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Employee Handbook

Arriva the Shires and Essex

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Arriva the Shires and Essex Employee Handbook

Issue August 2008 Contents Section 1 to 3

Section 1 – Welcome to Arriva

The Managing Director Welcomes You To Arriva the Shires and Essex

History Of Arriva

Arriva’s Values

The Arriva Approach To Diversity – Valuing Difference

Section 2 – General Information and Guidelines

2.1 Depot And Departmental Locations For Arriva the Shires and Essex

2.2 Confidential Information

2.3 Lost Property

2.4 Ticket Stocks And Sales

2.5 Company Property

2.6 Vehicles And Drivers’ Medical Requirements

2.7 Traffic Fines And VOSA Examinations

2.8 Incidents

2.9 Standards Of Dress

2.10 Car Parking

2.11 Smoking

2.12 Daily Walkround Checks

2.13 Drugs/Prescribed Medication

2.14 Licence Audits

2.15 Changes In Personal Details

2.16 Tool Club

2.17 Assaults On Employees

Section 3 – Terms and Conditions

Note: Employees of certain acquired companies at some sites may have reserved rights to particular terms and conditions under TUPE Regulations 1981 and 2005 e.g. Guaranteed hours, holiday progression.

3.1 Trade Union Recognition And Related Items

3.2 Hours Of Work

3.3 Reporting Late For Work

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Contents Section 3 continued to Section 4 Issue August 2008

3.4 Overtime And Rest Day Working

3.5 Pay

3.6 Changing Of Duties

3.7 Holidays

3.8 Breaks

3.9 Sickness

3.10 Sick Pay

3.11 Other Employment

3.12 Retirement And The Pension Scheme

3.13 Staff Passes

3.14 Notice Periods

3.15 Exit Interviews

3.16 Lay-off Arrangements

3.17 Driving Standards Observations

3.18 Use Of Private Cars On Company Business

Section 4 – Policies

4.1 Attendance And Leave Policy

4.2 Paternity Leave Policy

4.3 Maternity Leave Policy

4.4 Adoption Leave Policy

4.5 Parental Leave Policy

4.6 Flexible Working Policy

4.7 Working Time Directive Policy

4.8 Whistle-blower Policy

4.9 Redundancy Policy

4.10 Discipline And Grievance Policy

4.11 Recruitment, Training And Development Policy

4.12 Drugs And Alcohol Policy

4.13 Communications And Data Protection Policy

4.14 Mobile Phone Policy

4.15 Equal Opportunities Policy

4.16 Workplace Non-harassment Policy

4.17 Retirement Policy

4.18 Health And Safety Policy

4.19 Incident Policy

4.20 Information And Consultation Policy

4.21 Inter-Company Transfer Policy

4.22 Engineering Policies

Arriva the Shires and Essex Employee Handbook

Issue August 2008 Contents Section 5

Section 5 – Appendices

Appendix A Flexible Working Application Form Appendix B Flexible Working Application Acceptance Appendix C Flexible Working Rejection of Application Appendix D Flexible Working Appeal Against Rejection Of Application Appendix E Flexible Working Appeal Reply Form Appendix F Flexible Working Extension Of Time Limit Form Appendix G Flexible Working Notice Of Withdrawal Form Appendix H Notification Of Incident/Accident Appendix J Absence Recording Form

Arriva the Shires and Essex Employee Handbook

Issue August 2008 Section 1

Section 1 – Welcome to Arriva

The Managing Director Welcomes You To Arriva the Shires and Essex

We want you to enjoy your work here. We will support you and provide you with training to enable you to use your personality and skills confidently.

During your first few days with the Company there will be a great deal to absorb, so this Handbook will help to remind you of things you need to know during your employment with us. The information contained in the Handbook also forms part of your Terms and Conditions of Employment, so please read it carefully and familiarise yourself with its contents.

We wish you every success in your new position and look forward to helping you develop a successful career with us.

Remember your contribution is directly related to the success of this organisation and you are entrusted with that success.

Managing Director

The information within this book was correct at the time of going to press. Any changes or updates will be notified to employees and amended.

Arriva the Shires and Essex Employee Handbook

History Of Arriva – Arriva’s Values Issue August 2008

History Of Arriva

Part of a leading plc quoted on the London Stock Market, the Company has built up it’s business over the years, bringing together a range of companies with different histories and a rich transport heritage stretching back to the beginning of the twentieth century. From August 1998 though, the Shires, East Herts and Essex, Colchester and Southend companies have come under one managerial structure.

Continued Investment

Considerable investment in new ‘easy access’ buses, on-going staff training and marketing are paying dividends in attracting more people to use our buses. Recognised as a solution to the growth problem of traffic congestion, Arriva buses have a bright future.

How We Fit Into Arriva plc

In recent times the British bus industry has been transformed by the emergence of large transport companies with the resources and know-how to modernise public transport and invest for the future. Arriva the Shires and Essex is part of Arriva UK Bus, which operates buses throughout Great Britain as well as in the Netherlands, Denmark, Spain, Germany and other European countries. In turn, Arriva UK Bus is part of Arriva plc, which also controls bus and coach sales and is an operator of railway franchises.

Arriva’s Values

Arriva’s vision is to be recognised as the leading transport services organisation in Europe. The successful development of our business is being delivered through better service, innovation and marketing. Our focus is on winning and retaining contracts, organic growth and targeted acquisitions.

We play a vital role in the domestic and commercial lives of the communities we serve. Our actions have important implications for all of our stakeholders – customers, employees, investors, suppliers and communities. For our customers – individuals, public authorities and

Arriva the Shires and Essex Employee Handbook Arriva’s Values continued – Issue August 2008 The Arriva Approach To Diversity

commercial concerns – our brand represents a commitment to delivering a better service.

We operate by a set of values and ethics that fully support our vision. They include:

• Putting the safety of our employees and customers first

• Having respect for both individuals and the diverse communities we serve, supported by a culture of integrity and honesty

• Managing the environmental impact of our operations and encouraging the sustainable development of public transport

• Recognising that working together and maintaining strong local relationships are fundamental to the delivery of high quality services

• Anticipating change and identifying better ways to meet our customers’ needs

• Maintaining a strong commercial focus that delivers long-term value for all of our stakeholders

The Arriva Approach To Diversity – Valuing Difference

What Does Diversity Mean At Arriva?

At Arriva, diversity means valuing differences in our staff and customers. Diversity is about recognising and accepting that all types of people can be successful at work. Arriva positively welcomes difference in its staff and customers, believing that this will gives us an advantage over other companies, making Arriva an employer of choice. We will have the best employees, we will offer a better service to our customers and this will benefit us all.

To do this we have to recognise, understand and appreciate the differences in people. For example, colour, religion, where you were born, gender, sexual orientation, age, educational background, what you like and don’t like, what you believe in, what things are important to you and so on.

Arriva the Shires and Essex Employee Handbook

The Arriva Approach To Diversity continued Issue August 2008

To help us to value differences in our employees and customers, we have defined what diversity does and does not mean:

What Diversity Is:

• Essential to the success of our business

• Something that affects every one of us in the way we behave

• About genuinely valuing and welcoming differences in people

• A business opportunity that affects all people

• Proactive

• About values, behaviours and culture

• About more than numbers or targets

What Diversity Is Not:

• Optional or “nice to do”

• Political correctness

• Compliance with the law or paying “lip service”

• Only about minority groups

• Reactive or problem centred

Arriva the Shires and Essex Employee Handbook

Issue August 2008 Section 2 – 2.1

Section 2 – General Guidelines and Information

2.1 Depot And Departmental Locations For Arriva The Shires And Essex

AYLESBURY DEPOT Arriva the Shires Ltd 1-4 Smeaton Close Rabans Lane Industrial Est Aylesbury Buckinghamshire HP19 8UR

HEAD OFFICE LUTON Arriva the Shires Ltd 487 Dunstable Road Luton Bedfordshire LU4 8DS

Directors/IT Department Finance/Payroll Department Customer Services, HR and Training

HEMEL HEMPSTEAD DEPOT Arriva the Shires Ltd Whiteleaf Road Hemel Hempstead Hertfordshire HP3 9PH HARLOW DEPOT Arriva East Herts and Essex Fourth Avenue Harlow Essex CM20 1DU

WATFORD Arriva the Shires Ltd 934-974 St Albans Road Garston Watford WD25 9NN LDT Print

LUTON DEPOT Arriva the Shires Ltd 487 Dunstable Road Luton LU4 8DS

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2.1 continued to 2.3 Issue August 2008

STEVENAGE DEPOT STEVENAGE DEPOT Arriva the Shires Ltd Arriva the Shires Ltd Norton Green Road Babbage Road Stevenage Stevenage Hertfordshire Hertfordshire SG1 3BA SG1 2EQ

HIGH WYCOMBE DEPOT WARE DEPOT Arriva the Shires Ltd Arriva East Herts and Essex Lincoln Road Marsh Lane Cressex Business Park Ware High Wycombe Hertfordshire Buckinghamshire SG12 9QQ HP12 3RH

2.2 Confidential Information

Arriva the Shires and Essex survives in a very competitive environment. Our competitors will always be interested to learn about our business and if they receive information about us, it may help them at our expense. It is therefore important that you do not breach our confidentiality by disclosing information to other parties relating to our operating practices, future developments or records. Such a breach could constitute gross misconduct.

2.3 Lost Property

Employees losing property on Company premises should report the loss to their supervisor/manager. The Company is not responsible for any loss or damage to personal property.

Any property found on Company premises should be taken to the relevant duty manager.

Lost property found on buses should be handed in to the duty inspector as soon as possible. After one month if the item is not collected by the customer, then the item belongs to the finder and

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Issue August 2008 2.3 continued to 2.5

he/she is entitled to claim this. Perishable foodstuffs will be disposed of after 24 hours.

2.4 Ticket Stocks And Sales

You will be responsible for any ticket stocks issued to you, and for money and vouchers generated from ticket sales. Ensure you take proper care of these as any shortages will be deducted from your pay. Recovery from pay will not exceed 10% of gross pay or the statutory maximum in force at the time.

If a driver disputes a shortage, this will be addressed via the grievance procedure and no deductions will be made until that procedure has been exhausted. The Company reserves the right to deduct all outstanding shortages from an employee’s final pay if they leave the Company or are dismissed.

Money collected during the course of a duty must be paid in to the Company at the end of the duty. Failure to pay in without a valid reason may be treated as a serious disciplinary offence and may be deemed to constitute gross misconduct.

2.4.1 Equipment

The Company accepts that there will be general wear and tear with equipment that is issued to employees. Deliberate loss or damage to equipment may result in the employee paying towards the cost to replace the damage or lost item.

2.5 Company Property

On no account is any Company property (including waste items or property owned by others but in the custody of the Company) to be removed from the premises, or from Company vehicles where it is normally kept other than in the normal execution of duties.

The signed written permission of a relevant manager must be obtained prior to any property being removed other than in the normal course of the Company’s business.

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2.5 continued to 2.7 Issue August 2008

Failure to abide by this rule will be treated as gross misconduct and could render the offender liable to dismissal.

2.6 Vehicles And Drivers’ Medical Requirements

PCV/LGV renewal medical examinations will normally be carried out by the Company’s doctor. Where it can be carried out more conveniently by the employee’s own GP or other doctor, the reasonable cost for this examination will be met by the Company and reimbursed to the individual.

The Company may at any time require an employee to be medically examined by the Company’s doctor at the Company’s expense on the basis of an unsatisfactory sickness record, where the employee is on sick leave or where other circumstances indicate a requirement. As a result of a medical if an eye test is required, this will be paid for by the Company. No payment will be made for hours spent for medical examinations in connection with PCV licence requirements. All statutory rules concerning access to medical records will be followed.

Where your role is dependent upon holding an appropriate driving licence, a lapsed licence will result in temporary unpaid suspension, until the licence is valid. Withdrawal of your licence will be deemed as a breach of contract and is likely to result in the termination of your employment.

Suspension/revocation of a PCV licence on medical grounds will be dealt with in accordance with capability guidelines.

2.7 Traffic Fines And VOSA Examinations

You will normally be responsible for any parking, traffic or driving fines incurred or unauthorised congestion charges or offences committed during your employment. Discretion will be applied in exceptional circumstances.

Vehicle and Operator Standards Agency (VOSA) officials can issue fixed penalty notices (FPN) to drivers of buses and coaches at roadside

Arriva the Shires and Essex Employee Handbook

Issue August 2008 2.7 continued to 2.8

checks. This means that the driver of the vehicle will be fined and have points added to their licence.

Whilst this list is not intended to be exhaustive, offences that might attract an FPN are:

• Vehicle defects

• Drivers hours or tachograph offences

• Emissions

• Vehicle excise duty (Note: any fine arising for failure to display will be met by the Company)

• Smoking

• Use of mobile phones or personal electronic equipment

If the defect is severe, the VOSA official may still issue an immediate or delayed prohibition but in addition, the driver will be issued with an FPN. The driver can choose to pay the fine or to have the matter dealt with by a Court.

See Section 2.12 on Daily Walkround Checks.

More information can be found on the VOSA website

http://www.vosa.gov.uk.

2.8 Incidents

If you are involved in any driving incident or collision, you are required to produce and submit a report of the incident (indicating whether there has been any personal injury or vehicle damage) together with the incident camera within 24 hours, unless exceptional circumstances apply. You will be allowed 20 minutes paid time to complete the relevant paperwork.

It is a statutory requirement that incidents involving injury must be reported by the driver involved within 24 hours.

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2.8 continued to 2.9.4 Issue August 2008

If you are required to attend a police station in relation to a road traffic accident, then you must advise your manager. In most circumstances paid time off work to attend will be permitted.

2.9 Standards Of Dress

2.9.1 Drivers

Your appearance is important in portraying a professional image. Here are some guidelines to help you achieve this:

We will issue you with a uniform, which must be worn appropriately at all times. A points system applies to the renewal of this uniform. All visible clothing or hats worn must always be Company uniform. When your uniform wears out, we will replace it.

You may choose to not wear a tie/neckscarf if you wear uniform epaulettes and leave your shirt top button undone, providing you are not wearing a pullover or coat etc. Lightweight summer garments, including polo shirts, do form part of the uniform catalogue; these can be worn throughout the year.

2.9.2 Office-based Employees

The wearing of uniform is not mandatory for certain office-based grades. Such persons may wear conventional office attire, worn appropriately, subject to all of the following standards.

2.9.3 Engineers

Protective clothing and safety shoes are compulsory and must be worn if you work in an area which requires them. Sensible dark shoes must be worn at all times (sports shoes and similar casual shoes are not to be worn).

2.9.4 Drivers’ Option Scheme

A “points option” scheme is available from the anniversary of initial issue to enable employees to choose from a range of garments. The

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Issue August 2008 2.9.4 continued to 2.11

number of points available and “carry over” entitlement will be agreed annually between the Trade Union and management.

2.9.5 Personal Presentation

At all times you must be neat and tidy, having paid due regard to matters of personal hygiene, when presenting yourself for duty. Hair, moustaches and beards must be kept neat. Hair so long that it compromises safety must be fastened.

2.9.6 Jewellery

Jewellery should be kept to a minimum, should not be offensive nor put safety at risk.

A small nose stud is acceptable. However, any other body piercing should not be visible to customers.

2.10 Car Parking

Car parking is not guaranteed to be available at all depots and the Company is not under any obligation to provide this. Where car parking is available all vehicles must be parked only in the designated parking areas. In normal circumstances the Company is not liable for any damage to private vehicles, whilst parked on Company premises.

When driving a private vehicle through the depot your hazard lights should be activated and local speed restrictions observed.

2.11 Smoking

The Health Act 2006 prohibits smoking in workplaces and in Company vehicles. If you wish to smoke you can do so during agreed breaks away from the workplace. Local notices will identify smoking areas that comply with current regulations. Failure to observe the smoking controls can lead to a fine and possible criminal record and will lead to disciplinary action. The Company can also be prosecuted for failure to uphold these regulations.

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2.11 continued to 2.12.1 Issue August 2008

Employees are not expected to put themselves at risk whilst enforcing the regulations on our public vehicles. Violations should be reported in writing with witness information where available.

2.12 Daily Walkround Checks

The Department for Transport requires that a daily walkround check is carried out by the driver before any PCV is used each day.

This is a legal requirement and failure to comply can result in prosecution, points on your licence and possible disqualification.

The checklist below provides guidance of the areas that require checking.

2.12.1 Driver’s Vehicle Checklist (Vehicle And Operator Standards Agency Regulations Apply)

Approaching The vehicle

When approaching the vehicle view how the vehicle is standing which may indicate a possible puncture or suspension fault.

Checking The vehicle

The following items must be checked for operation and security:

• Enter cab…

• Ensure the handbrake is on and start the engine.

• Switch on…

• Side lights

• Head lights operate dip and main beam

• Fog lights where fitted

• Indicators, left and right

• Hazard warning indicators

• Interior lights

• Check…

• Driver’s seat and steering wheel

• Wipers, washers and demisters

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Issue August 2008 2.12.1 continued

• Mirrors including periscope

• Horn

• Warning buzzers and brake warning devices

• Step/platform lights

• Entrance/exit doors

• Footbrake/air leaks and pedal rubber

• Fire extinguisher

• Operation of wheelchair ramps

• Outside of vehicle check…

• Tax and operator’s licence discs

• External mirrors

• All exterior lights including, brake lights and reverse lights

Note: these can be checked using a reflective surface or by

seeking assistance

• Windscreens and windows

• Wheel, nuts, pointers and tyres

• Dangerous or protruding body damage

• Access flaps and lockers

• Oil and fuel leak, filler cap security

• Entrance/exit doors and emergency exits

• Excessive exhaust emission

• Emergency engine stop

• Interior of vehicle check….

• All interior lights

• Bell pushes and grab rails.

• Seat/frames and seatbelts if applicable.

• Offensive graffiti.

• Floor and staircase covering

• Emergency exits, alarms and hammers.

All defects must be reported in writing using the driver defect system that includes nil defect reporting.

Do not use the vehicle until defects have been assessed by the engineers.

Please notify the depot at the earliest opportunity should the vehicle be checked by VOSA, the police or any other enforcement agency.

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2.12.1 continued to 2.12.2 Issue August 2008

Drivers of Company vehicles can be personally fined for defects and can be awarded points on their own licence for driving with certain defects.

Please observe the correct safety procedures at all times when checking your vehicle.

• In the interests of safety, remember…

• High visibility clothing must be worn in all vehicle movement areas

• Use walkways where provided

• All moving vehicles in depots must display 4 way flashers

• Drive with dipped headlights on.

• Safety of employees and customers is our first priority.

2.12.2 Incident/Collision Procedure

a Stop and secure vehicle, try to remain calm b Check for injuries to:

• Your passengers

• Third party

• Third party occupants; note how many, if any c Any injuries call police, ambulance and depot d Exchange details with third party e Collect witness details, both on bus and pedestrians f Assess damage to bus and third party vehicle g Use accident camera to obtain visual evidence h Excessive bus damage – phone depot for replacement vehicle and

transfer passengers to following service, if possible i Complete incident report form on return to depot j Report any lost mileage

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Issue August 2008 2.12 continued to 2.16

It is vitally important that incident report forms are fully completed and handed in without delay.

2.13 Drugs/Prescribed Medication

Drugs can affect the ability of people in carrying out their role and can result in devastating effects, in particular in relation to driving or operating machinery. Employees must act responsibly and ask their GP when prescribed medication if this will affect their ability to undertake their role. The employee must notify the depot management when taking such medication. Such information will be treated confidentially.

2.14 Licence Audits

A licence audit takes place every 6 months. You will be contacted when this information is required from you, generally via the Company notice boards. This applies to all staff who normally drive a Company vehicle.

2.15 Changes In Personal Details

You are required to notify us of any change in details, such as address, phone number or change in name, in order that we can maintain accurate information on our records. This is also so that we can make contact with you in an emergency, if necessary, outside normal working hours. Such information will be treated confidentially.

2.16 Tool Club

The Company recognises the benefits of employees regularly updating their tool kit. Therefore, a scheme will operate to enable tools and equipment to be purchased and the cost of repayment spread over a maximum period of 4 months/16 weeks which will be deducted via payroll.

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2.16 continued to 2.17 Issue August 2008

Subject to the following: (Note: purchases will be at cost price plus VAT).

• Minimum purchase £20

• Maximum purchase £300

• Minimum repayment £5 per week/£20 per month

• Written authorisation will be given by the employee to allow the deduction of any monies by payroll

2.16.1 Tool Replacement

On production of worn or damaged tools, the replacement cost will be reimbursed to a maximum of 50% of the total purchase price on a like for like basis.

Specialist tools will be provided by the Company.

2.16.2 Tool Insurance

The Company operates a scheme which will provide cover in the event of theft of personal tools or equipment to a maximum value of £2,500. The insurance policy will only provide cover in the event of stolen tools/equipment from the employee’s place of work providing reasonable precautions are taken by the employee, i.e. tool boxes must be locked and secured in either a lockable cupboard or chained to a secure object.

Staff away from their normal place of work, i.e. attending breakdowns or other depots will also be covered provided reasonable precautions are taken by the employee

2.17 Assaults On Employees

Arriva the Shires and Essex takes the wellbeing and safety of its employees very seriously and will not tolerate abusive behaviour or assaults.

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Issue August 2008 2.17 continued

To help minimise the risk of assault, employees will be given appropriate training in handling potentially threatening situations.

In the event of an assault, the senior duty manager, operational manager or appropriate representative must:

• Confirm the safety and wellbeing of the person assaulted

• Assess the need for medical attention for both the employee and/or passengers

• Arrange safe passage for all involved

• Ensure that the police have been informed and a crime number logged

• At the first appropriate opportunity, the victim of assault should be interviewed and an assault form completed and sent to the risk manager. Consideration may be given to injury and/or trauma suffered and the future safety of the victim i.e. would a change of route or duty be appropriate?

• Arrange recovery of the vehicle

• Secure any CCTV footage

Arriva the Shires and Essex Employee Handbook

Issue August 2008 Section 3 – 3.1 to 3.1.3

Section 3 – Terms and Conditions

3.1 Trade Union Recognition And Related Items

The Company recognises UNITE as the sole representative and negotiating body for most grades of its employees on matters relating to health and safety and welfare as well as terms and conditions.

If you would like further details on the benefits of the Union and on how to join, then please contact the branch representative whose details should be readily available from the notice boards at Company offices.

3.1.1 Trade Union Membership

All new members of staff will be advised of the availability of Trade Union representation as part of the induction process. The Company will endeavour to advise local branch officers of any employees leaving the employment of the Company.

3.1.2 Trade Union Recognition

It is agreed that the UNITE Union/ACTSS is granted full negotiating and representation rights within Arriva the Shires and Essex at all existing sites and will have sole negotiation/representation rights at all future sites subject to the requirements of transfer of undertakings legislation.

3.1.3 Union Dues

Deduction of Union dues through the payroll shall be effected upon receipt by the Company from the union of an authorised mandate subject to compliance of the rules of the Trade Union Reform and Employment Rights Act 1993.

Arriva the Shires and Essex Employee Handbook

3.1.4 to 3.1.6 Issue August 2008

3.1.4 Facilities For Trade Union Officials

The Company will provide the following facilities at each depot for utilisation by the branch officials of a recognised Trade Union:

• Notice Board

• Telephone

• Office with furniture and fittings (subject to practicalities and availability) or failing this, temporary use of a room offering confidentiality

• Typing facilities (subject to availability)

3.1.5 Time Off For Industrial Relations Training

Employees who are officials of an independent Trade Union recognised by Arriva the Shires and Essex are to be permitted reasonable time off without loss of pay to undergo training relevant to the carrying out of their Trade Union duties. These duties must be concerned with negotiations or performance of functions as defined in Section 168 of the Trade Union and Labour Relations (Consolidation) Act 1992. The training must be approved by the Trades Union Congress or by the independent Trade Union of which the employee is an official.

