Employee Handbook - WordPress.compart of Arriva plc, which also controls bus and coach sales and is...

Employee HandbookArriva the Shires and Essex

Section 1 – Welcome to Arriva

• The Managing Director Welcomes You To Arriva theShires 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 Information2.3 Lost Property2.4 Ticket Stocks And Sales2.5 Company Property2.6 Vehicles And Drivers’ Medical Requirements2.7 Traffic Fines And VOSA Examinations2.8 Incidents2.9 Standards Of Dress2.10 Car Parking2.11 Smoking2.12 Daily Walkround Checks2.13 Drugs/Prescribed Medication2.14 Licence Audits2.15 Changes In Personal Details2.16 Tool Club2.17 Assaults On Employees

Section 3 – Terms and Conditions Note: Employees of certain acquired companies at some sites may havereserved rights to particular terms and conditions under TUPERegulations 1981 and 2005 e.g. Guaranteed hours, holiday progression.

3.1 Trade Union Recognition And Related Items3.2 Hours Of Work3.3 Reporting Late For Work

Arriva the Shires and EssexEmployee HandbookIssue August 2008 Contents Section 1 to 3

3.4 Overtime And Rest Day Working3.5 Pay3.6 Changing Of Duties3.7 Holidays3.8 Breaks3.9 Sickness3.10 Sick Pay3.11 Other Employment3.12 Retirement And The Pension Scheme3.13 Staff Passes3.14 Notice Periods3.15 Exit Interviews3.16 Lay-off Arrangements3.17 Driving Standards Observations3.18 Use Of Private Cars On Company Business

Section 4 – Policies

4.1 Attendance And Leave Policy4.2 Paternity Leave Policy4.3 Maternity Leave Policy4.4 Adoption Leave Policy4.5 Parental Leave Policy4.6 Flexible Working Policy4.7 Working Time Directive Policy4.8 Whistle-blower Policy4.9 Redundancy Policy4.10 Discipline And Grievance Policy4.11 Recruitment, Training And Development Policy4.12 Drugs And Alcohol Policy4.13 Communications And Data Protection Policy4.14 Mobile Phone Policy4.15 Equal Opportunities Policy4.16 Workplace Non-harassment Policy4.17 Retirement Policy4.18 Health And Safety Policy4.19 Incident Policy4.20 Information And Consultation Policy4.21 Inter-Company Transfer Policy4.22 Engineering Policies

Arriva the Shires and EssexEmployee Handbook

Contents Section 3 continued to Section 4 Issue August 2008

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 EssexEmployee HandbookIssue August 2008 Contents Section 5

Section 1 – Welcome to Arriva

The Managing Director Welcomes You To Arriva theShires and Essex

We want you to enjoy your work here. We will support you andprovide you with training to enable you to use your personality andskills confidently.

During your first few days with the Company there will be a great dealto absorb, so this Handbook will help to remind you of things youneed to know during your employment with us. The informationcontained in the Handbook also forms part of your Terms andConditions of Employment, so please read it carefully and familiariseyourself with its contents.

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

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

Managing Director

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

Arriva the Shires and EssexEmployee HandbookIssue August 2008 Section 1

History Of Arriva

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

Continued Investment

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

How We Fit Into Arriva plc

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

Arriva’s Values

Arriva’s vision is to be recognised as the leading transport servicesorganisation in Europe. The successful development of our business isbeing delivered through better service, innovation and marketing. Ourfocus is on winning and retaining contracts, organic growth andtargeted acquisitions.

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


History Of Arriva - Arriva’s Values Issue August 2008

commercial concerns - our brand represents a commitment todelivering 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 weserve, supported by a culture of integrity and honesty

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

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

• Anticipating change and identifying better ways to meet ourcustomers’ needs

• Maintaining a strong commercial focus that delivers long-term valuefor 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 andcustomers. Diversity is about recognising and accepting that all types ofpeople can be successful at work. Arriva positively welcomes differencein its staff and customers, believing that this will gives us an advantageover other companies, making Arriva an employer of choice. We willhave the best employees, we will offer a better service to ourcustomers and this will benefit us all.

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

Arriva the Shires and EssexEmployee Handbook Arriva’s Values continued - Issue August 2008 The Arriva Approach To Diversity

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

What Diversity Is: What Diversity Is Not:

• Essential to the success of our • Optional or “nice to do”business

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

• About genuinely valuing and • Compliance with the law or welcoming differences in paying “lip service”people

• A business opportunity that • Only about minority groupsaffects all people

• Proactive • Reactive or problem centred

• About values, behaviours and culture

• About more than numbers or targets


The Arriva Approach To Diversity continued Issue August 2008

Section 2 – General Guidelines and Information

2.1 Depot And Departmental Locations For ArrivaThe Shires And Essex

AYLESBURY DEPOT HARLOW DEPOTArriva the Shires Ltd Arriva East Herts and Essex1-4 Smeaton Close Fourth AvenueRabans Lane Industrial Est HarlowAylesbury EssexBuckinghamshire CM20 1DUHP19 8UR

HEAD OFFICE WATFORDLUTON Arriva the Shires LtdArriva the Shires Ltd 934-974 St Albans Road487 Dunstable Road GarstonLuton WatfordBedfordshire WD25 9NNLU4 8DS LDT Print

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

HEMEL HEMPSTEAD DEPOT LUTON DEPOTArriva the Shires Ltd Arriva the Shires LtdWhiteleaf Road 487 Dunstable RoadHemel Hempstead LutonHertfordshire LU4 8DSHP3 9PH

Arriva the Shires and EssexEmployee HandbookIssue August 2008 Section 2 - 2.1

STEVENAGE DEPOT STEVENAGE DEPOTArriva the Shires Ltd Arriva the Shires LtdNorton Green Road Babbage RoadStevenage StevenageHertfordshire HertfordshireSG1 3BA SG1 2EQ

HIGH WYCOMBE DEPOT WARE DEPOTArriva the Shires Ltd Arriva East Herts and EssexLincoln Road Marsh LaneCressex Business Park WareHigh Wycombe HertfordshireBuckinghamshire SG12 9QQHP12 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 businessand if they receive information about us, it may help them at ourexpense. It is therefore important that you do not breach ourconfidentiality by disclosing information to other parties relating to ouroperating practices, future developments or records. Such a breachcould constitute gross misconduct.

2.3 Lost Property

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

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

Lost property found on buses should be handed in to the dutyinspector as soon as possible. After one month if the item is notcollected by the customer, then the item belongs to the finder and


2.1 continued to 2.3 Issue August 2008

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

2.4 Ticket Stocks And Sales

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

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

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

2.4.1 Equipment

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

2.5 Company Property

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

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

Arriva the Shires and EssexEmployee HandbookIssue August 2008 2.3 continued to 2.5

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

2.6 Vehicles And Drivers’ Medical Requirements

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

The Company may at any time require an employee to be medicallyexamined by the Company’s doctor at the Company’s expense on thebasis of an unsatisfactory sickness record, where the employee is onsick leave or where other circumstances indicate a requirement. As aresult of a medical if an eye test is required, this will be paid for by theCompany. No payment will be made for hours spent for medicalexaminations in connection with PCV licence requirements. Allstatutory rules concerning access to medical records will be followed.

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

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

2.7 Traffic Fines And VOSA Examinations

You will normally be responsible for any parking, traffic or driving finesincurred or unauthorised congestion charges or offences committedduring your employment. Discretion will be applied in exceptionalcircumstances.

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



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

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

• Vehicle defects

• Drivers hours or tachograph offences

• Emissions

• Vehicle excise duty (Note: any fine arising for failure to display willbe 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 ordelayed prohibition but in addition, the driver will be issued with anFPN. The driver can choose to pay the fine or to have the matter dealtwith by a Court.

See Section 2.12 on Daily Walkround Checks.

More information can be found on the VOSA websitewww.vosa.gov.uk.

2.8 Incidents

If you are involved in any driving incident or collision, you are requiredto produce and submit a report of the incident (indicating whetherthere has been any personal injury or vehicle damage) together withthe incident camera within 24 hours, unless exceptional circumstancesapply. You will be allowed 20 minutes paid time to complete therelevant paperwork.

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


If you are required to attend a police station in relation to a road trafficaccident, then you must advise your manager. In most circumstancespaid 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. Hereare some guidelines to help you achieve this:

We will issue you with a uniform, which must be worn appropriately atall times. A points system applies to the renewal of this uniform. Allvisible clothing or hats worn must always be Company uniform. Whenyour uniform wears out, we will replace it.

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

2.9.2 Office-based Employees

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

2.9.3 Engineers

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

2.9.4 Drivers’ Option Scheme

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


2.8 continued to 2.9.4 Issue August 2008

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

2.9.5 Personal Presentation

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

2.9.6 Jewellery

Jewellery should be kept to a minimum, should not be offensive norput safety at risk.

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

2.10 Car Parking

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

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

2.11 Smoking

The Health Act 2006 prohibits smoking in workplaces and in Companyvehicles. If you wish to smoke you can do so during agreed breaksaway from the workplace. Local notices will identify smoking areas thatcomply with current regulations. Failure to observe the smokingcontrols can lead to a fine and possible criminal record and will lead todisciplinary action. The Company can also be prosecuted for failure touphold these regulations.

Arriva the Shires and EssexEmployee HandbookIssue August 2008 2.9.4 continued to 2.11

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

2.12 Daily Walkround Checks

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

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

The checklist below provides guidance of the areas that requirechecking.

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

Approaching The vehicleWhen approaching the vehicle view how the vehicle is standing whichmay indicate a possible puncture or suspension fault.

Checking The vehicleThe 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



• 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 byseeking 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 systemthat includes nil defect reporting.

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

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

Arriva the Shires and EssexEmployee HandbookIssue August 2008 2.12.1 continued

Drivers of Company vehicles can be personally fined for defectsand can be awarded points on their own licence for driving withcertain defects.

Please observe the correct safety procedures at all times when checkingyour 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 andtransfer passengers to following service, if possible

i Complete incident report form on return to depot

j Report any lost mileage


2.12.1 continued to 2.12.2 Issue August 2008

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

2.13 Drugs/Prescribed Medication

Drugs can affect the ability of people in carrying out their role and canresult in devastating effects, in particular in relation to driving oroperating machinery. Employees must act responsibly and ask their GPwhen prescribed medication if this will affect their ability to undertaketheir role. The employee must notify the depot management whentaking such medication. Such information will be treated confidentially.

2.14 Licence Audits

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

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 maintainaccurate information on our records. This is also so that we can makecontact with you in an emergency, if necessary, outside normal workinghours. Such information will be treated confidentially.

2.16 Tool Club

The Company recognises the benefits of employees regularly updatingtheir tool kit. Therefore, a scheme will operate to enable tools andequipment to be purchased and the cost of repayment spread over amaximum period of 4 months/16 weeks which will be deducted viapayroll.


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

• Minimum purchase £20

• Maximum purchase £300

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

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

2.16.1 Tool Replacement

On production of worn or damaged tools, the replacement cost will bereimbursed to a maximum of 50% of the total purchase price on a likefor 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 eventof theft of personal tools or equipment to a maximum value of £2,500. The insurance policy will only provide cover in the event of stolentools/equipment from the employee’s place of work providingreasonable precautions are taken by the employee, i.e. tool boxes mustbe locked and secured in either a lockable cupboard or chained to asecure object.

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

2.17 Assaults On Employees

Arriva the Shires and Essex takes the wellbeing and safety of itsemployees very seriously and will not tolerate abusive behaviour orassaults.



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

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

• Confirm the safety and wellbeing of the person assaulted

• Assess the need for medical attention for both the employee and/orpassengers

• Arrange safe passage for all involved

• Ensure that the police have been informed and a crime numberlogged

• At the first appropriate opportunity, the victim of assault should beinterviewed and an assault form completed and sent to the riskmanager. Consideration may be given to injury and/or traumasuffered and the future safety of the victim i.e. would a change ofroute or duty be appropriate?

• Arrange recovery of the vehicle

• Secure any CCTV footage

Arriva the Shires and EssexEmployee HandbookIssue August 2008 2.17 continued

Section 3 - Terms and Conditions

3.1 Trade Union Recognition And Related Items

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

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

3.1.1 Trade Union Membership

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

3.1.2 Trade Union Recognition

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

3.1.3 Union Dues

Deduction of Union dues through the payroll shall be effected uponreceipt by the Company from the union of an authorised mandatesubject to compliance of the rules of the Trade Union Reform andEmployment Rights Act 1993.

Arriva the Shires and EssexEmployee HandbookIssue August 2008 Section 3 - 3.1 to 3.1.3

3.1.4 Facilities For Trade Union Officials

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

• Notice Board

• Telephone

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

• Typing facilities (subject to availability)

3.1.5 Time Off For Industrial Relations Training

Employees who are officials of an independent Trade Union recognisedby Arriva the Shires and Essex are to be permitted reasonable time offwithout loss of pay to undergo training relevant to the carrying out oftheir Trade Union duties. These duties must be concerned withnegotiations or performance of functions as defined in Section 168 ofthe Trade Union and Labour Relations (Consolidation) Act 1992. Thetraining must be approved by the Trades Union Congress or by theindependent Trade Union of which the employee is an official.

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

3.1.6 Negotiating/Consultative Meetings

Depot Consultative Meetings To be held on a monthly basis. Branch officials required to attend suchmeetings will be stood down without loss of pay. Detailedarrangements to be determined at each depot.

Central Joint Negotiation and Strategy Committee Branch officials required to attend such meetings will be stood downwithout loss of pay.


3.1.4 to 3.1.6 Issue August 2008

Schedules Related Meetings Stand down facilities without loss of pay will be granted to the agreednumber of union appointed schedules representatives for theexamination of the new and revised schedules.

3.1.7 Unite Representative - Stand Down For Industrial RelationsPurposes

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

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

At other times when Trade Union representation is required forindustrial relations, branch officials will be stood down without loss ofpay.

3.2 Hours Of Work

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

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

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

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


Under the Working Time Directive Regulations you should not berequired to work more than 48 hours per week on average over aspecific calculating period unless you agree to do so in writing bycompleting an opt-out form.

