example, a mother travelling with children and luggage may prefer a train that offers a through service but is not the next train to one that provides an earlier arrival but involves a change of train.

Ensuring impartiality may involve more dialogue with customers than previously necessary, but by knowing the services from their station and their key distinctions, staff can often obtain the information needed in one question. Where services are provided by different TOCs to different London stations: “London Bridge or Victoria?” is a simple and impartial way of selling. The following diagram shows how impartial selling where two operators provide services differentiated by speed and price could be achieved.

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Asking key questions

Retailers must not give information that is inaccurate or misleading. When opinions or comments are given, such as regarding punctuality, reliability, comfort, catering facilities, ease of interchange, etc. These must be based on verifiable fact. If in doubt do not offer an opinion. Where a Retailer reasonably believes that train services relating to a particular fare cannot be provided, this can be taken into account when offering a fare (TSA clause 6-30(2)(f)). This might include the temporary closure of a station for engineering work, advertised lack of catering services or emergency suspension of services due to flooding, line blockage, etc. All fares with similar rights and restrictions for any flow must be sold. Retailers cannot choose not to sell the fares of particular operator(s) and only sell others. This does not apply to temporary fares where the TOC concerned may not wish that retailer to sell these fares and has therefore not supplied the necessary information. Retailers cannot incentivise or reward their staff with regard to sales on behalf of one or more particular TOCs. This is only allowed at Dedicated Points of Sale (TSA clause 6-30(4)). Retailers therefore cannot allow other TOCs to incentivise their staff.

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C.2 Queuing Times Customers should not have to queue for more than five minutes at times of peak demand, or for more than three minutes at any other time, or any shorter period(s) specified in the TOC’s Passenger’s Charter (TSA clause 6-36(4a)). This requirement does not apply at Travel Centres – which are defined as a Retail Outlet or clearly designated part of a Retail Outlet whose primary purpose is an Advance Travel service, information, reservations and ticket sales not for immediate travel. A single window(s) at a Retail Outlet can fulfil this purpose. Providing it is clearly designated, it will also be exempt from queuing standards. Queuing standards also do not apply at Points of Sale dedicated to a particular TOC’s services, or at secondary Retail Outlets. Retailers must monitor their queuing time performance on a regular basis and maintain records of this monitoring. The Retailer can decide what the times of peak demand at each location are, which do not have to conform to a set pattern. A Retail Outlet at a holiday resort will have a different peak period to a commuter station. The times of peak demand must be set reasonably – they could not, for example, last all day. Times of peak demand must be prominently displayed at or near to the Retail Outlet (TSA clause 6-36(4)(c)). Only the DfT can grant a dispensation from this requirement. The obligation does not require queuing standards to be displayed with the times of peak demand, nor does this information have to be displayed along with opening times, etc. It would be practical and convenient to consider providing all mandatory information displays on a single notice or poster. C.3 Information Failures “A Retailer will not be liable for supplying inaccurate information or for failing to supply information if this is caused by an error or omission in the information supplied by another TOC, unless it has been corrected by the issue of a supplement or other advice” (TSA clause 6-36(3)). It will be good practice to maintain a record of information received about train services, rail products, etc at each Outlet so that questions about receipt of information and their accuracy can be resolved. TOCs have a specific responsibility to provide information about changes to train services due to engineering work, Bank Holidays, etc. Receipt and provision to staff of this information should be recorded. C.4 Reservations An obligation to provide Reservations exists at stations recorded in Schedule 17 of the TSA as providing this service. In an advance purchase situation many rail products require or include a reservation. Where they do not, it is good practice, although not an obligation, to offer a reservation where the customer is able to commit themselves to specific train(s), and reservations are available. When reservations are sold, the customer’s preferences, such as facing / back to direction of travel, or smoking / non-smoking must be sought and the appropriate reservation sold (TSA clause 6-36(2)). C.5 Staff Competence and Conduct Staff working at Impartial Points of Sale or Information Centres must have received adequate training in: • TOCs’ timetables, and rail products which may be sold or about which information given (TSA

clause 6-37(1))

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• Customer service and sales skills in order to advise customers impartially and in a professional, courteous and friendly manner (TSA clause 6-37(2))

Each Retailer must operate and implement an appropriate dress code (TSA clause 6-37(3)). Staff must not be permitted to eat, drink, or smoke in the view of customers (TSA clause 6-37(3)). Retailers must ensure that Staff receive periodic briefings to inform them about TOCs’ products (TSA clause 6-37(4)). Briefings can take a number of forms and may include: • Making available TOCs’ newsletters and briefing material. • Personal briefings carried out by other TOCs’ personnel during a routine briefing session. • In depth briefing carried out by other TOCs’ personnel which cannot be accommodated in a

routine briefing which require all staff to be released for a short period. This will have practical and cost implications and agreement will need to be reached with the TOCs concerned who will be required to bear the costs of this briefing.