At any time a Trade Union official may submit a request to their manager for paid time off work in order for them to carry out a specific trade union related activity or to carry out duties as a recognised Union learning representative.

3.1.6 Negotiating/Consultative Meetings

Depot Consultative Meetings

To be held on a monthly basis. Branch officials required to attend such meetings will be stood down without loss of pay. Detailed arrangements to be determined at each depot.

Central Joint Negotiation and Strategy Committee

Branch officials required to attend such meetings will be stood down without loss of pay.

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Issue August 2008 3.1.6 continued to 3.2

Schedules Related Meetings

Stand down facilities without loss of pay will be granted to the agreed number of union appointed schedules representatives for the examination of the new and revised schedules.

3.1.7 Unite Representative – Stand Down For Industrial Relations Purposes

At each depot a branch official will be stood down without loss of pay for the equivalent of not less than one day per week for industrial relations purposes to include consultation with Company officials and representation at disciplinary hearings.

In special circumstances an engineering Trade Union representative may be stood down without loss of pay (i.e. where the engineering representative will not be on the premises due to the nature of the individual’s employment).

At other times when Trade Union representation is required for industrial relations, branch officials will be stood down without loss of pay.

3.2 Hours Of Work

Your hours of work are outlined in your Principal Statement of Terms and Conditions.

• Full-time is when the hours in your contract are 37 hours or more per week. 37 hours is the minimum guaranteed number of hours per week for full time employees (this may vary where contractual rights under a TUPE transfer apply)

• Part-time is when the hours in your contract are fewer than 37 hours per week

• Casual is if you are not contracted to work a set number of hours or days per week and where you can choose whether or not to accept any work that maybe offered to you

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3.2 continued to 3.3.1 Issue August 2008

Under the Working Time Directive Regulations you should not be required to work more than 48 hours per week on average over a specific calculating period unless you agree to do so in writing by completing an opt-out form.

Also see Section 4 – Working Time Directive Policy for more information on working hours.

3.3 Reporting Late For Work

3.3.1 Drivers

Phoning in when likely to be over one hour late for unavoidable reasons, you may still be able to work and should be advised if this is not possible.

Employees reporting not more than sixty minutes late for duty shall be guaranteed a duty as a reciprocal concession for the Company’s ability to ‘step-up’ on the following conditions:

• Employees who are late must report at their depot for duty within sixty minutes of the scheduled signing-on time

• Employees reporting late for duty under this agreement will be reported to the local manager in the normal way for action under the disciplinary procedure

• Employees shall not unreasonably refuse to change duties to enable this concession to employees reporting late to be implemented

• In these cases, the step-up will not finish later than the normal duty and will not be paid at a lower rate

Those reporting later for duty shall be offered any remaining work available. If all duties are covered your services will not be required and you will be sent home without pay.

Arriva the Shires and Essex Employee Handbook

Issue August 2008 3.3.2 to 3.4

3.3.2 Engineers

Employees reporting up to sixty minutes late may start work. Any employees reporting for work over15 minutes late must contact their supervisor as soon as possible where practicable.

3.4 Overtime And Rest Day Working

Overtime is that time worked in excess of scheduled duty/shift. Once overtime is taken, it becomes part of that contractual week. The working of overtime is voluntary and is offered at the discretion of the management. The allocation of overtime is in accordance with the arrangements at each depot. The Company acknowledges that available overtime should be allocated fairly to those who wish to work it subject to the appropriate working hours regulations at all times.

All employees are reminded that they must comply with all applicable working hours regulations at all times.

If an employee is unable to work allocated overtime, he/she must advise the Company as soon as possible. Failure to report for notified overtime will leave an individual liable to action under the Company’s disciplinary procedure.

Once overtime is agreed, the Company will pay the employee should it be cancelled, unless the employee does not wish to work the overtime. Employees will be required to be in attendance during the period of overtime.

Overtime working both as a rest day and duty extension will be restricted only by legal requirements and availability. Where overtime is allocated in extending the length of a scheduled duty, it will attract a minimum payment of 2 hours (this does not apply to traffic delays). Bridging time will not be paid except where specific provision applies under TUPE.

Arriva the Shires and Essex Employee Handbook

3.4.1 to 3.5.2 Issue August 2008

3.4.1 Managers

If you are a manager, you will not normally receive payment for additional hours worked as this is reflected in your salary. However, you will be advised of your entitlement to any payment for additional hours such as working on rest days.

3.5 Pay

Your rate will be that agreed with the Trade Union as outlined in your Principal Statement of Employment or subsequent letter of variation. Pay reviews are normally carried out annually.

3.5.1 Pay Arrangements

You are paid weekly or monthly as outlined in your contract.

All hourly paid employees will be paid weekly. Payment to weekly paid staff will be made almost 2 weeks in arrears and your pay day is on a Wednesday (except where bank holidays necessitate other arrangements). Pay slips will be issued sealed and will be available on pay day.

Salaried employees are paid monthly. Payment will be made on or around the 20th of each month and you will be paid partly in arrears and partly in advance so that you are paid to the end of that particular month.

You must notify any change in your bank details to the appropriate payroll department at Luton.

3.5.2 Deductions From Pay

Legislation requires certain standard deductions, for example:

• Income Tax

• National Insurance contributions

• Court Orders

• CSA

Arriva the Shires and Essex Employee Handbook

Issue August 2008 3.5.2 continued to 3.7.1

Certain other deductions may be made direct from your pay if you have authorised these deductions to be made. They include:

• Company pension scheme contributions

• Additional voluntary contributions

• Trade Union subscriptions

• Salary sacrifices

• Charitable deductions

3.6 Changing Of Duties

When an employee is requested by the Company to change allocated duties, the pay will reflect the highest number of hours of the two duties.

Staff may (subject to adherence to working hours legislation and proper completion of a change of duty form voluntarily change duties or rest days by mutual arrangement and with the approval of local management. Pay will reflect the duty actually worked.

3.7 Holidays

Details of your entitlement to paid annual leave can be found in your main statement of terms and conditions of employment. Please familiarise yourself with the holiday booking procedure at your depot/office.

The holiday year runs from 1 April to 31 March each year.

Use the table later in this section to find out what your holiday entitlement is.

3.7.1 Holiday Arrangements

The allocation of holidays will be subject to local agreement. You should not commit yourself to any holiday plans without first obtaining authorisation from your manager.

Arriva the Shires and Essex Employee Handbook

3.7.1 continued to 3.7.2 Issue August 2008

If you wish to observe religious holidays which do not coincide with Public Holidays in England and Wales, you may be able to use your annual holiday entitlement or take unpaid leave. Every reasonable effort will be made to accommodate such requests, which should be made at the earliest possible opportunity. However, it must be recognised that the Company’s obligations to fulfil its contractual commitments will take precedence.

Any holidays which are outstanding towards the end of the holiday year will be allocated. Carry over of holidays is not permitted, unless under exceptional circumstances or where operational requirements have been such that an individual has been unable to take their full holiday entitlement. No carry over can be in breach of the Working Time Directive.

Payment for holidays will be at the rate applicable when the holidays are taken. This is calculated according to Working Time Directive regulations. This is average rostered earnings in the 12 weeks prior to holidays being paid.

Part-time employees will receive a holiday entitlement pro rata including Bank Holidays to the above on the basis of the number of days they are contracted to work per week.

For new employees holidays accrue from the first day of employment in line with working time regulations.

3.7.2 Holiday Entitlement If You Leave

On termination of your employment, you will be entitled to be paid the balance of your holiday entitlement accrued but not taken.

If you have taken more paid holiday than that to which you are entitled to, we will deduct the difference from your final salary.

Days accrued on basis of length of service as at 1st April in each year

Continuous service Less than 2 and 3 4 and 5 6-9 10-14 15-19 20-24 25-29 30 years (months) during 2 years complete complete complete complete complete complete complete and over holiday year for complete years years years years years years years leavers or as at 1st service service service service service service service service April for continuousemployees

1 222 22 2222

2 334 44 4555

3 555 66 7777

4 7 77 89 9 910 10

5 8 99 10 11 11 12 12 12

6 10 1111 1213 13 14 15 15

7 12 1313 1415 16 16 17 17

8 13 1415 1617 18 19 19 20

9 15 1617 1919 20 21 22 22

10 17 1819 2122 22 23 24 25

11 18 2021 2324 25 26 27 27

12 20 2223 2526 27 28 29 30

Arriva the Shires and Essex Employee Handbook

Issue August 2008 3.7.2 continued

Arriva the Shires and Essex Employee Handbook

3.7.2 continued to 3.7.3 Issue August 2008

Holiday – Sickness

In the event of an employee falling sick during a period of annual holiday, compensatory leave will be given at a time subject to Company requirements, provided such sickness is authenticated by a doctor’s medical certificate. The period of sickness covered by the medical certificate will be recorded as sick leave. If necessary such compensatory leave may be deferred to the following holiday year

Extended Holiday Leave

Extended holiday to a maximum of eight weeks’ continuous leave in total may be granted once every three years to employees. To be eligible, an employee must have at least three years’ service with the Company. All annual holiday, lieu days etc already available must be used to minimise the amount of unpaid leave. Application should be made to the depot manager. The Company will take into account its operational requirements prior to granting extended holiday leave. Before starting any extended holiday leave, employees must supply a contact address and return all Company equipment. Employees are reminded that failure to return on the agreed date without good reason could result in them being dismissed from the Company’s employment. Employees will be required to acknowledge in writing that they have been advised of these terms.

3.7.3 Bank And Public Holidays

This agreement applies to all hourly paid employees. All employees may be required to work on Bank Holidays.

• An employee who is on annual leave or resting on a Bank Holiday or agreed public holiday will receive one day’s Bank Holiday pay or accrue the PHB

• There will be no entitlement to Bank Holiday pay or accrual to staff who are off duty through reasons of sickness, accident or assault

• If an employee is absent/sick when scheduled to work on a Bank Holiday or fails to complete their duty on the day they were last rostered previous to or next rostered following the Bank Holiday, there will be no payment or accrual other than entitlement under the sick pay scheme

Arriva the Shires and Essex Employee Handbook

Issue August 2008 3.7.3 continued

• Employees who work on a Bank Holiday will be paid the equivalent of double their normal rate for the hours worked or that of their normal rostered duty or can elect to accrue a lieu day

• All staff eligible to accrue a lieu day and wishing to accrue must advise the depot in writing 7 days in advance of the Bank Holiday that they wish to accrue

• Accrued lieu days must be taken within the same holiday year. In exceptional circumstances, the depot manager may permit lieu days to be carried on. Where the lieu day is accrued due to working on a Bank Holiday, it may be carried over to the anniversary subject to compliance with the Working Time Directive

• In weeks where a Bank Holiday falls and a Bank Holiday payment forms part of the guaranteed rostered week, the value of the minimum rota guarantee will be paid. This will not apply if a holiday or lieu day is taken during that week, in this instance only, the value of duties worked and holiday/lieu day values will be paid

• In weeks where accrued lieu days are taken, there will be no minimum guarantee, only the value of duties worked and lieu day values will be paid

• Accrued lieu days can be taken at any time of the year, subject to agreed maximums per day. The specific agreed numbers per day or days of the week on which lieu days can be taken will vary from depot to depot according to operational needs and therefore will be subject to local agreement

• Christmas Day and Boxing Day duties will be paid at 3 times rate or 2 times rate plus a day off in lieu

For Public Bank Holidays, volunteers will be sought in the first instance, In the event of there being too few volunteers to ensure full coverage of the work, drivers will be rostered and compensatory arrangements, agreed locally by the management and Trade Union representatives, will apply.

Arriva the Shires and Essex Employee Handbook

3.7.3 continued to 3.8.1 Issue August 2008

Wherever Christmas Day, Boxing Day or New Year’s Day fall then alternative bank holiday working arrangements will apply including the movement of rest days when required during the weeks in which these Public Holidays fall.

All permanent employees are entitled to eight days paid Public Holidays as follows:

• Christmas Day

• Boxing Day

• New Year’s Day

• Good Friday

• Easter Monday

• May Bank Holiday

• Spring Bank Holiday

• Summer Bank Holiday

• Other statutory days as granted

Part-time permanent employees are also entitled to public holidays but this will be on a pro-rata basis.

Example: If you work 4 days you will be entitled to 4/5ths of the 8 Bank Holidays.

3.8 Breaks

3.8.1 Rest Breaks

For the purpose of rest breaks, drivers are covered by the Drivers’ Hours regulations and current scheduling agreements.

Mobile employees’ adequate rest (currently 10 hours) must be taken away from the vehicle and accumulated breaks do not form part of the rest break entitlement. Duties will identify when a rest break occurs.

Non-mobile employees who work more than 6 hours per day are entitled to a 20-minute break with access to sanitary, washing and drinking water facilities. Non-mobile employees under the age of 18 are entitled to a rest break of 30 minutes after 41/2 hours of work.

Arriva the Shires and Essex Employee Handbook

Issue August 2008 3.8.1 continued to 3.9

Breaks must be taken away from the working area.

Non-mobile employees are entitled to an 11 hour rest from work in each 24 hour period. Non-mobile employees under the age of 18 are entitled to 12 hours rest from work in each 24 hour period.

Mobile workers please refer to Section 4 of this handbook for more information on the Working Time regulations and Road Transport Directive.

3.9 Sickness

The Company recognises that there might be occasions when you are so unwell that you are incapable of attending for work.

You must inform the relevant person as soon as possible in line with reporting guidelines and complete a self-certificate, even if the sickness is only for one day.

You have a responsibility to facilitate your own recovery that may include the need to visit your doctor for treatment.

After 7 calendar days of sickness absence, you will need to provide your manager with a doctor’s certificate.

For prolonged absence:

• Continue to consult your doctor

• Ensure you contact us on a weekly basis

• Provide further certificates to cover the entire period you are off

• During serious, prolonged or repetitive illness, a manager may arrange a meeting, either by visiting you at your home with prior appointment, or by requesting your attendance at the nearest Company office

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3.9 continued to 3.10.1 Issue August 2008

Please see the Company’s absence policy in Section 4 of this handbook for further details.

3.10 Sick Pay

When you are absent due to illness or injury and comply with the requirements regarding notification of absence set out in the Attendance Policy, you may be eligible to receive:

a Statutory sick pay in accordance with the provisions of the legislation in force at that time. For Statutory Sick Pay purposes your qualifying days are all full days of employment as per your working pattern

b Company sick pay (inclusive of statutory sick pay) as stated in your main statement of terms and conditions of employment. The Company reserves the right to withhold payment if sufficient evidence of sickness is not provided

You may not get paid if:

• Proper notification or certification is not provided

• If you engage in activity inconsistent with the reason for your absence e.g. undertaking heavy labour whilst absent with a back injury

• If the Company has reasonable grounds to believe you are abusing the scheme

• Your illness is caused by alcohol, drugs misuse, misadventure e.g. dangerous sport, clearly reckless behaviour or misconduct

3.10.1 Company Sick Pay

Company sick pay is not applicable to casual employees.

No payment is made for first 3 ‘waiting’ days of any period of sickness except where reserved contractual rights under a TUPE transfer apply.

Arriva the Shires and Essex Employee Handbook

Issue August 2008 3.10.1 continued to 3.10.2

Thereafter, Company sick pay may be payable in accordance with the following scale of entitlement:

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Over 5 years 26 weeks

For rates of Company sick pay please refer to the current pay agreement.

For all employees, where maximum entitlement to sick pay has been exhausted, a period of 52 weeks must elapse before Company sick pay entitlement accrues once more as above.

Where an employee is sick on a Bank Holiday no lieu day will be accrued and sick pay will be paid at the appropriate rate.

Please see Section 4 – Attendance Policy for more information on sick pay.

3.10.2 Accident/Assault Pay

Accident pay, as opposed to Company sick pay, is payable to an employee who is accidentally injured whilst engaged in the business of the Company, subject to:

• The accident must be reported in accordance with the procedure for accidents involving injury to Company staff.

• The accident not being deemed to be the fault or part fault of the employee, as deemed so by an appropriate manager. (Payment of accident pay does not construe an admission of liability by the Company).

Assault pay is normally payable to an employee who suffers personal injury and is absent from duty as a result of an unprovoked assault whilst engaged on Company business.

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3.10.2 continued to 3.11 Issue August 2008

The period of accident/assault pay entitlement will be the same as for CSP, with the addition that staff with less than 3 years’ service will be entitled to terms equal to those for staff with up to 5 years’ service.

Accident/assault pay will be based on 100% of the individual’s currently rostered earnings.

Payment of accident/assault pay shall not count against an employee’s entitlement to CSP or to payment in the event of a further accident/assault.

An employee absent from duty as a result of an accident or assault will not be entitled to accident/assault pay if it is considered that an action for damages may be successful against the third party or that a claim may be submitted for compensation to the Criminal Injuries Compensation Board. In this event, the Company will advance a sum equal to accident/assault pay (defined as an advance of pay), subject to the recipient undertaking to submit such a claim or to take action for damages and to refund this amount to the Company if the claim is successful.

3.11 Other Employment

In normal circumstances your position with Arriva will be classed as your main job. You are required to devote the whole of your time, attention and abilities during your hours of work to your duties with the Company and may not undertake any other work during this time. In exceptional circumstances, requests to undertake additional employment must be approved.

You may not unreasonably engage in any business or employment which is similar to or competitive with the business of the Company, or which could be considered to impair your ability to act at all times in the best interests of the Company outside your hours of work for the Company.

It is an express condition of your employment that you do not use, nor permit to be used, any residence, site, building or other premise (in which you, your partner, relative or acquaintance have a

Arriva the Shires and Essex Employee Handbook

Issue August 2008 3.11 continued to 3.13

financial/commercial interest) for the purposes of operating an enterprise that might be considered as directly competitive to the primary business activity of Arriva the Shires and Essex Limited.

If you do engage in any other approved employment, you must notify the Company in writing of hours worked elsewhere to enable the Company to comply with its statutory obligations, in terms of the Working Time Directive.

3.12 Retirement And The Pension Scheme

The normal age of retirement is 65, and it is our intention for employees to retire the day before their 65th birthday falls. In accordance with age discrimination staff may apply to continue working beyond the normal retirement age.

Please see full retirement policy in Section 4 of this handbook.

3.12.1 Pension Scheme

New Final Salary Scheme

Arriva plc operates the Arriva UK Bus National Pension Scheme. To join you must:

• be a permanent employee (full-time or part-time)

• be aged between 18 years – 65 years

Full details of the scheme are given in Arriva UK Bus National Pension Scheme booklet. Please see your manager for a copy of this booklet.

3.13 Staff Passes

Adult pass holders may take two of their under 16 family members free.

Arriva the Shires and Essex Employee Handbook

3.13.1 to 3.13.3 Issue August 2008

3.13.1 Employed Staff

• Full time and part time employees are eligible for staff passes equally regardless of number of hours worked

• Casual staff would not receive a pass

• • Additional passes are available on request for:

• Spouse/Partner regardless of gender. This is one per employee and must be a resident at the same address as the employee

• Children aged up to 18 whilst in full time education or until the end of the school year for whom the staff member is legally or financially responsible for the long term. There is no limit on the number or place of residence

• Other dependent relative including one in full time education (one per employee ONLY where spouse/partner entitlement not taken up and dependant resident at the same address as the employee)

3.13.2 Retired Employees

All former full time and part time employees are eligible equally regardless of number of hours worked. Former casual staff would not receive a pass.

A pass will be available to a current employee who at the date of retirement* has 10 years or more continuous service. Additional passes will be available on request. Entitlement to additional passes would continue in the event of the death of the ex-employee.

*meaning retirement at age 65 or other early retirement as formally agreed with the employing Company prior to the end of employment

3.13.3 Redundant Employees

Existing staff passes would remain valid until expiry for any staff with more than 10 years’ service made redundant by the Company and whom at the time of redundancy have been unable to find alternative employment.

Arriva the Shires and Essex Employee Handbook

Issue August 2008 3.13.3 continued to 3.14

Passes would be reissued for a further period provided that all the initial criteria continue to be met. The ex-employee may be required to provide proof of unemployment.

No new passes will be issued for additional/new spouse/partner, children or dependants.

3.13.4 Ill Health Termination Of Employment

Existing staff passes would remain valid until expiry for any staff with more than 10 years’ service whose employment is terminated on grounds of ill health and who in the opinion of the Company medical advisor is unable to undertake any full or part time work in the economy as a whole as a direct result of the medical problem. Upon reaching retirement age those with qualifying service would be treated as retired employees (see above).

Passes would be reissued for further periods provided that the initial criteria continue to be met. The ex-employee will be required to provide proof of continuing medical inability to undertake work. In the case of any doubt the case will be referred back to the Company medical advisor at the expense of the ex-employee.

3.14 Notice Periods

Formal notice of termination of employment will not be less than the Contract of Employment of each individual staff member. It is noted that some employees may be entitled to more than the statutory minimum notice period.

The period of notice given by the Company to terminate the employment of an employee is:

• Not less than one week’s notice if the period of employment is more than one month but less than two years

• Not less than one week’s notice for each year of continuous employment if the period of employment is two years or more but less than twelve years

Arriva the Shires and Essex Employee Handbook

3.14 continued to 3.17.1 Issue August 2008

• Not less than twelve week’s notice if the period of employment is twelve years or more

Employees who resign without giving the required written notice may forfeit accrued holiday pay if they are found to be in breach of contract.

Cases of gross misconduct/negligence may be subject to summary dismissal without notice in accordance with the Company’s disciplinary procedure.

3.15 Exit Interviews

Employees who resign will be asked to confirm their resignation in writing and to attend an exit interview at which they will be asked in confidence to provide their comments regarding their employment with the Company.

3.16 Lay-off Arrangements

In the event of the Company being temporarily unable to provide employment due to reasons outside its control (e.g. non-supply of fuel), payment for the days not worked will be the subject of negotiations between the Company and the Trade Union.

3.17 Driving Standards Observations

3.17.1 Delegated DSA Examiner And Instructors’ Role

The aim of driving observations is to ensure a high quality of driving standards. In order to evaluate the driving standards of Company drivers, the following procedure will apply:

Driving examiners/training instructors may conduct driving standards observations in uniform or plain clothes. Minor driving faults will result in the driver being advised at the completion of the journey without a report being made. Where the official finds it necessary to submit a report, the driver will be informed of the fault(s) noted during

Arriva the Shires and Essex Employee Handbook

Issue August 2008 3.17.1 continued to 3.18

observation and advised that a report will be submitted to the depot manager within 24 hours and if necessary recommending corrective training.

Official identity cards will be carried on any occasion where observations are undertaken in plain clothes.

If, in extreme cases only, the official considers that the driver should not continue to drive in service, then the driver will be instructed to leave the driving seat and the vehicle will be driven by the official. The official will then instruct the driver to either remain on the vehicle or report to the driver’s home garage provided that adequate Company operated services are available to reach the depot. Otherwise the official will make appropriate arrangements to get the driver to their home depot.

The manager may suspend the employee in this case whilst an investigation takes place. There will be no loss of pay whilst the investigation is taking place. These cases must be dealt with on an urgent basis.

Note: The Department for Transport and County Council officials may undertake driving observations separately from this procedure.