Also see Section 4 - Working Time Directive Policy for moreinformation on working hours.

3.3 Reporting Late For Work

3.3.1 Drivers

Phoning in when likely to be over one hour late for unavoidablereasons, you may still be able to work and should be advised if this isnot possible.

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

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

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

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

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

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



3.3.2 Engineers

Employees reporting up to sixty minutes late may start work. Anyemployees reporting for work over15 minutes late must contact theirsupervisor as soon as possible where practicable.

3.4 Overtime And Rest Day Working

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

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

If an employee is unable to work allocated overtime, he/she mustadvise the Company as soon as possible. Failure to report for notifiedovertime will leave an individual liable to action under the Company’sdisciplinary procedure.

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

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

Arriva the Shires and EssexEmployee HandbookIssue August 2008 3.3.2 to 3.4

3.4.1 Managers

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

3.5 Pay

Your rate will be that agreed with the Trade Union as outlined in yourPrincipal 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 paidstaff will be made almost 2 weeks in arrears and your pay day is on aWednesday (except where bank holidays necessitate otherarrangements). Pay slips will be issued sealed and will be available onpay day.

Salaried employees are paid monthly. Payment will be made on oraround the 20th of each month and you will be paid partly in arrearsand partly in advance so that you are paid to the end of that particularmonth.

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

3.5.2 Deductions From Pay

Legislation requires certain standard deductions, for example:

• Income Tax• National Insurance contributions• Court Orders• CSA


3.4.1 to 3.5.2 Issue August 2008

Certain other deductions may be made direct from your pay if youhave 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 allocatedduties, the pay will reflect the highest number of hours of the twoduties.

Staff may (subject to adherence to working hours legislation andproper completion of a change of duty form voluntarily change dutiesor rest days by mutual arrangement and with the approval of localmanagement. Pay will reflect the duty actually worked.

3.7 Holidays

Details of your entitlement to paid annual leave can be found in yourmain statement of terms and conditions of employment. Pleasefamiliarise yourself with the holiday booking procedure at yourdepot/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 holidayentitlement is.

3.7.1 Holiday Arrangements

The allocation of holidays will be subject to local agreement. Youshould not commit yourself to any holiday plans without first obtainingauthorisation from your manager.

Arriva the Shires and EssexEmployee HandbookIssue August 2008 3.5.2 continued to 3.7.1

If you wish to observe religious holidays which do not coincide withPublic Holidays in England and Wales, you may be able to use yourannual holiday entitlement or take unpaid leave. Every reasonableeffort will be made to accommodate such requests, which should bemade at the earliest possible opportunity. However, it must berecognised that the Company’s obligations to fulfil its contractualcommitments will take precedence.

Any holidays which are outstanding towards the end of the holidayyear will be allocated. Carry over of holidays is not permitted, unlessunder exceptional circumstances or where operational requirementshave been such that an individual has been unable to take their fullholiday entitlement. No carry over can be in breach of the WorkingTime Directive.

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

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

For new employees holidays accrue from the first day of employmentin 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 thebalance of your holiday entitlement accrued but not taken.

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



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

Extended Holiday Leave Extended holiday to a maximum of eight weeks’ continuous leave intotal may be granted once every three years to employees. To beeligible, an employee must have at least three years’ service with theCompany. All annual holiday, lieu days etc already available must beused to minimise the amount of unpaid leave. Application should bemade to the depot manager. The Company will take into account itsoperational requirements prior to granting extended holiday leave. Before starting any extended holiday leave, employees must supply acontact address and return all Company equipment. Employees arereminded that failure to return on the agreed date without goodreason could result in them being dismissed from the Company’semployment. Employees will be required to acknowledge in writingthat they have been advised of these terms.

3.7.3 Bank And Public Holidays

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

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

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

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



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

• All staff eligible to accrue a lieu day and wishing to accrue mustadvise the depot in writing 7 days in advance of the Bank Holidaythat they wish to accrue

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

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

• In weeks where accrued lieu days are taken, there will be nominimum guarantee, only the value of duties worked and lieu dayvalues will be paid

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

• Christmas Day and Boxing Day duties will be paid at 3 times rate or 2times 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 coverageof the work, drivers will be rostered and compensatory arrangements,agreed locally by the management and Trade Union representatives,will apply.


Wherever Christmas Day, Boxing Day or New Year’s Day fall thenalternative bank holiday working arrangements will apply including themovement of rest days when required during the weeks in which thesePublic Holidays fall.

All permanent employees are entitled to eight days paid Public Holidaysas 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 butthis will be on a pro-rata basis.

Example: If you work 4 days you will be entitled to 4/5ths of the 8Bank 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 takenaway from the vehicle and accumulated breaks do not form part of therest break entitlement. Duties will identify when a rest break occurs.

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



Breaks must be taken away from the working area.

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

Mobile workers please refer to Section 4 of this handbook formore information on the Working Time regulations and RoadTransport Directive.

3.9 Sickness

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

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

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

After 7 calendar days of sickness absence, you will need to provideyour 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 mayarrange a meeting, either by visiting you at your home with priorappointment, or by requesting your attendance at the nearestCompany office


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

3.10 Sick Pay

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

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

b Company sick pay (inclusive of statutory sick pay) as stated in yourmain statement of terms and conditions of employment. TheCompany reserves the right to withhold payment if sufficientevidence 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 yourabsence e.g. undertaking heavy labour whilst absent with a backinjury

• If the Company has reasonable grounds to believe you are abusingthe 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 sicknessexcept where reserved contractual rights under a TUPE transfer apply.



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

Period of continuous service EntitlementUnder 12 months Nil12 Months to 2 Years 4 weeks2 to 3 years 8 weeks3 to 5 Years 10 WeeksOver 5 years 26 weeks

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

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

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

Please see Section 4 - Attendance Policy for more informationon sick pay.

3.10.2 Accident/Assault Pay

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

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

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

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


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

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

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

An employee absent from duty as a result of an accident or assault willnot be entitled to accident/assault pay if it is considered that an actionfor damages may be successful against the third party or that a claimmay be submitted for compensation to the Criminal InjuriesCompensation Board. In this event, the Company will advance a sumequal to accident/assault pay (defined as an advance of pay), subject tothe recipient undertaking to submit such a claim or to take action fordamages and to refund this amount to the Company if the claim issuccessful.

3.11 Other Employment

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

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

It is an express condition of your employment that you do not use, norpermit to be used, any residence, site, building or other premise (inwhich you, your partner, relative or acquaintance have a


3.10.2 continued to 3.11 Issue August 2008

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

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

3.12 Retirement And The Pension Scheme

The normal age of retirement is 65, and it is our intention foremployees to retire the day before their 65th birthday falls. Inaccordance with age discrimination staff may apply to continueworking beyond the normal retirement age.

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

3.12.1 Pension Scheme

New Final Salary SchemeArriva plc operates the Arriva UK Bus National Pension Scheme. To joinyou 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 PensionScheme 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 membersfree.


3.13.1 Employed Staff

• Full time and part time employees are eligible for staff passes equallyregardless 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 andmust be a resident at the same address as the employee

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

• Other dependent relative including one in full time education (oneper employee ONLY where spouse/partner entitlement not takenup 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 equallyregardless of number of hours worked. Former casual staff would notreceive a pass.

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

*meaning retirement at age 65 or other early retirement as formallyagreed 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 withmore than 10 years’ service made redundant by the Company andwhom at the time of redundancy have been unable to find alternativeemployment.


3.13.1 to 3.13.3 Issue August 2008

Passes would be reissued for a further period provided that all theinitial criteria continue to be met. The ex-employee may be required toprovide 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 withmore than 10 years’ service whose employment is terminated ongrounds of ill health and who in the opinion of the Company medicaladvisor is unable to undertake any full or part time work in theeconomy as a whole as a direct result of the medical problem. Uponreaching retirement age those with qualifying service would be treatedas retired employees (see above).

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

3.14 Notice Periods

Formal notice of termination of employment will not be less than theContract of Employment of each individual staff member. It is notedthat some employees may be entitled to more than the statutoryminimum notice period.

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

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

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


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

Employees who resign without giving the required written notice mayforfeit accrued holiday pay if they are found to be in breach ofcontract.

Cases of gross misconduct/negligence may be subject to summarydismissal without notice in accordance with the Company’s disciplinaryprocedure.

3.15 Exit Interviews

Employees who resign will be asked to confirm their resignation inwriting and to attend an exit interview at which they will be asked inconfidence to provide their comments regarding their employmentwith the Company.

3.16 Lay-off Arrangements

In the event of the Company being temporarily unable to provideemployment due to reasons outside its control (e.g. non-supply offuel), payment for the days not worked will be the subject ofnegotiations 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 drivingstandards. In order to evaluate the driving standards of Companydrivers, the following procedure will apply:

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



observation and advised that a report will be submitted to the depotmanager within 24 hours and if necessary recommending correctivetraining.

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

If, in extreme cases only, the official considers that the driver shouldnot continue to drive in service, then the driver will be instructed toleave the driving seat and the vehicle will be driven by the official. Theofficial will then instruct the driver to either remain on the vehicle orreport to the driver’s home garage provided that adequate Companyoperated services are available to reach the depot. Otherwise theofficial will make appropriate arrangements to get the driver to theirhome depot.

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

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

3.18 Use Of Private Cars On Company Business

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

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

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

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


• Produce a copy of their certificate of insurance which indicates theyhave 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 orcontract passengers

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


3.18 continued Issue August 2008

Section 4 Policies

4.1 Attendance And Leave Policy

Definition Of AbsenceAbsenteeism is defined as absence from work without prior permissionor reasonable explanation. Sickness absence may constitute areasonable explanation, but must be properly certified (either by a selfcertification or medical certificate). Absence which is not certified willbe dealt with as a matter of conduct under the Disciplinary Procedure.

There will of course always be some exceptional circumstances whereprior permission has not been possible e.g. emergency hospitaladmission or death in family. In such cases management will use theirdiscretion.

4.1.1 Aims And Objectives Of Attendance Review Policy

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

The procedure provides a framework for dealing with employees withlevels of attendance that are considered unacceptable. The objective isto ensure that all employees are dealt with in a consistent, fair andcompassionate basis. Where the required attendance level is notpossible, the procedure includes consideration of all possiblealternatives.

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

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

Arriva the Shires and EssexEmployee HandbookIssue December 2008 Section 4 - 4.1 to 4.1.1

4.1.2 Sickness Reporting Procedure

Day 1As soon as an employee knows that they are unable to come to workthey must notify the duty supervisor or nominated person at their siteby telephone, at least two hours before the start of duty, or as soon asis possible on the first day of absence. Notification should be madepersonally or, in exceptional circumstances, for example, due to theemployee being in hospital when they may be unable to make contact,a relative, neighbour or friend should contact the company on theirbehalf. When phoning the depot, the following information will berequested 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 AbsenceAn employee must personally ensure that the depot is kept informedwhen they are unable to attend work until a medical certificate issubmitted, unless they are incapable of doing so. Where sensitivepersonal health or other matters are involved, the depot manager willcall the individual back.

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

Sick or absent employees must notify their manager by 12:00 noon onthe 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 toattend for work on the following day by prior agreement e.g. forminor uncertified conditions such as headache.


4.1.2 Issue December 2008

Absolute confidentiality must be respected in the processing ofthis information

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

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

Anyone who is on annual leave and becomes sick must notify theCompany immediately. The appropriate forms must still be submittedupon return from holiday

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

Maximum Period Of Sick LeaveThe maximum period of sick leave is 38 weeks, however during anyspell of sick leave, you will be subject to regular reviews, which mayresult in mutually agreeable termination of employment at an earlierstage. In this instance an up to date medical report will be obtainedand the decision will be based on the medical information available atthat time. Those staff capable of return to work after a longer periodwill be subject to individual case assessment.

Arriva the Shires and EssexEmployee HandbookIssue December 2008 4.1.2 continued

4.1.3 Return To Work Interviews

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

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

• Remind the employee of their contractual obligation for goodattendance

• Discuss Certification of absence

• Review the past attendance record

• Discover any patterns of absence e.g. absence frequently on thesame 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 improvehis/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 theCompany and other employers take into account when making thedecision 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 developedinto Stage 1 of the Attendance Review. This is permissible, as this stage


4.1.3 Issue December 2008

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

The interview must not be developed any further into the AttendanceReview Procedure as there will be no Colleague/Union Representativepresent. If the employee does not want representation, any disciplinaryinvestigation 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 anyformal disciplinary meeting, the employee will be given a minimum ofnot less than 24 hours notice in advance of the meeting.

Alternative DutiesIn exceptional circumstances, and for short periods, the company mayallocate alternative duties, where available work permits and whereappropriate a phased return to work to facilitate recovery followingsick absence, injury etc.

4.1.4 Review of Attendance

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

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

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

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

Arriva the Shires and EssexEmployee HandbookIssue December 2008 4.1.3 continued to 4.1.4

Conduct of Attendance Review MeetingsAt 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 theemployee

• Discover any patterns of absence e.g. absence frequently on thesame 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 adisability

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

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

• 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 criteriaconsidered by the Company when recruiting staff

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

• Complete necessary documentation


4.1.4 continued Issue December 2008

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

4.1.5 Medical Referral

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

The company will meet any reasonable travel expenses in order toallow the employee to attend any company-requested medicalappointment. The employee will be asked to complete a medicalconsent form, which outlines their rights under the ‘Access to MedicalReports Act 1988’. With this consent, a medical report will be given tomanagement and the employee can also have a copy of the report ifthey so wish. If the employee refuses to give consent, the company willhave no option but to make what it feels is a reasonable decisionbased on the information it has available at that time.

Failure to attend a medical appointment as requested withoutreasonable explanation and/or repeated failure to attend will result inthe immediate withdrawal of Company Sick Pay. Any decision made inthese circumstances will be made on the evidence available at thattime.

4.1.6 Dismissal

If the employee is unable to achieve a satisfactory level of attendancethen, following investigation and consideration of all thecircumstances, the individual is liable to be dismissed following theattendance procedure.


