SPECIAL

WORKING
ARRANGEMENTS
GUIDANCE






Ratified by Trains Functional Council
On 20 May 2014


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Contents

1 List of Commonly used Abbreviations ... 2
2 Introduction ... 3
3 Trade Union release ... 3
4 Scheduling Services Responsibilities for Bank Holiday Duty Schedules ... 3
5 Scrutinising Duty Schedules (permanent, temporary, engineering etc) ... 4
6 The Process for Booking on / off T/Ops (generic) ... 4
7 New Years Eve / All Night working on Special Events ... 6
8 Volunteers for New Years Eve working ... 7
9 Eligibility of volunteers ... 7
10 26 December working ... 7
11 Partial / Full Depot closures owing to Engineering works on public holidays
(excluding 26 December) ... 13
12 Arrangement for Non Bank Holiday Dates ... 14
13 Arrangements for Bank Holiday type allocation for other occasions ... 14
14 Arrangements for Special / Engineering work ... 14
15 Cancellation of Engineering works over Bank Holidays and the Christmas period ... 15
16 Depot Syndicates ... 15
17 Subject to Annual Revision at Trains Functional Council ... 15
18 Key documents for Reference ... 16
19 Note ... 17
20 Anomalies ... 17
21 Appendices ... 18
Appendix 1 Method for Allocating Volunteers ... 18
Appendix 2 Definitions ... 20
Appendix 3 Machinery ... 20
Appendix 4 G Duffy letter Right to Working Bank Holidays ... 22
Appendix 5 Machinery Consultation ... 22



1. List of Commonly used Abbreviations

LU - London Underground
T/Op - Train Operator, Instructor Operator, Signal Stock Train Operator
TOM - Train Operations Manager
TFC - Trains Functional Council
Bank Holiday - Bank / Public Holiday
Duty Schedules - Permanent / Engineering / Special Events / Bank Holiday / 26
December / New Years Eve / Emergency
PTOA - Professional Train Operators Agreement





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2. Introduction

2.1 The primary purpose of this publication is to provide Trade Union representatives and
managers with a set of mandatory guidelines to provide consistency for the allocation of
duties in a fair and transparent way making efficient use of available resources.

2.2 It also details the arrangements for duty schedules scrutinisation and consultation and it
explains the release arrangements for Trade Union representatives.

2.3 It explains the arrangements on how T/Ops will be allocated to work on Bank Holidays, New
Years Eve, 26 December, during the Christmas and New Year period, and during
engineering works.

2.4 Management have always reserved the right to set the levels of service; but if there is an
apparent over provision in a particular location this will be raised by the local representatives
with Scheduling Services.

2.5 The Trade Union representatives can monitor the provision of realistic service levels set to
promote additional customer usage whilst ensuring that identified over provision of services
is addressed.


3. Trade Union release

3.1 Trade Union representatives should receive reasonable and sufficient time off in order to
carry out their roles. Including time off to carry out duty allocation and duty schedule scrutiny.

3.2 Release arrangements should be agreed locally and should be arranged so that there is
ample time for Trade Union representatives to comment on and check the duty schedules.

3.3 Where problems with release arise they should be referred to the Trains Functional Council
for resolution.

3.4 Where local release arrangements have been agreed then these will be honoured and
adhered to.


4. Scheduling Services Responsibilities for Bank Holiday Duty Schedules

4.1 Bank Holiday duty schedules will be delivered to depot no later than 35 days before the
date(s) in question to facilitate the display of the allocated duties 28 days prior to a Bank
Holiday.

4.2 Scheduling Services will maximise duty lengths to minimise the number of duties required to
work to ensure that the maximum number of T/Ops can apply for and be allocated annual
leave.


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4.3 For clarity, three digit duty numbers should not be used if they may be identified with normal
rostered duties for a depot. For example where a depot uses duty numbers in the one, two
and three hundreds, Bank Holiday duties should be numbered in the four, five and six
hundreds. Duties will be listed in booking on time order; with the exception of covers which
appear at the end of the schedule.


5. Scrutinising Duty Schedules (permanent, temporary, engineering etc)

5.1 At each depot location at least one representative from each Trade Union*, inclusive of the
local Staff Side Secretary, will be released as required in order to scrutinise duty schedules
and any subsequent changes.

5.2 The role of the representative in roster scrutiny is to ensure that the duty schedules issued
by Scheduling Services comply with the Framework Agreement, the Duty Schedule
guidelines and all relevant local agreements.