3.18 Use Of Private Cars On Company Business

Personnel using their private vehicles on company business must comply with the following rules:

• Check for the availability of a Company car, or other Company vehicles and where possible use it

• Consider alternative modes of transport (bus, coach or train) if this is cheaper, where appropriate

• Obtain authority from their line manager before using their own vehicle for Company purposes

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3.18 continued Issue August 2008

• Produce a copy of their certificate of insurance which indicates they have cover for occasional business as well as social and domestic use, to the line manager

• Private cars must not be used for conveyance of fare paying or contract passengers

• Rates for the reimbursement for use of your own vehicle will be reviewed and published regularly

Arriva the Shires and Essex Employee Handbook

Issue December 2008 Section 4 – 4.1 to 4.1.1

Section 4 Policies

4.1 Attendance And Leave Policy

Definition Of Absence

Absenteeism is defined as absence from work without prior permission or reasonable explanation. Sickness absence may constitute a reasonable explanation, but must be properly certified (either by a self certification or medical certificate). Absence which is not certified will be dealt with as a matter of conduct under the Disciplinary Procedure.

There will of course always be some exceptional circumstances where prior permission has not been possible e.g. emergency hospital admission or death in family. In such cases management will use their discretion.

4.1.1 Aims And Objectives Of Attendance Review Policy

The aim of this policy is to encourage full attendance at work and to improve attendance records by good management practice. The company does not want to dismiss employees for poor attendance.

The procedure provides a framework for dealing with employees with levels of attendance that are considered unacceptable. The objective is to ensure that all employees are dealt with in a consistent, fair and compassionate basis. Where the required attendance level is not possible, the procedure includes consideration of all possible alternatives.

The purpose of the procedure is not to question the ‘genuineness’ of the reasons for the employee not being at work. However, as part of an individual employee’s contract of employment, it is a requirement that they attend work on a regular and consistent basis. Where an employee is not attending work regularly, for whatever reason, they are not meeting this contractual requirement and therefore are subject to attendance review.

Managers have a vital role to play in Managing Attendance. Dealing with poor attendance in a firm and consistent manner will help to improve morale, reduce costs and improve efficiency.

Arriva the Shires and Essex Employee Handbook

4.1.2 Issue December 2008

4.1.2 Sickness Reporting Procedure

Day 1

As soon as an employee knows that they are unable to come to work they must notify the duty supervisor or nominated person at their site by telephone, at least two hours before the start of duty, or as soon as is possible on the first day of absence. Notification should be made personally or, in exceptional circumstances, for example, due to the employee being in hospital when they may be unable to make contact, a relative, neighbour or friend should contact the company on their behalf. When phoning the depot, the following information will be requested and will be recorded using a standard pro-forma Appendix J:

• Name and duty number

• Time of call

• Reason for absence

• Whether the individual will be seeking medical attention

• Expected date of return

Communication by e-mail, voicemail or text message is not acceptable.

During Absence

An employee must personally ensure that the depot is kept informed when they are unable to attend work until a medical certificate is submitted, unless they are incapable of doing so. Where sensitive personal health or other matters are involved, the depot manager will call the individual back.

Before Return To Work

Employees should notify their duty supervisor or nominated person as soon as they know when they will be returning to work. If the employee has been suffering from a medically notifiable condition, such as mumps, rubella (German measles), tuberculosis, etc., then they should discuss the situation with their Manager before starting work.

Sick or absent employees must notify their manager by 12:00 noon on the day of absence if they are fit to resume work for the following day. Otherwise the employee loses the right to paid work the following day. Where an employee goes sick after 12 noon, they may be allowed to attend for work on the following day by prior agreement e.g. for minor uncertified conditions such as headache.

Arriva the Shires and Essex Employee Handbook

Issue December 2008 4.1.2 continued

Absolute confidentiality must be respected in the processing of this information

An employee can self-certificate their absence for a period of up to a maximum of 7 days (including weekends and non working days). The self-certification form must be completed at the earliest opportunity and at the latest on the 4th day from the start of the absence. This is to ensure that payroll can make the correct payments. If this is not received you will not receive Company Sick Pay or statutory sick pay. To maintain maximum holiday pay benefits, the self certification should be completed from day one.

A Medical Certificate should be provided for absences longer than 7 days (including weekends and non working days). This should be with the Company at the earliest opportunity and within 3 days of the GP’s date of signature. Subsequent Medical Certificates should be supplied to the Company to cover the whole period of absence. The Company reserves the right to withhold Company Sick Pay for any periods of absence that are not covered by a Medical Certificate, or other non­compliant absence.

Anyone who is on annual leave and becomes sick must notify the Company immediately. The appropriate forms must still be submitted upon return from holiday

There may be occasions when employees have to leave work early due to illness after their working day has commenced. On these occasions the employee must inform the depot before they leave work, a record will be made and only time worked will be paid except at Management discretion.

Maximum Period Of Sick Leave

The maximum period of sick leave is 38 weeks, however during any spell of sick leave, you will be subject to regular reviews, which may result in mutually agreeable termination of employment at an earlier stage. In this instance an up to date medical report will be obtained and the decision will be based on the medical information available at that time. Those staff capable of return to work after a longer period will be subject to individual case assessment.

Arriva the Shires and Essex Employee Handbook

4.1.3 Issue December 2008

4.1.3 Return To Work Interviews

Following each and every absence the employee will be required to attend a Return to Work Interview. This should be as soon as possible after their return.

The Manager should prepare for the interview by gathering sufficient information to be able to:

• Remind the employee of their contractual obligation for good attendance

• Discuss Certification of absence

• Review the past attendance record

• Discover any patterns of absence e.g. absence frequently on the same day or shift pattern

• Discuss any recurrent illnesses

• Discuss any problems that might be affecting attendance

• Establish if any assistance can be given to help the employee improve his/her attendance

• Inform the employee of the disruption caused by absenteeism.

• Clearly set out the standards required

• Inform of the possible consequences if standards are not met

• Remind the employee that attendance is one of the criteria that the Company and other employers take into account when making the decision on whom to appoint

The interview must be noted on the Return to Work Interview form.

Where appropriate, the Return to Work Interview may be developed into Stage 1 of the Attendance Review. This is permissible, as this stage

Arriva the Shires and Essex Employee Handbook

Issue December 2008 4.1.3 continued to 4.1.4

is seen as an “informal investigation”, by issuing a reminder that further absence may result in a Caution.

The interview must not be developed any further into the Attendance Review Procedure as there will be no Colleague/Union Representative present. If the employee does not want representation, any disciplinary investigation must still be carried out in a totally separate interview. This is to make a clear separation between “informal investigation” and discipline, and to allow the employee time to prepare. As with any formal disciplinary meeting, the employee will be given a minimum of not less than 24 hours notice in advance of the meeting.

Alternative Duties

In exceptional circumstances, and for short periods, the company may allocate alternative duties, where available work permits and where appropriate a phased return to work to facilitate recovery following sick absence, injury etc.

4.1.4 Review of Attendance

The aim of this section is to specify the procedure for dealing with employees with unacceptable attendance levels. Each case will be considered on its merits. It is the responsibility of the Line Manager to identify unsatisfactory attendance. A guideline for ‘unsatisfactory’ is 2 periods in 28 days or 5 days in six months although any non­attendance pattern may be monitored.

A period is defined as anything from – part of a shift including lateness to a number of consecutive days.

From Stage 2 of the Attendance Review, the employee must be offered the opportunity to be accompanied by a work place colleague or union representative.

The manager conducting the interview may be accompanied by a note taker/witness who will take notes but play no other part in the interview.

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4.1.4 continued Issue December 2008

Conduct of Attendance Review Meetings

At each stage of the review procedure the manager will:

• Discuss Certification of absence

• Review the past attendance record

• Check if there are any current attendance warnings relating to the employee

• Discover any patterns of absence e.g. absence frequently on the same day or shift pattern

• Discuss recurrent illnesses

• Discuss any problems that might be affecting attendance

• Be aware if the illness is pregnancy-related or potentially related to a disability

• Establish if any assistance can be given to help the employee improve his/her attendance

• Ask the employee if there is anything they can do to improve their attendance

• Inform the employee of the disruption caused by absenteeism

• Clearly set out the standards required

• Inform of the possible consequences if standards are not met

• Remind the employee that attendance is one of the criteria considered by the Company when recruiting staff

• Inform the employee of the right to make a written appeal within 7 calendar days of the date of the written confirmation of any formal disciplinary award

• Complete necessary documentation

Arriva the Shires and Essex Employee Handbook

Issue December 2008 4.1.4 continued to 4.1.6

• Where possible, counselling and formal interviews will be conducted on the Company’s premises. However, where an employee’s health necessitates it, such interviews may be conducted at the employee’s home address, subject to their consent

4.1.5 Medical Referral

At Stages 3 and 4 of the attendance review the employee may be referred to a medical professional appointed by the company. This may be necessary to determine whether the employee has an underlying medical condition which requires consideration and may also relate to the employee’s ability to work. Notwithstanding the above, the company reserves the right to refer employees to see the company medical professional at any time, should the company consider such to be necessary.

The company will meet any reasonable travel expenses in order to allow the employee to attend any company-requested medical appointment. The employee will be asked to complete a medical consent form, which outlines their rights under the ‘Access to Medical Reports Act 1988’. With this consent, a medical report will be given to management and the employee can also have a copy of the report if they so wish. If the employee refuses to give consent, the company will have no option but to make what it feels is a reasonable decision based on the information it has available at that time.

Failure to attend a medical appointment as requested without reasonable explanation and/or repeated failure to attend will result in the immediate withdrawal of Company Sick Pay. Any decision made in these circumstances will be made on the evidence available at that time.

4.1.6 Dismissal

If the employee is unable to achieve a satisfactory level of attendance then, following investigation and consideration of all the circumstances, the individual is liable to be dismissed following the attendance procedure.

Arriva the Shires and Essex Employee Handbook

4.1.6 continued to 4.1.7 Issue December 2008

The basis for dismissal will be lack of capability to meet the contractual requirement to attend work on a regular and consistent basis. This will have been demonstrated by repeated and/or continued absence from work. The dismissal will be confirmed in writing within 5 working days. The employee has the right of appeal to a Senior Manager. A written appeal should be made within 7 calendar days of the date of the written confirmation of dismissal. A final appeal may be made in writing to a Director following a Senior Manager upholding the decision to dismiss.

The following factors will be taken into account when dismissal is considered;

• The nature of the illness/reason for absence

• The possibility of it recurring

• Whether the absence relates to a disability

• The requirement of the job to be carried out by that particular employee

• The employee has been made clearly aware of the situation at each review stage

• A review of the whole employment history and absence record

• Alternative employment is considered where relevant and available

4.1.7 Other Attendance Matters

Company Sick Pay

The company sick pay scheme is discretionary, attempted abuse of the scheme will result in non-payment of all elements of sick pay (Company and Statutory) for the employee concerned and possible disciplinary action.

Union Representatives

If union representatives are subject to Attendance Review, the Company will liaise with the local full time union official.

Arriva the Shires and Essex Employee Handbook

Issue December 2008 4.1.7 continued

Contractual Notice Of Termination Of Employment

Where dismissal is necessary, on the grounds of capability, the employee will be given their contractual notice entitlement. This notice period will be paid in lieu, with the employee not being required to attend work.

The notice period is not a further period in which an individual can improve their attendance and change the decision to dismiss.

Line Manager’s Duties

In accordance with Disciplinary Procedure responsibilities as outlined in

4.10.13.

The Line Manager is responsible for:

• Conducting Return to Work Interviews after every occasion of sickness absence by one of their employees

• Checking if an Attendance Review Interview and/or medical is necessary and making arrangements for this to happen where applicable

• Conducting Stage 1 Interviews – Attendance Reminder

• Conducting Stage 2 Interviews – Possible Caution

• Conducting Stage 3 Interviews – Considering the implications of the medical assessment and deciding if the employee should be taken out of the review system or what other possible alternatives could exist, giving a Written Warning where necessar.

• Conducting Stage 4 Interviews – Considering the implications of the medical assessment and deciding if the employee should be taken out of the review system or what other possible alternatives could exist, giving a Final Written Warning where necessary

• Conducting Stage 5 Interviews – Considering Termination of Employment where necessary (at appropriate level of authority)

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4.1.7 continued Issue December 2008

• Ensuring that a summary of the key points is put in writing to the employee and a copy is kept on file

• Attending counselling meetings with employees who are suffering from Long-Term Sickness on a regular basis

Senior Manager’s Duties

In accordance with Disciplinary Procedure responsibilities as outlined in

4.10.13.

• A Senior Manager is responsible for hearing appeals arising from Stage 2 – Stage 5 Interviews

• Ensuring that a summary of the key points is put in writing to the employee and a copy is kept on file

• Ensuring that Absence is monitored and attendance is managed

Director’s Duties

In accordance with Disciplinary Procedure responsibilities as outlined in

4.10.13.

• A Director is responsible for hearing a final appeal following a Senior Manager upholding the decision to dismiss

• Ensuring that a record of each interview is put in writing to the employee and a copy is kept on file

Appeals Procedure

At Stages 2 – 5 an appeal may be made to the applicable Senior Manager. The wish to appeal must be made in writing within 7 calendar days of receiving written notification of a warning.

At Stage 5 following the appeal to a Senior Manager a final appeal may be made to a Director. The wish to appeal must be made in writing within 7 calendar days of the written notification of the Senior Manager’s appeal decision.

Arriva the Shires and Essex Employee Handbook

Issue December 2008 4.1.7 continued to 4.1.8

Accident/Incident At Work (including assaults) Resulting In Non-attendance.

See Accident/Assault Pay

Confidentiality

All personnel records and discussions will be treated as confidential. Arriva considers any breach of confidentiality as a serious disciplinary matter.

4.1.8 Stages of Attendance Review

From Stage 2 employees may be accompanied by a work colleague or union representative of their choice.

STAGE 1 – On the 2nd Occasion of Absence or on 5 periods of Absence in a rolling 6 month period

The employee is interviewed by his/her Manager and reminded that a further occasion of absence will bring him/her below acceptable standards which may result in a caution.

A record of this interview is put in writing to the employee and a copy is kept on his/her file.

STAGE 2 – On the 3rd Occasion of Absence or after more than 5 periods of absence in a rolling 6 month period

The employee is interviewed by his/her Manager and informed that his/her attendance level has fallen below acceptable standards.

A caution may be given and new standards of not more than 2 occasions or periods of absence in the next 6 months are set (commencing from date of caution).

The employee is reminded that should they fall outside the required standard they may be required to visit the Company Medical Professional.

A record of this interview is put in writing to the employee and a copy is kept on file.

Arriva the Shires and Essex Employee Handbook

4.1.8 continued Issue December 2008

STAGE 3 – On the 2nd Occasion of Absence or on more than 5 periods in the next 6 months

The employee may be required to attend the Company Medical Professional for a medical review. Expenses for this will be met by the Company. Failure to attend as requested will result in the immediate withdrawal of Company Sick Pay.

If the Medical Professional’s report indicates that the employee is basically fit and the Medical Professional can see no medical reason why the employee’s sickness level is so high.

The employee is interviewed by his/her Manager and informed that his/her attendance has fallen below acceptable standards.

The Manager may give a written warning.

New standards are set of not more than 2 Occasions or 5 days of absence in the next 6 months.

The employee is reminded that should they fall outside the required standard they will be required to visit the Company Medical Professional again, and that the next stage could be a Final Warning.

A record of this interview is put in writing to the employee and a copy is kept on file.

If the Medical Professional’s report indicates that the sickness could be of a prolonged or recurring nature. Consider alternatives e.g. alternative work if appropriate and available, application for medical severance, termination of contract of employment.

Employees, who become permanently unfit for duty, may be offered such alternative work that is available subject to the following conditions;

a That the employee is prepared to carry out the full duties of the

alternative post and is in the opinion of the Company’s medical

advisor capable of doing so

Arriva the Shires and Essex Employee Handbook

Issue December 2008 4.1.8 continued

b The rate of pay and other conditions of employment applicable to

the alternative post will apply although a period of protected

earnings may be offered at the discretion of the Manager

STAGE 4 – On the 2nd Occasion or more than 5 periods in the next 6 months

The employee may be required to attend the Company Medical Professional for a further medical. Expenses for this will be met by the Company. Failure to attend as requested will result in the immediate withdrawal of Company Sick Pay.

If the Medical Professional’s report indicates that the employee is basically fit and the Medical Professional can see no medical reason why the employee’s sickness level is so high.

The employee is interviewed by his/her Manager and informed that his/her attendance has fallen below acceptable standards.

The Manager may give a final written warning.

New standards are set of not more than 2 occasions or 5 days of absence in the next 6 months.

The employee is reminded that should they fall outside the required standard termination of their contract may be considered.

A record of this interview is put in writing to the employee and a copy is kept on file.

If the Medical Professional’s report indicates that the sickness could be of a prolonged or recurring nature.

Consider alternatives e.g. alternative work if appropriate and available, application for medical severance, termination of contract of employment.

Arriva the Shires and Essex Employee Handbook

4.1.8 continued to 4.1.9 Issue December 2008

Employees, who become permanently unfit for duty, may be offered such alternative work that is available subject to the following conditions;

a That the employee is prepared to carry out the full duties of the

alternative post and is in the opinion of the Company’s medical

advisor capable of doing so

b The rate of pay and other conditions of employment applicable to

the alternative post will apply although a period of protected

earnings may be offered at the discretion of the Manager

STAGE 5 – On the 2nd Occasion or more than 5 periods in the next 6 months.

The Manager will consider terminating the employee’s contract.

4.1.9 Long Term Illness

Definition

It is appropriate that there is a different procedure for long term illness, although the contractual requirement remains that an individual is required to attend work on a regular and consistent basis.

Employees who fall into this category are normally those who have been absent for a continuous period of four weeks or more.

Welfare

On an on going basis, a Company Medical Professional will follow up on employees who fall into the above category.

This will involve a counselling meeting with their Manager either at the employee’s home or at their place of work. Following this initial meeting, an appointment may be made for the employee to visit the Company Medical Professional during the fourth or fifth week of absence, or sooner should the Company consider such to be necessary, depending on the circumstances.

With the employee’s written consent, an assessment of fitness for work will be made to the Manager.

Arriva the Shires and Essex Employee Handbook

Issue December 2008 4.1.9 continued

Frequency Of Review Meetings

When an employee has been absent from work continuously, they will be invited to a review meeting with their Manager. Subsequent meetings will be held on an ongoing basis, normally no more frequently than once every two weeks.

These meetings will normally be held on site, but if it is easier for the employee, because of their incapacity, then they could be held at the employee’s home or at a mutually agreed venue.

Purpose Of Review Meetings

To establish:

• How is the employee?

• What help, if any, can the company offer?

• What is the Medical Assessment of the situation?

• How long is it likely to be before the employee is fit for work?

• Is there suitable alternative work available?

• • What are the options if the employee cannot return to work in the foreseeable future? Employees, who become permanently unfit for duty, may be offered such alternative work that is available subject to the following conditions;

• That the employee is prepared to carry out the full duties of the alternative post and is in the opinion of the Company’s medical advisor capable of doing so

• The rate of pay and all other conditions of employment applicable to the alternative post will apply although a period of protected earnings may be offered at the discretion of the Manager

The employee should be advised if their employment is in jeopardy.

Arriva the Shires and Essex Employee Handbook

4.1.9 continued Issue December 2008

Participants At Review Meetings

Those present at a review meeting will normally be:

• The employee

• The Line Manager

If the employee wishes there may also be a work colleague or union representative of their choice present.

Alternative/Light Duties

A medical professional (GP, Occupational Health, etc.) may, in certain circumstances, recommend that an employee returns to work either temporarily or permanently on alternative and/or light duties. The Company will investigate whether suitable work is available, as per the medical professionals’ recommendations. If suitable work is not available, the Company is under no obligation to create work specifically for this purpose and the employee may have to remain off sick. However, should the Company be able to identify suitable alternative work, the employee will be expected to return to work and undertake the duties identified. If the employee unreasonably refuses to undertake the work identified, this may result in the non-payment of all elements of sick pay (Company and Statutory) for the employee concerned and may also result in possible disciplinary action.

Long Term/Permanent Incapability

As outlined the employee’s attendance will be reviewed on a regular basis following absence from work.

If, at any stage in the review procedure, medical evidence shows that the employee is unlikely to be able to return to work, and there is no suitable alternative employment available, then the company will discuss with the employee possible courses of action (e.g. termination of employment, application for medical severance).

Anyone employed primarily as a PCV Driver who loses his/her PCV Driver’s Licence and becomes permanently unfit for work on medical grounds may, subject to approval by the Board of Directors, receive a discretionary payment.

Arriva the Shires and Essex Employee Handbook

Issue December 2008 4.1.10 to 4.1.12

4.1.10 Pension Applications

When an employee has had their contract terminated on grounds of capability, they may wish to make an application for their pension eligibility on the grounds of ill-health (this will only be granted by the Scheme Trustees). This should be done by contacting the Pension Department on 01582 587000 and asking for the Payroll Department. A pension application may not be made until the Sickness and Absenteeism Procedure has been exhausted.

Where levels of absenteeism do not improve then disciplinary action will be taken in line with the Company’s Disciplinary Policy.

4.1.11 Disability Discrimination Act 1995

The Company reserves the right, in certain circumstances, to take a more flexible approach to sickness monitoring in order to comply with the provisions of the Disability Discrimination Act 1995.

4.1.12 Other Absence

You need advance permission for any absence other than illness. Other arrangements exist within the Company for leave to be given for acceptable purposes. Please discuss this with your manager.

Statutory Time Off (Without Pay)

All employees will have the right to take a reasonable period of time off work to deal with an emergency involving a dependant*, and not suffer any detriment for doing so. There is not a set limit to the amount of time off which can be taken but in most cases it will be up to five days. Requests will be handled on a case-by-case basis. This type of absence from work is without pay.

*A dependant is your spouse, partner, child or parent, a person who lives in the same household as the employee (excluding tenants, boarders, lodgers and anyone who lives in the household as an employee). In limited circumstances a dependant is also any person who relies on the employee for assistance or to make arrangements for that person’s care.

Arriva the Shires and Essex Employee Handbook

4.1.12 continued Issue December 2008

Court Proceedings

If you have to attend court as a juror, we will give you paid leave. If the court pays you an allowance for loss of earnings, we will reduce your pay by that amount. If you are subpoenaed to attend court as a witness or in any other capacity, you will be granted leave without pay. You should claim your loss of earnings from the courts. This does not apply when representing the Company as a witness.

Public Duties

Reasonable time off for the purpose of performing Public Duties may be permitted at the discretion of the Company for the following reasons:

• Justice of the Peace

• Member of a statutory tribunal or body

• Governor of a school or educational establishment

• Member of a Board of visitors for Prisons, Remand Centres and Young Offenders Institutions

• • Member of a Local Authority Council The amount of time off an employee is permitted to take will be based on the following considerations:

• How much notice is given

• How much time off is required

• How much time off for public duties has already been permitted

• The particular circumstances of the business and the effect of the employee’s absence on the business

All absences must have the prior authorisation of the appropriate manager before any days are taken.

Arriva the Shires and Essex Employee Handbook

Issue December 2008 4.1.12 continued to 4.1.13

Territorial Army

Employees who are members of the Territorial Army, or one of the affiliated cadet organisations, who are required to undergo Service training, would normally be granted up to a maximum of 2 working weeks’, special leave without pay, in a holiday year for the purpose of attending this training.

Employees must obtain written authorisation from their manager prior to attending the training.

4.1.13 Bereavement Leave

Bereavement leave will be granted in respect of the death of relatives detailed below:

Daughter/Son 3 days Stepchild 3 days where employee is legally or

financially responsible Mother/Father 3 days Daughter-In-Law/Son-In-Law 1 day Brother/Sister 1 day Mother/Father-In-Law 1 day Grandmother/Father (in law) 1 day

In exceptional circumstances, the number of days may be increased.