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

The following factors will be taken into account when dismissal isconsidered;

• 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 particularemployee

• The employee has been made clearly aware of the situation at eachreview 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 PayThe company sick pay scheme is discretionary, attempted abuse of thescheme will result in non-payment of all elements of sick pay(Company and Statutory) for the employee concerned and possibledisciplinary action.

Union RepresentativesIf union representatives are subject to Attendance Review, theCompany will liaise with the local full time union official.


4.1.6 continued to 4.1.7 Issue December 2008

Contractual Notice Of Termination Of EmploymentWhere dismissal is necessary, on the grounds of capability, theemployee will be given their contractual notice entitlement. This noticeperiod will be paid in lieu, with the employee not being required toattend work.

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

Line Manager’s DutiesIn accordance with Disciplinary Procedure responsibilities as outlined in4.10.13.

The Line Manager is responsible for:

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

• Checking if an Attendance Review Interview and/or medical isnecessary and making arrangements for this to happen whereapplicable

• Conducting Stage 1 Interviews – Attendance Reminder

• Conducting Stage 2 Interviews – Possible Caution

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

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

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


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

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

Senior Manager’s DutiesIn accordance with Disciplinary Procedure responsibilities as outlined in4.10.13.

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

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

• Ensuring that Absence is monitored and attendance is managed

Director’s DutiesIn accordance with Disciplinary Procedure responsibilities as outlined in4.10.13.

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

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

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

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



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

See Accident/Assault Pay

ConfidentialityAll personnel records and discussions will be treated as confidential.Arriva considers any breach of confidentiality as a serious disciplinarymatter.

4.1.8 Stages of Attendance Review

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

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

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

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

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

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

A caution may be given and new standards of not more than 2occasions 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 requiredstandard they may be required to visit the Company MedicalProfessional.

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


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

The employee may be required to attend the Company MedicalProfessional for a medical review. Expenses for this will be met by theCompany. Failure to attend as requested will result in the immediatewithdrawal of Company Sick Pay.

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

The employee is interviewed by his/her Manager and informed thathis/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 ofabsence in the next 6 months.

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


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

Employees, who become permanently unfit for duty, may be offeredsuch alternative work that is available subject to the followingconditions;

a That the employee is prepared to carry out the full duties of thealternative post and is in the opinion of the Company’s medicaladvisor capable of doing so



b The rate of pay and other conditions of employment applicable tothe alternative post will apply although a period of protectedearnings may be offered at the discretion of the Manager

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

The employee may be required to attend the Company MedicalProfessional for a further medical. Expenses for this will be met by theCompany. Failure to attend as requested will result in the immediatewithdrawal of Company Sick Pay.

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

The employee is interviewed by his/her Manager and informed thathis/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 ofabsence in the next 6 months.

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


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

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



a That the employee is prepared to carry out the full duties of thealternative post and is in the opinion of the Company’s medicaladvisor capable of doing so

b The rate of pay and other conditions of employment applicable tothe alternative post will apply although a period of protectedearnings may be offered at the discretion of the Manager

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

The Manager will consider terminating the employee’s contract.

4.1.9 Long Term Illness

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

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

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

This will involve a counselling meeting with their Manager either at theemployee’s home or at their place of work. Following this initialmeeting, an appointment may be made for the employee to visit theCompany Medical Professional during the fourth or fifth week ofabsence, 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 workwill be made to the Manager.


4.1.8 continued to 4.1.9 Issue December 2008

Frequency Of Review MeetingsWhen an employee has been absent from work continuously, they willbe invited to a review meeting with their Manager. Subsequentmeetings will be held on an ongoing basis, normally no morefrequently than once every two weeks.

These meetings will normally be held on site, but if it is easier for theemployee, because of their incapacity, then they could be held at theemployee’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 theforeseeable future?


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

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

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


Participants At Review MeetingsThose 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 unionrepresentative of their choice present.

Alternative/Light DutiesA medical professional (GP, Occupational Health, etc.) may, in certaincircumstances, recommend that an employee returns to work eithertemporarily or permanently on alternative and/or light duties. TheCompany will investigate whether suitable work is available, as per themedical professionals’ recommendations. If suitable work is notavailable, the Company is under no obligation to create workspecifically for this purpose and the employee may have to remain offsick. However, should the Company be able to identify suitablealternative work, the employee will be expected to return to work andundertake the duties identified. If the employee unreasonably refusesto undertake the work identified, this may result in the non-paymentof all elements of sick pay (Company and Statutory) for the employeeconcerned and may also result in possible disciplinary action.

Long Term/Permanent IncapabilityAs outlined the employee’s attendance will be reviewed on a regularbasis following absence from work.

If, at any stage in the review procedure, medical evidence shows thatthe employee is unlikely to be able to return to work, and there is nosuitable alternative employment available, then the company willdiscuss with the employee possible courses of action (e.g. terminationof employment, application for medical severance).

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



4.1.10 Pension Applications

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

Where levels of absenteeism do not improve then disciplinary actionwill 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 amore flexible approach to sickness monitoring in order to comply withthe provisions of the Disability Discrimination Act 1995.

4.1.12 Other Absence

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

Statutory Time Off (Without Pay)All employees will have the right to take a reasonable period of timeoff work to deal with an emergency involving a dependant*, and notsuffer any detriment for doing so. There is not a set limit to theamount of time off which can be taken but in most cases it will be upto five days. Requests will be handled on a case-by-case basis. This typeof absence from work is without pay.

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

Arriva the Shires and EssexEmployee HandbookIssue December 2008 4.1.10 to 4.1.12

Court ProceedingsIf you have to attend court as a juror, we will give you paid leave. If thecourt pays you an allowance for loss of earnings, we will reduce yourpay by that amount. If you are subpoenaed to attend court as awitness or in any other capacity, you will be granted leave without pay.You should claim your loss of earnings from the courts. This does notapply when representing the Company as a witness.

Public DutiesReasonable time off for the purpose of performing Public Duties maybe permitted at the discretion of the Company for the followingreasons:

• 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 andYoung Offenders Institutions

• Member of a Local Authority Council

The amount of time off an employee is permitted to take will be basedon 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 theemployee’s absence on the business

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



Territorial ArmyEmployees who are members of the Territorial Army, or one of theaffiliated cadet organisations, who are required to undergo Servicetraining, would normally be granted up to a maximum of 2 workingweeks’, special leave without pay, in a holiday year for the purpose ofattending this training.

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

4.1.13 Bereavement Leave

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

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

financially responsibleMother/Father 3 daysDaughter-In-Law/Son-In-Law 1 dayBrother/Sister 1 dayMother/Father-In-Law 1 dayGrandmother/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 orlong time working colleague of the deceased, the Company willendeavour to give the employee time off for the funeral, if theemployee is scheduled to work. The Company cannot guarantee thistime off if they are unable to release an employee from service due tooperational demands. Such periods of absence are without pay.

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


4.2 Paternity Leave Policy

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

4.2.1 Paternity Leave

Employees (other than the mother of the child) with parentalresponsibility are entitled to either one week (calculated on rosteredearnings) or two consecutive weeks’ paternity leave (based on SPP).You are not entitled to take two separate one-week periods of leave orperiods 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 takenbefore the child is born and must be taken within 56 days of the child’sbirth. If the child is born prematurely, it can be taken from the child’sbirth and up to 56 days after the first day of the expected week ofchildbirth (EWC).

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

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

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

or

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

Arriva the Shires and EssexEmployee HandbookIssue August 2008 4.2 to 4.2.1

If you choose to start your paternity leave on a predetermined dateand the child has not been born you must change when you want tostart your leave and notify the Company in writing as soon asreasonably 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 expectedweek of childbirth (EWC)

• You have remained in employment until the child is born

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

The rate for Statutory Paternity Pay is prescribed legally and you will beinformed at the time of taking your leave the current rate in force. It iscurrently 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 nolater than the 15th week before EWC.

4.3 Maternity Leave Policy

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

4.3.1 Maternity Leave

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



Any woman with at least 41 weeks’ continuous service before theexpected week of childbirth (EWC) will be entitled to a further 26weeks’ 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 thebaby is due, employed under Arriva the Shires and Essex Terms andConditions, are eligible for a maximum of a 20 weeks CompanyMaternity Pay.

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

Company maternity pay will be offset against the first 20 weeks ofstatutory maternity pay. (Therefore an employee receiving Companymaternity pay will be eligible to receive 20 weeks at their full basic payfollowed 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 withthe 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 remaining33 weeks in accordance with Statutory Provision.

You will qualify for SMP if:

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

• You comply with the notification requirements

and

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


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

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

Your right to SMP is conditional upon giving 28 days written noticefrom the date you expect SMP to begin i.e. the date when yourmaternity leave period is due to begin.

4.3.4 Notification Requirements

It is essential that written notification of the pregnancy is supplied byno later than the 15th week before the EWC.

You are entitled to change the date you want to start your maternityleave and MPP, provided you give notice of the new date in writing.Notice must be given at least 28 days before the date you wereoriginally 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 arepregnant. 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 willconsider what measures can be taken to minimise the risk. In somecases, the Company may need to alter your working conditions orhours of work or offer you suitable alternative work.

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



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

4.3.6 Antenatal Care

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

Wherever possible, employees should arrange appointments outside ofworking hours or at a time when disruption to the business isminimised.

4.3.7 Commencement Of Maternity Leave

The earliest date that you can commence OML, is the beginning of the11th 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 todo your job adequately and capably.

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

Maternity leave will start on the day you have chosen. SMP, however, isgenerally paid from the Sunday after you stop work. For example, ifyou choose to stop work on a Wednesday, your maternity leave willstart on the Thursday but you will not start receiving SMP until theweek beginning the following Sunday. This would mean the first fewdays of your maternity leave would be unpaid. For this reason, youmight like to consider starting your maternity leave at the beginning ofthe week.


4.3.8 Automatic Triggers Of OML

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

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

and

• You are absent from work for a pregnancy-related illness in the fourweeks before your EWC (and you have not already started yourmaternity leave). In this case, your maternity leave and MPP will startthe day after your pregnancy-related absence began. In this period ifthe absence is non-pregnancy related the normal absence procedureapplies

4.3.9 Holiday Entitlement

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

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

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

4.3.10 Early Return

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


4.3.8 to 4.3.10 Issue August 2008

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

We will assume that you will return to work the day after the day wehave notified you is the last day of your maternity leave. If you want toreturn 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 28days’ notice.

4.3.11 Return To Work

If you only take OML, you are entitled to return to the same job. If youtake OML and AML and it is not reasonably practicable for you toreturn to the same job, you will be offered an alternative position onno less favourable terms and conditions.

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

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

4.4 Adoption Leave Policy

This policy sets out the statutory rights in relation to Adoption Leaveand 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. Additionalinformation you may need to know is detailed below.


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

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

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

• You may be requested to provide evidence of the adoption issued bythe 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 qualifyfor Additional Adoption leave that is an additional 26 weeks’ unpaidleave in addition to OAL

*a person is ’matched’ for adoption when a UK adoption agencydecides 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 thechild is placed with you or up to 14 days before the expected date ofplacement.

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

4.4.2 Disrupted Placement

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



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

4.5 Parental Leave Policy

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

We will grant you unpaid Parental Leave for the purpose of lookingafter 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 thecommencement 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 amaximum of 18 weeks is available in respect of disabled children upuntil their 18th birthday.

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

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


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 itsemployees. Flexible working forms part of the work life balancepolicies. This Flexible Working Policy ensures compliance with thestatutory requirements for working parents. Section 80F of TheEmployment Rights Act 1996 applies.

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

The employee has a responsibility to think carefully about their desiredworking pattern when making an application and the Company isrequired to follow a specific procedure to ensure requests areconsidered seriously.

4.6.1 Scope

Mothers and fathers have the right to request to work flexibly. Thisdoes not provide an automatic right to work flexibly as there willalways be circumstances when the Company is unable toaccommodate the employee’s desired work pattern. The right isdesigned 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 iseligible for a disability allowance, provided for in the Social SecurityContributions 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 liveswith the child and the mother, father, adopter or foster parent in anenduring family relationship, but is not a relative.



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 thedate the application is made

• Make the application no later than two weeks before the child’s sixthbirthday 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 rightduring 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 EssexEmployee HandbookIssue August 2008 4.6.3 to 4.6.4

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

This covers requests to change working patterns.

4.6.5 Procedure

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

4.6.6 Application

Applications for flexible working arrangements must include all of thefollowing:

• The application must be in writing, dated and state that it is beingmade under the statutory right to apply for flexible working. Pleasesee, 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 explainwhat effect the employee thinks their proposed changes will have onthe Company and how this may be dealt with

• The application must specify a start date for the proposed changesgiving the Company reasonable time to consider the application andimplement any changes

• The employee will be able to make only one application a year underthe right, and an accepted application will mean a permanentchange to the employee’s own terms and conditions of employmentunless otherwise agreed

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



4.6.7 Consideration

Within 28 days of receiving the application the manager will arrange tomeet with the employee. This will provide the manager and theemployee with the opportunity to explore the desired work pattern indepth, and to discuss how best it might be accommodated. It will alsoprovide an opportunity to consider other alternative working patternsshould there be problems in accommodating the desired work patternoutlined in the employee’s application.

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

The meeting will not be required if the manager agrees to the terms ofthe application and notifies the employee in writing accordingly within28 days of receipt of the application. The manager will use theApplication 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 tothe employee to notify them of the decision taken, being that:

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

• The compromise agreed at the meeting will be implemented from aspecified date

or

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

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


Applications for flexible working arrangements can be refused only forthe 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 towork

• Planned structural changes

4.6.9 Conditions of Acceptance

All accepted flexible working arrangements will be subject to thefollowing conditions:

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

• The arrangement is effective only when the criteria outlined in theeligibility section is met. If any circumstances change then the onus ison the employee to make the Company aware of this change, failureto 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 decisionwithin 14 days of the notification being received.