5.3 It is the responsibility of Management to ensure that all duty schedules are made available to
local representatives in sufficient time.

5.4 Representatives can also propose any changes that might improve rosters and duties
locally. If any changes are not accepted appropriate reasons will be given.

*Where the depot location has only a single representative then they will undertake the task
alone. Locations where local agreement allows for additional representatives to be released
will be honoured.

Caveat where local representatives are not available or difficulties arise then the Trains
Functional Council Staff Side will be contacted.


6. The Process for Booking on / off T/Ops (generic)

6.1 All T/Ops employed at a depot must be included in the allocation process regardless of their
availability.

6.2 For the purpose of 6.1 this includes rostered, pool, upgrade and project T/Ops as well as
T/Ops that are sick, training, seconded etc; it excludes T/Ops on block annual leave and rest
day.

6.3 The allocation process can be carried out as follows:

6.3.1 By the local representatives on their own with all the paperwork having been
prepared and provided by management in advice of the allocation process
or
6.3.2 Jointly between the local depot representatives and a local manager.


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6.4 During the allocation process every effort will be made to minimise the movement of booking
on times and avoid excessive amounts of overtime (excluding New Years Eve and Boxing
Day).

6.5 All rostered overtime payments will be identified at the time of duty allocation. Where a
changeover of duties is arranged, the identified overtime will be paid to the person working
the duty. Allocated duties and generated overtime will be posted.

6.6 An example of a duty allocation and subsequent change-over:

Rostered Duty / Length Allocated Duty / Length Overtime Paid Hours

Smith Duty 106 6 hours Duty 508 7.5 hours 1.5
Patel Duty 112 7.5 hours Duty 515 7.5 hours 0

After a mutual or syndicate change over:

Smith Duty 106 6 hours Duty 515 7.5 hours 0
Patel Duty 112 7.5 hours Duty 508 7.5 hours 1.5

6.7 There is no requirement for T/Ops to submit overtime dockets as this will be done by
administrative staff on their behalf.

6.8 Records of all duty allocations at a depot must be retained for reference and audit purposes
for at least 7 years.

6.9 The final duty allocations will be signed off by all the representatives and manager involved
in the allocation process.

6.10 Any additional amendments must be agreed by the level 1 committee.

6.11 Local arrangements will be made by Duty Managers for the booking of staff taxis to or from
work where no other practical travel facilities are available. This facility is not to be used as
an alternative means of transport to or from work.

6.12 If a T/Op wishes to work on a Bank Holiday, when they have been booked off that day under
this process, then they may work their original rostered duty length and hours. By mutual
consent the booking on / off time can be varied (this excludes Boxing Day).

6.13 6.12 only applies to those T/Ops who would have otherwise been expected to work normally,
but have instead been required to take annual leave because it is a Bank Holiday. These
T/Ops would have the option to request that they be permitted to work on their shift, within
normal traffic hours, providing their manager is able to ensure that productive work will be
found for them to perform.


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6.14 The granting of this annual leave is not dependent on whether they have any outstanding
annual leave owed to them.


7. New Years Eve / All Night working on Special Events

7.1 In accordance with Appendix 3a of PTOA, volunteer T/Ops will be called for first to work the
additional night duties on New Years Eve. In the event that this fails to satisfy staffing
requirements, then duties will be allocated on a juniority basis (train grade).

7.2 If necessary, some staff will be required to work a night duty on New Years Eve followed by
a late duty on New Years Day. The number of staff required to do this will be minimised and
in all cases there must be a minimum of 12 hours rest between shifts.

7.3 Responsibility for duty allocation will lie with Depot Management and this will be carried out
with full involvement of local depot representatives and sufficient release will be granted. As
far as possible work will be allocated in advance to staff rostered as leave cover over
Christmas and New Year. (re: 6.3.1 and 6.3.2)

7.4 Special duty schedules / rosters will be issued as necessary to cover any services required
to cater for the event.

7.5 The starting and finishing time for a scheduled duty may be moved as necessary and shift
length varied, in order to provide a service throughout the night. Shift lengths will not exceed
agreed rostering parameters.

7.6 Changes to rest days may be required, this will be achieved by revisions to the roster for a
temporary period, and 28 days notice will be given and displayed at the depot. Every effort
will be made to avoid such changes, but where necessary the T/Op working a normally
rostered rest day will be paid at the overtime rate.

7.7 Special working duty schedules will be displayed at the depot at least 3 days before the
event. Other than emergencies every effort will be made to give considerably more time than
3 days notice.