For funerals of work colleagues where the applicant is a close friend or long time working colleague of the deceased, the Company will endeavour to give the employee time off for the funeral, if the employee is scheduled to work. The Company cannot guarantee this time off if they are unable to release an employee from service due to operational demands. Such periods of absence are without pay.

One week’s leave without loss of pay will be allowed in the case of the bereavement of an employee’s partner, which is classed as husband/wife or established Partner.

Arriva the Shires and Essex Employee Handbook

Issue August 2008 4.2 to 4.2.1

4.2 Paternity Leave Policy

This policy sets out the statutory rights in relation to Paternity Leave and will require updating with any changes in legislation.

4.2.1 Paternity Leave

Employees (other than the mother of the child) with parental responsibility are entitled to either one week (calculated on rostered earnings) or two consecutive weeks’ paternity leave (based on SPP). You are not entitled to take two separate one-week periods of leave or periods of leave of less than one week in duration.

Parental responsibility is defined as a:

• Biological father/adopter

• Partner/husband that is not the baby’s biological father

• Female/male partner in a same sex couple

Paternity leave and statutory paternity pay (SPP) cannot be taken before the child is born and must be taken within 56 days of the child’s birth. If the child is born prematurely, it can be taken from the child’s birth and up to 56 days after the first day of the expected week of childbirth (EWC).

Within these limits, employees have three options available to them when choosing when to start their paternity leave and SPP:

• The day the child is born. If you are at work this day, your paternity leave and SPP will start the following day

• • A specified number of days after the child is born (for example, two weeks after the child is born) or

• A predetermined date, which must be later than the first day of the EWC

Arriva the Shires and Essex Employee Handbook

4.2.1 continued to 4.3.1 Issue August 2008

If you choose to start your paternity leave on a predetermined date and the child has not been born you must change when you want to start your leave and notify the Company in writing as soon as reasonably practicable.

Documentary evidence of the parental responsibility will be required.

4.2.2 Statutory Paternity Pay (SPP)

You will be eligible for Statutory Paternity Pay if:

• You have at least 41 weeks’ continuous service before the expected week of childbirth (EWC)

• You have remained in employment until the child is born

• Your normal weekly earnings are not lower than the lower earnings limit

The rate for Statutory Paternity Pay is prescribed legally and you will be informed at the time of taking your leave the current rate in force. It is currently based upon one week of rostered pay and one week on SPP.

4.2.3 Notice

Advance notice must be submitted for taking Paternity Leave by no later than the 15th week before EWC.

4.3 Maternity Leave Policy

This policy sets out the statutory rights in relation to Maternity Leave and will require updating with any changes in legislation.

4.3.1 Maternity Leave

Regardless of your length of service, if you become pregnant, you will be entitled to 26 weeks’ Ordinary Maternity Leave (OML).

Arriva the Shires and Essex Employee Handbook

Issue August 2008 4.3.1 continued to 4.3.3

Any woman with at least 41 weeks’ continuous service before the expected week of childbirth (EWC) will be entitled to a further 26 weeks’ additional (unpaid) maternity leave if she so wishes.

4.3.2 Company Maternity Pay

Employees with two or more years service at the 15th week before the baby is due, employed under Arriva the Shires and Essex Terms and Conditions, are eligible for a maximum of a 20 weeks Company Maternity Pay.

Company maternity pay is full basic pay (i.e. minimum guaranteed hours for drivers) and excludes any ‘premiums’.

Company maternity pay will be offset against the first 20 weeks of statutory maternity pay. (Therefore an employee receiving Company maternity pay will be eligible to receive 20 weeks at their full basic pay followed by a further 19 weeks at the current statutory maternity rate).

4.3.3 Statutory Maternity Pay

Statutory maternity pay will be calculated and paid in accordance with the relevant regulations in force at the time of your maternity leave.

The first six weeks will be paid at 90% of basic pay and the remaining 33 weeks in accordance with Statutory Provision.

You will qualify for SMP if:

• You are still employed by the Company in the15th week before your EWC

• • You comply with the notification requirements and

• Your normal weekly earnings in the eight weeks prior to the end of the 15th week before your EWC are not less than the lower earnings limit for the payment of national insurance contributions

Arriva the Shires and Essex Employee Handbook

4.3.3 continued to 4.3.5 Issue August 2008

If you have any period of absence from work in this period (8 weeks prior to the 15th week before the EWC) this will calculate as your normal weekly earnings and could therefore affect the amount of maternity pay you receive.

If you are not eligible to receive SMP the reasons will be explained to you and you may be eligible to Maternity Allowance (MA) from your local benefits agency. It is not the Company that administer MA and you should contact your local office for details.

Your right to SMP is conditional upon giving 28 days written notice from the date you expect SMP to begin i.e. the date when your maternity leave period is due to begin.

4.3.4 Notification Requirements

It is essential that written notification of the pregnancy is supplied by no later than the 15th week before the EWC.

You are entitled to change the date you want to start your maternity leave and MPP, provided you give notice of the new date in writing. Notice must be given at least 28 days before the date you were originally going to start your maternity leave or the new date, whichever is earlier.

4.3.5 Health And Safety

Under the Management of Health and Safety at Work (Amendment) Regulations 1994 you are required to inform the Company if you are pregnant. Once the Company have been informed of your pregnancy, a risk assessment will be carried out by an appropriately trained person.

If your health, or that of your unborn child, is at risk the Company will consider what measures can be taken to minimise the risk. In some cases, the Company may need to alter your working conditions or hours of work or offer you suitable alternative work.

If you work at night and your doctor has provided a certificate stating that your health or that of your unborn child would be damaged by night work, the Company will try to temporarily re-deploy you to day work.

Arriva the Shires and Essex Employee Handbook

Issue August 2008 4.3.5 continued to 4.3.7

You must not undertake any work in the two weeks after you have given birth, known as Compulsory Maternity Leave (CML). Those employees whose position involves driving must not undertake any work after they have given birth until they have received their doctor’s approval.

4.3.6 Antenatal Care

All pregnant employees, regardless of length of service, are entitled to request paid time off work to keep appointments for antenatal care prescribed by a doctor or midwife. Evidence of appointments and/or that you are pregnant may be requested.

Wherever possible, employees should arrange appointments outside of working hours or at a time when disruption to the business is minimised.

4.3.7 Commencement Of Maternity Leave

The earliest date that you can commence OML, is the beginning of the 11th week before EWC and actual birth of your baby.

If you do so wish you may work up to the actual date of childbirth, subject to Health and Safety Regulations and providing you continue to do your job adequately and capably.

The Company reserves the right to ask you to produce evidence from your GP/midwife that you are fit to work, if they have concerns for your welfare.

Maternity leave will start on the day you have chosen. SMP, however, is generally paid from the Sunday after you stop work. For example, if you choose to stop work on a Wednesday, your maternity leave will start on the Thursday but you will not start receiving SMP until the week beginning the following Sunday. This would mean the first few days of your maternity leave would be unpaid. For this reason, you might like to consider starting your maternity leave at the beginning of the week.

Arriva the Shires and Essex Employee Handbook

4.3.8 to 4.3.10 Issue August 2008

4.3.8 Automatic Triggers Of OML

If either of the following events occurs, your maternity leave and MPP will start automatically if any of the following occur;

• Your baby is born before you have started your maternity leave. In this case, your maternity leave and MPP will start the day after the birth of your child and

• You are absent from work for a pregnancy-related illness in the four weeks before your EWC (and you have not already started your maternity leave). In this case, your maternity leave and MPP will start the day after your pregnancy-related absence began. In this period if the absence is non-pregnancy related the normal absence procedure applies

4.3.9 Holiday Entitlement

You will continue to accrue your normal contractual holiday entitlement during your OML period. You will accrue holidays during Additional Maternity Leave (AML) under Working Time regulations, which is a pro-rata entitlement of 28 days per annum dependent on the amount of maternity leave you take. For example if you take the full 6 months AML you will receive 10 days. As the Working Time regulations develop we have the right to change this policy to reflect this.

You may, with the Company’s permission elect to take one of the following options:

Either take any accrued holiday entitlement and accrual during OML joined onto the beginning of your maternity leave, or at the end of OML.

4.3.10 Early Return

The Company will write to you to tell you the last day of maternity leave. If you change the day you want to start your maternity leave, or your maternity leave is automatically triggered by your child’s birth or a

Arriva the Shires and Essex Employee Handbook

Issue August 2008 4.3.10 continued to 4.4

pregnancy-related absence in the four weeks before the EWC, the last day of your maternity leave will change. In this case, the Company will write to you again with the new end date.

We will assume that you will return to work the day after the day we have notified you is the last day of your maternity leave. If you want to return to work before this date, you must give us at least 28 days’ notice in writing. If you do not give us the proper amount of notice, we are entitled to delay your return to work until we have had 28 days’ notice.

4.3.11 Return To Work

If you only take OML, you are entitled to return to the same job. If you take OML and AML and it is not reasonably practicable for you to return to the same job, you will be offered an alternative position on no less favourable terms and conditions.

If you are unable to return to work for medical reasons, you should submit a medical certificate. You will transfer from maternity leave to sick leave. If you simply fail to return to work, your absence will be treated as unauthorised (under the Company’s Disciplinary policy).

If you are interested in applying to work flexibly on your return to work, you should refer to the Company’s Flexible Working Policy outlined later in this section. If you want the changes to start on your return from maternity leave, you should make your application in good time.

4.4 Adoption Leave Policy

This policy sets out the statutory rights in relation to Adoption Leave and will require updating with any changes in legislation.

This is available on a similar basis to maternity and paternity leave i.e. one allowance of each of maternity and paternity leave for a couple. Owing to the nature of adoptions there is greater flexibility.

You should therefore read the Maternity/Paternity Policy. Additional information you may need to know is detailed below.

Arriva the Shires and Essex Employee Handbook

4.4 continued to 4.4.2 Issue August 2008

For adoption leave purposes the date the child is ‘placed’ for adoption with you is the same as the Expected Week of Childbirth outlined in the Maternity Policy.

Adoption leave, statutory payments, notification requirements are the same as the Maternity/Paternity Policy with a few exceptions:

• You must have notified the adoption agency that you agree to the child being placed with you and have agreed the date of placement

• You may be requested to provide evidence of the adoption issued by the adoption agency (instead of a MATB1 with pregnancy)

• You only qualify for Ordinary Adoption leave if you have 26 weeks’ continuous service at the date the child is ‘matched’* with you

• If you qualify for Ordinary Adoption leave you automatically qualify for Additional Adoption leave that is an additional 26 weeks’ unpaid leave in addition to OAL

*a person is ’matched’ for adoption when a UK adoption agency decides that a person is suitable to adopt a particular child.

4.4.1 Starting Adoption Leave

You can choose to start your adoption leave and APP on the day the child is placed with you or up to 14 days before the expected date of placement.

If you choose to start your leave on the day the child is placed with you and you are at work that day, your adoption leave and APP starts the following day.

4.4.2 Disrupted Placement

If you are notified the placement will not go ahead after you have started your adoption leave, or the placement is ‘disrupted’ during your leave, your entitlement to adoption leave and SAP ends eight weeks after the end of the week in which the disruption occurred. You must notify the Company as soon as reasonably practicable if the placement is disrupted during your adoption leave.

Arriva the Shires and Essex Employee Handbook

Issue August 2008 4.4.2 continued to 4.5

A placement may be disrupted if the child is returned to the adoption agency, the placement does not go ahead or regrettably the child dies (and you have already started your adoption leave). In these circumstances, we will approach return to work on a case by case basis.

4.5 Parental Leave Policy

This policy sets out the statutory rights in relation to Parental Leave and will require updating with any changes in legislation.

We will grant you unpaid Parental Leave for the purpose of looking after a child or to make arrangements for their welfare.

You will be eligible for parental leave if:

• You have or expect to have parental responsibility for a child

• You are taking parental leave to care for that child

• You have one year’s continuous service with the Company at the commencement of the leave

• You have complied with the notification requirements

You can take up to 13 weeks’ parental leave (over a 5 year period) until the child’s 5th birthday.

Similar arrangements exist for children adopted after this date, and a maximum of 18 weeks is available in respect of disabled children up until their 18th birthday.

You can take your leave in blocks of 1 week to a maximum of 4 weeks per year. Where part of a week is taken this will still count as 1 entire week.

If you wish to take Parental Leave, you will need to apply in writing to your manager giving at least 3 weeks’ notice. If the business operations would be unduly disrupted by the taking of parental leave then the

Arriva the Shires and Essex Employee Handbook

4.5 continued to 4.6.2 Issue August 2008

Company is entitled to postpone parental leave for up to six months, except immediately following the birth or adoption of a child.

4.6 Flexible Working Policy

Arriva is committed to promoting work life balance amongst its employees. Flexible working forms part of the work life balance policies. This Flexible Working Policy ensures compliance with the statutory requirements for working parents. Section 80F of The Employment Rights Act 1996 applies.

This policy aims to facilitate discussion and encourage both the employee and the Company to consider flexible working patterns and to find a solution that suits them both, giving due consideration to the effects on the business operations.

The employee has a responsibility to think carefully about their desired working pattern when making an application and the Company is required to follow a specific procedure to ensure requests are considered seriously.

4.6.1 Scope

Mothers and fathers have the right to request to work flexibly. This does not provide an automatic right to work flexibly as there will always be circumstances when the Company is unable to accommodate the employee’s desired work pattern. The right is designed to meet the needs of both parents and the Company.

4.6.2 Definitions

For the purpose of this right, a disabled child means a child who is eligible for a disability allowance, provided for in the Social Security Contributions and Benefits Act 1992.

For the purpose of this right a ‘partner’ in relation to a child’s mother, father, guardian, adopter or foster parent means a person who lives with the child and the mother, father, adopter or foster parent in an enduring family relationship, but is not a relative.

Arriva the Shires and Essex Employee Handbook

Issue August 2008 4.6.3 to 4.6.4

4.6.3 Eligibility

In order to qualify to make a request the individual will:

• Be an employee

• Have a child under six, or under 18 in the case of a disabled child

• Be the mother, father, guardian, adopter or foster parent of the child or

• Married to, or the partner of the child’s mother, father, guardian, adopter or foster parent. (See above paragraph 3 for definition of)

• Have worked with their employer continuously for 26 weeks at the date the application is made

• Make the application no later than two weeks before the child’s sixth birthday or 18th birthday in the case of a disabled child

• Have or expect to have responsibility for the child’s upbringing

• Be making the application to enable them to care for the child

• Not be an agency worker

• Not have made another application to work flexibly under the right during the past 12 months

4.6.4 Scope Of A Request

Eligible employees will be able to request:

• A change to the hours they work

• A change to the times when they are required to work

Arriva the Shires and Essex Employee Handbook

4.6.4 continued to 4.6.6 Issue August 2008

• A change to their place of work (as between home and place of business only)

This covers requests to change working patterns.

4.6.5 Procedure

The initial onus will be on the employee to make a considered application.

4.6.6 Application

Applications for flexible working arrangements must include all of the following:

• The application must be in writing, dated and state that it is being made under the statutory right to apply for flexible working. Please see, Flexible Working Application Form, Appendix A.

• The employee must confirm their relationship to the child

• The application must set out the employee’s proposal and explain what effect the employee thinks their proposed changes will have on the Company and how this may be dealt with

• The application must specify a start date for the proposed changes giving the Company reasonable time to consider the application and implement any changes

• The employee will be able to make only one application a year under the right, and an accepted application will mean a permanent change to the employee’s own terms and conditions of employment unless otherwise agreed

• Before making an application, the employee must give careful consideration to which working pattern will help them best care for their child and any financial implications it might have on them in cases where the desired working pattern will involve a drop in salary.

Arriva the Shires and Essex Employee Handbook

Issue August 2008 4.6.7 to 4.6.8

4.6.7 Consideration

Within 28 days of receiving the application the manager will arrange to meet with the employee. This will provide the manager and the employee with the opportunity to explore the desired work pattern in depth, and to discuss how best it might be accommodated. It will also provide an opportunity to consider other alternative working patterns should there be problems in accommodating the desired work pattern outlined in the employee’s application.

The employee will, if they so wish, be able to bring a representative (a Trade Union representative or another employee) to the meeting.

The meeting will not be required if the manager agrees to the terms of the application and notifies the employee in writing accordingly within 28 days of receipt of the application. The manager will use the Application Acceptance Form, see Appendix B, to notify the employee.

4.6.8 Decision

Within 14 days after the date of the meeting the manager will write to the employee to notify them of the decision taken, being that:

• Their request for flexible working has been accepted and to confirm the start date and any other action; or

• • The compromise agreed at the meeting will be implemented from a specified date or

• Their request for flexible working has been rejected, setting out clear business reasons for the rejection together with notification of the appeals procedure

• The manager will use either the Flexible Working Application Acceptance Form, see Appendix B; or the Flexible Working Rejection Form, see Appendix C, to notify the employee

Arriva the Shires and Essex Employee Handbook

4.6.8 continued to 4.6.10 Issue August 2008

Applications for flexible working arrangements can be refused only for the following reasons:

• The burden of additional costs

• Detrimental effect on ability to meet customer demand

• Inability to re-organise work among existing staff

• Inability to recruit additional staff

• Detrimental impact on performance

• Insufficiency of work during the periods the employee proposes to work

• Planned structural changes

4.6.9 Conditions of Acceptance

All accepted flexible working arrangements will be subject to the following conditions:

• The arrangement will be reviewed every three months to ensure it still fits in with business requirements, due to the changing needs of the business

• The arrangement is effective only when the criteria outlined in the eligibility section is met. If any circumstances change then the onus is on the employee to make the Company aware of this change, failure to do so may result in the agreement being withdrawn

4.6.10 Appeals Process

The employee has the right to appeal against the manager’s decision within 14 days of the notification being received.

The appeal letter should be in writing and set out the grounds for making the appeal and be dated. This should be addressed to the employee’s manager and a copy to the HR manager. This should be

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Issue August 2008 4.6.10 continued

done by completing the Flexible Working Appeal Against Rejection of Application Form, see Appendix D.

The employee’s manager and HR manager will hold an appeal meeting within 14 days of receiving the employee’s appeal letter.

The employee will, if they so wish, be able to bring a representative to the appeal meeting.

Within 14 days after the date of the appeal meeting the HR manager will write to the employee to:

• uphold the appeal, specifying the agreed variation and start date or

• dismiss the appeal, state the grounds for the decision and containing sufficient explanation of the refusal

This will be done by the manager completing the Flexible Working Appeal Reply Form, see Appendix E.

If the Company refuses the employee’s applications at the appeal stage of the procedure the employee has a number of options:

• to commence informal discussion with the Company – there may be some simple misunderstanding of the procedure or facts which can be resolved by an informal route

• submit a letter of grievance following the Company’s grievance procedure

• request assistance from a third party such as Trade Union representative and Trade Union legal advice

• ask ACAS to find a solution – by providing information or where appropriate through a process of conciliation

If the manager needs longer than any of the notice periods set out above they must complete the Flexible Working Extension of Time Limit

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4.6.10 continued to 4.7.2 Issue August 2008

Form, see Appendix F, and send this to the employee. If the employee agrees to the extension they must complete the relevant section of this form and return to the manager.

If at any point throughout the Flexible Working Arrangement the employee decides they no longer wish to work flexibly they must complete the Flexible Working Notice of Withdrawal Form, see Appendix G, and send to their manager. The manager will then reply to the employee with the section of the form to confirm this withdrawal.

4.7 Working Time Directive Policy

4.7.1 Working Time Regulations

On the 1 August 2003 the Working Time regulations came into force for the transport sector.

This section sets out the main provisions of the Working Time regulations. Some of the provisions apply to all of our workers and some of the provisions apply to only our non-mobile workers, therefore excluding drivers.

Many of the provisions outlined below will have no effect on work practices as the employment terms we provide are better than the provisions.

4.7.2 Working Hours

The regulations state that all workers (includes non mobile and drivers on UK hours regulations, drivers on EU regulations excluded) should not be required to work more than 48 hours per week on average over 17 weeks, unless the worker agrees to do so in writing by completing the opt-out form.

The maximum 48 hour week is an average number of hours and the average is calculated over a reference period. Therefore, even if you do not opt-out of the 48 hour weekly average by completing the attached form, there may be some weeks when you are required to work more

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Issue August 2008 4.7.2 continued to 4.7.5

than 48 hours. The working week is from 00.00 Sunday to 23.59 Saturday.

An opt-out form can be obtained from your manager. If you wish to work more than an average of 48 hours per week average please complete the form and return it to your manager. You are under no obligation to sign this form. However if you choose not to, you may be unable to work overtime, over and above the limits specified in the Working Time Directive.

4.7.3 Daily Rest

Non-mobile workers are entitled to 11 hours rest from work in each 24 period. Any non-mobile worker under the age of 18 is entitled to 12 hours rest from work.

4.7.4 Rest Breaks

Non-mobile workers who work more than 6 hours per day are entitled to 20 minutes’ break during the 6 hours. In the interests of health and safety, you should take your break away from your workstation. Non-mobile workers under the age of 18 are entitled to a rest break of 30 minutes if the working day is longer than 6 hours.

4.7.5 Late Running

In the event of late running, where late running occurs towards the end of a duty, drivers will be paid for each minute exceeding their scheduled finish time.

Where late running occurs and management identifies a service need requesting the employee to continue driving, the employee may elect to exercise one of the following options:

• To take the legal minimum 30 minute break, being paid through as compensation

• To take agreed minimum 40 minute break and be paid overtime for the remainder of their scheduled break

• To take their full break entitlement

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4.7.5 continued to 4.7.9 Issue August 2008

Where a delay causes late departure of the last run, the duty manager will be expected to make every endeavour to complete the duty where it is reasonable. This may involve:

• The use of layover time

• Sourcing a replacement bus

• Selecting the most important journey

• Running the duty short

• Using the two hour call-out facility

4.7.6 Weekly Rest

Non-mobile workers are entitled to a minimum of 1 days rest each week or 2 days rest every 2 weeks. Non-mobile workers under 18 are entitled to 2 days rest from work each week.

4.7.7 Night Work

Non-mobile workers who work at night, between the hours of 11:00 pm and 6.00 am must not work more than an average of 8 hours’ in every 24 hours over a specific calculating period. In some cases where the work is hazardous or strenuous, 8 hours night work in 24 hours is the maximum you should undertake. The Company will inform you if this applies to your role.

4.7.8 Night Worker Health Assessments

All workers who work at night will need to undergo a health assessment to ensure night work will not/does not affect your health. We will ask you to complete a simple questionnaire to help assess your health. You may then be required to have a medical assessment to determine whether you are fit to undertake night time working.

4.7.9 Paid Annual Leave

All workers are entitled to a minimum 28 days’ paid annual leave (pro rata) including bank holidays from October 2008.

Arriva the Shires and Essex Employee Handbook

Issue August 2008 4.7.10

4.7.10 Road Transport Regulations (EU Regs)

Introduction

On 4 April 2005 The Road Transport (Working Time) regulations came into force. These new regulations apply to mobile workers working within Europe subject to the EU Drivers’ Hours regulations. These mobile workers were not previously covered by all elements of the Working Time regulations that applied to the transport sector from 1st August 2003. Within Arriva the Shires and Essex, these rules apply to anyone covered by EU Drivers’ Hours or the regulations that you may know as the EU Regs.

This policy sets out the main provisions in relation to such mobile workers.

Weekly Working Time

This is restricted to an average of 48 hours per week. A maximum of 56 hours of working time is allowed in a single week.