• Familiarisation trips on TOCs’ services to gain familiarity with the services provided and key destinations served. Reasonable requests by TOCs to release staff for such trips should be granted. The TOC will be required to reimburse reasonable costs incurred by the Retailer in releasing staff.

Retailers must introduce and enforce supervision procedures to ensure compliance with obligations detailed in this section.

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D. COMMISSION D.1 Commission rates TOCs will be paid commission each time a Rail Product is sold by them. Rates of commission payable are 9% on all Rail Products except Season Ticket where the rate is 2% - these are National Standard Rates of Commission. The way commission is paid is shown in the following table.

Operator Location of Sale Product Sold Rate of Commission

Any TOC On a train Basic Product National Rate

Any TOC On a train Any Rail Product that is not a Basic Product

Nil – unless agreed between the TOC selling it and any TOCs bound to honour it

Lead Retailer Station where TOC is the Lead Retailer

Basic Product National Rate

Lead Retailer Station where TOC is the Lead Retailer

Any Rail Product that is not a Basic Product

Nil – unless agreed between the Lead Retailer and any TOC bound to honour the Rail Product

Any TOC Telephone Sales office which is an Impartial Point of Sale

Basic Product National Rate

Any TOC Telephone Sales office which is an Impartial Point of Sale

Any Rail Product that is not a Basic Product

Nil – unless agreed between the TOC selling it and any TOCs bound to honour it

Any TOC Anywhere except on a train, at a station at which it is the Lead Retailer or at an Impartial Telephone Sales Office

Any Rail Product Nil – unless otherwise agreed between the TOC selling it and any of the TOCs which created it

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If a TOC is entitled to commission at the National Standard rate, no other TOC is allowed to pay it additional commission for selling Rail Products. This also applies to payments to any other person selling Rail Products on behalf of a TOC but does not apply to Licensed Travel or Inclusive Tour Agents. D.2 Agreement on commission rates • Commission on sales is paid to TOCs retailing Rail Products by Rail Settlement Plan unless

other arrangements are agreed. • Where two or more TOCs are bound to honour a Rail Product or have created a Non-Rail

Product, payment of commission will be made by Rail Settlement Plan. This will be according to the table above in favour of the TOCs that have reached agreement even if this does not involve all the TOCs.

• If rates of commission are changed, Rail Settlement Plan has to be advised unless commission is not to be paid by Rail Settlement Plan or settled through an Inter- User Payment.

• Any new commission rate will come into force as soon as Rail Settlement Plan has amended its processes and procedures.

• Where there are rates of commission paid for selling Rail Products different to the National Standard rates these will continue. In addition, where commission is currently paid to a TOC which is not a Lead Retailer of Rail Products (ie. at Euston, Leeds or Stevenage), this will continue.

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E. TRAIN COMPANY SUPPORT TOCs have specific obligations to Retailers to enable their services to be fully, correctly and impartially sold by Retailing Staff. E.1 Information Each TOC must make available information about its train services to all Retail Outlets that sell impartially, including Telesales offices and information centres (TSA clause 6-35(1)(a)). TOCs may also supply timetable information in other forms, such as pocket timetable cards, service guides and other timetable leaflets for distribution and display to customers. Information must also be made available about Rail Products that are sold at all Retail Outlets selling impartially (TSA clause 6-35(1)(a)). Price information will be communicated through Fares Manuals, or electronically, which is then accessed through information systems. Further information other than fares, restrictions, etc may need to be supplied to enable retail staff to sell these products such as details of inclusive reservations or refreshments, etc. This information can be communicated through the Retail Manual and Newsrail Express, or by specific merchandisers or product guides published by the TOC. This information must be updated if it changes, and must include information about service variations caused by engineering works or Bank Holidays (TSA clause 6-35(1)(b)). In addition to these requirements, TOCs may provide a wider range of information to help Retailers to give information about and sell their products and services. This includes: • Advance information of future timetable changes • Staff merchandisers giving general retail information • Details of on-train catering services • Telephone “Helpdesk” services for reservation queries and product information • Merchandising or Sales Support Plans giving detail of publicity materials to be made available,