7.8 Where rostered late turns work a night turn instead, then each duty concerned will be paid
an additional payment at the hourly rate for any time on duty, plus a cash payment of one
days pay.

7.9 When it is necessary to operate the railway throughout the night, due to a major special
event, then any roster weeks that are required to work day duties and a night duty in the
same week, may have rest days if necessary before and/ or after the night duty. This
arrangement supplements the provisions of Clause 1.2 of Schedule No.3 of the Framework
Agreement for Trains Staffing.

7.10 Any remaining Pool T/Ops without work, after night turns are allocated, will be allocated late
turns followed by any volunteer T/Op wishing to change from early turn to late turn.

7.11 Where rostered early turns work a late turn instead, then if the booking-on time is moved up
to two hours, an additional payment of 25% of the daily rate for any time on duty will be paid,
and if the booking-on time is moved over two hours, then an additional payment of 50% of
the daily rate will be paid for any time on duty.

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7.12 Duties working their normal shift within existing agreements will not receive any
enhancement. Rostered night duty T/Ops who volunteer to work New Years Eve nights will
be paid.

General

7.13 In all cases the 12-hour rest period will be adhered to.


8. Volunteers for New Years Eve working

8.1 In order to generate a list of volunteers a depot notice will be displayed continuously at the
depot, by management, asking T/Ops if they wish to volunteer to work on New Years Eve.

8.2 The volunteers will be ordered using train grade seniority.

8.3 Once sufficient volunteers have been generated they will be allocated duties in line with this
agreement. Additional (surplus) volunteers will be placed on a reserve list.

8.4 In each successive year similar volunteer lists will be generated with those that worked the
previous year(s) going to the bottom of the list on the subsequent year(s) of seeking
volunteers; should they volunteer again (see appendix 1 for worked example). It may have
been the case that some T/Ops were unable to volunteer owing to block annual leave,
sickness, secondments, training etc.

8.5 Where T/Ops volunteer for and are allocated night duties these will not be subject to change
of duties or by syndicates. However they are permitted to do mutual change of duties
amongst themselves (ie nights for nights only).

8.6 If a T/Op gives sufficient notice that they no longer want to work a night duty on New Years
Eve then the duty will be re-allocated to the first reserve T/Op.


9. Eligibility of volunteers

9.1 T/Ops on block annual leave cannot volunteer to work New Years Eve.

9.2 T/Ops on reduced hours working (weekends and Bank / Public holidays only) can only
volunteer and work New Years Eve when it falls on a Saturday or Sunday.

9.3 Individual T/Ops on job-shares can only volunteer and work New Years Eve when it is their
turn to work.

9.4 T/Ops on flexible working or PTOA agreements can only volunteer and work New Years
Eve if it is consistent with their agreements.


10. 26 December working (Boxing Day Agreement)

10.1 Special duty schedules / rosters will be issued as necessary to cover any services required,
in line with agreements, to cater for 26 December.

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Scheduling Services Guidelines state:

35 days notice will normally be given for Bank Holiday duty schedules so that duties can be
allocated locally and displayed on notice board with 28 days notice then given to trainstaff.

10.2 Scheduling Services have stated that this will be a minimum and duty schedules may be
available before these minimum agreed times.

10.3 The starting time for a scheduled duty may be moved as necessary and shift length varied,
in order to provide a service on 26 December. Shift lengths will not exceed agreed rostering
parameters and all duties will conform to the Framework Agreement for Train Staff.

10.4 A reduced service will operate on 26 December with a later starting and Sunday finishing
times. T/Ops should not expect to work duties with the same book on / off times or work the
same duty length they would have done if there wasnt Bank Holiday working.

10.5 Shift lengths, rostering parameters will comply with the T/Ops Framework Agreement.

10.6 Special working duty schedules will be displayed at the depot in line with existing
agreements.

10.7 Once the duty schedules have been received and checked (scrutinised) by the local
representatives they will be posted at the respective depot as soon as possible.

Caveat where local representatives are not available or difficulties arise then the Trains
Functional Council Staff Side will be contacted.

10.8 Detailed arrangements for the allocation of staff to duties will be dealt with locally by the level
1 committee.

10.9 In line with existing agreements, and the Bank Holiday Agreement, the level 1 committees
existing arrangements for duty allocation will apply.

10.10 Local representatives and management must ensure that the duties for working 26
December are allocated in accordance with this process in a fair, consistent, and transparent
manner.