Within Arriva the Shires and Essex, this average is calculated over a period of 17 weeks.

The working week starts and finishes at 00.00 hours on a Monday morning.

Break periods and periods of availability are excluded from the working time calculation.

This restriction in your working week also applies to any secondary employment you undertake.

Opt-out

This is not available to any mobile worker under these regulations. Therefore, you are unable to work longer than the average 48 hour week (excluding breaks and POA) even if you want to.

Night Working

This is deemed to be between 1:00am and 5:00am for passenger vehicle employees.

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4.7.10 continued to 4.8 Issue August 2008

Night time working cannot exceed 10 hours (in a 24 hour period), unless there is a relevant agreement established. There is not an established agreement relating to this within Arriva the Shires and Essex.

This limit also applies to occasional night time workers, not just those of you that work planned night shift patterns.

Rest Breaks Periods

As per your current working practice and in line with the EEC Regs a break of 45 minutes after 41/2 hours cumulative or continuous driving is required. This remains unchanged if you are driving. If you are doing non-driving activities, these new regulations provide an entitlement of at least a 30 minute break after you have worked 6 hours or more but less than 9 hours. If you work in excess of 9 hours you will be entitled to a break of 45 minutes.

Daily Rest Periods

As per your current working practice and in line with the EEC Regs, you continue to be entitled to at least 11 consecutive hours rest in each period of 24 hours.

Weekly Rest Periods

As per your current working practice and in line with the EEC Regs, you continue to be entitled to 45 consecutive hour’s weekly rest.

4.8 Whistle-blower Policy

The Public Interest Disclosure Act 1998 protects employees from being dismissed or penalised for disclosing information they honestly and reasonably suspect exposes malpractice such as:

• Financial malpractice

• Failure to comply with the legal obligations of Arriva Plc

• Miscarriages of justice

• A criminal offence

• Dangers to health and safety

• Risks to the environment

• Improper conduct or unethical behaviour

• Cover ups of the above

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Issue August 2008 4.8 continued to 4.9.1

The Arriva whistle-blower policy applies to all employees at every level in the organisation and reinforces our commitment to the safety and well being of all staff.

If you have good reason to believe that malpractice such as one of the above is taking place, then you should, wherever possible, raise the concern with your direct line manager or another manager.

However, where you believe this to be inappropriate, you can report your concerns directly to the Group Head Office by calling 0800 58 77

580.

The number is a confidential telephone mailbox and you will be asked to leave your name, location and a contact point. This mailbox will be checked on a daily basis and you will be contacted to ensure there is a clear understanding of the details of your concern. Alternatively you may leave your contact details at the following e-mail address inconfidence@arriva.co.uk and your concern will be handled in the same confidential manner.

Any matters raised will be dealt with as quickly as possible and confidentiality respected. Feedback on the outcome will be given to those who report the alleged malpractice.

Whilst in most circumstances, an employee should report these matters within the Company, they are entitled to report to the relevant governing body.

4.9 Redundancy Policy

We make every effort to ensure that jobs are secure. However, if due to economic, technical or organisational reasons it is necessary to make redundancies, you will be consulted and notified of this and every effort will be made to explore other options or to offer suitable alternative employment within the Company.

4.9.1 Consultation

The Company will consult with the Trade Union at the earliest stage where circumstances arise which could result in redundancies.

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4.9.1 continued to 4.9.2 Issue August 2008

Statutory rules apply in all cases unless there are ‘special circumstances’ which render it not reasonably practicable for the Company to comply with this arrangement. In this event the Company will consult with the union as early as is reasonably practicable.

In the course of consultation, the Company shall disclose:

• The reasons why any employees may become redundant

• The numbers and descriptions of such employees identified across the Company

• The proposed method of selecting the redundant posts

• The proposed method of carrying out the redundancies, including the period over which they are to take effect. In the course of consultation the Company will consider any representations made by the union to avoid or reduce the redundancies or to mitigate their consequences

4.9.2 Alternative Employment

Wherever possible, the Company will seek to identify a suitable alternative position for a redundant employee. The offer of alternative employment will be in writing and specify the terms and conditions applicable to the department. If the job offered is a different type of work, the employee will be allowed a trial period of four weeks from when that employment commences. If during or at the end of the period, either the employee or the Company decides that the employment should not be continued, the employee will still be eligible for full redundancy terms.

If the alternative employment attracts a lower rate of basic pay, the individual’s existing basic pay will be maintained for a period of twelve months from the date of taking up the alternative post.

An employee who refuses an offer of suitable employment will not be entitled to redundancy payment if such action is considered by the Company to be unreasonable in consultation with the Trade Union

Arriva the Shires and Essex Employee Handbook

Issue August 2008 4.9.2 continued to 4.9.5

The Company will allow paid leave for up to two days to facilitate the search for re-employment and interviews. Where available, job search guidance will be given including training in writing applications and interview techniques.

4.9.3 Selection

The Company will implement the reduction in staff in the affected departments through the most appropriate means, subject to the necessity of retaining those most suited to fill them in the remaining jobs. This will include voluntary redundancy, retirement and natural wastage.

In the event that these courses of action still do not achieve the necessary reduction in staff, the Company and the Trade Union will seek to agree fair skills matrices. This will include assessments of competence and capability together with attendance and disciplinary records and may vary depending on the role affected.

4.9.4 Misconduct

Employees under consultation for redundancy will be treated the same as any other employee in relation to the Company’s Disciplinary Procedures. Anyone dismissed in accordance with the Company’s Disciplinary Procedure whilst under notice of redundancy or within the trial period in respect of alternative employment, will lose their entitlement to redundancy payments.

4.9.5 Redundancy Payments

Redundancy payments are those determined by statute at the time of the redundancy. An ex-gratia payment of 50% thereof of the statutory redundancy payment will also be payable.

Pension details will be provided upon request where early retirement is being considered by redundant employees. This does not necessarily mean an application would be automatically accepted.

Arriva the Shires and Essex Employee Handbook

4.10 to 4.10.2 Issue August 2008

4.10 Disciplinary And Grievance Policy

4.10.1 Principles

The Disciplinary Procedure is designed to help and encourage all employees to achieve and maintain satisfactory standards of conduct and performance.

It aims to:

• remind you what is expected of you

• give you an opportunity to remedy shortcomings in your performance or conduct

• prevent unsatisfactory behaviour by a minority of employees which could adversely affect our business or interfere with effective working relationships

The Company has other policies which are relevant to disciplinary matters, such as Equal Opportunities, Attendance and Communications. This procedure should be read as incorporating provisions relating to discipline in any other Company policies.

The following is a brief summary of statutory procedure as set out in schedule 2 of the Employment Act 2002

4.10.2 Standard Statutory Procedure

Step 1 Employer must set out in writing the alleged conduct, copied to employee and inviting to them to a meeting, advising of the right to be accompanied and giving reasonable opportunity to consider their response.

Step 2 Meeting must take place before action is taken except where action consists of suspension. Must inform employee of decision and right of appeal.

Step 3 Employee must inform employer of wish to appeal within set time, meeting need not take place before disciplinary action takes place, where practicable, more senior manager should hear appeal. Employee has right to be accompanied.

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Issue August 2008 4.10.3

4.10.3 Modified Statutory Dismissal Procedure

Step 1 Employer must set out in writing the employee’s alleged misconduct that has led to dismissal including the reasons for thinking at the time of dismissal that the employee was guilty of the alleged misconduct. Employee must be informed of their right of appeal.

Step 2 Employee must inform employer of wish to appeal within set time. Employer must hold meeting at which employee has a right to be accompanied and must be informed of decision, Appeal must be heard by a more senior manager not involved in the earlier decision to dismiss.

In the event that the employer fails to follow the statutory procedure where an employee qualified to do so makes a claim of unfair dismissal, an employment tribunal will automatically find the dismissal unfair.

When a potential disciplinary matter arises, the employer should make necessary investigations to establish the facts promptly before memories fade. It is important to keep a written record for later reference. Having established the facts, the employer should decide whether to drop the matter, deal with it informally or arrange for it to be handled formally. Where an investigatory meeting is held solely to establish the facts of a case, it should be made clear to the employee involved that it is not a disciplinary meeting. However, the employee should still be offered the opportunity to be accompanied.

In certain cases, for example in cases involving gross misconduct, where relationships have broken down or there are risks to the Company’s property or responsibilities to other parties, consideration should be given to a brief period of suspension with full pay whilst unhindered investigation is conducted. Such a suspension should only be imposed after careful consideration and should be reviewed to ensure it is not unnecessarily protracted. It should be made clear that the suspension is not considered to be a disciplinary action.

No employee may be dismissed for a first breach of misconduct except in the case of gross misconduct.

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4.10.3 continued to 4.10.5 Issue August 2008

An employee will be given a written explanation for any disciplinary action taken which will detail any expected improvements.

At all stages the employee will be advised they have the right to be accompanied by a Trade Union representative or work colleague. This precludes cautionary suspension from duty. Their role is to help you prepare, witness the meeting, speak on your behalf if required (but not normally answer questions on your behalf) and give support throughout the whole process. The person you choose must be reasonably available. Where Language is a problem, an appropriately skilled linguist will be provided.

The level of disciplinary action imposed will take into account the:

• seriousness of breach

• employee’s length of service

• relevant current disciplinary awards

• any mitigating circumstances

Other than by mutual consent, you will be given not less than 24 hours’ notice to attend a formal disciplinary hearing. Should the employee be unable to attend this meeting for any reason, such as illness then another meeting will be arranged, at a mutually convenient time. If the employee is unable to attend the 3rd arranged meeting and fails to respond or explain their reasons then a decision may be taken in his or her absence, with union representation.

4.10.4 Required Standards

The information below details areas that breach the required standards of your role and may result in formal disciplinary action being taken. It is not practical to specify all disciplinary rules or offences that may result in disciplinary action, as circumstances may vary depending on the nature of the work.

4.10.5 Unsatisfactory Performance

When you are not meeting the performance standards required in your job this will initially be investigated and may result in an interview to seek ways to improve performance. If no improvement is made and the

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Issue August 2008 4.10.5 continued to 4.10.8

performance standards continue not to be met, then this may lead to disciplinary action.

4.10.6 Probationary Period

In cases where an employee is still within their probationary period with the Company, unsatisfactory performance could result in dismissal. Before this decision is taken the employee will have had a review with their manager (or instructor/examiner if still in the training school) and the areas for improvement will be highlighted and the opportunity given to improve. The manager may also extend an employees’ probationary period to allow the employee to make improvements in their performance. This will normally be

up to a period of 3 months. If the agreed improvements are not met this could result in dismissal.

4.10.7 Simple Misconduct

This is defined as a single action or omission that causes inconvenience or embarrassment to the Company, to other employees, to members of the public or other third parties or repetition of a minor irregularity. Examples of simple misconduct may include (but are not limited to) poor workmanship or inconsiderate conduct.

4.10.8 Serious Misconduct

This is when you fail to follow to comply with the Company’s standards. This list cannot cover every offence, examples include:

• An unsatisfactory timekeeping record

• Being absent without permission

• Failing to maintain the required standard of appearance and personal hygiene

• Failing to carry out reasonable instructions

• Failing to follow Company rules

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4.10.8 continued to 4.10.10 Issue August 2008

• Breach of health and safety regulations

• Unsatisfactory customer comments

• Early running

• An unsatisfactory incident record (blameworthy)

If more than one rule is broken or the degree of violation is extreme, then it may be treated as a Gross Misconduct.

In addition to the above, any other action which on a common sense basis is considered to be a serious breach of acceptable behaviour. Owing to the nature of our business, breaches affecting service delivery or relations with the public will be treated more seriously than in other employment.

4.10.9 Capability

If you have an unsatisfactory attendance record, then this will be dealt with under the Company’s Disciplinary procedures, separately to General Misconduct. The Company recognises that generally absence from work is not by the choice of the employee.

4.10.10 Gross Misconduct

This is a very serious breach of Company rules and could lead to summary dismissal. Though not exhaustive, examples of Gross Misconduct are as follows:

• Theft or misappropriation of money or property belonging to the Company, employees or a third party associated with the business

• Fraud or intended fraud relating to the business

• Ticket irregularity including fare collecting without issuing a ticket, failing to issue a ticket, re-issuing a ticket or knowingly selling an undervalue ticket

• Being under the influence of drugs or alcohol

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Issue August 2008 4.10.10 continued

• Fighting or physical assault

• Grossly indecent or immoral behaviour

• Willful refusal to carry out a reasonable and lawful instruction given by a supervisor, manager or director

• Falsifying accounts or records, including clock cards and journey log cards, clocking another employee’s clock card or permitting your clock card to be used by another

• Deliberate or significant breaches of health and safety rules, such as smoking in a prohibited area,dangerous practice on the Company’s premises or in Company vehicles (including the use of a handheld mobile telephone whilst driving), or breaching Company or statutory rules that could cause danger to employees or the public or leave the Company liable to prosecution

• Deliberate damage to, destruction or sabotage of the Company’s property

• Discriminatory conduct, bullying, sexual or racial harassment

• Carrying out private work on the premises and/or in working hours without permission

• • Any act outside of work which brings the Company into disrepute

• e.g. an employee dealing in drugs

• A deliberate act of abuse or discourtesy

• Imprisonment or conviction for a criminal offence considered damaging to the Company, or that has a bearing on the employee’s suitability for continued employment

• An infringement of the Competition Act 1998 disclosing confidential information relating to the Company’s business to a third party

• Gross negligence or misconduct including careless or reckless driving

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4.10.10 continued to 4.10.12 Issue August 2008

• Unauthorised withdrawal, non-operation, curtailment, diversion or significant early running of a journey intended to carry passengers

• Disqualification from holding a driving licence if driving is a significant part of the job

4.10.11 Advice And Guidance

If an employee commits an act that is minor in nature and against an acceptable standard of conduct, the employee may be informed of this verbally by a member of the management team. This may be referred to at a subsequent Disciplinary Meeting if such behaviour is repeated but it would not be deemed to represent any prior award.

If an employee repeats such behaviour as in the above circumstance or is involved in an incident that may have more serious implications, then formal action may be deemed necessary.

4.10.12 Formal Disciplinary Procedure

Initially, the employee will be informed of the allegation made against them in writing.

Investigatory Meeting

The employee will be invited to an investigatory meeting, notified of their right to representation and should be given a copy of any documents which will be produced at the meeting.

At the meeting the manager will explain the disciplinary issue alleged against the employee, discuss the allegations and consider the evidence that has been gathered. The employee will be invited to set out his or her case to deny, rebut or refute any allegations that have been made. The employee will be given the time to ask questions, present evidence, call witnesses and challenge any information provided by witnesses.

Following the meeting the manager will decide whether a formal disciplinary hearing is required and can be justified.

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Issue August 2008 4.10.12 continued

Where misconduct is established as fact, for example:

• Early running

• Positive alcohol or drug test

• Driving disqualification a fact-finding investigation meeting may not be necessary.

There are different stages of disciplinary action that can be taken as follows:

Stage One – Caution

If the employee’s conduct or performance fails to meet with acceptable standards he or she may be given a caution. He or she will be advised of the reason for the warning, that it is the first stage of the Company’s disciplinary procedure, the improvements that are required and the consequences if the required improvements are not met within the timescales set. The individual will be informed of their right of appeal. A record of the caution will be kept, but will cease to “be live” after 6 months.

Stage Two – Written Warning

If the offence is sufficiently serious, or if a further offence of misconduct occurs, a written warning may be issued. He or she will be advised of the reason for the warning, the improvements that are required and will advise that action under Stage 3 of the procedure will be considered if there is no

satisfactory improvement. The individual will be informed of their right of appeal. A record of the written warning will be kept, but will cease to “be live” after 9 months.

Stage Three – Final Written Warning

If conduct or performance fails to improve, or if the misconduct is sufficiently serious, the employee is likely to be given a final written warning. This will give details of the complaint, will warn that dismissal may result if there is no satisfactory improvement and will advise of the right of appeal. It will advise of the improvements that are expected and specify the timescales involved. A record of the final written warning will be kept, but will cease to “be live” after 12 months, in all but the most exceptional circumstances. Award could include unpaid suspension.

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4.10.12 continued Issue August 2008

Stage Four – Contractual Dismissal

If conduct or performance remains unsatisfactory and the employee still fails to reach the prescribed standards Dismissal is likely to result. The employee will be provided as soon as reasonably practicable with written reasons for the dismissal, the date on which the employment will terminate and the right of appeal. For some employees, dismissal will lead to a demand for repayment of indemnities and other liabilities.

Stage Five – Summary Dismissal

Certain acts of Gross Misconduct may merit summary dismissal without notice, these may include theft, fraud, assault, incapacity to work due to the influence of alcohol or illegal drugs or serious infringement of health and safety rules. Certain criminal offences that occur outside the workplace may also be considered to be gross misconduct and may result in summary dismissal. In the cases where the Company has sustained a loss as a result of the Gross Misconduct, holiday accrued may be withheld.

Every effort should be made to ensure consistency in level of awards for disciplinary offences.

In certain circumstances alternatives to Dismissal may include:

Redeployment - This applies to a position where it is felt the individual should be given a further opportunity in an alternative position, e.g. loss of status or removal from a rota. In relation to underperformance the individual must be given clear guidance, appropriate training and the opportunity to improve in accordance with this policy. Redeployment will be conducted with sensitivity to others in post in the alternative position. The appropriate pay rate for the redeployed position will apply.

Disciplinary Transfer – This is the permanent transfer of an employee to an appropriate alternative site within Arriva.

Only a depot manager or more senior may dismiss an employee from the Company.

Arriva the Shires and Essex Employee Handbook

Issue August 2008 4.10.13

4.10.13 Suspension From Duty

Where it is reasonable to do so, an employee may be suspended from duty, pending a disciplinary investigation.

The Company reserves the right to suspend an employee on rostered pay until the matter is concluded.

Disciplinary action can be taken by various levels of managers as

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Hearing of appeal

All levels of manager would be expected to resolve matters informally in the first instance where this is clearly appropriate.

Arriva the Shires and Essex Employee Handbook

4.10.14 Issue August 2008

4.10.14 Appeal Procedure

Employees who have had disciplinary action taken against them have the right to appeal against the decision. An employee may choose to appeal because:

• Disciplinary action taken is unreasonable

• Disciplinary action was inconsistent with action taken in a similar case

• New evidence comes to light;

• Disciplinary procedure was not applied correctly or consistently

• No compassion was applied

An application to appeal must be submitted in writing within 7 working days, upon receipt of the decision letter, stating the grounds on which the appeal is to be heard as detailed in this policy. It is the employee’s responsibility in the appeal letter to be specific in stating the grounds for appeal and supporting evidence thereafter.

Appeal hearings should, where possible, take place as soon as practicable after receipt of the appeal. In exceptional circumstances any delay should be agreed with the individual lodging the appeal. After holding the initial appeal meeting, the manager conducting the appeal may need to adjourn the meeting to carry out a further investigation and the meeting will be reconvened at an appropriate time, without

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* In the case of failure of probation, a review of performance/behaviour will be conducted. Every effort will be made to hear appeals within the above timescales where reasonably practicable.

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Issue August 2008 4.10.14 continued to 4.10.15

At an appeal hearing, any award may be either increased or decreased in severity at all stages of the appeal process. Increases are subject to there being new evidence available at the appeal.

4.10.15 Grievance Procedure

During your employment with us, there may be times when problems arise. In the event that there is a problem or grievance that has not been resolved informally with the immediate line manager, then the Grievance Procedure will apply. The Grievance Procedure provides a fair and logical way of solving problems as near as possible to the point of origin and as quickly as reasonably practicable. You may be accompanied by a staff representative or workplace colleague at all stages of the procedure.

The timescales set out in this procedure should be closely adhered to at all times. If for any reason the times need to be extended beyond this, this should be in agreement with the individual. All grievances should be copied to the HR manager.

This is a statutory procedure as defined by the Employment Act 2002 (Dispute Resolution) Regulations 2004. However, there are a number of circumstances where statutory procedures do not apply.

Stage 1 Where employees feel aggrieved on any matter affecting their employment, they should discuss the problem initially with their immediate supervisor/manager. The supervisor/manager will attempt to resolve the issue, consulting where necessary with other members of the management team and respond as quickly as possible. Every effort will be made to solve the problem amicably and an outcome should be notified appropriately either in person or in writing within 7 working days of the grievance hearing. The oral decision should be confirmed in writing.

If you are not satisfied with the outcome of the grievance then you have the right to take this to Stage 2 of the procedure.

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4.10.15 continued to 4.10.16 Issue August 2008

Stage 2 Should the matter remain unresolved, the grievance should be referred in writing to the next level of management who will discuss your grievance with you within 7 working days of receipt of the appeal letter. An outcome should be notified appropriately either in person or in writing within 7 working days of the grievance hearing. The oral decision should be confirmed in writing.

Stage 3 If the matter is still not settled, it will be referred to a Company director who will discuss your grievance with you within 7 working days of receipt of the appeal letter. A decision should be notified appropriately either in person or in writing within 7 working days of the grievance hearing. The oral decision should be confirmed in writing.

Grievance Raised During Disciplinary Action

In the course of a disciplinary action, an employee might raise a grievance relating to the case. In this event, the disciplinary hearing should be suspended whilst the grievance is dealt with. It may be necessary to bring in another manager to deal with the disciplinary hearing. Where disciplinary action contemplated by the employer is dismissal, statutory grievance procedure does not apply.

4.10.16 Collective Grievance

A grievance affecting a group of employees may be raised by the staff/Trade Union representative with a member of the management team. This procedure is concerned with the problems and anxieties which arise at work, and which affect a group of employees.

To be considered under this agreement, the difficulty must be a specific problem, which is the direct concern of more than one employee.

The same procedure applies as the individual grievance procedure. The timescales detailed for the Collective Grievance Procedure are the same timescales as the individual grievance. However, as collective grievances can often be more complex, then these timescales may need to extended in order to fully investigate the issue. Appropriate timescales will be agreed with the Trade Union.

Arriva the Shires and Essex Employee Handbook

Issue August 2008 4.10.17 to 4.11.1

4.10.17 ACAS Conciliation

If Arriva and the TGWU feel there is an irreconcilable difference on an issue, then both sides can agree to refer this to ACAS for conciliation so that an agreement can be reached.

4.11 Recruitment, Training And Development Policy

We are committed to ensuring you receive appropriate training both at the start of your job and during your continuing employment with us.

There are several priority areas for training as follows:

• Induction

• Fire, health and safety, environment

• Customer care

• Equal opportunities and non-harassment

• Job skills

• Conflict avoidance

• Supervisory skills

• Management development

• Numeracy/literacy

We also wish to encourage your development within the organisation, hence requests for individual training will be considered where it would be of relevance to the individual’s present and future development within the Company and in accordance with the needs of the business.

4.11.1 Promotions And Career Opportunities

It is the Company’s policy to fill vacancies, wherever appropriate from within the Company. We try to encourage and help employees who demonstrate potential for development to move to a more senior position, or a position that allows them to take on different responsibilities.

Where a vacancy occurs, it would normally be advertised within the Company on our notice boards and advised to Trade Union representatives. Suitable staff are invited to apply.

Arriva the Shires and Essex Employee Handbook

4.11.2 to 4.11.5 Issue August 2008

4.11.2 PCV Training

Should you leave the Company within 24 months of receiving your training and passing your PCV driving test, you will be required to repay a sum as a contribution towards the cost of your training. The sum will have been agreed with you at the start of your employment. This will be deducted from your final wages.