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



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

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

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

Within 14 days after the date of the appeal meeting the HR managerwill 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 containingsufficient explanation of the refusal

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

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

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

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

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

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

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


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

If at any point throughout the Flexible Working Arrangement theemployee decides they no longer wish to work flexibly they mustcomplete the Flexible Working Notice of Withdrawal Form, seeAppendix G, and send to their manager. The manager will then replyto the employee with the section of the form to confirm thiswithdrawal.

4.7 Working Time Directive Policy

4.7.1 Working Time Regulations

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

This section sets out the main provisions of the Working Timeregulations. Some of the provisions apply to all of our workers andsome of the provisions apply to only our non-mobile workers, thereforeexcluding drivers.

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

4.7.2 Working Hours

The regulations state that all workers (includes non mobile and driverson UK hours regulations, drivers on EU regulations excluded) shouldnot be required to work more than 48 hours per week on average over17 weeks, unless the worker agrees to do so in writing by completingthe opt-out form.

The maximum 48 hour week is an average number of hours and theaverage is calculated over a reference period. Therefore, even if you donot opt-out of the 48 hour weekly average by completing the attachedform, there may be some weeks when you are required to work more



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

An opt-out form can be obtained from your manager. If you wish towork more than an average of 48 hours per week average pleasecomplete the form and return it to your manager. You are under noobligation to sign this form. However if you choose not to, you may beunable to work overtime, over and above the limits specified in theWorking Time Directive.

4.7.3 Daily Rest

Non-mobile workers are entitled to 11 hours rest from work in each24 period. Any non-mobile worker under the age of 18 is entitled to12 hours rest from work.

4.7.4 Rest Breaks

Non-mobile workers who work more than 6 hours per day areentitled to 20 minutes’ break during the 6 hours. In the interests ofhealth and safety, you should take your break away from yourworkstation. Non-mobile workers under the age of 18 are entitled to arest 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 theend of a duty, drivers will be paid for each minute exceeding theirscheduled finish time.

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

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

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

• To take their full break entitlement


Where a delay causes late departure of the last run, the duty managerwill be expected to make every endeavour to complete the duty whereit 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 eachweek or 2 days rest every 2 weeks. Non-mobile workers under 18 areentitled to 2 days rest from work each week.

4.7.7 Night Work

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

4.7.8 Night Worker Health Assessments

All workers who work at night will need to undergo a healthassessment to ensure night work will not/does not affect your health. We will ask you to complete a simple questionnaire to help assess yourhealth. You may then be required to have a medical assessment todetermine 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 (prorata) including bank holidays from October 2008.



4.7.10 Road Transport Regulations (EU Regs)

IntroductionOn 4 April 2005 The Road Transport (Working Time) regulations cameinto force. These new regulations apply to mobile workers workingwithin Europe subject to the EU Drivers’ Hours regulations. Thesemobile workers were not previously covered by all elements of theWorking Time regulations that applied to the transport sector from 1stAugust 2003. Within Arriva the Shires and Essex, these rules apply toanyone covered by EU Drivers’ Hours or the regulations that you mayknow as the EU Regs.

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

Weekly Working Time This is restricted to an average of 48 hours per week. A maximum of56 hours of working time is allowed in a single week.

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

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

Break periods and periods of availability are excluded from the workingtime calculation.

This restriction in your working week also applies to any secondaryemployment 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 hourweek (excluding breaks and POA) even if you want to.

Night Working This is deemed to be between 1:00am and 5:00am for passengervehicle employees.

Arriva the Shires and EssexEmployee HandbookIssue August 2008 4.7.10

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

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

Rest Breaks PeriodsAs per your current working practice and in line with the EEC Regs abreak of 45 minutes after 41/2 hours cumulative or continuous drivingis required. This remains unchanged if you are driving. If you are doingnon-driving activities, these new regulations provide an entitlement ofat least a 30 minute break after you have worked 6 hours or more butless than 9 hours. If you work in excess of 9 hours you will be entitledto 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 ineach period of 24 hours.

Weekly Rest PeriodsAs 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 beingdismissed or penalised for disclosing information they honestly andreasonably 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



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

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

However, where you believe this to be inappropriate, you can reportyour concerns directly to the Group Head Office by calling 0800 58 77580.

The number is a confidential telephone mailbox and you will be askedto leave your name, location and a contact point. This mailbox will bechecked on a daily basis and you will be contacted to ensure there is aclear understanding of the details of your concern. Alternatively youmay leave your contact details at the following e-mail [email protected] and your concern will be handled in thesame confidential manner.

Any matters raised will be dealt with as quickly as possible andconfidentiality respected. Feedback on the outcome will be given tothose who report the alleged malpractice.

Whilst in most circumstances, an employee should report these matterswithin the Company, they are entitled to report to the relevantgoverning body.

4.9 Redundancy Policy

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

4.9.1 Consultation

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

Arriva the Shires and EssexEmployee HandbookIssue August 2008 4.8 continued to 4.9.1

Statutory rules apply in all cases unless there are ‘special circumstances’which render it not reasonably practicable for the Company to complywith this arrangement. In this event the Company will consult with theunion 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 acrossthe Company

• The proposed method of selecting the redundant posts

• The proposed method of carrying out the redundancies, includingthe period over which they are to take effect. In the course ofconsultation the Company will consider any representations made bythe union to avoid or reduce the redundancies or to mitigate theirconsequences

4.9.2 Alternative Employment

Wherever possible, the Company will seek to identify a suitablealternative position for a redundant employee. The offer of alternativeemployment will be in writing and specify the terms and conditionsapplicable to the department. If the job offered is a different type ofwork, the employee will be allowed a trial period of four weeks fromwhen that employment commences. If during or at the end of theperiod, either the employee or the Company decides that theemployment should not be continued, the employee will still be eligiblefor full redundancy terms.

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

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



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

4.9.3 Selection

The Company will implement the reduction in staff in the affecteddepartments through the most appropriate means, subject to thenecessity of retaining those most suited to fill them in the remainingjobs. This will include voluntary redundancy, retirement and naturalwastage.

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

4.9.4 Misconduct

Employees under consultation for redundancy will be treated the sameas any other employee in relation to the Company’s DisciplinaryProcedures. Anyone dismissed in accordance with the Company’sDisciplinary Procedure whilst under notice of redundancy or within thetrial period in respect of alternative employment, will lose theirentitlement to redundancy payments.

4.9.5 Redundancy Payments

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

Pension details will be provided upon request where early retirement isbeing considered by redundant employees. This does not necessarilymean an application would be automatically accepted.


4.10 Disciplinary And Grievance Policy

4.10.1 Principles

The Disciplinary Procedure is designed to help and encourage allemployees to achieve and maintain satisfactory standards of conductand performance.

It aims to:

• remind you what is expected of you

• give you an opportunity to remedy shortcomings in yourperformance or conduct

• prevent unsatisfactory behaviour by a minority of employees whichcould adversely affect our business or interfere with effective workingrelationships

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

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

4.10.2 Standard Statutory Procedure

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

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

Step 3 Employee must inform employer of wish to appeal within settime, meeting need not take place before disciplinary actiontakes place, where practicable, more senior manager shouldhear appeal. Employee has right to be accompanied.


4.10 to 4.10.2 Issue August 2008

4.10.3 Modified Statutory Dismissal Procedure

Step 1 Employer must set out in writing the employee’s allegedmisconduct that has led to dismissal including the reasons forthinking at the time of dismissal that the employee was guiltyof the alleged misconduct. Employee must be informed oftheir right of appeal.

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

In the event that the employer fails to follow the statutoryprocedure where an employee qualified to do so makes a claimof unfair dismissal, an employment tribunal will automaticallyfind the dismissal unfair.

When a potential disciplinary matter arises, the employer should makenecessary investigations to establish the facts promptly beforememories fade. It is important to keep a written record for laterreference. Having established the facts, the employer should decidewhether to drop the matter, deal with it informally or arrange for it tobe handled formally. Where an investigatory meeting is held solely toestablish the facts of a case, it should be made clear to the employeeinvolved that it is not a disciplinary meeting. However, the employeeshould 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 theCompany’s property or responsibilities to other parties, considerationshould be given to a brief period of suspension with full pay whilstunhindered investigation is conducted. Such a suspension should onlybe imposed after careful consideration and should be reviewed toensure it is not unnecessarily protracted. It should be made clear thatthe suspension is not considered to be a disciplinary action.

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


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

At all stages the employee will be advised they have the right to beaccompanied by a Trade Union representative or work colleague. Thisprecludes cautionary suspension from duty. Their role is to help youprepare, witness the meeting, speak on your behalf if required (but notnormally answer questions on your behalf) and give supportthroughout the whole process. The person you choose must bereasonably available. Where Language is a problem, an appropriatelyskilled 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 24hours’ 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 mutuallyconvenient time. If the employee is unable to attend the 3rd arrangedmeeting and fails to respond or explain their reasons then a decisionmay be taken in his or her absence, with union representation.

4.10.4 Required Standards

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

4.10.5 Unsatisfactory Performance

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



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

4.10.6 Probationary Period

In cases where an employee is still within their probationary periodwith the Company, unsatisfactory performance could result indismissal. Before this decision is taken the employee will have had areview with their manager (or instructor/examiner if still in the trainingschool) and the areas for improvement will be highlighted and theopportunity given to improve. The manager may also extend anemployees’ probationary period to allow the employee to makeimprovements in their performance. This will normally be

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

4.10.7 Simple Misconduct

This is defined as a single action or omission that causes inconvenienceor embarrassment to the Company, to other employees, to members ofthe 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’sstandards. 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 personalhygiene

• Failing to carry out reasonable instructions

• Failing to follow Company rules


• 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 sensebasis is considered to be a serious breach of acceptable behaviour.Owing to the nature of our business, breaches affecting service deliveryor relations with the public will be treated more seriously than in otheremployment.

4.10.9 Capability

If you have an unsatisfactory attendance record, then this will be dealtwith under the Company’s Disciplinary procedures, separately toGeneral Misconduct. The Company recognises that generally absencefrom 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 tosummary dismissal. Though not exhaustive, examples of GrossMisconduct are as follows:

• Theft or misappropriation of money or property belonging to theCompany, 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 anundervalue ticket

• Being under the influence of drugs or alcohol



• Fighting or physical assault

• Grossly indecent or immoral behaviour

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

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

• Deliberate or significant breaches of health and safety rules, such assmoking in a prohibited area,dangerous practice on the Company’spremises or in Company vehicles (including the use of a handheldmobile telephone whilst driving), or breaching Company or statutoryrules that could cause danger to employees or the public or leave theCompany liable to prosecution

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

• Discriminatory conduct, bullying, sexual or racial harassment

• Carrying out private work on the premises and/or in working hourswithout permission

• Any act outside of work which brings the Company into disreputee.g. an employee dealing in drugs

• A deliberate act of abuse or discourtesy

• Imprisonment or conviction for a criminal offence considereddamaging to the Company, or that has a bearing on the employee’ssuitability for continued employment

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

• Gross negligence or misconduct including careless or reckless driving


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

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

4.10.11 Advice And Guidance

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

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

4.10.12 Formal Disciplinary Procedure

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

Investigatory MeetingThe employee will be invited to an investigatory meeting, notified oftheir right to representation and should be given a copy of anydocuments which will be produced at the meeting.

At the meeting the manager will explain the disciplinary issue allegedagainst the employee, discuss the allegations and consider the evidencethat has been gathered. The employee will be invited to set out his orher case to deny, rebut or refute any allegations that have been made.The employee will be given the time to ask questions, presentevidence, call witnesses and challenge any information provided bywitnesses.

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



Where misconduct is established as fact, for example:

• Early running• Positive alcohol or drug test• Driving disqualificationa fact-finding investigation meeting may not be necessary.

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

Stage One - Caution If the employee’s conduct or performance fails to meet with acceptablestandards he or she may be given a caution. He or she will be advisedof the reason for the warning, that it is the first stage of theCompany’s disciplinary procedure, the improvements that are requiredand the consequences if the required improvements are not met withinthe timescales set. The individual will be informed of their right ofappeal. A record of the caution will be kept, but will cease to “be live”after 6 months.

Stage Two - Written WarningIf the offence is sufficiently serious, or if a further offence ofmisconduct occurs, a written warning may be issued. He or she will beadvised of the reason for the warning, the improvements that arerequired and will advise that action under Stage 3 of the procedure willbe considered if there is no

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

Stage Three – Final Written WarningIf conduct or performance fails to improve, or if the misconduct issufficiently serious, the employee is likely to be given a final writtenwarning. This will give details of the complaint, will warn that dismissalmay result if there is no satisfactory improvement and will advise of theright of appeal. It will advise of the improvements that are expectedand specify the timescales involved. A record of the final writtenwarning will be kept, but will cease to “be live” after 12 months, in allbut the most exceptional circumstances. Award could include unpaidsuspension.


Stage Four – Contractual DismissalIf conduct or performance remains unsatisfactory and the employeestill fails to reach the prescribed standards Dismissal is likely to result.The employee will be provided as soon as reasonably practicable withwritten reasons for the dismissal, the date on which the employmentwill terminate and the right of appeal. For some employees, dismissalwill lead to a demand for repayment of indemnities and otherliabilities.

Stage Five – Summary DismissalCertain acts of Gross Misconduct may merit summary dismissal withoutnotice, these may include theft, fraud, assault, incapacity to work dueto the influence of alcohol or illegal drugs or serious infringement ofhealth and safety rules. Certain criminal offences that occur outside theworkplace may also be considered to be gross misconduct and mayresult in summary dismissal. In the cases where the Company hassustained a loss as a result of the Gross Misconduct, holiday accruedmay be withheld.

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

In certain circumstances alternatives to Dismissal may include:

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

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

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


4.10.12 continued Issue August 2008

4.10.13 Suspension From Duty

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

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

Disciplinary action can be taken by various levels of managers asfollows:

Manager Disciplinary ActionSenior duty manager CautIon

Written warningFinal written warning

First line management Cautione.g. depot manager Written warning

Final written warningDismissal with statutory noticeSummary dismissal

Senior management Cautione.g head of operations Written warning

Final written warningDismissal with statutory noticeSummary dismissalHearing of appeal

Director CautionWritten warningFinal written warningDismissal with statutory noticeSummary dismissalHearing of appeal

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


4.10.14 Appeal Procedure

Employees who have had disciplinary action taken against them havethe right to appeal against the decision. An employee may choose toappeal 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 7working days, upon receipt of the decision letter, stating the groundson which the appeal is to be heard as detailed in this policy. It is theemployee’s responsibility in the appeal letter to be specific in statingthe grounds for appeal and supporting evidence thereafter.