Allocation Process

10.11 Prior to the allocation of duties all T/Ops will be considered as booked off duty.

10.12 All T/Ops on LU will be, by default, on annual leave on 26 December (if not already on a rest
day or block annual leave).

10.13 A notice will be displayed continuously at the depot asking T/Ops if they wish to volunteer to
work on 26 December.


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10.14 A notice at depots will let T/Ops know that volunteers are being sought to work 26
December. The notice will ask interested T/Ops to submit a memo to the level 1 committee,
who have the responsibility for collating these requests. The notice will explain the criteria for
volunteering so that T/Ops volunteering know what they are agreeing to when submitting a
memo.

10.15 T/ops cannot provide a continuous request to volunteer for every 26 December. Requests
to volunteer to work 26 December will run from the beginning of the year and include that
year only.

10.16 A predetermined cut off date for volunteers and for duty allocation will be agreed taking into
account that duties need to be allocated and displayed within existing agreements.

10.17 An agreed date(s) will be put aside for allocating duties for 26 December and other dates
over the Christmas and New Year period. Once the cut off date has been reached no further
requests to work 26 December will be accepted. As soon as duty allocation is complete then
they will be posted at the depot.

10.18 The requirement for volunteers / coverage for 26 December will be covered by T/Ops who
are not on block annual leave.

10.19 If a T/Op is on block annual leave they will not be eligible to volunteer to work on 26
December. If a T/Op is seconded to another grade they will not be eligible to volunteer to
work on 26 December. A trainee T/Op will not be eligible to volunteer to work on 26
December if it is expected that they will not be qualified.

10.20 In the event that there are more volunteers than duties then the following will apply:

10.20.1 T/Ops will be allocated to work based on their train grade seniority.

10.20.2 The definition of train grade seniority is copied below; taken directly from the
TOPRA.

10.20.3 T/Ops who worked the previous Boxing Day will go to the bottom of the list of
volunteers; ordered on the basis of train grade seniority.

10.20.4 If you worked the previous 26 December then you go to the bottom of the list
for the following year.

10.20.5 Once the cut-off date for volunteers has been reached, the memos submitted
by T/Ops will be collated and ordered by the level 1 committee based on train
grade seniority (as defined within TOPRA copied below).

10.20.6 If there are more volunteers than duties then some of the volunteering T/Ops
will not be able to work 26 December. Priority will go to those T/Ops that did
not work the previous 26 December. Once these T/Ops have been chosen,

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then any additional volunteers that are required will be taken from the
remaining volunteers based on train grade seniority.

10.20.7 Depending on the number of volunteers it is still possible that a T/Op can be
booked to work on 26 December even if they have worked the previous 26
December.

10.20.8 Where there are more volunteers than duties then the level 1 committee
should create a reserve list for each shift in the event that a T/Op allocated a
duty cannot attend work.

10.20.9 During the allocation process when the reserve list is generated, provisional
alternative duties need to be identified should one of these T/Ops be booked
to work 26 December. As a result of this process duties during the remainder
of the week cannot be left uncovered.

10.21 In the event that this fails to satisfy staffing requirements, then duties will be allocated on a
train grade juniority basis (re: PTOA for covering New Years Eve all night working).

10.22 If it becomes apparent that there is a shortfall of volunteers then some T/Ops will be
compelled to work. Those T/Ops, that are compelled to work, will be the junior most (train
grade) T/Ops at the depot.

10.23 Junior T/Ops will not have their rostered rest day moved in order to be compelled to work.

10.24 T/Ops who volunteer to work and are booked on to work must do so.

10.25 If a T/Op submits a memo volunteering to work 26 December then they must do so if they
are allocated work.

T/Ops who do not attend work (see below).

10.26 T/Ops who are allocated to come in to work on a juniority basis must do so but are permitted
to seek another T/Op in order to carry out a mutual changeover of duty to be booked annual
leave or rest day.

10.27 If a T/Op is compelled to work 26 December then they can seek other T/Ops for a mutual
change of duties.

10.28 In order to facilitate coverage the level 1 committee can implement changes of rest days,
during the week which includes 26 December, for T/Ops to work on 26 December.

10.29 If a volunteering T/Op is on rest day on 26 December then this rest day can be moved to
facilitating work on 26 December. As a result of this process duties during the remainder of
the week cannot be left uncovered.


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10.30 It may not be possible in all cases to move rest days. There is no extra additional payment
where a rest day move takes place will be made other than the agreed amount of 350.