4.11.3 Driver/Staff Development

Existing drivers may at any time be referred to the Driving School for training at either their own request to update their skills or at their manager’s request if their performance in any area would improve with further training. Such training available includes defensive driving, ticketing, customer care and disability awareness.

All drivers deemed to have been involved in blameworthy collisions may have their driving assessed and may be given the opportunity to enhance their skills in the Driving School.

All drivers will be required to undergo refresher training, at the Company’s request, to ensure the skills they obtained when in the Driving School are maintained and developed.

4.11.4 Study Leave

Study leave will be considered on an individual basis and applications should be made, in writing, to the department manager/depot manager. The application should contain details of time off which is required, including time off for exams.

Study leave will only be considered if the qualification/course is relevant to the individual’s role or the individual’s progression within the Company and taking into account operational requirements.

4.11.5 Training Costs

It is necessary for an indemnity clause to apply to training and the funding of further education. The individual will be required to re-pay training costs on the following basis if the individual leaves the

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Issue August 2008 4.11.5 continued to 4.12

business or fails to complete the course (this excludes training under compulsory CPC).

Period in which employment ends and proportion of course fees recoverable.

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In certain cases e.g. DMS, MBA courses, other terms may apply.

4.11.6 ArrivaiLearn

People can develop in many ways in addition to standard training courses. Arriva has an on-line training resource that includes The Ashridge Virtual Learning Centre and the Rosetta Stone interactive language learning facility. This is available to all staff. If you would like to know more about the courses available on Arrivailearn then please contact a member of the HR Team or follow the log-in instructions on http://www.arrivailearn.com.

4.12 Drugs And Alcohol Policy

Arriva the Shires and Essex has a duty to protect the safety of its customers, the public and its employees. It is an implied and explicit requirement that employees driving on Company business are not under the influence of drugs or alcohol. Arriva has a responsibility to ensure that employees are free from the influence of drugs and alcohol, whilst on Company premises and when in charge of a Company vehicle.

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4.12 continued to 4.12.1 Issue August 2008

This policy has three main objectives:

• The safety of customers and staff

• Compliance with legislation

• Care for health and welfare of employees

It is for these reasons this policy has been introduced. This policy outlines the employee and employers responsibility in relation to drugs and alcohol and offers guidance and welfare advice where necessary.

4.12.1 Employee Welfare

Arriva the Shires and Essex has a policy of assistance with the rehabilitation of staff who voluntarily seek help for drug or alcohol problems. Such staff must however seek assistance at the earliest possible opportunity. Subsequent discovery or a disclosure prompted by impending screening will not be acceptable and you may be subject to disciplinary action. If you believe you have a drink or drug problem please report this to your manager or HR. Your approach will be dealt with in confidence.

You must demonstrate that you are seeking (or are prepared to seek) and are keeping to specialist advice for dealing with the problem. You may seek help from the medical and /or welfare services available within the Company, either by making a direct approach or through your manager.

If you seek and accept help as specified above, you will not have disciplinary action taken against you or be dismissed from employment with Arriva the Shires and Essex simply on the grounds that you have a drug or alcohol problem. This is providing you adhere to the requirements in this policy.

If you have a drug or drink related problem you are still required to observe all rules and regulations relating to the performance of your work. If your performance levels are not to a satisfactory standard you will be subject to normal disciplinary action for any breach of discipline.

If any employee who declares a drink problem and who is under specialist treatment attends work after consumption of alcohol, he/she

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Issue August 2008 4.12.1 continued to 4.12.3

will be allowed to self test. If a rate of 8 micrograms of alcohol per 100 millilitres of breath or above, is displayed on the breath testing equipment, he/she will need to see a manager and be sent home without pay. This facility will be permitted for the duration of the specialist treatment.

If you lose your licence as a result of having a drug/drink problem disciplinary action may follow and it is likely that your employment will be terminated.

4.12.2 Consumption Of Alcohol

The consumption of alcohol while on duty, or during any break within a duty is forbidden. Employees must not report for duty whilst under the influence of alcohol.

Employees should be aware that alcohol (and its effects) takes time to clear from the body. After drinking late into the evening or after heavy consumption, individuals may still be affected and can be over the legal limit for several hours afterwards.

Any breach of the above rules will be regarded as gross misconduct and is likely to result in summary dismissal.

4.12.3 Testing Procedures

There are two types of alcohol tests that will be carried out as part of this policy. These are ‘For Cause’ testing and ‘Unannounced Random’ testing.

Positive Results

Following the testing a positive result is indicated by a rate of 8 micrograms of alcohol per 100 millilitres of breath or above, registering on the alcohol breath testing equipment.

If an individual refuses to give a breath specimen the individual will be informed that such a refusal may constitute gross misconduct, and will be suspended with pay pending a formal disciplinary hearing in accordance with the Company’s agreed disciplinary procedures.

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4.12.3 continued Issue August 2008

‘For Cause’ Testing

Immediately following a road traffic accident, or, at any time where there are reasonable grounds to suspect the use of alcohol, the Company reserves the right to send the employee/contractor for an alcohol test.

Where it is necessary for an alcohol test to be carried out, the following procedure will apply:

• The person-in-charge must be an appropriately trained manager

• The person being tested will be asked to give a sample of breath

• If the person refuses to give a sample of breath they must be informed that such a refusal constitutes gross misconduct and be suspended with pay pending a formal disciplinary hearing

• The manager will administer the breath test

• If the breath test is negative then the individual will be asked to sign a record and return to work

• If the breath test is positive (i.e. indicating a level of 8 micrograms of alcohol per 100 millilitres of breath), or above, the individual will be asked to wait 30 minutes, after which a second breath test will be administered. The second breath test will be taken as the definitive result

• At the employee requests the second test may be delayed by an additional 30 minutes to find an appropriately trained individual to act as a witness

Unannounced Random Testing

The Company will randomly select 10% of its employees for alcohol testing each year. The selection is entirely random and is operated through the Company’s payroll system.

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Issue August 2008 4.12.3 continued to 4.12.4

The following procedure will apply:

• A list of names will be produced at random, as detailed above. A Union representative will be present at the time of producing the list

• The manager will identify him/herself to those on the list, and inform them they have been selected to be tested for alcohol

• The selected individual will be taken to a private place where the breath test will be administered. The individual may be accompanied by his/her Trade Union representative or nominated workplace colleague

• If the breath test is negative then the individual will be asked to sign a record and return to work

• If the breath test is positive, indicating a level of 8 micrograms of alcohol per 100 millilitres of breath, or above, the individual will be asked to wait 30 minutes, and a second breath test will be administered. The second breath test will be taken as the definitive result

• If the employee requests it, the second test may be delayed by an additional 30 minutes to find an appropriately trained person to act as a witness

• If the second test is positive then the individual will be dealt with according to the agreed Disciplinary Procedure.

4.12.4 Alcohol Disciplinary Procedure

• Any employee who has an alcohol concentration of between 8-35 on the alcohol breath testing equipment will have failed and be deemed unfit to work, He/she will be suspended without pay from that moment and this will be recorded on the employee’s personnel file

• If an employee has an alcohol concentration of between 8-35 on the alcohol breath testing equipment on 2 occasions or more within a rolling 12-month period, the Company’s disciplinary procedure will be triggered

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4.12.4 continued to 4.12.6 Issue August 2008

• An alcohol concentration above the prevailing legal drink drive limit (currently 36 micrograms of alcohol per 100 millilitres of breath or above) on the alcohol breath testing equipment is an act of Gross Misconduct under the Company’s agreed disciplinary procedures. The Company has a legal obligation to notify the Traffic Commissioner in these circumstances

• Warnings issued, as part of the Alcohol Policy and Procedures, will remain live for 12 months

Note: If the law changes and the legal limits vary, the above limit will be reviewed and varied accordingly.

4.12.5 Voluntary Breath Test

Once in 6 months, an employee who believes they may be over the Company alcohol limit can ask for a voluntary test before commencing duty. If he/she fails the test he must be sent home without pay but no record of the test will be used for disciplinary procedures. For the purpose of clarity this cannot take place on the day they have been independently chosen for a random test.

4.12.6 Testing Equipment

Several independent managers have been trained to carry out an accuracy check breath testing equipment. Accuracy checks will be carried out every 30 days and after any positive tests (scoring 8+) which will be done with a Trade Union representative present. An external Company will calibrate the alcohol equipment every 6 months.

Alternative equipment will be used if there are any problems with the accuracy tests or calibration checks (i.e. the seal is broken for calibration or if there is no signature after 6 months). If there is no alternative equipment available no test will take place.

If a printed copy of the test does not print out at the time of the test, another test will take place with other equipment if necessary.

Arriva the Shires and Essex Employee Handbook

Issue August 2008 4.12.7

4.12.7 Drugs Policy

The use of drugs or being unfit for work through the use of illegal, prescribed or over-the counter drugs and medicines, can affect the safety of employees and customers, as well as the quality of service. In order to ensure that this risk is minimised all employees and contractors must:

• Report incidents where they are taking any prescription or over the counter medicines (if they are in any doubt as to how these may affect their performance at work) to their line manager

• Report any incidents that give them good reason to suspect any colleague or other person of taking/trading drugs on Company premises to the appropriate manager/representative

• Report to their line management/representative if they have good reason to believe that any work colleague or other person is unfit through drugs whilst at work or on Company premises

• Be prepared to take part in any drugs testing procedures implemented by the Company

• Conform with directions and instructions given as part of the Company Drugs Policy and Procedures

Any breaches of the following rules may constitute gross misconduct on the part of the employee and my result in summary dismissal:

• Employees and contractors must NEVER be at work or on Company premises whilst unfit through illegal/substances

• All employees and contractors must NEVER be at work or on Company premises, whilst unfit through prescribed/over-the-counter drugs/substances (unless a medical practitioner has confirmed that the individual’s work capacity will not be affected)

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4.12.7 continued to 4.12.8 Issue August 2008

• All employees and contractors must NEVER bring illegal drugs/substances onto Company premises

• All employees and contractors must NEVER trade illegal drugs/substances on Company premises

4.12.8 Drug Testing Procedure

All potential employees, irrespective of the job they are applying for, will have a pre-employment medical examination at which alcohol and drugs testing will take place.

The medical examination will be undertaken by a qualified medical practitioner, appointed by the Company.

The drugs test uses a urine specimen, provided in a secure manner, at the time of the medical. The result of the drugs test is available during the medical.

“For cause” drugs testing has been an integral part of the Company’s health and safety policy since January 2000 and continues to be so.

“For cause” drugs testing is carried out at the request of the depot/departmental manager, by a qualified medical practitioner.

Illegal use of drugs by any employee remains gross misconduct, which if proven, may make the employee liable for summary dismissal.

Provision is available for the Company to provide support for employees who have a drug problem BEFORE any incident takes place.

Advice from the Company on the effects of some over-the-counter medications is available to employees, upon request to their Line manager. A copy will also be held by local union representatives.

The Company plans to implement a system of random drug testing. The process for the administration and control of this will be communicated to all staff and their Trade Union representatives.

Arriva the Shires and Essex Employee Handbook

Issue August 2008 4.13 to 4.13.1

4.13 Communications And Data Protection Policy

4.13.1 Acceptable Use Policy For Software (Including Copyright), Company PCs, E-Mail And Internet Access

The Company encourages the use of e-mail and the Internet as a means to make business and communication more effective. However, e-mail and internet services are valuable and costly corporate resources and their purpose is to facilitate the business of the Company. Irresponsible use of these resources reduces their availability for critical business operations, compromises corporate security and network integrity and leaves the Company open to potentially damaging litigation.

The Company tracks all internet transactions by employees. The purpose of this is to enable us to manage our e-mail and internet resources in a cost effective and efficient manner, and to plan more efficiently for future technology expansion. Monitoring is carried out on all systems to ensure compliance with this policy and the law. Any authorised manager (The IT manager, HR manager or a director) may inspect any electronic communication created or stored on any system at any time without consent.

Arriva respects the right to privacy, so monitoring of electronic communications will be carried out in line with relevant legislation (e.g. the Telecommunications (Data Protection and Privacy) regulations and the Regulation of Investigatory Powers Act 2000). Monitoring is automated as far as possible and will be carried out only by staff authorised to do so by the Heads of the IT and HR functions. Both internal and external traffic is monitored including; volume, unauthorised access, threats to the network such as viruses, liability and abuse. In particular:

• Most e-mail is stored and may be retained by the system even after deletion

• Every internet site is registered by monitoring software. These registers are inspected regularly and contain: date, times accessed, user name and PC address

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4.13.1 continued Issue August 2008

In this manner we are aware how our resources are being used, where they are needed, where new capacity is required and other infrastructure management issues. Additionally, because of the vulnerability companies have to litigation over inappropriate conduct in the workplace environment, it is our responsibility to ensure that Company resources are not being used to support inappropriate activities. To ensure that all employees understand their responsibilities, the following guidelines have been established for using Company e-mail and internet access. Any improper usage of e-mail or internet jeopardises the Company’s legal standing and therefore cannot be tolerated.

Acceptable Uses Of Company E-Mail And Internet Access

The Company provides e-mail and internet access for business usage. E-mail should be considered to be of equal status to correspondence on Company letter headed paper. Every member of staff has the responsibility to maintain and enhance the Company’s public image and to use Company e-mail and access to the internet in a responsible and productive manner that reflects well on the Company. The Company recognises that there will be occasional personal use on lunch breaks and during non-working hours (with the prior approval of management), but this shall not be excessive or unreasonable.

Unacceptable Uses Of Company E-Mail And Internet Access

The Company’s PCs, e-mail and internet access may not be used for transmitting, retrieving or storage of any communications of a discriminatory or harassing nature or materials that are obscene or “X­rated”. Harassment of any kind is prohibited. No messages with derogatory or inflammatory remarks about an individual’s race, age, gender, disability, religion, national origin, physical attributes or sexual preference shall be transmitted. No abusive, profane or offensive language is to be transmitted through the Company’s e-mail or internet system. Electronic media is not to be used for any purpose that is illegal or against Company policy or contrary to the Company’s best interests. Solicitation of non-Company business, or any use of the Company’s PCs, e-mail or internet access for personal gain is prohibited.

Communications

Each employee is responsible for the content of all text, audio or images that they place or send over the Company’s e-mail and internet

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Issue August 2008 4.13.1 continued

system. No e-mail or other electronic communications may be sent that hides the identity of the sender or represents the sender as someone else or someone from another company. All messages communicated on the Company’s e-mail and internet system should contain the employee’s name. Any messages or information sent by an employee to another individual outside of the Company via an electronic network

(e.g. bulletin board, online service or internet) are statements that reflect on the Company. While some users include personal “disclaimers” in electronic messages, there is still a connection to the Company, and the statements may legally be tied to the Company. Therefore, we require that all communications sent by employees via the Company’s e-mail and internet system comply with all Company policies and not disclose any confidential or proprietary Company information.

Software

No software of any kind may be loaded on to Company PCs without prior discussion with the IT Department. To prevent computer viruses from being transmitted through the Company’s e-mail and internet system, there will be no unauthorised downloading of any unauthorised software. Employees should contact IT if they have any questions.

All software is to be used only for the purpose of Arriva’s business activity and not for any other purpose.

Data Protection Act

Arriva complies to the fullest practical extent with the Data Protection Act. You must use any personal information to which you have access only for the purpose for which it was provided. You must not deliberately disclose any personal information to which you have access or leave it insecure so that it becomes available to unauthorised persons.

Copyright Issues

Employees on the Company’s e-mail and internet system may not transmit copyrighted materials belonging to entities other than this Company. Please note that non-adherence to this policy puts the Company in serious legal jeopardy and opens the Company up to significant lawsuits and public embarrassment.

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4.13.1 continued to 4.13.2 Issue August 2008

All employees obtaining access to other companies’ or individual’s materials must respect all copyrights and may not copy, retrieve, modify, disclose or forward copyrighted materials or attempt to decode any copyrighted software. Confidential Information and trade secrets belonging to copyright holders must be kept confidential.

Failure to observe copyright or licence agreements may result in disciplinary action up to and including termination. If you have questions about any of these legal issues, please speak with your manager or IT before proceeding.

Passwords

You must not reveal any password to anyone else except to a member of Arriva’s IT staff in the context of fault rectification and you must take all possible precautions to protect your passwords.

Security

The Company routinely monitors usage patterns in its e-mail and internet communications. The reasons for this monitoring are many, including cost analysis, security, bandwidth allocation and the general management of the Company’s gateway to the internet. All messages created, sent or retrieved over the Company’s e-mail and internet are the property of the Company and should not be considered public information. Employees should not assume electronic communications are totally private and should transmit highly confidential information in other ways. E-mail messages regarding sensitive matters should warn that such communications are not intended to be secure or confidential. This is just good business sense.

Violations

Any employee who abuses the privilege of Company facilitated access to PCs, e-mail or the internet will be subject to disciplinary action up to and including termination. If necessary, the Company also reserves the right to advise appropriate legal officials of any illegal violations.

4.13.2 Data Protection Act

Data Protection Act (DPA) 1998

As your employer Arriva the Shires and Essex needs to hold and update personal information relating to you.

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Issue August 2008 4.13.2 continued

You will have a personnel file that will hold details such as your application form, offer letter, principal Statement of Employment and any other communication relating to you whilst in our employment. Personal details will include:

• Full name, age, gender and date of birth

• Address and telephone number

• National Insurance number

• Start date

• Employee number/position/department

We will also keep ‘sensitive information’ such as your ethnic origin, health record and any convictions.

Our Customer Services database will hold information on customer comments and incidents that can be recorded against an individual’s name for the purposes of monitoring comment and incident history.

The information is held to enable an accurate record to be maintained of all staff currently working for us (and those who have left in the recent past), for statutory, payroll and other personnel reasons, and will not be otherwise disclosed outside the Company without permission from you. The information will be accessed only by those who need the information to carry out their duties.

Staff may exercise their right under the DPAct 1998 to examine certain information about them and request that any errors are corrected. From time to time we will supply you with a summary of the personal details we hold on you in order that you can check the information. For personal requests for information held on you, the Company reserves the right to levy a small charge for the cost of providing the information.

You also have the right to expect information to be:

• Collected and processed fairly and lawfully

• Held and processed only for the legitimate purpose as described to the registrar

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4.13.2 continued to 4.13.5 Issue August 2008

• Used only for those purposes and only disclosed to those people described in the register entry

• Relevant, adequate and not excessive in relation to the purpose for which it is held

• Accurate and where necessary, kept up to date

• Held no longer than necessary for the registered purpose surrounded by adequate security

4.13.3 Statement To Media

Any statements required to be made by a Company official to reporters from newspapers, radio, television etc, will be given only by an appropriately trained member of management. Any member of staff should approached by the media refer the media to the commercial director or another director in the first instance.

If anyone does make a statement to the media or use Arriva’s name to the media without authorisation, the Company disciplinary procedures may be invoked.

4.13.4 CCTV

Company premises and vehicles may be monitored by CCTV for the purpose of security, crime prevention and employee and/or public safety. Normally signs will be displayed in zones covered by CCTV. Captured CCTV images will not be retained for longer than is necessary to ensure no crime has been committed. The images will then be deleted.

4.13.5 Employee Communications And Consultation

Employee communications is central to any business. Arriva the Shires and Essex recognises the importance of its employees to the functioning of a successful business and will therefore provide and exchange information with and amongst employees at as many opportunities as possible through a variety of media.

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Issue August 2008 4.13.5 continued to 4.14.2

Any policy or procedural updates will be communicated to staff through an appropriate medium as and when these changes occur.

Arriva Now is the Company newspaper that is produced on a quarterly basis. This is used to inform staff of business changes and development, promote staff views and share news stories.

Each person will receive a ‘Job Chat’ with their manager on at least an annual basis. This is to review their progress, establish their aspirations and encourage dialogue in the workplace.

4.14 Mobile Phone Policy

Any driver, whether driving a PCV, commercial vehicle or Company car needs to be aware of Company procedures regarding the use of mobile phones.

4.14.1 Legislation

• With effect from the 1 December 2003, it is an offence to use a hand held mobile telephone or other hand held interactive device whilst driving a motor vehicle if at any time during its operation the device has to be held

• The Road Vehicles (Construction and Use) Amendment No. 4 states that, drivers of motor vehicles and persons who cause or permit another person to drive whilst using a prohibited device, will be committing an offence

4.14.2 Definitions

• A hand held mobile telephone or other interactive device is one, (other than a two way radio) which must be held at some point in order to carry out all functions that can be attributed to this type of equipment

• In control of a vehicle means both being the driver responsible for the vehicle or being the instructor for a provisional driver

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4.14.2 continued to 4.14.4 Issue August 2008

• Driving a motor vehicle on the road also encompasses stationary vehicles with the engine running

4.14.3 Company Car Drivers

Mobile phones are provided essentially for the business needs.

Whilst driving or being in control of a Company vehicle or own vehicle on Company business, it is Company policy that, employees must not use a mobile phone to carry out any functions that can be attributed to this type of equipment unless the phone is held in a Company-approved hands-free kit.

Where there is an agreed requirement for hands free use, the Company will meet the cost of the supply and fitment of an approved hands free kit to a vehicle.

It will not be a breach of Company policy to use a hand held mobile to call the emergency services on 999 or 112 in response to a genuine emergency, when it is unsafe or impractical to stop driving to make a call, i.e.motorways.

Employees covered by this policy should be aware that regardless of whether hands free equipment is installed and used, they can still be prosecuted under existing legislation if they fail to maintain proper control of the vehicle or are found to be driving without due care and attention or in a careless, reckless or dangerous manner.

4.14.4 PCV And Commercial Drivers

A driver wearing an ear-piece (including ‘Bluetooth’), or similar device, for use with mobile phone or radio receiving equipment, and whether it is being used or not being used will be issued with a written warning.

Drivers found to be using a hand-held mobile phone whilst driving will be issued with a final written warning. Repeat instances will be treated as Gross Misconduct within the Company Disciplinary Procedure.

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Issue August 2008 4.14.4 continued to 4.15

On the rare occasion where a driver finds it necessary to use a mobile phone, it is recommended that before doing so, the bus be parked (preferably at a designated bus stop) in a safe manner, and with the hand brake secured and engine switched off.

Passengers must not be inconvenienced, and calls should be brief. It is also recommended that any conversations be carried out in a discreet manner so as not to be overheard by passengers.

All staff are reminded not to contact any driver through a mobile phone, whether it be by means of a call, text message or any other means, while it is known that such a driver is in control of a bus. Control in this context means time being taken at timing points and termini to load passengers etc.

Note: For the purposes of this agreement, the use of a hand-held mobile phone is to include the use of all functions attributed to this type of equipment.

4.15 Equal Opportunities Policy

Arriva the Shires and Essex is committed to providing equal opportunities in employment and to the elimination of unfair and unlawful discrimination against employees and job applicants on the grounds of their gender, marital status, age, ethnic origin, race, colour, religious beliefs, sexual orientation, Trade Union membership, nationality or disability.

The Company actively promotes equality of opportunity through the development and application of employment policies which ensure that individuals receive treatment that is fair and consistent with their relevant aptitudes, abilities and skills, and that employees are developed in the interests of the Company and themselves.

Arriva the Shires and Essex recognises that policies and procedures alone will not ensure the provision of equal opportunities. They are, however, the basis for communicating intentions, establishing the standards and providing the framework for action by staff at all levels.

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4.15 continued to 4.15.3 Issue August 2008

It is also recognised that religious or other similar beliefs may not be tolerant of certain aspects of others characteristics. Nevertheless, it is expected that these views will not manifest themselves in the working environment, that dignity at work will be maintained for all parties and there will be no breach of the Company’s Workplace Non-harassment Policy.