Appeal hearings should, where possible, take place as soon aspracticable after receipt of the appeal. In exceptional circumstances anydelay should be agreed with the individual lodging the appeal. Afterholding the initial appeal meeting, the manager conducting the appealmay need to adjourn the meeting to carry out a further investigationand the meeting will be reconvened at an appropriate time, withoutundue delay.

Action taken Number of appeals/ Timescale to hear level of manager appeal where hearing practicable

Caution One/2 Within 7 working daysWritten warning One/2 or 3 Within 7 working daysFinal written warning One/3 or 4 Within 7 working daysDismissal* Two/3 or 4 Within 7 working days

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


4.10.14 Issue August 2008

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

4.10.15 Grievance Procedure

During your employment with us, there may be times when problemsarise. In the event that there is a problem or grievance that has notbeen resolved informally with the immediate line manager, then theGrievance Procedure will apply. The Grievance Procedure provides a fairand logical way of solving problems as near as possible to the point oforigin and as quickly as reasonably practicable. You may beaccompanied by a staff representative or workplace colleague at allstages of the procedure.

The timescales set out in this procedure should be closely adhered to atall times. If for any reason the times need to be extended beyond this,this should be in agreement with the individual. All grievances shouldbe 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 ofcircumstances where statutory procedures do not apply.

Stage 1 Where employees feel aggrieved on any matter affecting theiremployment, they should discuss the problem initially with theirimmediate supervisor/manager. The supervisor/manager will attempt toresolve the issue, consulting where necessary with other members ofthe management team and respond as quickly as possible. Every effortwill be made to solve the problem amicably and an outcome should benotified appropriately either in person or in writing within 7 workingdays of the grievance hearing. The oral decision should be confirmed inwriting.

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


Stage 2 Should the matter remain unresolved, the grievance should bereferred in writing to the next level of management who will discussyour grievance with you within 7 working days of receipt of the appealletter. An outcome should be notified appropriately either in person orin writing within 7 working days of the grievance hearing. The oraldecision should be confirmed in writing.

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

Grievance Raised During Disciplinary ActionIn the course of a disciplinary action, an employee might raise agrievance relating to the case. In this event, the disciplinary hearingshould be suspended whilst the grievance is dealt with. It may benecessary to bring in another manager to deal with the disciplinaryhearing. Where disciplinary action contemplated by the employer isdismissal, statutory grievance procedure does not apply.

4.10.16 Collective Grievance

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

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

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



4.10.17 ACAS Conciliation

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

4.11 Recruitment, Training And Development Policy

We are committed to ensuring you receive appropriate training both atthe 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 wouldbe of relevance to the individual’s present and future developmentwithin 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 fromwithin the Company. We try to encourage and help employees whodemonstrate potential for development to move to a more seniorposition, or a position that allows them to take on differentresponsibilities.

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


4.11.2 PCV Training

Should you leave the Company within 24 months of receiving yourtraining and passing your PCV driving test, you will be required torepay a sum as a contribution towards the cost of your training. Thesum 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 fortraining at either their own request to update their skills or at theirmanager’s request if their performance in any area would improve withfurther training. Such training available includes defensive driving,ticketing, customer care and disability awareness.

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

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

4.11.4 Study Leave

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

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

4.11.5 Training Costs

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


4.11.2 to 4.11.5 Issue August 2008

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

Period in which employment ends and proportion of course feesrecoverable.

The first 3 months after thecompletion of the course 100%Between 3 months and 6 monthsafter completion of the course 75%Between 6 months and 9 monthsafter completion of the course 50%Between 9 months and 12 monthsafter completion of the course 25%

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 trainingcourses. Arriva has an on-line training resource that includes TheAshridge Virtual Learning Centre and the Rosetta Stone interactivelanguage learning facility. This is available to all staff. If you would liketo know more about the courses available on Arrivailearn then pleasecontact a member of the HR Team or follow the log-in instructions onwww.arrivailearn.com.

4.12 Drugs And Alcohol Policy

Arriva the Shires and Essex has a duty to protect the safety of itscustomers, the public and its employees. It is an implied and explicitrequirement that employees driving on Company business are notunder the influence of drugs or alcohol. Arriva has a responsibility toensure that employees are free from the influence of drugs andalcohol, whilst on Company premises and when in charge of aCompany vehicle.


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 policyoutlines the employee and employers responsibility in relation to drugsand 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 therehabilitation of staff who voluntarily seek help for drug or alcoholproblems. Such staff must however seek assistance at the earliestpossible opportunity. Subsequent discovery or a disclosure prompted byimpending screening will not be acceptable and you may be subject todisciplinary action. If you believe you have a drink or drug problemplease report this to your manager or HR. Your approach will be dealtwith 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. Youmay seek help from the medical and /or welfare services availablewithin the Company, either by making a direct approach or throughyour manager.

If you seek and accept help as specified above, you will not havedisciplinary action taken against you or be dismissed from employmentwith Arriva the Shires and Essex simply on the grounds that you have adrug or alcohol problem. This is providing you adhere to therequirements in this policy.

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

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



will be allowed to self test. If a rate of 8 micrograms of alcohol per 100millilitres of breath or above, is displayed on the breath testingequipment, he/she will need to see a manager and be sent homewithout pay. This facility will be permitted for the duration of thespecialist treatment.

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

4.12.2 Consumption Of Alcohol

The consumption of alcohol while on duty, or during any break withina duty is forbidden. Employees must not report for duty whilst underthe influence of alcohol.

Employees should be aware that alcohol (and its effects) takes time toclear from the body. After drinking late into the evening or after heavyconsumption, individuals may still be affected and can be over the legallimit for several hours afterwards.

Any breach of the above rules will be regarded as gross misconductand 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 ofthis policy. These are ‘For Cause’ testing and ‘Unannounced Random’testing.

Positive ResultsFollowing the testing a positive result is indicated by a rate of 8micrograms of alcohol per 100 millilitres of breath or above, registeringon the alcohol breath testing equipment.

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


‘For Cause’ TestingImmediately following a road traffic accident, or, at any time wherethere are reasonable grounds to suspect the use of alcohol, theCompany reserves the right to send the employee/contractor for analcohol test.

Where it is necessary for an alcohol test to be carried out, thefollowing 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 beinformed that such a refusal constitutes gross misconduct and besuspended 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 signa record and return to work

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

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

Unannounced Random TestingThe Company will randomly select 10% of its employees for alcoholtesting each year. The selection is entirely random and is operatedthrough the Company’s payroll system.



The following procedure will apply:

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

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

• The selected individual will be taken to a private place where thebreath test will be administered. The individual may be accompaniedby his/her Trade Union representative or nominated workplacecolleague

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

• If the breath test is positive, indicating a level of 8 micrograms ofalcohol per 100 millilitres of breath, or above, the individual will beasked to wait 30 minutes, and a second breath test will beadministered. The second breath test will be taken as the definitiveresult

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

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

4.12.4 Alcohol Disciplinary Procedure

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

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


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

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

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

4.12.5 Voluntary Breath Test

Once in 6 months, an employee who believes they may be over theCompany alcohol limit can ask for a voluntary test before commencingduty. If he/she fails the test he must be sent home without pay but norecord of the test will be used for disciplinary procedures. For thepurpose of clarity this cannot take place on the day they have beenindependently chosen for a random test.

4.12.6 Testing Equipment

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

Alternative equipment will be used if there are any problems with theaccuracy tests or calibration checks (i.e. the seal is broken forcalibration or if there is no signature after 6 months). If there is noalternative 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.



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 thesafety of employees and customers, as well as the quality of service. Inorder to ensure that this risk is minimised all employees andcontractors must:

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

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

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

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

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

Any breaches of the following rules may constitute grossmisconduct on the part of the employee and my result insummary dismissal:

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

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


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

• All employees and contractors must NEVER trade illegaldrugs/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 anddrugs testing will take place.

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

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

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

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

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

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

Advice from the Company on the effects of some over-the-countermedications is available to employees, upon request to their Linemanager. 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 becommunicated to all staff and their Trade Union representatives.



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 ameans to make business and communication more effective. However,e-mail and internet services are valuable and costly corporate resourcesand their purpose is to facilitate the business of the Company.Irresponsible use of these resources reduces their availability for criticalbusiness operations, compromises corporate security and networkintegrity and leaves the Company open to potentially damaginglitigation.

The Company tracks all internet transactions by employees. Thepurpose of this is to enable us to manage our e-mail and internetresources in a cost effective and efficient manner, and to plan moreefficiently for future technology expansion. Monitoring is carried outon all systems to ensure compliance with this policy and the law. Anyauthorised manager (The IT manager, HR manager or a director) mayinspect any electronic communication created or stored on any systemat any time without consent.

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

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

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

Arriva the Shires and EssexEmployee HandbookIssue August 2008 4.13 to 4.13.1

In this manner we are aware how our resources are being used, wherethey are needed, where new capacity is required and otherinfrastructure management issues. Additionally, because of thevulnerability companies have to litigation over inappropriate conduct inthe workplace environment, it is our responsibility to ensure thatCompany resources are not being used to support inappropriateactivities. 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 internetjeopardises the Company’s legal standing and therefore cannot betolerated.

Acceptable Uses Of Company E-Mail And Internet AccessThe Company provides e-mail and internet access for business usage.E-mail should be considered to be of equal status to correspondenceon Company letter headed paper. Every member of staff has theresponsibility to maintain and enhance the Company’s public imageand to use Company e-mail and access to the internet in a responsibleand productive manner that reflects well on the Company. TheCompany recognises that there will be occasional personal use onlunch breaks and during non-working hours (with the prior approval ofmanagement), but this shall not be excessive or unreasonable.

Unacceptable Uses Of Company E-Mail And Internet AccessThe Company’s PCs, e-mail and internet access may not be used fortransmitting, retrieving or storage of any communications of adiscriminatory or harassing nature or materials that are obscene or “X-rated”. Harassment of any kind is prohibited. No messages withderogatory or inflammatory remarks about an individual’s race, age,gender, disability, religion, national origin, physical attributes or sexualpreference shall be transmitted. No abusive, profane or offensivelanguage is to be transmitted through the Company’s e-mail orinternet system. Electronic media is not to be used for any purposethat is illegal or against Company policy or contrary to the Company’sbest interests. Solicitation of non-Company business, or any use of theCompany’s PCs, e-mail or internet access for personal gain isprohibited.

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



system. No e-mail or other electronic communications may be sent thathides the identity of the sender or represents the sender as someoneelse or someone from another company. All messages communicatedon the Company’s e-mail and internet system should contain theemployee’s name. Any messages or information sent by an employeeto another individual outside of the Company via an electronic network(e.g. bulletin board, online service or internet) are statements thatreflect on the Company. While some users include personal“disclaimers” in electronic messages, there is still a connection to theCompany, and the statements may legally be tied to the Company.Therefore, we require that all communications sent by employees viathe Company’s e-mail and internet system comply with all Companypolicies and not disclose any confidential or proprietary Companyinformation.

SoftwareNo software of any kind may be loaded on to Company PCs withoutprior discussion with the IT Department. To prevent computer virusesfrom being transmitted through the Company’s e-mail and internetsystem, there will be no unauthorised downloading of anyunauthorised software. Employees should contact IT if they have anyquestions.

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

Data Protection ActArriva complies to the fullest practical extent with the Data ProtectionAct. You must use any personal information to which you have accessonly for the purpose for which it was provided. You must notdeliberately disclose any personal information to which you have accessor leave it insecure so that it becomes available to unauthorisedpersons.

Copyright IssuesEmployees on the Company’s e-mail and internet system may nottransmit copyrighted materials belonging to entities other than thisCompany. Please note that non-adherence to this policy puts theCompany in serious legal jeopardy and opens the Company up tosignificant lawsuits and public embarrassment.


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

Failure to observe copyright or licence agreements may result indisciplinary action up to and including termination. If you havequestions about any of these legal issues, please speak with yourmanager or IT before proceeding.

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

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

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

4.13.2 Data Protection Act

Data Protection Act (DPA) 1998As your employer Arriva the Shires and Essex needs to hold and updatepersonal information relating to you.



You will have a personnel file that will hold details such as yourapplication form, offer letter, principal Statement of Employment andany 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 customercomments and incidents that can be recorded against an individual’sname for the purposes of monitoring comment and incident history.

The information is held to enable an accurate record to be maintainedof all staff currently working for us (and those who have left in therecent past), for statutory, payroll and other personnel reasons, and willnot be otherwise disclosed outside the Company without permissionfrom you. The information will be accessed only by those who needthe information to carry out their duties.

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

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 tothe registrar


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

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

• Accurate and where necessary, kept up to date

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

4.13.3 Statement To Media

Any statements required to be made by a Company official to reportersfrom newspapers, radio, television etc, will be given only by anappropriately trained member of management. Any member of staffshould approached by the media refer the media to the commercialdirector or another director in the first instance.

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

4.13.4 CCTV

Company premises and vehicles may be monitored by CCTV for thepurpose of security, crime prevention and employee and/or publicsafety. Normally signs will be displayed in zones covered by CCTV.Captured CCTV images will not be retained for longer than isnecessary to ensure no crime has been committed. The images willthen be deleted.

4.13.5 Employee Communications And Consultation

Employee communications is central to any business. Arriva the Shiresand Essex recognises the importance of its employees to thefunctioning of a successful business and will therefore provide andexchange information with and amongst employees at as manyopportunities as possible through a variety of media.