10.31 Mutual change of duties between T/Ops working on 26 December is permitted.

10.32 Owing to weekly mutual change of duties and syndicates changes it may be necessary for
T/Ops to change shift to ensure various parameters are maintained such as the 12-hours
rest rule. Where T/Ops are booked on to work they can change that duty via a mutual
change of duties or within their syndicate with another T/Op who is also booked to work.

10.33 On other Bank Holidays throughout the year when a T/Op is booked annual leave they can
ask to come in and work. This right to work, when booked annual leave, does not apply to 26
December.

10.34 Where a T/Op does not volunteer to work 26 December and they are not rest day then, and
in order to retain their annual leave entitlement, they can ask to move a rest day to 26
December. This moved rest day must be within the week containing 26 December. No
additional payment is afforded for moving a rest day. As a result of these changes duties
during the remainder of the week cannot be left uncovered.

10.35 In order to ensure that this process is fair, consistent and transparent, where a volunteering
T/Op wishes to give away their duty (mutual change over of duties or via the syndicate) in
order to take an annual leave day or rest day then this changeover must be approved by the
level 1 committee. This approval or not can be in the form of telephone calls where a
decision needs to be made quickly.

10.36 Duty allocation for T/Ops volunteering to work New Years Eve and / or 26 December are
treated independently. For all purposes they are treated independently. It is therefore
possible to work both, just one or the other or neither of them.

Partial* / Full Depot closures owing to Engineering works on 26 December

10.37 Where there is a requirement to partially / fully close a depot on a 26 December owing to
Engineering work the following specific arrangements will apply:

10.37.1 T/Ops not required to work will be allocated annual leave (booked off).

10.37.2 T/Ops can change their rest days to enable the retention of annual leave and
not be booked annual leave for 26 December.

10.37.3 T/Ops do not have the right to come in on 26 December if they have not been
booked on to work.

* e.g. when only night duties are required




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Depot closures and volunteers

10.38 Where a depot has insufficient volunteers and an adjacent depot (one on the same line) has
a planned closure then volunteers can be sought from that depot.

10.39 If it is apparent at an early stage that there are insufficient volunteers at a depot and these
volunteers can be resourced from an adjacent depot (a depot on the same line) where it is
clear there is a surplus of volunteers there. Then in order to avoid compelling T/Ops to work
volunteers can be used from that depot.

10.40 Working for another depot applies on 26 December only and does not constitute remote
booking on or off.

10.41 There are no additional facilities provided for working out of another depot, there is no
travelling time and there are no additional payments other than the agreed amount of 350.

Administration
10.42 Any issues arising out of the allocation of duties, under this agreement, will be dealt with by
the local level 1 committee.

10.43 If there are any issues that cannot be resolved during the allocation process then a level 1
committee meeting will be convened.

10.44 Any issues of interpretation of this process will be dealt with by the Trains Functional
Council.

Night duties

Caveat

10.45 Where night duties are required to work on 26 December then this work will be allocated to
the T/Ops who are nights during the week as a whole assuming that they have volunteered
to work.

10.46 Where night T/Ops do not volunteer to work a night duty on 26 December then these nights
will be allocated to T/Ops with a rostered rest day on 27 December or to T/Ops who can
come into work their 27 December duty after 12 hours rest.

10.47 Where night T/Ops do not volunteer to work a night duty on 26 December and wish to take
this day as a rest day then they will move the rest day from the following week (rest day
covers after nights).

Reduced hours working and job-shares

10.48 T/Ops on reduced hours and job-shares are eligible to volunteer to work on 26 December.


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Flexible working

10.49 T/Ops on flexible working are eligible to volunteer to work on 26 December if this is
consistent with their flexible working agreement.

Remuneration and non-Attendance

10.50 All T/Ops that work on 26 December will receive a payment of 350.

10.51 T/Ops who fail to attend duty on 26 December will forfeit the payment for 26 December
working.

10.52 Any T/Ops who are unable to work on 26 December arising out of assaults and accidents at
work or suspension owing to safety related items will have their cases reviewed by the
Trains Functional Council as to whether a payment is warranted or not.

10.53 Where it is clear that a T/Op who has been allocated 26 December working is unable to
attend work on 26 December owing to long term sickness etc then their duty will be re-
allocated.

General Allocation

10.54 Where a volunteering T/Op has not been allocated work where it might be expected that
they would. Then this non-allocation of work must be justified at the level 1 committee.