4.15.1 The Need For Equal Opportunities

• To maximise people’s abilities by removing artificial and irrelevant barriers to their recruitment, training and promotion

• To draw from the widest pool of possible talent

• To satisfy legal requirements

• To assist in the achievement of business objectives. Human resource development is an essential objective of a proactive Company

• To ensure that the structure of a Company’s workforce reflects the diversity of the population it serves

4.15.2 The Law

Arriva the Shires and Essex recognises its legal obligations to act within existing legislation. The Company further supports the spirit and intent of the Codes of Practice accompanying the laws.

It also acknowledges that unfair treatment can occur on grounds not covered directly by legislation and it extends the principles of equal opportunities to those factors.

4.15.3 Implementation of Equal Opportunities

Through The Company Structure

The overall responsibility for the promotion, co-ordination and review of equal opportunities policies and programmes of action lies with the managing director. Specific responsibility for the practical development and assessment of programmes of action rests principally with certain key personnel i.e. those staff involved in recruitment and selection, training and development and staff management.

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Issue August 2008 4.15.3 continued to 4.15.4

Through The Workforce

All employees have a personal responsibility for the practical application of equal opportunities in their day to day activities and working relationships with colleagues and customers. The Company recognises that in order to achieve successful implementation of equal opportunities, awareness training and guidance must be available to staff as required.

4.15.4 Areas of Focus

Arriva the Shires and Essex regard the following matters as areas of focus to ensure the effective implementation of equal opportunities.

Recruitment And Promotion

Selection criteria and procedures must be objective and subject to regular review to ensure that individuals are selected, promoted and treated solely on the basis of merits and abilities appropriate to the job.

Training And Development

Equal opportunities must be integrated into all training concerned with selection skills, staff assessment and counselling, staff development and the management and supervision of staff on a day to day basis. The need to provide appropriate training to encourage staff to develop their talents and abilities, particularly in relation to promotion opportunities, is acknowledged.

Grievance And Discipline

Employees who believe that they have experienced unfair or unlawful discrimination, racist or sexist abuse or harassment, should raise their concern through the grievance procedure. Where the grievance may concern the normal line or supervision or management, individuals may approach the next manager in the structure.

Unfair and unlawful discrimination, including racial and sexual harassment and abuse, are specifically defined as forms of unsatisfactory behaviour and are in breach of Company standards. Such offences will be dealt with under the disciplinary procedure and may lead to dismissal from the Company.

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Monitoring

Examining the effects of the policy and programmes of action on a regular and structured basis is a fundamental part of the process of successfully establishing equal opportunities. Personnel data is therefore collected, analysed and interpreted across the Company and within subsidiaries. The objectives of monitoring are:

• To identify areas of and reasons for under-representation of particular groups in the workforce

• To assess the effect of employment procedures and practices, and subsequently identify any unintentional adverse impact on a particular group

• To enable appropriate corrective action to take place, including defining targets for future change

• To enable the Company to review and reshape its equal opportunities policy and programmes of action

4.15.5 Diversity

The Company values good quality, hard-working employees irrespective of their background, personal characteristics etc. The diversity of our staff is welcomed. It adds benefits to the business and complements the diverse nature of our customers, suppliers, neighbours and the wider community.

4.16 Workplace Non-harassment Policy

Arriva the Shires and Essex fully support the rights and opportunities of all people to seek, obtain and hold employment without discrimination.

Workplace harassment is a form of discrimination and is unlawful behaviour under current legislation. It is also improper and inappropriate behaviour that lowers morale and interferes with work effectiveness. It is the policy of Arriva the Shires and Essex to provide a productive working environment free of harassment, intimidation and victimisation on the basis of sex, race, colour, disability, age, sexual

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orientation, religious or similar beliefs held, or other such personal characteristic. The Company is committed to ensuring that its employees are treated with dignity and respect.

Behaviour which leads to the harassment of another employee is not acceptable and will render the individual responsible liable to disciplinary action which could result in dismissal.

4.16.1 Definition

Workplace harassment is regarded as any conduct related to sex, race, colour, disability, age, sexual orientation, religious or similar beliefs held or any other such personal characteristic which is unwanted by the recipient.

It refers to behaviour that is unsolicited, unwanted and fails to respect the individual. It may be persistent or an isolated incident and may be directed towards one or more individuals. Whatever its origin, harassment is behaviour that is inappropriate, which can result in the individual feeling threatened, humiliated, patronised or disadvantaged.

Workplace harassment may be:

Physical - including pranks unnecessary touching, gestures or assault

Oral – including telling jokes and banter of a personal, sexual, racial nature or other personal characteristic, comments about a persons’ clothing, body or looks, patronising remarks, personal abuse, malicious gossip, requests for sexual favours, speculation about an employees’ private life (including sexual activities)

Visual - displaying sexually or racially offensive material, graffiti, exclusion from normal work conversation, unfair allocation of workload, persistent giving of unwelcome gifts, intimidation

Situations when the harasser thinks it is ‘just a bit of fun’ or if other people treat the behaviour as a ‘laugh and a joke’ can constitute harassment. It is the effect of that behaviour on the individual that is at the very heart of the policy.

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4.16.2 Responsibilities Of Managers And Supervisors

All managers and supervisors are responsible for eliminating any harassment or intimidation of which they become aware, whether or not it is brought formally to their attention. Failure to do so will be considered a failure to fulfil their responsibility under this policy.

4.16.3 Duty Of Employees

All employees have a duty to comply with this policy and ensure that their colleagues are treated and treat others with dignity and respect regardless of any religious or similar belief held that could impede this duty.

4.16.4 Harassment Complaint Procedure

Workplace harassment is not acceptable under any circumstances within the Company. Victims of harassment may feel discouraged from taking action by their fear of retaliation, embarrassment or feelings of guilt. Harassment needs to be acknowledged and dealt with appropriately.

4.16.5 Informal Action

An employee who believes that he/she has been the subject of harassment, should first inform their harasser (where appropriate) that their behaviour is unwelcome and ask them to stop. A friend or colleague can be invited along.

They should collect evidence of the behaviour and keep a diary of events detailing what was said and done.

An employee may also choose to raise the matter informally with their manager. Advice and assistance regarding harassment may also be sought from the HR manager.

4.16.6 Formal action

If the harassment persists or if the incident is considered to be very serious, the recipient can make a formal complaint using the Company’s Grievance Procedure.

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Issue August 2008 4.16.6 continued to 4.17.2

An employee who believes that he/she has been subject to harassment should make a report to their manager.

If the employee has a diary detailing the harassment details, this should be shown to the manager. All complaints will be dealt with quickly and in confidence. The employee will be guaranteed a fair hearing. Both the complainant and the accused shall be entitled to have representation by a workplace colleague or staff representative.

If the investigation reveals the complaint is valid, prompt action will be taken to stop the harassment immediately and prevent its recurrence. If relocation proves necessary, every effort will be made to relocate the harasser and not the victim.

Employees shall be protected from intimidation, victimisation or discrimination for making a complaint or assisting in an investigation.

Retaliating against an employee for complaining about harassment is a serious disciplinary offence, which could result in dismissal.

4.17 Retirement Policy

4.17.1 Scope Of The Policy

This policy applies to the retirement of all employees It does not confer any contractual entitlement, and the Company (‘we’) may at any time at our discretion make changes to the policy or remove it altogether.

4.17.2 Retirement Age

It is our Company policy that all employees should retire when they reach the established retirement age of 65. However, you have the statutory right to request not to retire. If you make a request in accordance with the relevant legal requirements (see over), then we will give it careful consideration. We may agree to you continuing to work beyond the retirement age if we think that exceptional circumstances apply.

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4.17.3 Issue August 2008

4.17.3 Procedure Prior To Retirement

At least six months before you reach the retirement age, we will write to you to confirm that this date is your intended date of retirement and to inform you that you have the statutory right to request not to retire.

If you wish to exercise your statutory right to request, you must do so in writing no later than three months before the intended date of retirement. You should send your request to the appropriate person detailed in the letter.

You must send your request within this time scale. If you send a request late, and/or if it does not meet the requirements set out below, then we are not obliged by law to consider it.

By law, your request must:

• Be in writing

• State that it is made under paragraph 5(3) of Schedule 6 of the Employment Equality (Age) Regulations 2006

• Propose that your employment should continue indefinitely or for a specified period or until a specified date

In addition (although this is not required by law) we encourage you to identify in your request any issues you think we should take into account in considering it and in particular explain why you think that exceptional circumstances apply in your case (see section below for examples). Including such information will assist us in considering your request.

On receipt of a request that meets these requirements, we will invite you to a meeting to discuss it (unless we agree to your request, in which case we will notify you of this). The meeting will normally be held by your line manager. Both parties must take all reasonable steps to attend the meeting.

Following the meeting we will give you our decision in writing. We are not required by law to give reasons for our decision.

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Issue August 2008 4.17.3 continued to 4.17.5

If our decision is to refuse your request, or allow your employment to continue for a shorter period than that which you proposed, then you have the right to appeal. If you wish to appeal, you must send an appeal letter setting out the grounds of your appeal. We will then invite you to an appeal meeting.

Following the appeal meeting we will give you our decision in writing.

You have the right to be accompanied by a Trade Union representative or work place colleague.

4.17.4 Conditions Of Acceptance

If you are accepted to continue working beyond your retirement age this will be for a fixed 12 month period. At your new retirement date you will again be written to and given the opportunity to make another request to be considered to continue working for a further period of 12 months, following the process detailed above.

4.17.5 Considering A Request Not To Retire

We will give careful consideration to any request made which meets the requirements set out above.

In assessing your request, we will consider whether there are any exceptional circumstances that apply to you. The general principle that applies is ‘If you’re good, you’re welcome’.

Examples of exceptional circumstances are:

• You are a key worker with no current replacement

• There is a serious shortage of employees with your skills

• Your continued employment would enable you to pass on your skills and/or train others

• Your continued employment would enable you to assist in the completion of a specific task or project

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4.17.5 continued to 4.18.1 Issue August 2008

This list is not exhaustive and other reasons may be considered as an exceptional circumstance, depending on your job role etc.

4.18 Health And Safety Policy

4.18.1 General Statement

The Company is committed to ensuring the health, safety and welfare of all employees so far as is reasonably practicable. We also fully accept our responsibilities for other persons who may be affected by our activities.

We will take steps to ensure that our statutory duties are met at all times. We will keep up to date with all changes in health and safety legislation and will ensure adequate funds are available in order to meet health and safety objectives.

Each employee will be given such information, instruction and training as is necessary to enable the safe performance of work activities. It is the duty of management to ensure that all processes and systems of work are designed to take account of health and safety and are properly supervised at all times.

Employees are encouraged to raise health and safety issues with either their immediate supervisor or appointed health and safety representatives. The Company will hold regular health and safety meetings with local depot management and depot health and safety representatives. Such meetings will be recorded and available for inspection.

Where appropriate the Company will employ the services of specialists from outside the organisation in order to meet our statutory duties. It is the duty of every employee to co-operate with the Company to enable compliance with its statutory duties.

The successful implementation of this policy requires total commitment from all employees at all levels of the organisation. Each individual has a legal obligation to take reasonable care for their own health and safety and for the safety of other people who may be affected by their acts or omissions.

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Issue August 2008 4.18.1 continued to 4.18.2

Full details of the organisation and arrangements for health and safety will be set out in separate documents and will be held by the general manager and the health and safety representative.

This policy will be regularly monitored to ensure that the objectives are achieved, it will be reviewed and if necessary revised in the light of legislative or organisational changes.

4.18.2 Safety Precautions

We are satisfied that establishing and enforcing appropriate measures to control and monitor health and safety procedures is a vital part of running the business as an effective and successful operation.

To this end we will:

• Ensure that plant and working practices are safe and offer no risk to health

• Ensure that all necessary precautions are taken in respect of the safe use, handling, storage and transportation of materials and substances

• Provide such information, instruction, training, and supervision as necessary to ensure the health and safety at work of all employees

• Maintain all places of work, equipment and transport under our control in a safe condition, free from risk to health

• Provide adequate facilities for the welfare of employees

• Safeguard the health and safety of visitors and of any member of the general public who could be affected by our activities

• Provide all necessary information relating to health and safety in respect of procedures, products and services

• Review and update the policy as and when necessary, particularly in respect of major changes within the Company and/or changes in legislation and to bring these changes to the attention of all employees

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4.18.3 Individual Responsibilities

It is the duty of all directors, managers and supervisors to ensure that safety and health factors are fully taken into account when designing equipment and operating procedures. Management is also responsible for ensuring that employees understand our health and safety policy and any health and safety rules relating to their jobs. Employees must also be adequately trained and made fully aware of any health and safety hazards in their areas of work.

Notwithstanding the above, all employees have a responsibility for their own personal safety and a duty of care to their fellow employees. The employee’s responsibilities include:

• A duty to comply with the safety instructions and directions laid down by the management

• A duty to use properly, the means and facilities provided for safety and health at work

• A duty to refrain from the wilful misuse or interference with anything provided, in the interest of health, safety and welfare and any action that might endanger themselves or others

• The duty of all employees in authority to ensure that the necessary safety precautions are taken and that the necessary safety instructions are given

• A duty to report any breaches of the rules to the appropriate member of management

• A duty to report any defects or unsafe condition to an appropriate member of staff

4.18.4 Individual Employees

All employees must:

• Comply with the health and safety policy

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Issue August 2008 4.18.4 continued

• Observe the safety rules

• Report any safety hazard within their work area or any defect in machinery, plant or equipment to their supervisor

• Comply with all written or verbal instructions given to them to ensure their personal safety and the safety of others

• Dress sensibly and safely for their particular working environment or occupation

• Conduct themselves in an orderly manner in the workplace and refrain from any form of horseplay

• Use the safety equipment and/or protective clothing provided

• Avoid improvisation in any form, which may create a risk to their safety and to the safety of others

• Maintain all tools and equipment in good condition and report any defects to their supervisor immediately

• Report all accidents to their supervisor whether or not injury is sustained and to enter the details in the accident book

• Attend as requested any training course, meeting etc., designed to further the interests of health and safety

• Observe all laid down procedures concerning work activities, plant, materials and substances

• Observe the Fire Evacuation Procedure and learn the position of all fire equipment and exit routes

• Not invite visitors onto Company premises without permission from the management

• Not consume food or drink in areas where there is a risk of contamination

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Access To Medical Reports Act 1988

All employees are protected by the Act. You may withhold your consent to the application for a report from a doctor, request to see it before issue or request that it is amended if you believe it is inaccurate (the doctor is not obliged to do so but you can insist that a statement is attached setting out your own views). If the doctor refuses to amend the report, you can withdraw your consent to it being issued.

The doctor is not obliged to show you any parts of the report he or she believes might cause serious harm to your physical or mental health.

4.18.5 Company Employee Health And Safety Responsibilities

The responsibilities of all employees have been identified to ensure that safe working practices take place within each area of the Company. Management accepts it’s overall responsibility for providing information, equipment, and instruction and training in order to ensure that the employee’s responsibilities are fully understood, documented and complied with.

Unsafe acts or unsafe conditions usually cause accidents. The responsibilities placed on employees of this Company are formulated to comply with legal requirements as well as to remove the likelihood of unsafe working practices or unsafe conditions occurring. In addition to the previous general responsibilities, the Health and Safety at Work Act 1974, places legal duties on all employees.

These are:

Section 7 ‘Health and Safety at Work Act 1974’ To take reasonable care for the health and safety of themselves and of other persons who may be affected by their acts or omissions at work

To co-operate with the management to enable the employer to carry out his legal duties or any requirements as may be imposed

Section 8 ‘Health and Safety at Work Act 1974’ No person shall intentionally or recklessly interfere with, or misuse any item provided, in the interests of health, safety and welfare.

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Issue August 2008 4.18.5 continued to 4.18.7

The Health and Safety (Information for Employees Regulations) 1989 The regulations require information relating to Health, Safety and Welfare to be made available to employees by means of posters or leaflets in the ‘approved form’ and published for the purpose of the regulations by the health and safety executive.

The regulations require the name and address of the enforcing authority and the Employment Medical Advisory Service to be written in the appropriate space on the poster, and where the leaflet is given, the same information should be specified in a written notice accompanying it, e.g. the poster Health and Safety Law ‘What you should know’ leaflet issued to employees.

These regulations modify or repeal existing regulations that require a serious review to ensure standards for the provision of information is brought up to date

4.18.6 Joint Consultation

Within the clearly identified functions of management/supervision there is a responsibility to communicate with employees daily. To enable effective implementation of the health and safety policy and procedures, consultation must take place between the employer, employee and where applicable, safety representatives.

Where recognised, Trade Unions exist for the purpose of negotiation, each Union has within the scope of ‘the safety representatives’ and ‘safety committees’ regulations, the right to appoint ‘safety representatives’ at the place of work, who will represent the interests of the employees on all aspects of health and safety. Where appropriate, two safety representatives have the statutory right to request the formation of a ‘safety committee’. In non-unionised premises ‘safety committees’ may be established. These obligations are clearly outlined in information available from HSE (Health and Safety Executive)

4.18.7 Health And Safety Meetings

All meetings relating to health and safety must be documented and in order to comply with this instruction, a statutory health and safety/procedures checklist is to be used as a prompt whilst carrying

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out quarterly walkaround inspections. Copies of the completed document must be sent to the engineering director’s office for record purposes. The operational manager at each location is responsible for ensuring adherence to safety procedures.

4.18.8 Reporting Of Injuries, Diseases And Dangerous Occurrences Regulations “RIDDOR”

Incident Reporting

As part of the Company’s legal responsibilities certain accidents and dangerous occurrences must be reported to the enforcing authorities, (addresses available from health and safety manager).

If a major injury or specified dangerous occurrence takes place then the enforcing authority must be informed by the quickest, practicable method (e.g. telephone) and confirmed, within 10 days of the incident, on form F2508. Any work related accident that leads to a person being incapacitated for 3 days (not including the day of the accident, but including Saturday or Sunday) or being unable to do their job for 3 days, must be reported within 10 days, on form F2508 available from engineering management.

Fire Precautions Act 1971

The Company will ensure that fire certificates where required, are issued by the relevant authority and where they apply the information contained therein will be adhered to.

Fire Drills

In order to ensure that fire evacuation procedures are monitored the Company will carry out the following:

Weekly Fire Alarm Tests Everyone must familiarise themselves with local variations of this procedure.

Monthly Fire Evacuation On hearing a continuous alarm, all staff must evacuate the building by the quickest available means and meet at the designated assembly point, which must be clearly identified at each location.

A roll call will be carried out and the manager/supervisor at each location will be responsible for ensuring that all their staff are

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accounted for, details of the evacuation will be entered into the fire precautions log book.

Health And Safety Update

The Company recognises the need to keep all employees up to date on changing health and safety legislation and will therefore provide the necessary information to all employees using the following methods:

• Notice boards

• Health and safety representatives

• Staff handbook

4.18.9 Control Of Substances Hazardous To Health (COSHH)

Information regarding COSHH, risk assessment and manual handling are currently held by your manager/supervisor at each location, copies are available for inspection on request.

It is recognised that a number of repetitive tasks are common to all locations and as such these generic assessments will normally be carried out by a health and safety committee, comprising of members of UNITE usually drawn from the central joint negotiation and strategy committee. The engineering director will chair these meetings.

It is not possible to cover all risk assessments on a generic basis therefore a local assessment must also be made, this is the responsibility of the operational manager. Assessments will usually be carried out centrally by a health and safety committee, comprising of a Trade Union representatives and management. The engineering manager will chair the meeting.

Copies of all local risk assessment must be forwarded to the engineering director.

4.18.10 Contractors/Sub Contractors

The Company is anxious to minimise the risk of accidents on its property and therefore a code of practice has been formulated and must be agreed and signed by all contractors/sub contractors carrying out work on Company premises. The code is available from the engineering manager/supervisor at each location.

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4.18.10 continued to 4.19.1 Issue August 2008

Before any work is carried out by either a contractor or sub contractor the engineering manager must obtain a risk assessment of the work to be done from the contractor. Unless this report is available work must not commence

4.18.11 First Aid

Health And Safety (First Aid) Regulation 1981

The Company will ensure that there are sufficient competent persons trained to administer first aid within the workplace, A ratio of 30:1 is recommended.

A list of competent persons will be displayed at each depot. The manager/supervisor at each location will ensure that the list is updated as required and that there are sufficient competent trained persons available, taking into account shift patterns and the nature of work carried out.

Details of all employees requiring first aid treatment must be recorded in the accident book and the book must be kept for a minimum of 3 years from the date of the last entry.

Leave/Payments

First aiders at work will be paid a weekly bonus providing that they hold a current first aid at work certificate and have attended either the initial four day training course ‘First Aid at Work Statutory Certificate’ or the two day ‘First Aid at Work Refresher Course’.

The Company may indemnify trained first aiders against malpractice; its primary aim being to preserve life where a qualified first aider applies their skills.

4.19 Incident Policy

4.19.1 Collisions/Incidents Involving Company Vehicles

Collisions/incidents of any kind usually result in third party claims against the Company and in order to minimise the Company’s exposure to such claims it is important that as much information as possible is obtained.

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Issue August 2008 4.19.1 continued

At the scene of an incident:

• Stop and take full details of others involved

• Use camera to record evidence

• Give your name, depot address, fleet number and registration number to other parties involved

• Obtain witness details including names and addresses, regardless of their view of the incident

• Make a note of any police officer’s number who is in attendance

• Make a note of the circumstances, damage, injury etc

• Do not admit liability

• Do not discuss the matter with any other persons involved

• Do not talk to press or other media

• Do not visit any other person involved

• Do not make a statement to the police whilst in a state of shock

• If particulars have not been exchanged and if there has been an injury to a person or animal, report the matter to the police at the earliest opportunity and within 24 hours

• Failure to report an incident can result in prosecution

• An Accident Report Form must be completed at the earliest opportunity and where practical within 24 hours. The completed document should then be sent to the insurance risk manager

• A member of staff should attend major collisions/incidents from both the engineering and traffic department of the depot concerned at managerial level who should obtain further photographic evidence if at all possible

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• In the case of an incident where the driver considers that the brakes and/or steering was defective, they should not move the vehicle. The driver should contact their depot and advise that s/he considers the brakes or steering to be defective. The depot will then make arrangements to return the vehicle to the depot. On return to the depot, the vehicle will be sealed and then tested by the engineering auditor to ascertain if these items are defective or not. This will be undertaken in the presence of the driver and their Trade Union representative. A written report will then be submitted by the engineering auditor. In the case of the police/Department of Transport carrying out the vehicle inspection, their report will be submitted

4.19.2 Serious Or Major Incidents

In the event of any incident resulting in a serious injury to persons or major damage to vehicles or property, the incident must also be reported immediately to the engineering director by depot staff. Under no circumstances must a statement be given to third parties without the permission of a Company director.

It should be noted that where a fatality has occurred at the scene of an incident, or may subsequently occur due to injuries sustained, the police may arrange to have the bus involved lifted away to a designated secure store by an approved contractor. Subsequently the bus will be lifted from the secure store to a vehicle testing station for examination where it will be examined jointly by police and vehicle inspectorate staff to determine if the condition of the bus contributed in any way to the incident. Following the examination, the bus may be released or may be taken back to the secure store to await further investigation

4.19.3 Reporting Sequence

• Duty manager to inform engineering director

• Engineering director will advise other directors, insurance risk manager

• Operational manager must also fax details of incident to insurance risk manager at the earliest opportunity. In the absence of the

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Issue August 2008 4.19.3 continued to 4.20.1

engineering director the accident must be reported immediately to

either:

• Finance director

• Commercial director

• Managing director

• Insurance risk manager

4.19.4 Accidents Involving Injury To Company Staff

All cases of personal injury to Company staff must be recorded in the accident book (form “Report of Accident to Employee at Work”) and reported to a manager of the Company as soon as possible. Anyone else can do this on your behalf.