display dates and promotional activity • Familiarisation journeys by TOCs’ train services for retail staff E.2 Staff briefing TOCs can provide information to be briefed to retail staff about their products and services. This can take the form of briefing material, newsletters, etc to be used in routine briefing sessions, personal briefings by the TOCs’ representative during a routine briefing session, or a separate in-depth briefing in connection with a major campaign that cannot be accommodated in a normal briefing session. Agreement will need to be reached with the Retailer concerning the time and duration of such briefings. The TOC would be expected to reimburse reasonable costs of the Retailer for such briefing.

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F. INTERNET AND TELESALES RETAILING F.1 Accuracy and impartiality requirements These forms of retailing are covered in TSA chapter six, with more detailed service standards set out in TSA Schedule 44. TOC internet and telesales services selling all National Rail services, declared impartial points of sale by TOCs, are subject to annual mystery shopping to verify that they are selling tickets in an accurate and impartial manner, and that they are achieving Schedule 44 ATOC service standards. If TOCs’ services achieve the necessary accreditation pass mark in mystery shopping and meet Schedule 44 standards, they are entitled to display the National Rail accreditation mark. A summary of key standards is shown below but you should refer to TSA chapter six and Schedule 44 for full details of standards and compliance requirements. F.2 Internet service standards All fares relevant to journeys must be displayed, but transactions with a value of less than £10 do not have to be sold through the site. The site must be able to show information about train delays and service disruption. Basic rail products should be sold but non-rail products and certain rail products such as excess fares and bus tickets (associated with a rail journey) do not have to be sold. Where a customer enquires about a rail product or service not offered for sale through the site, the customer should be provided with information about how they can get information about and buy that product or service. The site must enable users to consult the National Rail Conditions of Carriage. The site must have a link to the National Rail internet site www.nationalrail.co.uk The site must enable customers to make comments about the service. The site must show refund information. Sites must show ticket delivery arrangements. As a minimum standard, tickets sent to customers in the UK must be sent by First Class post or an equivalent method. If alternative methods of sending tickets are provided, customers must be made aware when buying, of any delivery charges. Customers must be advised of what to do if a ticket does not reach them. Sites must be available from 0600 to 2200 every day. Sites must display ticket purchase conditions, or must enable customers to obtain them. Customers must be asked to confirm acceptance of the terms and conditions before or at the time of purchase. The site must display the ATOC accreditation mark on the home page. The site must display the name and address of the company operating it.

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The site must display how to get telephone help or for contacting the operator. The site must comply with the Disability Discrimination Act. Customers must be able to contact the site operator by email. The site must at all times positively promote train travel. F.3 Telesales service standards All fares relevant to journeys must be offered to customers, but transactions with a value of less than £10 do not have to be sold. The telesales operator must be able to provide callers with information about train delays and service disruption, applying to the train service about which they are enquiring. Basic rail products should be sold but non-rail products and certain rail products such as excess fares and bus tickets (associated with a rail journey) do not have to be sold. Where a customer enquires about a rail product or service not offered for sale, the customer should be provided with information about how they can get information about and buy that product or service. The operator must at all times positively promote train travel. There must be a means provided for customers to make comments about the telesales service. The site must show refund information. Sites must show ticket delivery arrangements. As a minimum standard, tickets sent to customers in the UK must be sent by First Class post or an equivalent method. If alternative methods of sending tickets are provided, customers must be made aware when buying, of any delivery charges. Customers must be advised of what to do if a ticket does not reach them. Sites must be available from 0600 to 2200 every day. Sites must display ticket purchase conditions, or must enable customers to obtain them. Customers must be asked to confirm acceptance of the terms and conditions before or at the time of purchase. The site must display the ATOC accreditation mark on the home page. The site must display the name and address of the company operating it. The site must display how to get telephone help or for contacting the operator. The site must comply with the Disability Discrimination Act.

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Customers must be able to contact the site operator by email.