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

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

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

4.14 Mobile Phone Policy

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

4.14.1 Legislation

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

• The Road Vehicles (Construction and Use) Amendment No. 4 statesthat, drivers of motor vehicles and persons who cause or permitanother person to drive whilst using a prohibited device, will becommitting 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 inorder to carry out all functions that can be attributed to this type ofequipment

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


• Driving a motor vehicle on the road also encompasses stationaryvehicles 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 vehicleon Company business, it is Company policy that, employees must notuse a mobile phone to carry out any functions that can be attributed tothis 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, theCompany will meet the cost of the supply and fitment of an approvedhands free kit to a vehicle.

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

Employees covered by this policy should be aware that regardless ofwhether hands free equipment is installed and used, they can still beprosecuted under existing legislation if they fail to maintain propercontrol of the vehicle or are found to be driving without due care andattention 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 whetherit is being used or not being used will be issued with a writtenwarning.

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



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

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

All staff are reminded not to contact any driver through a mobilephone, whether it be by means of a call, text message or any othermeans, 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 andtermini to load passengers etc.

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

4.15 Equal Opportunities Policy

Arriva the Shires and Essex is committed to providing equalopportunities in employment and to the elimination of unfair andunlawful discrimination against employees and job applicants on thegrounds 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 thedevelopment and application of employment policies which ensure thatindividuals receive treatment that is fair and consistent with theirrelevant aptitudes, abilities and skills, and that employees aredeveloped in the interests of the Company and themselves.

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


It is also recognised that religious or other similar beliefs may not betolerant of certain aspects of others characteristics. Nevertheless, it isexpected that these views will not manifest themselves in the workingenvironment, that dignity at work will be maintained for all parties andthere will be no breach of the Company’s Workplace Non-harassmentPolicy.

4.15.1 The Need For Equal Opportunities

• To maximise people’s abilities by removing artificial and irrelevantbarriers 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 resourcedevelopment is an essential objective of a proactive Company

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

4.15.2 The Law

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

It also acknowledges that unfair treatment can occur on grounds notcovered directly by legislation and it extends the principles of equalopportunities to those factors.

4.15.3 Implementation of Equal Opportunities

Through The Company StructureThe overall responsibility for the promotion, co-ordination and reviewof equal opportunities policies and programmes of action lies with themanaging director. Specific responsibility for the practical developmentand assessment of programmes of action rests principally with certainkey personnel i.e. those staff involved in recruitment and selection,training and development and staff management.



Through The WorkforceAll employees have a personal responsibility for the practicalapplication of equal opportunities in their day to day activities andworking relationships with colleagues and customers. The Companyrecognises that in order to achieve successful implementation of equalopportunities, awareness training and guidance must be available tostaff as required.

4.15.4 Areas of Focus

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

Recruitment And PromotionSelection criteria and procedures must be objective and subject toregular review to ensure that individuals are selected, promoted andtreated solely on the basis of merits and abilities appropriate to the job.

Training And DevelopmentEqual opportunities must be integrated into all training concerned withselection skills, staff assessment and counselling, staff development andthe management and supervision of staff on a day to day basis. Theneed to provide appropriate training to encourage staff to developtheir talents and abilities, particularly in relation to promotionopportunities, is acknowledged.

Grievance And DisciplineEmployees who believe that they have experienced unfair or unlawfuldiscrimination, racist or sexist abuse or harassment, should raise theirconcern through the grievance procedure. Where the grievance mayconcern the normal line or supervision or management, individuals mayapproach the next manager in the structure.

Unfair and unlawful discrimination, including racial and sexualharassment and abuse, are specifically defined as forms ofunsatisfactory behaviour and are in breach of Company standards.Such offences will be dealt with under the disciplinary procedure andmay lead to dismissal from the Company.


MonitoringExamining the effects of the policy and programmes of action on aregular and structured basis is a fundamental part of the process ofsuccessfully establishing equal opportunities. Personnel data istherefore collected, analysed and interpreted across the Company andwithin subsidiaries. The objectives of monitoring are:

• To identify areas of and reasons for under-representation of particulargroups in the workforce

• To assess the effect of employment procedures and practices, andsubsequently identify any unintentional adverse impact on aparticular group

• To enable appropriate corrective action to take place, includingdefining targets for future change

• To enable the Company to review and reshape its equal opportunitiespolicy and programmes of action

4.15.5 Diversity

The Company values good quality, hard-working employees irrespectiveof their background, personal characteristics etc. The diversity of ourstaff is welcomed. It adds benefits to the business and complementsthe diverse nature of our customers, suppliers, neighbours and thewider community.

4.16 Workplace Non-harassment Policy

Arriva the Shires and Essex fully support the rights and opportunities ofall people to seek, obtain and hold employment without discrimination.

Workplace harassment is a form of discrimination and is unlawfulbehaviour under current legislation. It is also improper andinappropriate behaviour that lowers morale and interferes with workeffectiveness. It is the policy of Arriva the Shires and Essex to provide aproductive working environment free of harassment, intimidation andvictimisation on the basis of sex, race, colour, disability, age, sexual



orientation, religious or similar beliefs held, or other such personalcharacteristic. The Company is committed to ensuring that itsemployees are treated with dignity and respect.

Behaviour which leads to the harassment of another employee is notacceptable and will render the individual responsible liable todisciplinary 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 heldor any other such personal characteristic which is unwanted by therecipient.

It refers to behaviour that is unsolicited, unwanted and fails to respectthe individual. It may be persistent or an isolated incident and may bedirected towards one or more individuals. Whatever its origin,harassment is behaviour that is inappropriate, which can result in theindividual 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, racialnature or other personal characteristic, comments about a persons’clothing, body or looks, patronising remarks, personal abuse,malicious gossip, requests for sexual favours, speculation about anemployees’ private life (including sexual activities)

• Visual - displaying sexually or racially offensive material, graffiti,exclusion from normal work conversation, unfair allocation ofworkload, persistent giving of unwelcome gifts, intimidation

Situations when the harasser thinks it is ‘just a bit of fun’ or if otherpeople treat the behaviour as a ‘laugh and a joke’ can constituteharassment. It is the effect of that behaviour on the individual that is atthe very heart of the policy.

Arriva the Shires and EssexEmployee HandbookIssue August 2008 4.16 continued to 4.16.1

4.16.2 Responsibilities Of Managers And Supervisors

All managers and supervisors are responsible for eliminating anyharassment or intimidation of which they become aware, whether ornot it is brought formally to their attention. Failure to do so will beconsidered 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 thattheir colleagues are treated and treat others with dignity and respectregardless of any religious or similar belief held that could impede thisduty.

4.16.4 Harassment Complaint Procedure

Workplace harassment is not acceptable under any circumstanceswithin the Company. Victims of harassment may feel discouraged fromtaking action by their fear of retaliation, embarrassment or feelings ofguilt. Harassment needs to be acknowledged and dealt withappropriately.

4.16.5 Informal Action

An employee who believes that he/she has been the subject ofharassment, should first inform their harasser (where appropriate) thattheir behaviour is unwelcome and ask them to stop. A friend orcolleague can be invited along.

They should collect evidence of the behaviour and keep a diary ofevents detailing what was said and done.

An employee may also choose to raise the matter informally with theirmanager. Advice and assistance regarding harassment may also besought from the HR manager.

4.16.6 Formal action

If the harassment persists or if the incident is considered to be veryserious, the recipient can make a formal complaint using theCompany’s Grievance Procedure.



An employee who believes that he/she has been subject to harassmentshould make a report to their manager.

If the employee has a diary detailing the harassment details, this shouldbe shown to the manager. All complaints will be dealt with quickly andin confidence. The employee will be guaranteed a fair hearing. Boththe complainant and the accused shall be entitled to haverepresentation by a workplace colleague or staff representative.

If the investigation reveals the complaint is valid, prompt action will betaken to stop the harassment immediately and prevent its recurrence. Ifrelocation proves necessary, every effort will be made to relocate theharasser and not the victim.

Employees shall be protected from intimidation, victimisation ordiscrimination for making a complaint or assisting in an investigation.

Retaliating against an employee for complaining about harassment is aserious 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 conferany contractual entitlement, and the Company (‘we’) may at any timeat 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 theyreach the established retirement age of 65. However, you have thestatutory right to request not to retire. If you make a request inaccordance with the relevant legal requirements (see over), then wewill give it careful consideration. We may agree to you continuing towork beyond the retirement age if we think that exceptionalcircumstances apply.


4.17.3 Procedure Prior To Retirement

At least six months before you reach the retirement age, we will writeto you to confirm that this date is your intended date of retirementand to inform you that you have the statutory right to request not toretire.

If you wish to exercise your statutory right to request, you must do soin writing no later than three months before the intended date ofretirement. You should send your request to the appropriate persondetailed in the letter.

You must send your request within this time scale. If you send arequest 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 aspecified period or until a specified date

In addition (although this is not required by law) we encourage you toidentify in your request any issues you think we should take intoaccount in considering it and in particular explain why you think thatexceptional circumstances apply in your case (see section below forexamples). Including such information will assist us in considering yourrequest.

On receipt of a request that meets these requirements, we will inviteyou to a meeting to discuss it (unless we agree to your request, inwhich case we will notify you of this). The meeting will normally beheld by your line manager. Both parties must take all reasonable stepsto attend the meeting.

Following the meeting we will give you our decision in writing. We arenot required by law to give reasons for our decision.


4.17.3 Issue August 2008

If our decision is to refuse your request, or allow your employment tocontinue for a shorter period than that which you proposed, then youhave the right to appeal. If you wish to appeal, you must send anappeal letter setting out the grounds of your appeal. We will theninvite 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 representativeor work place colleague.

4.17.4 Conditions Of Acceptance

If you are accepted to continue working beyond your retirement agethis will be for a fixed 12 month period. At your new retirement dateyou will again be written to and given the opportunity to makeanother request to be considered to continue working for a furtherperiod 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 meetsthe requirements set out above.

In assessing your request, we will consider whether there are anyexceptional circumstances that apply to you. The general principle thatapplies 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 skillsand/or train others

• Your continued employment would enable you to assist in thecompletion of a specific task or project


This list is not exhaustive and other reasons may be considered as anexceptional 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 welfareof all employees so far as is reasonably practicable. We also fully acceptour responsibilities for other persons who may be affected by ouractivities.

We will take steps to ensure that our statutory duties are met at alltimes. We will keep up to date with all changes in health and safetylegislation and will ensure adequate funds are available in order tomeet health and safety objectives.

Each employee will be given such information, instruction and trainingas is necessary to enable the safe performance of work activities. It isthe duty of management to ensure that all processes and systems of work are designed to take account of health and safety and areproperly supervised at all times.

Employees are encouraged to raise health and safety issues with eithertheir immediate supervisor or appointed health and safetyrepresentatives. The Company will hold regular health and safetymeetings with local depot management and depot health and safetyrepresentatives. Such meetings will be recorded and available forinspection.

Where appropriate the Company will employ the services of specialistsfrom outside the organisation in order to meet our statutory duties. Itis the duty of every employee to co-operate with the Company toenable compliance with its statutory duties.

The successful implementation of this policy requires total commitmentfrom all employees at all levels of the organisation. Each individual hasa legal obligation to take reasonable care for their own health andsafety and for the safety of other people who may be affected by theiracts or omissions.



Full details of the organisation and arrangements for health and safetywill be set out in separate documents and will be held by the generalmanager and the health and safety representative.

This policy will be regularly monitored to ensure that the objectives areachieved, it will be reviewed and if necessary revised in the light oflegislative or organisational changes.

4.18.2 Safety Precautions

We are satisfied that establishing and enforcing appropriate measuresto control and monitor health and safety procedures is a vital part ofrunning 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 tohealth

• Ensure that all necessary precautions are taken in respect of the safeuse, handling, storage and transportation of materials andsubstances

• Provide such information, instruction, training, and supervision asnecessary to ensure the health and safety at work of all employees

• Maintain all places of work, equipment and transport under ourcontrol 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 thegeneral public who could be affected by our activities

• Provide all necessary information relating to health and safety inrespect of procedures, products and services

• Review and update the policy as and when necessary, particularly inrespect of major changes within the Company and/or changes inlegislation and to bring these changes to the attention of allemployees


4.18.3 Individual Responsibilities

It is the duty of all directors, managers and supervisors to ensure thatsafety and health factors are fully taken into account when designingequipment and operating procedures. Management is also responsiblefor ensuring that employees understand our health and safety policyand any health and safety rules relating to their jobs. Employees mustalso be adequately trained and made fully aware of any health andsafety hazards in their areas of work.

Notwithstanding the above, all employees have a responsibility for theirown personal safety and a duty of care to their fellow employees. Theemployee’s responsibilities include:

• A duty to comply with the safety instructions and directions laiddown by the management

• A duty to use properly, the means and facilities provided for safetyand health at work

• A duty to refrain from the wilful misuse or interference with anythingprovided, in the interest of health, safety and welfare and any actionthat might endanger themselves or others

• The duty of all employees in authority to ensure that the necessarysafety precautions are taken and that the necessary safetyinstructions are given

• A duty to report any breaches of the rules to the appropriatemember of management

• A duty to report any defects or unsafe condition to an appropriatemember of staff

4.18.4 Individual Employees

All employees must:

• Comply with the health and safety policy


4.18.3 to 4.18.4 Issue August 2008

• Observe the safety rules

• Report any safety hazard within their work area or any defect inmachinery, plant or equipment to their supervisor

• Comply with all written or verbal instructions given to them toensure their personal safety and the safety of others

• Dress sensibly and safely for their particular working environment oroccupation

• Conduct themselves in an orderly manner in the workplace andrefrain 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 theirsafety and to the safety of others

• Maintain all tools and equipment in good condition and report anydefects to their supervisor immediately

• Report all accidents to their supervisor whether or not injury issustained and to enter the details in the accident book

• Attend as requested any training course, meeting etc., designed tofurther 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 allfire equipment and exit routes

• Not invite visitors onto Company premises without permission fromthe management

• Not consume food or drink in areas where there is a risk ofcontamination


Access To Medical Reports Act 1988All employees are protected by the Act. You may withhold yourconsent to the application for a report from a doctor, request to see itbefore 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 statementis attached setting out your own views). If the doctor refuses to amendthe 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 shebelieves 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 thatsafe working practices take place within each area of the Company. Management accepts it’s overall responsibility for providinginformation, equipment, and instruction and training in order to ensurethat the employee’s responsibilities are fully understood, documentedand complied with.