In cases of incapacity, the Company will make arrangements for the report to be completed and the incident recorded.

4.19.5 First Aid

The Company will provide adequate first aid facilities including first aid boxes and trained first aiders. The location of such will be displayed around the buildings on suitable notices.

4.20 Information And Consultation Policy

4.20.1 The Parties

This agreement is made on between Arriva the Shires and Essex (“the employer”) and employee representatives to establish a Consultative Committee to improve employee information and consultation and enable employees to have a greater impact and understanding of the Company.

The Consultative Committee is a joint body comprising of elected employee representatives and management representatives of Arriva the Shires and Essex.

Arriva the Shires and Essex is further defined as operating depots located within High Wycombe, Aylesbury, Hemel Hempstead, Watford, Luton, Ware, Stevenage and Harlow.

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4.20.2 Terms Of Reference

The Consultative Committee will be kept informed by the employer of the recent and probable future development of Arriva the Shires and Essex’s activities and its economic situation. The Consultative Committee will be informed and consulted by the employer on significant developments within the Company. For the purpose of this agreement, “consultation” means the exchange of views and the establishment of a dialogue between the employee representatives and the employer.

The role of the Consultative Committee in respect of the following topics is as follows:

a Individual Issues

Individual issues that relate to particular employees including specific grievances and disciplinary matters will not be within the terms of reference of the Consultative Committee

b Other Issues

The employer and employee representatives on the Consultative Committee shall work in a spirit of co-operation with due regard to their rights and obligations, taking into account the interests of both The employer and employees. The views of the Committee will be taken into account by The employer, but The employer remains ultimately responsible for the operation of its business and the decisions by which it may be directly or indirectly affected

4.20.3 Employees Within Scope Of The Agreement

The agreement covers all employees of Arriva the Shires and Essex.

4.20.4 Responsibilities Of Employee Representatives

a All employee representatives agree that they will undergo training as deemed necessary by the employer to assist them in carrying out their role as employee representatives

b Employee representatives agree to attend meetings of the Consultative Committee and to report back to their constituents about such meetings as appropriate

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c Employee representatives agree to represent to the best of their ability all the employees in their constituency, and will reflect their views at meetings of the Consultative Committee. The employer assures employee representatives that any views expressed by them in good faith as representatives of their constituencies will not prejudice their position and prospects as an employee

4.20.5 Confidential Information

a Employee representatives agree that when they receive from the employer written or oral information which is classified by the employer as confidential that they will not divulge that information to any third party, including fellow employees, or otherwise make use of such information. The obligation regarding confidentiality will apply indefinitely, or until the information in its entirety comes properly into the public domain

b In the case of a breach of confidentiality by an employee representative, the employer reserves the right to take disciplinary action up to and including dismissal and/or legal action against the individual, and that individual will cease to be an employee representative, and will not be subsequently eligible to become a candidate for election

c Once employee representatives have been elected, they will be required to sign individual confidentiality agreements.

d The final item of the agenda will be to define which information discussed in the meeting is deemed to be confidential and to which the above rules therefore apply

4.20.6 Resolving Disputes

If there is a dispute between the parties about the meaning of the agreement and this cannot be resolved at meetings of the Consultative Committee, a small group comprising of two Company directors and three employee representatives will meet to use their best endeavours to resolve the dispute.

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If the small group cannot resolve the dispute, the decision of the managing director will be final.

4.21 Inter-Company Transfer Policy

This policy is an agreement between Arriva the Shires and Essex and the UNITE (TGWU Branch) regarding voluntary transfer arrangements.

Staff employed by an Arriva the Shires and Essex may apply for a transfer to one of the other companies. Companies may impose minimum service criteria (e.g. 6 months) before a transfer request will be accepted. These arrangements relate only to individuals requesting a voluntary transfer within the Arriva UK.

4.21.1 The Process

• Transfer requests must be made in writing at the home garage and forwarded by the home Company to the appropriate nominated person in the receiving Company

• The receiving Company will then consider the request and make appropriate enquiries of the transferring Company and may refuse to accept the transfer, for example, if the work record is not satisfactory. The reason for a refusal will be explained in writing to the employing Company and conveyed to the person requesting the transfer

• For transfer requests that are accepted, these will be registered on a waiting list by both the existing Company and the receiving Company

• The transfer will go ahead by mutual consent when the transferring Company is in a position to release and the receiving Company can offer a vacancy

• The grade into which the transferring member of staff is appointed will depend upon local arrangements that apply in the receiving Company. The member of staff transferred will be entitled to the pay and conditions package of the grade concerned and will not transfer any rights which do not apply in the position to which transferred

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Issue August 2008 4.21.1 continued to 4.21.4

• The conditions of service will be notified to and agreed by the member of staff transferring before the transfer takes place and a new contract will be signed by both parties.

• The employment record will be sent to the receiving Company on transfer

• Transfers will not take place during a period of sickness or holiday

4.21.2 Seniority

Continuous service would be retained on transfer for employment purposes but Company service would commence on transfer and based on similar conditions as would apply in the case of a transfer within the Company.

4.21.3 Annual Leave

The transferring Company will notify the receiving Company of any days holiday outstanding to be taken in the current year, together with dates if these have been arranged.

Where the amount of holiday entitlement differs the member of staff will be eligible for a pro rata entitlement for the relevant periods of service with each Company.

Accrued holidays from previous years will be either taken before transfer or paid to the employee on leaving.

4.21.4 Pension Arrangements

Staff who are members of the Arriva Money Purchase Scheme may retain membership when they transfer. Such staff will be eligible to join either the Company scheme in the receiving Company or the Arriva Money Purchase Scheme, whichever is available in the Company.

Arriva the Shires and Essex Employee Handbook

4.21.5 to 4.22.1 Issue August 2008

4.21.5 Uniform

A member of staff transferred will be required to wear the current uniform prevailing in the receiving Company.

4.21.6 Emergency Transfers

Subject to the above, if a position arises where a member of staff requests a transfer due to a personal emergency and the reasons can be validated, then this will be treated on its merits and a decision will be made by the appropriate director.

In such a case, if there is no vacancy at the applicant’s first option within the receiving Company, then a mutually agreed temporary transfer to another location within that Company will be offered until a vacancy becomes available at the applicant’s first choice of location.

In the event of no suitable vacancy, then no emergency transfer can take place.

4.21.7 Grievances

If an employee has a grievance with regards to the application of any part of this policy the matter may be raised with the appropriate full time officer of the UNITE.

4.22 Engineering Policies

4.22.1 Vehicle Spot Checks

The Vehicle and Operator Services Agency has a legal right to enter our premises at any reasonable time for the purposes of inspecting our vehicles or maintenance records.

The vehicle and operator services agency and the police are also empowered to stop and check any of our vehicles on the roadside in order to determine their roadworthiness.

Arriva the Shires and Essex Employee Handbook

Issue August 2008 4.22.1 continued

The importance of maintaining sound working relationships with the Vehicle and Operator Services Agency/police are obvious. Please offer all reasonable assistance when they are carrying out their duties.

In the event of any Company vehicle being subjected to either a roadside check, or depot based inspection, by any person other than Company officials, the following procedure must be followed:

• The driver should notify the depot (control) immediately the inspection is completed

• Arrangements should be made to notify both the operational manager and the engineering manager

• The engineering manager should ensure that all original documentation issued is sent to the engineering administrator

• A copy of any documentation issued should also be kept in the vehicle history file

• The engineering director should be advised at the earliest opportunity

• The engineering manager should complete a “Notification of unscheduled vehicle spot check” report and send to the engineering director regardless of the outcome of the inspection, or documentation issued.

In the event of a vehicle receiving a prohibition notice the following points should be noted:

• The vehicle may only be used on the public highway after repairs have been completed. This should only be for road testing purposes and must be within three miles of the place of repair. It may not be used for any other purpose until the prohibition has been removed

• Before the vehicle is presented to the Vehicle and Operator Services Agency (VOSA) for prohibition clearance, it must be subjected to a full safety inspection by our own qualified engineering staff

Arriva the Shires and Essex Employee Handbook

4.22.1 continued to 4.22.2 Issue August 2008

• A full investigation must be carried out by the engineering manager to ascertain the reason and if it could have been avoided. In the event that poor workmanship or first use check procedures were at fault a formal disciplinary interview must take place. The results should be attached to the Prohibition notice and sent to the engineering director for reference should the Company be called to a public inquiry at a later date.

4.22.2 Road Traffic Collision/Incident Policy

Road traffic collision/incidents involving Company vehicles of any kind can have serious implications to the Company and the driver involved. It can also result in third party claims against the Company. In order to minimise the Company’s exposure to such incidents it is important that as much information as possible is obtained.

At the scene of a road traffic collision/incident:

• Stop and take full details of others involved, i.e. name, address, vehicle make/model, registration number, and where possible insurance details

• Give your name, head office address, fleet number and registration number to other parties involved

• Obtain witness/passenger details including names and addresses, and ideally daytime telephone numbers

• Use camera provided and obtain as many photographs as practical using the ACCICAM leaflet as guidance

• Make a note of any police officer’s number who is in attendance

• Make a note of the circumstances, damage, injury etc

• Do not admit liability

• Do not discuss the matter with any other persons involved

• Do not talk to the press etc

Arriva the Shires and Essex Employee Handbook

Issue August 2008 4.22.2 continued

• Do not visit any other person involved

• Do not make a statement to the police whilst in a state of shock

• If particulars have not been exchanged or if there has been an injury to a person or animal, report the matter to the police at the earliest opportunity and within 24 hours. Failure to report an accident can result in prosecution

• • An Accident Report Form must be completed at the earliest opportunity and ideally within 24 hours. The completed document should then be returned to your line manager In the case of an incident/accident where the driver considers that a mechanical failure was the main cause, the vehicle should not be moved.

• The driver should contact his/her home depot reporting the incident to the engineering department

• In the event of any allegation against the vehicle or if there are injured parties, major damage to vehicle or property the engineering manager should be advised

• Should the incident be reportable the engineering manager, after discussing the incident with the engineering director, will make the necessary arrangements to have the vehicle inspected by VOSA

• There is a form available for this purpose, Notification of Incident/Accident, see Appendix H

• In the event that the incident is reportable the engineering manager must ensure that the vehicle involved is secured in a safe and secure area until released by the Vehicle and Operators Service Agency

• The inspection may be carried out in the presence of the driver and his/her Trade Union representative if requested. However this will be in a spectator capacity only. The findings of the examiner will be final

Arriva the Shires and Essex Employee Handbook

4.22.2 continued Issue August 2008

• The engineering manager will in addition to the VOSA documentation also submit a written report to the engineering director, if it is alleged that a mechanical failure was responsible. This forms the Component/Equipment/Vehicle Failure report which may be used in any subsequent interview. Copies of all reports/notes should also be sent to the insurance risk manager.

Major Road Traffic Collision/Incidents

In the event of any road traffic collision/incidents resulting in a serious injury to persons or major damage to vehicles or property, a member of staff should attend from either the engineering or traffic department of the depot concerned at managerial level who should ensure that the driver is okay and offer any assistance as required.

The incident must also be reported immediately to the engineering director. Under no circumstances must a statement be given to third parties without the permission of a Company director.

Reporting To VOSA

Road Traffic Collision/Incidents resulting in personal injuries or allegations of mechanical failure must also be reported to the Vehicle and Operator Services Agency (VOSA), using the Notification of Incident/Accident Form, see Appendix H. In the event of the above the vehicle should be sealed on its return to depot until an investigation has been completed.

It should be noted that where a fatality has occurred at the scene of a road traffic collision/incident, or may subsequently occur due to injuries sustained, the police may arrange to have the bus involved recovered to a designated secure store by an approved contractor.

Subsequently the vehicle may then be moved from the secure store to a vehicle testing station for examination in order for the police and Vehicle and Operator Services Agency staff to determine if the condition of the vehicle contributed in any way to the accident. Following the examination, the bus may be released or may be taken back to the secure store to await further investigation.

Arriva the Shires and Essex Employee Handbook

Issue August 2008 4.22.2 continued to 4.22.3

Reporting Sequence

The staff member receiving the first notification should notify:

• Their head of operations manager together with the relevant engineering manager or in their absence deputies

• Head of operations to inform the engineering director

• Engineering director will advise other directors, main board and corporate communications

• Head of operations must also fax details of the incident to the insurance/risk department at the earliest opportunity

• In the absence of the engineering director, the road traffic collision/incident must be reported immediately to either the managing director, commercial director, finance director or insurance risk manager

4.22.3 Engineering Defect Rectification Policy

Under the terms of our operator’s licence we must keep adequate records of all work done to our vehicles whilst undergoing maintenance. Whilst there are various systems and procedures in which we must comply this section is intended to cover the reporting, recording and rectification of driver vehicle defects and defects found during routine inspections noted as serviceable or under observation.

Drivers Vehicle Defect Reports:

• Engineers will, on receipt of a defect report book, complete the necessary repairs and record any action taken on the report. A brief description of work done must be noted. The first two defect sheets should then be removed from the book. (Any competent person authorised by the engineering manager can carry out defect report clearance)

• Both completed reports must be sent to the engineering manager (white copy for file, pink send to UNITE/TGWU defects representative)

Arriva the Shires and Essex Employee Handbook

4.22.3 continued Issue August 2008

• Thorough checks must be made for repeat defects on every occasion when an Engineer has cause to complete a report

• In the event that a defect cannot be cleared, and the vehicle is deemed as un-roadworthy, the defect must be entered on the 24-hour control report. In addition a “do not use notice” must be placed on the interior mirror clearly visible to a driver

• Engineers should also ensure that a “do not use notice” is in place before attempting any repairs to the vehicle. This to prevent accidental starting of the vehicle whilst repairs are in progress

24-hour Control Report

A record of all occasions when a vehicle is removed from service must be maintained. Arrangements must be in place to ensure that the operational side of the Company are made aware of all instances when vehicles are not available for service. The method for recording this is via a 24-control report.

It must have all sections completed as the vehicle progresses through the workshop.

Date: current date – a new sheet is required daily.

Engineering spare buses: relate to the total number of spares allocated to depot.

24-hour control report: all other sections are self explanatory however please note that the sections date off/on and time are just as important as the defects themselves to enable the depot to accurately report when vehicles are returned to service.

A copy of the 24-Hour control report must be made available to the supervisor responsible for vehicle allocation each morning before commencement of run out. The duty fitter is responsible for ensuring an updated sheet is made available to the operations department at the end of each shift.

In the event that “ morning” run out will not be made due to vehicle shortages the duty fitter has the authority to release

Arriva the Shires and Essex Employee Handbook

Issue August 2008 4.22.3 continued

vehicles that have been per-booked for routine maintenance providing work has not been started or there are known defects.

If after exhausting all other options to meet PVR there is still a vehicle shortage, the duty fitter should contact the engineering manager at the earliest opportunity.

Running Defects Report

Not all defects will result in the vehicle being removed from service; therefore we must have a system of recording vehicles, which the engineering department have under observation. This will include the following classifications.

• None safety related parts on order

• Defects noted as serviceable during routine safety inspections

• • Running defects awaiting attention at next safety inspection However before we can determine a vehicle’s roadworthiness, the following must be decided:

• Is it dangerous?

• Is it likely to hurt anyone?

• Does it affect brakes or steering?

• Does it affect bells or buzzers?

• Will it attract a prohibition?

If any of the above categories apply then the vehicle should not be used until rectified.

Rectification Of Driver Vehicle Defect Reports

We should of course endeavour to clear all driver defects at the time they are reported. However, being mindful of parts availability and time restraints it will some times mean that assessments are made resulting in a vehicle being returned to service with known serviceable defects. In instances of this kind it is important that accurate records are maintained.

Arriva the Shires and Essex Employee Handbook

4.22.3 continued Issue August 2008

If after carrying out an assessment the engineer/supervisor considers the defect as serviceable they must complete the following:

• Record the details on the serviceable defects report

• Note that the item is serviceable in defect book

• Sign the defect book

• Date when it will be rectified

(This must be no later than the next scheduled safety inspection) Engineering Defect Reporting Policy (continued).

Routine Maintenance Inspections

Outstanding defects noted during safety inspections that that do not affect the safety of the vehicle may also be noted on the serviceable defects report. However, every attempt should be made to rectify them at point of inspection.

Unless the following is applicable:

• Component is within manufactures tolerances

• Under observation

• Materials are not available

It is important that defects under observation or awaiting parts are dated and a follow up inspection/rectification carried out. Under no circumstances must outstanding work exceed the next scheduled safety inspection.

Under no circumstances must a vehicle be used if it would attract a prohibition notice.

A check must be made for repeat/out standing defects on every occasion when a safety inspection is carried out.

The Engineer completing the safety inspection must check the defect book and record the fact using a defect report, the sheet must be endorsed ‘Safety Inspection’ and the top copy must be attached to the Inspection Sheet. Outstanding defects must be cleared at this point and the un-cleared defect report signed off, noting work done and endorsed ‘rectified during safety inspection’.

Arriva the Shires and Essex Employee Handbook

Issue August 2008 4.22.3 continued to 4.22.4

Daily Audit of Vehicle Defects Reports

The engineering manager/supervisor should ensure that defect reports are completed correctly and defects are rectified. Any defect books that are found to be incorrect should but noted and the person responsible for the problem seen and advised. The book should then have a page completed with a brief record of corrective action required and highlighted AUDIT results.

A copy of the nil defect summery report produced by the operations department should be given to the engineering manager in order to reconcile the number of defects sheets/books produced at the end of late duty.

Storage of information/reports:

• Completed defect books, 24-hour control and serviceable defect reports are to be filed for a minimum period of 15 months. After which they should be archived for a further 3 years

• The first 15 months are part of our operator licence requirements

• The next 3 years is because there is an increasing legal obligation to produce operational records in the event of a claim or allegation of negligence against the Company

4.22.4 Drivers’ Vehicle Defect Reporting Procedure

Drivers are responsible for the condition of their vehicles when in use on the road and must, therefore, be able to report any defects or symptoms of defects that could prevent the safe operation of vehicles.

Drivers must monitor the roadworthiness of their vehicles whilst being driven and be alert to any indication that the vehicle is developing a fault, e.g. warning light, exhaust emitting excessive smoke, vibrations or other symptoms.

The method of ‘driver vehicle defect reporting’ within this Company is via a vehicle defect book kept in the cab of every bus. We also use a ‘nil defect report’ system and must be used by all drivers. Its use enables the engineering department to follow up all vehicle defects ensuring that vehicles are safe and roadworthy at all times.

Arriva the Shires and Essex Employee Handbook

4.22.4 continued Issue August 2008

The system used within Arriva the Shires and Essex of recording nil defects can be either via the vehicle wayfarer ticket machine or depot cash counting equipment. Whichever system is used it must be recorded and audited on a daily basis to ensure compliance.

The Company procedures and system of operation is as follows – its compliance is mandatory for all employees.

Vehicle Defect Report Action By Drivers

• Vehicle defects noted by the driver must be the subject of a written report using the prescribed ‘Driver’s Vehicle Defect Report’. Full instructions for completion of the report are written on the inside front cover of the defect book which is kept on the vehicle located in the drivers’ cab

• Drivers must complete a defect report in all instances where a vehicle is considered defective

• • An assessment should be made by the driver to determine the vehicle’s roadworthiness. They should be mindful of safety in the first instance but also consider the disruption to our customers Before we can determine a vehicle’s roadworthiness, the following must be decided:

• Is it dangerous?

• Is it likely to hurt anyone?

• Does it affect brakes or steering?

• Does it affect bells or buzzers?

If any of the above categories apply then the vehicle should not be used until assessed by an engineer or supervisor.

Defects, which do not affect safety, can in many instances be operated legally providing the they are reported correctly and dealt with as soon as practical or on return to the depot.

Should either the vehicle inspectorate or the police stop the vehicle, the driver should advise the official that a minor/running defect is outstanding and will be attended to on its return to the depot.

Arriva the Shires and Essex Employee Handbook

Issue August 2008 4.22.4 continued

Examples of running defects, which can operate until the vehicle returns to depot or a more suitable time:

• One bulb out of a pair, i.e. stop or head lamp

• Speedometer

• Minor accident damage – no sharp edges

• Interior lights – less than 50% of total (per deck)

• Broken seat – the driver should to put the seat out of use, i.e. use the cushion to prevent the seat being used or close off the deck in the case of a double. “NB damage to seats” bus should only be used to enable the inward journey to be made after which the bus must be repaired

• Cracked windscreens – not joined across the screen or corner to corner

• Minor oil leaks – less than 75mm patch in 5 minutes

• Seat belts – defective or insecure

• • Defective heaters (not demisters) Whilst the above is not exhaustive, it is intended to remove some of the ‘grey’ areas. Thereby allowing the Company to operate a reliable service for our customers and minimise disruption.

• Once a defective vehicle is returned to the depot, the defect book must then be removed from the vehicle and given to the duty manager/engineer for rectification or assessment

• In the event of a driver taking over a bus without a defect book, it must be assumed that the vehicle is defective and should not be used until assessed by the engineer/supervisor and released for service

Arriva the Shires and Essex Employee Handbook

4.22.4 continued Issue August 2008

No vehicle should leave the depot without a defect book.

In the event that a vehicle is found without a defect book whilst in service the driver should contact their home depot before preceding any further. The engineering manager/supervisor must assess the situation before authorising the driver to proceed or in the event of a known serious defect remain with the vehicle until assistance is available.

Should the driver detect any problems with the vehicle, which affects road safety they should park up, being mindful of road conditions and request assistance.

Arrangements should be made to replace the defect book at the earliest opportunity. The replacement book should be available before the next handover.

Nil Defect Reporting

Under the terms of our operator’s licence we must also have a system of recording nil defects. To demonstrate this, all drivers must indicate the current vehicle status using the vehicle wayfarer ticket machine or depot cash counting equipment.

Sign-off Procedure

To accurately record this information it is important that the driver must on every occasion; when there is cause to remove a module, follow the normal sign off procedure. “Do not just remove the module”.

When the vehicle is being returned to the depot at the end of each day the driver should also record if there are any out standing defects.

Arriva the Shires and Essex Employee Handbook

Issue August 2008 4.22.4 continued

In order to do so the driver when prompted by the vehicle wayfarer ticket machine should confirm as follows:

clip_image007

Do not remove module from wayfarer before completing sign off sequence.

Wayfarer machine will print a confirmation ticket; this may be disposed of, because the depot reader will produce a computer-generated report for legal purposes.

Depot Cash Counting Equipment

A number of locations now have a system of recording defects on cash counting equipment if applicable, please follow all instructions when paying in daily takings failure to do so will result in the machine rejecting any cash being paid in.

Action By Operations Department

A daily print out must be taken and checked for compliance by the operations department. The senior duty manager should obtain a computer-generated print out of the previous days work. To include first use check compliance and nil defect reporting.

The depot Wayfarer machine is set up to print various reports in relation to first use checks and nil defect reporting.

Detailed reports - lists all transactions includes details of all driver first use checks and sign on/off reports

Exception reports - will generate only drivers who have not carried out first use check or signed off correctly

Exception reports in the first instance should be run off as this report produces only names of drivers who have defaulted on the correct procedures.

Arriva the Shires and Essex Employee Handbook

4.22.4 continued Issue August 2008

The duty manager should investigate discrepancies drivers who fail to sign on/off correctly after training should be referred to the operations manager.

Copies of all reports must be filed for a minimum period of 15 months.

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