Unsafe acts or unsafe conditions usually cause accidents. Theresponsibilities placed on employees of this Company are formulated tocomply with legal requirements as well as to remove the likelihood ofunsafe working practices or unsafe conditions occurring. In addition to the previous general responsibilities, the Health andSafety at Work Act 1974, places legal duties on all employees.

These are:

Section 7 ‘Health and Safety at Work Act 1974’ To take reasonablecare for the health and safety of themselves and of other persons whomay be affected by their acts or omissions at work

To co-operate with the management to enable the employer to carryout his legal duties or any requirements as may be imposed

Section 8 ‘Health and Safety at Work Act 1974’ No person shallintentionally or recklessly interfere with, or misuse any item provided,in the interests of health, safety and welfare.



The Health and Safety (Information for Employees Regulations)1989 The regulations require information relating to Health, Safety andWelfare to be made available to employees by means of posters orleaflets in the ‘approved form’ and published for the purpose of theregulations by the health and safety executive.

The regulations require the name and address of the enforcingauthority and the Employment Medical Advisory Service to be writtenin the appropriate space on the poster, and where the leaflet is given,the same information should be specified in a written noticeaccompanying it, e.g. the poster Health and Safety Law ‘What youshould know’ leaflet issued to employees.

These regulations modify or repeal existing regulations that require aserious review to ensure standards for the provision of information isbrought up to date

4.18.6 Joint Consultation

Within the clearly identified functions of management/supervision thereis a responsibility to communicate with employees daily. To enableeffective implementation of the health and safety policy andprocedures, 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 ‘safetyrepresentatives’ at the place of work, who will represent the interestsof the employees on all aspects of health and safety. Whereappropriate, two safety representatives have the statutory right torequest the formation of a ‘safety committee’. In non-unionisedpremises ‘safety committees’ may be established. These obligations areclearly outlined in information available from HSE (Health and SafetyExecutive)

4.18.7 Health And Safety Meetings

All meetings relating to health and safety must be documented and inorder to comply with this instruction, a statutory health andsafety/procedures checklist is to be used as a prompt whilst carrying


out quarterly walkaround inspections. Copies of the completeddocument must be sent to the engineering director’s office for recordpurposes. The operational manager at each location is responsible forensuring adherence to safety procedures.

4.18.8 Reporting Of Injuries, Diseases And DangerousOccurrences Regulations “RIDDOR”

Incident Reporting As part of the Company’s legal responsibilities certain accidents anddangerous 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 theenforcing authority must be informed by the quickest, practicablemethod (e.g. telephone) and confirmed, within 10 days of the incident,on form F2508. Any work related accident that leads to a person beingincapacitated for 3 days (not including the day of the accident, butincluding Saturday or Sunday) or being unable to do their job for 3days, must be reported within 10 days, on form F2508 available fromengineering management.

Fire Precautions Act 1971 The Company will ensure that fire certificates where required, areissued by the relevant authority and where they apply the informationcontained therein will be adhered to.

Fire Drills In order to ensure that fire evacuation procedures are monitored theCompany will carry out the following:

Weekly Fire Alarm Tests Everyone must familiarise themselveswith local variations of this procedure.

Monthly Fire Evacuation On hearing a continuous alarm, all staffmust evacuate the building by the quickest available means and meetat the designated assembly point, which must be clearly identified ateach location.

A roll call will be carried out and the manager/supervisor at eachlocation will be responsible for ensuring that all their staff are



accounted for, details of the evacuation will be entered into the fireprecautions log book.

Health And Safety Update The Company recognises the need to keep all employees up to date onchanging health and safety legislation and will therefore provide thenecessary 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 handlingare currently held by your manager/supervisor at each location, copiesare available for inspection on request.

It is recognised that a number of repetitive tasks are common to alllocations and as such these generic assessments will normally becarried out by a health and safety committee, comprising of membersof UNITE usually drawn from the central joint negotiation and strategycommittee. The engineering director will chair these meetings.

It is not possible to cover all risk assessments on a generic basistherefore a local assessment must also be made, this is theresponsibility of the operational manager. Assessments will usually becarried out centrally by a health and safety committee, comprising of aTrade Union representatives and management. The engineeringmanager will chair the meeting.

Copies of all local risk assessment must be forwarded to theengineering director.

4.18.10 Contractors/Sub Contractors

The Company is anxious to minimise the risk of accidents on itsproperty and therefore a code of practice has been formulated andmust be agreed and signed by all contractors/sub contractors carryingout work on Company premises. The code is available from theengineering manager/supervisor at each location.


Before any work is carried out by either a contractor or sub contractorthe engineering manager must obtain a risk assessment of the work tobe done from the contractor. Unless this report is available work mustnot commence

4.18.11 First Aid

Health And Safety (First Aid) Regulation 1981 The Company will ensure that there are sufficient competent personstrained to administer first aid within the workplace, A ratio of 30:1 isrecommended.

A list of competent persons will be displayed at each depot. Themanager/supervisor at each location will ensure that the list is updatedas required and that there are sufficient competent trained personsavailable, taking into account shift patterns and the nature of workcarried out.

Details of all employees requiring first aid treatment must be recordedin the accident book and the book must be kept for a minimum of 3years from the date of the last entry.

Leave/Payments First aiders at work will be paid a weekly bonus providing that theyhold a current first aid at work certificate and have attended either theinitial 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; itsprimary aim being to preserve life where a qualified first aider appliestheir skills.

4.19 Incident Policy

4.19.1 Collisions/Incidents Involving Company Vehicles

Collisions/incidents of any kind usually result in third party claimsagainst the Company and in order to minimise the Company’sexposure to such claims it is important that as much information aspossible is obtained.



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 registrationnumber to other parties involved

• Obtain witness details including names and addresses, regardless oftheir 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 aninjury to a person or animal, report the matter to the police at theearliest opportunity and within 24 hours

• Failure to report an incident can result in prosecution

• An Accident Report Form must be completed at the earliestopportunity and where practical within 24 hours. The completeddocument should then be sent to the insurance risk manager

• A member of staff should attend major collisions/incidents from boththe engineering and traffic department of the depot concerned atmanagerial level who should obtain further photographic evidence ifat all possible


• In the case of an incident where the driver considers that the brakesand/or steering was defective, they should not move the vehicle. Thedriver should contact their depot and advise that s/he considers thebrakes or steering to be defective. The depot will then makearrangements to return the vehicle to the depot. On return to thedepot, the vehicle will be sealed and then tested by the engineeringauditor to ascertain if these items are defective or not. This will beundertaken in the presence of the driver and their Trade Unionrepresentative. A written report will then be submitted by theengineering auditor. In the case of the police/Department ofTransport carrying out the vehicle inspection, their report will besubmitted

4.19.2 Serious Or Major Incidents

In the event of any incident resulting in a serious injury to persons ormajor damage to vehicles or property, the incident must also bereported immediately to the engineering director by depot staff. Underno circumstances must a statement be given to third parties withoutthe permission of a Company director.

It should be noted that where a fatality has occurred at the scene of anincident, or may subsequently occur due to injuries sustained, thepolice may arrange to have the bus involved lifted away to adesignated secure store by an approved contractor. Subsequently thebus will be lifted from the secure store to a vehicle testing station forexamination where it will be examined jointly by police and vehicleinspectorate staff to determine if the condition of the bus contributedin any way to the incident. Following the examination, the bus may bereleased or may be taken back to the secure store to await furtherinvestigation

4.19.3 Reporting Sequence

• Duty manager to inform engineering director

• Engineering director will advise other directors, insurance riskmanager

• Operational manager must also fax details of incident to insurancerisk manager at the earliest opportunity. In the absence of the



engineering director the accident must be reported immediately toeither:

• 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 theaccident book (form “Report of Accident to Employee at Work”) andreported to a manager of the Company as soon as possible. Anyoneelse can do this on your behalf.

In cases of incapacity, the Company will make arrangements for thereport to be completed and the incident recorded.

4.19.5 First Aid

The Company will provide adequate first aid facilities including first aidboxes and trained first aiders. The location of such will be displayedaround the buildings on suitable notices.

4.20 Information And Consultation Policy

4.20.1 The Parties

This agreement is made on betweenArriva the Shires and Essex (“the employer”) and employeerepresentatives to establish a Consultative Committee to improveemployee information and consultation and enable employees to havea greater impact and understanding of the Company.

The Consultative Committee is a joint body comprising of electedemployee representatives and management representatives of Arrivathe Shires and Essex.

Arriva the Shires and Essex is further defined as operating depotslocated within High Wycombe, Aylesbury, Hemel Hempstead, Watford,Luton, Ware, Stevenage and Harlow.


4.20.2 Terms Of Reference

The Consultative Committee will be kept informed by the employer ofthe recent and probable future development of Arriva the Shires andEssex’s activities and its economic situation. The ConsultativeCommittee will be informed and consulted by the employer onsignificant developments within the Company. For the purpose of thisagreement, “consultation” means the exchange of views and theestablishment of a dialogue between the employee representatives andthe employer.

The role of the Consultative Committee in respect of the followingtopics is as follows:

a Individual IssuesIndividual issues that relate to particular employees including specificgrievances and disciplinary matters will not be within the terms ofreference of the Consultative Committee

b Other IssuesThe employer and employee representatives on the ConsultativeCommittee shall work in a spirit of co-operation with due regard totheir rights and obligations, taking into account the interests of bothThe employer and employees. The views of the Committee will betaken into account by The employer, but The employer remainsultimately responsible for the operation of its business and thedecisions 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 asdeemed necessary by the employer to assist them in carrying outtheir role as employee representatives

b Employee representatives agree to attend meetings of theConsultative Committee and to report back to their constituentsabout such meetings as appropriate


4.20.2 to 4.20.4 Issue August 2008

c Employee representatives agree to represent to the best of theirability all the employees in their constituency, and will reflect theirviews at meetings of the Consultative Committee. The employerassures employee representatives that any views expressed by themin good faith as representatives of their constituencies will notprejudice their position and prospects as an employee

4.20.5 Confidential Information

a Employee representatives agree that when they receive from theemployer written or oral information which is classified by theemployer as confidential that they will not divulge that informationto any third party, including fellow employees, or otherwise make useof such information. The obligation regarding confidentiality willapply indefinitely, or until the information in its entirety comesproperly into the public domain

b In the case of a breach of confidentiality by an employeerepresentative, the employer reserves the right to take disciplinaryaction up to and including dismissal and/or legal action against theindividual, and that individual will cease to be an employeerepresentative, and will not be subsequently eligible to become acandidate for election

c Once employee representatives have been elected, they will berequired to sign individual confidentiality agreements.

d The final item of the agenda will be to define which informationdiscussed in the meeting is deemed to be confidential and to whichthe above rules therefore apply

4.20.6 Resolving Disputes

If there is a dispute between the parties about the meaning of theagreement and this cannot be resolved at meetings of the ConsultativeCommittee, a small group comprising of two Company directors andthree employee representatives will meet to use their best endeavoursto resolve the dispute.


If the small group cannot resolve the dispute, the decision of themanaging director will be final.

4.21 Inter-Company Transfer Policy

This policy is an agreement between Arriva the Shires and Essexand the UNITE (TGWU Branch) regarding voluntary transferarrangements.

Staff employed by an Arriva the Shires and Essex may apply for atransfer to one of the other companies. Companies may imposeminimum service criteria (e.g. 6 months) before a transfer request willbe accepted. These arrangements relate only to individuals requesting avoluntary transfer within the Arriva UK.

4.21.1 The Process

• Transfer requests must be made in writing at the home garage andforwarded by the home Company to the appropriate nominatedperson in the receiving Company

• The receiving Company will then consider the request and makeappropriate enquiries of the transferring Company and may refuse toaccept the transfer, for example, if the work record is not satisfactory.The reason for a refusal will be explained in writing to the employingCompany and conveyed to the person requesting the transfer

• For transfer requests that are accepted, these will be registered on awaiting list by both the existing Company and the receivingCompany

• The transfer will go ahead by mutual consent when the transferringCompany is in a position to release and the receiving Company canoffer a vacancy

• The grade into which the transferring member of staff is appointedwill depend upon local arrangements that apply in the receivingCompany. The member of staff transferred will be entitled to the payand conditions package of the grade concerned and will not transferany rights which do not apply in the position to which transferred



• The conditions of service will be notified to and agreed by themember of staff transferring before the transfer takes place and anew contract will be signed by both parties.

• The employment record will be sent to the receiving Company ontransfer

• Transfers will not take place during a period of sickness or holiday

4.21.2 Seniority

Continuous service would be retained on transfer for employmentpurposes but Company service would commence on transfer andbased on similar conditions as would apply in the case of a transferwithin the Company.

4.21.3 Annual Leave

The transferring Company will notify the receiving Company of anydays holiday outstanding to be taken in the current year, together withdates if these have been arranged.

Where the amount of holiday entitlement differs the member of staffwill be eligible for a pro rata entitlement for the relevant periods ofservice with each Company.

Accrued holidays from previous years will be either taken beforetransfer or paid to the employee on leaving.

4.21.4 Pension Arrangements

Staff who are members of the Arriva Money Purchase Scheme mayretain membership when they transfer. Such staff will be eligible to joineither the Company scheme in the receiving Company or the Arriva Money Purchase Scheme, whichever is available in theCompany.


4.21.5 Uniform

A member of staff transferred will be required to wear the currentuniform prevailing in the receiving Company.

4.21.6 Emergency Transfers

Subject to the above, if a position arises where a member of staffrequests a transfer due to a personal emergency and the reasons canbe validated, then this will be treated on its merits and a decision willbe made by the appropriate director.

In such a case, if there is no vacancy at the applicant’s first optionwithin the receiving Company, then a mutually agreed temporarytransfer to another location within that Company will be offered until avacancy becomes available at the applicant’s first choice of location.

In the event of no suitable vacancy, then no emergency transfer cantake place.

4.21.7 Grievances

If an employee has a grievance with regards to the application of anypart of this policy the matter may be raised with the appropriate fulltime 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 ourpremises at any reasonable time for the purposes of inspecting ourvehicles or maintenance records.

The vehicle and operator services agency and the police are alsoempowered to stop and check any of our vehicles on the roadside inorder to determine their roadworthiness.


4.21.5 to 4.22.1 Issue August 2008

The importance of maintaining sound working relationships with theVehicle and Operator Services Agency/police are obvious. Please offerall reasonable assistance when they are carrying out their duties.

In the event of any Company vehicle being subjected to either aroadside check, or depot based inspection, by any person other thanCompany officials, the following procedure must be followed:

• The driver should notify the depot (control) immediately theinspection is completed

• Arrangements should be made to notify both the operationalmanager and the engineering manager

• The engineering manager should ensure that all originaldocumentation issued is sent to the engineering administrator

• A copy of any documentation issued should also be kept in thevehicle history file

• The engineering director should be advised at the earliest opportunity

• The engineering manager should complete a “Notification ofunscheduled vehicle spot check” report and send to theengineering director regardless of the outcome of the inspection, ordocumentation issued.

In the event of a vehicle receiving a prohibition notice thefollowing points should be noted:

• The vehicle may only be used on the public highway after repairshave been completed. This should only be for road testing purposesand must be within three miles of the place of repair. It may not beused for any other purpose until the prohibition has been removed

• Before the vehicle is presented to the Vehicle and Operator ServicesAgency (VOSA) for prohibition clearance, it must be subjected to afull safety inspection by our own qualified engineering staff


• A full investigation must be carried out by the engineering managerto ascertain the reason and if it could have been avoided. In theevent that poor workmanship or first use check procedures were atfault a formal disciplinary interview must take place. The resultsshould be attached to the Prohibition notice and sent to theengineering director for reference should the Company be called to apublic inquiry at a later date.

4.22.2 Road Traffic Collision/Incident Policy

Road traffic collision/incidents involving Company vehicles of any kindcan have serious implications to the Company and the driver involved.It can also result in third party claims against the Company. In order tominimise the Company’s exposure to such incidents it is important thatas 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 possibleinsurance details

• Give your name, head office address, fleet number and registrationnumber to other parties involved

• Obtain witness/passenger details including names and addresses, andideally daytime telephone numbers

• Use camera provided and obtain as many photographs as practicalusing 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



• 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 injuryto a person or animal, report the matter to the police at the earliestopportunity and within 24 hours. Failure to report an accident canresult in prosecution

• An Accident Report Form must be completed at the earliestopportunity and ideally within 24 hours. The completed documentshould then be returned to your line manager

In the case of an incident/accident where the driver considers that amechanical failure was the main cause, the vehicle should not bemoved.

• The driver should contact his/her home depot reporting the incidentto the engineering department

• In the event of any allegation against the vehicle or if there areinjured parties, major damage to vehicle or property the engineeringmanager should be advised

• Should the incident be reportable the engineering manager, afterdiscussing the incident with the engineering director, will make thenecessary arrangements to have the vehicle inspected by VOSA

• There is a form available for this purpose, Notification ofIncident/Accident, see Appendix H

• In the event that the incident is reportable the engineering managermust ensure that the vehicle involved is secured in a safe and securearea until released by the Vehicle and Operators Service Agency

• The inspection may be carried out in the presence of the driver andhis/her Trade Union representative if requested. However this will bein a spectator capacity only. The findings of the examiner will be final


• The engineering manager will in addition to the VOSAdocumentation also submit a written report to the engineeringdirector, if it is alleged that a mechanical failure was responsible. Thisforms the Component/Equipment/Vehicle Failure report which maybe used in any subsequent interview. Copies of all reports/notesshould 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 seriousinjury to persons or major damage to vehicles or property, a member ofstaff should attend from either the engineering or traffic department ofthe depot concerned at managerial level who should ensure that thedriver is okay and offer any assistance as required.

The incident must also be reported immediately to the engineeringdirector. Under no circumstances must a statement be given to thirdparties without the permission of a Company director.

Reporting To VOSARoad Traffic Collision/Incidents resulting in personal injuries orallegations of mechanical failure must also be reported to the Vehicleand Operator Services Agency (VOSA), using the Notification ofIncident/Accident Form, see Appendix H. In the event of the above thevehicle should be sealed on its return to depot until an investigationhas been completed.

It should be noted that where a fatality has occurred at the scene of aroad traffic collision/incident, or may subsequently occur due to injuriessustained, the police may arrange to have the bus involved recoveredto a designated secure store by an approved contractor.

Subsequently the vehicle may then be moved from the secure store toa vehicle testing station for examination in order for the police andVehicle and Operator Services Agency staff to determine if thecondition of the vehicle contributed in any way to the accident.Following the examination, the bus may be released or may be takenback to the secure store to await further investigation.



Reporting SequenceThe staff member receiving the first notification should notify:

• Their head of operations manager together with the relevantengineering manager or in their absence deputies

• Head of operations to inform the engineering director

• Engineering director will advise other directors, main board andcorporate communications

• Head of operations must also fax details of the incident to theinsurance/risk department at the earliest opportunity

• In the absence of the engineering director, the road trafficcollision/incident must be reported immediately to either themanaging director, commercial director, finance director or insurancerisk manager

4.22.3 Engineering Defect Rectification Policy

Under the terms of our operator’s licence we must keep adequaterecords of all work done to our vehicles whilst undergoingmaintenance. Whilst there are various systems and procedures in whichwe must comply this section is intended to cover the reporting,recording and rectification of driver vehicle defects and defects foundduring routine inspections noted as serviceable or under observation.

Drivers Vehicle Defect Reports:

• Engineers will, on receipt of a defect report book, complete thenecessary repairs and record any action taken on the report. A briefdescription of work done must be noted. The first two defect sheetsshould then be removed from the book. (Any competent personauthorised by the engineering manager can carry out defect reportclearance)

• Both completed reports must be sent to the engineering manager(white copy for file, pink send to UNITE/TGWU defects representative)


• Thorough checks must be made for repeat defects on every occasionwhen an Engineer has cause to complete a report

• In the event that a defect cannot be cleared, and the vehicle isdeemed as un-roadworthy, the defect must be entered on the 24-hour control report. In addition a “do not use notice” must beplaced on the interior mirror clearly visible to a driver

• Engineers should also ensure that a “do not use notice” is in placebefore attempting any repairs to the vehicle. This to preventaccidental 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 mustbe maintained. Arrangements must be in place to ensure that theoperational side of the Company are made aware of all instances whenvehicles are not available for service. The method for recording this isvia a 24-control report.

It must have all sections completed as the vehicle progresses throughthe workshop.

Date: current date - a new sheet is required daily.

Engineering spare buses: relate to the total number of sparesallocated to depot.

24-hour control report: all other sections are self explanatoryhowever please note that the sections date off/on and time are just asimportant as the defects themselves to enable the depot to accuratelyreport when vehicles are returned to service.

A copy of the 24-Hour control report must be made available tothe supervisor responsible for vehicle allocation each morningbefore commencement of run out. The duty fitter is responsiblefor ensuring an updated sheet is made available to theoperations department at the end of each shift.

In the event that “ morning” run out will not be made due tovehicle shortages the duty fitter has the authority to release



vehicles that have been per-booked for routine maintenanceproviding work has not been started or there are known defects.

If after exhausting all other options to meet PVR there is still avehicle shortage, the duty fitter should contact the engineeringmanager 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 theengineering department have under observation. This will include thefollowing 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, thefollowing 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 notbe used until rectified.

Rectification Of Driver Vehicle Defect ReportsWe should of course endeavour to clear all driver defects at the timethey are reported. However, being mindful of parts availability and timerestraints it will some times mean that assessments are made resultingin a vehicle being returned to service with known serviceable defects.In instances of this kind it is important that accurate records aremaintained.


If after carrying out an assessment the engineer/supervisor considersthe 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 InspectionsOutstanding defects noted during safety inspections that that do notaffect the safety of the vehicle may also be noted on the serviceabledefects report. However, every attempt should be made to rectify themat 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 aredated and a follow up inspection/rectification carried out. Under nocircumstances must outstanding work exceed the next scheduled safetyinspection.

Under no circumstances must a vehicle be used if it wouldattract a prohibition notice.

A check must be made for repeat/out standing defects on everyoccasion when a safety inspection is carried out.

The Engineer completing the safety inspection must check the defectbook and record the fact using a defect report, the sheet must beendorsed ‘Safety Inspection’ and the top copy must be attached to theInspection Sheet. Outstanding defects must be cleared at this pointand the un-cleared defect report signed off, noting work done andendorsed ‘rectified during safety inspection’.



Daily Audit of Vehicle Defects ReportsThe engineering manager/supervisor should ensure that defect reportsare completed correctly and defects are rectified. Any defect books thatare found to be incorrect should but noted and the person responsiblefor the problem seen and advised. The book should then have a pagecompleted with a brief record of corrective action required andhighlighted AUDIT results.

A copy of the nil defect summery report produced by the operationsdepartment should be given to the engineering manager in order toreconcile the number of defects sheets/books produced at the end oflate duty.

Storage of information/reports:

• Completed defect books, 24-hour control and serviceable defectreports are to be filed for a minimum period of 15 months. Afterwhich 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 obligationto produce operational records in the event of a claim orallegation of negligence against the Company

4.22.4 Drivers’ Vehicle Defect Reporting Procedure

Drivers are responsible for the condition of their vehicles when in useon the road and must, therefore, be able to report any defects orsymptoms of defects that could prevent the safe operation of vehicles.

Drivers must monitor the roadworthiness of their vehicles whilst beingdriven and be alert to any indication that the vehicle is developing afault, e.g. warning light, exhaust emitting excessive smoke, vibrationsor other symptoms.

The method of ‘driver vehicle defect reporting’ within this Company isvia 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 useenables the engineering department to follow up all vehicle defectsensuring that vehicles are safe and roadworthy at all times.


The system used within Arriva the Shires and Essex of recording nildefects can be either via the vehicle wayfarer ticket machine or depotcash counting equipment. Whichever system is used it must berecorded and audited on a daily basis to ensure compliance.

The Company procedures and system of operation is as follows - itscompliance is mandatory for all employees.

Vehicle Defect Report Action By Drivers

• Vehicle defects noted by the driver must be the subject of a writtenreport using the prescribed ‘Driver’s Vehicle Defect Report’. Fullinstructions for completion of the report are written on the insidefront cover of the defect book which is kept on the vehicle located inthe drivers’ cab

• Drivers must complete a defect report in all instances where a vehicleis considered defective

• An assessment should be made by the driver to determine thevehicle’s roadworthiness. They should be mindful of safety in the firstinstance but also consider the disruption to our customers

Before we can determine a vehicle’s roadworthiness, the followingmust 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 notbe used until assessed by an engineer or supervisor.

Defects, which do not affect safety, can in many instances be operatedlegally providing the they are reported correctly and dealt with as soonas 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 isoutstanding and will be attended to on its return to the depot.



Examples of running defects, which can operate until the vehiclereturns 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. usethe cushion to prevent the seat being used or close off the deck inthe case of a double. “NB damage to seats” bus should only be usedto enable the inward journey to be made after which the bus mustbe repaired

• Cracked windscreens – not joined across the screen or corner tocorner

• 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 ofthe ‘grey’ areas. Thereby allowing the Company to operate a reliableservice for our customers and minimise disruption.

• Once a defective vehicle is returned to the depot, the defect bookmust then be removed from the vehicle and given to the dutymanager/engineer for rectification or assessment

• In the event of a driver taking over a bus without a defect book, itmust be assumed that the vehicle is defective and should not beused until assessed by the engineer/supervisor and released forservice


No vehicle should leave the depot without a defect book.

In the event that a vehicle is found without a defect book whilst inservice the driver should contact their home depot before precedingany further. The engineering manager/supervisor must assess thesituation before authorising the driver to proceed or in the event of aknown serious defect remain with the vehicle until assistance isavailable.

Should the driver detect any problems with the vehicle, which affectsroad safety they should park up, being mindful of road conditions andrequest assistance.

Arrangements should be made to replace the defect book at theearliest opportunity. The replacement book should be available beforethe next handover.

Nil Defect Reporting Under the terms of our operator’s licence we must also have a systemof recording nil defects. To demonstrate this, all drivers must indicatethe current vehicle status using the vehicle wayfarer ticket machine ordepot cash counting equipment.

Sign-off Procedure To accurately record this information it is important that the drivermust on every occasion; when there is cause to remove a module,follow the normal sign off procedure. “Do not just remove themodule”.

When the vehicle is being returned to the depot at the end of eachday the driver should also record if there are any out standing defects.



In order to do so the driver when prompted by the vehicle wayfarerticket machine should confirm as follows:

• Defects to report = press + (plus) button and complete avehicle defect report and follow defect-reporting procedure applicable at depot.

• Nil defects to report = press – (minus) button No further actionrequired.

Do not remove module from wayfarer before completing sign offsequence.

Wayfarer machine will print a confirmation ticket; this may be disposedof, because the depot reader will produce a computer-generated reportfor legal purposes.

Depot Cash Counting EquipmentA number of locations now have a system of recording defects on cashcounting equipment if applicable, please follow all instructions whenpaying in daily takings failure to do so will result in the machinerejecting any cash being paid in.

Action By Operations DepartmentA daily print out must be taken and checked for compliance by theoperations department. The senior duty manager should obtain acomputer-generated print out of the previous days work. To includefirst use check compliance and nil defect reporting.

The depot Wayfarer machine is set up to print various reports inrelation to first use checks and nil defect reporting.

• Detailed reports - lists all transactions includes details of all driverfirst use checks and sign on/off reports

• Exception reports - will generate only drivers who have not carriedout first use check or signed off correctly

Exception reports in the first instance should be run off as this reportproduces only names of drivers who have defaulted on the correctprocedures.


The duty manager should investigate discrepancies drivers who fail tosign on/off correctly after training should be referred to the operationsmanager.

Copies of all reports must be filed for a minimum period of 15 months.



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