11. Partial / Full Depot closures owing to Engineering works on Bank / Public holidays
(excluding 26 December)

11.1 Where there is a requirement to partially / fully close a depot on a recognised Bank / Public
Holiday owing to Engineering work the following specific arrangements will apply:

11.2 If this date falls on a T/Ops rostered rest day then they would take this day as their rostered
rest day.

11.3 If this date falls on a T/Ops block leave day then they would take this day as their rostered
leave day.

11.4 All other T/Ops would be given the choice of either:

11.4.1 Take an annual leave day if they have any annual leave outstanding, if the T/Op
agrees. Days can be used from rostered block leave.

11.4.2 T/Ops can voluntarily change one of their two weekly rostered rest days to this date.
Note that if this option is pursued all T/Ops are still required to have no more and no
less than two rest days in any given week, other than on nights where rest days are
taken after the completion of nights.

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11.4.3 Come in to work for their rostered duty length (early, late or nights) and productive
work will be found for them to perform.


12. Arrangement for Non Bank Holiday Dates over the Christmas period

12.1 To maximise the number of staff able to take annual leave over the Christmas period every
effort will be made to book off as many staff as possible.

12.2 Only the running duties and cover duties required to work will be shown on the duty
schedule. These will be shown using Bank Holiday duty numbering.
12.3 Duties will be allocated locally (section 4) and rostered overtime may be necessary.
12.4 When the duty allocation process has been completed and T/Ops have been booked annual
leave, (where this has been requested) and if there are remaining T/Ops they will be
allocated additional spare with a booking on / off time based on their original rostered duty
length. By mutual consent the booking on / off time can be varied.


13. Arrangements for Bank Holiday type allocation for other occasions

13.1 There may be occasion when Scheduling Services want duties to be allocated in he same
way as on Bank Holidays. Where this occurs then Scheduling Services will request, on a
case by case basis, authorisation from the Staff Side of the Trains Functional Council.

13.2 Where this Bank Holiday type working has been authorised allocation by local
representatives will not include booking off T/Ops unless annual leave has been specifically
requested.

13.3 T/Ops without duties will be booked additional spare based on their original duty length.


14. Arrangements for Special / Engineering work

14.1 Where there is special / engineering work with a requirement for a reduced service and the
option under section 13 does not apply; then Scheduling Services will issue duty schedules
so that all T/Ops originally booked to work will continue to do so.
14.2 Where 14.1 applies, and T/Ops have been allocated work as additional coverage (spare),
they can request annual leave or a change of rest day.

14.3 Duties allocated in excess of the original rostered hours will be paid at the overtime rate (see
6.7).





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15. Cancellation of Engineering works over Bank Holidays and the Christmas period

15.1 Where Planned Engineering Work during a Bank Holiday has to be cancelled owing to
unforeseen circumstances and there is a requirement to run a normal service when staff
have already been allocated a duty or leave, this matter will be discussed at a Full Trains
Functional Council meeting in order to determine the most appropriate way to resolve the
issue.


16. Depot Syndicates

16.1 The role of syndicate leaders remains unchanged by this agreement other than where
specified.

16.2 Where a T/Op has been booked annual leave under this agreement then the syndicate
leader can not change it.

16.3 An individual who is allocated annual leave may change their duties to work with another
individual or come in to work as covered by this agreement.


17. Subject to Annual Revision at Trains Functional Council

Arrangements for 2013 / 14

Christmas / New Year / Non Bank Holiday Dates

Duty Allocations and New Years Eve Special
Arrangements for Train Operators

Bank Holidays and Non Bank Holiday Dates

1. To maximise the number of staff able to take annual leave over the Christmas period every
effort will be made to book off as many staff as possible between 24 December 2013 and 1
January 2014 subject to operating requirements.

2. Duties for the following days to be issued under Bank / Public Holiday conditions (minimum
duties rostered).

Tuesday 24/12/2013
Thursday 26/12/2013
Friday 27/12/2013
Monday 30/12/2013
Tuesday 31/12/2013
Wednesday 01/01/2014


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This will also apply to Saturday 28/12/2013 and Sunday 29/12/2013 on the Circle & Hammersmith,
District, Piccadilly and Jubilee Lines as there is a special service operating for engineering work.

3. Only the running duties and cover duties required to work will be shown on the Duty Schedule.
These will be shown using Bank Holiday duty numbering.

4. Duties will be allocated locally. Rostered overtime may be necessary.

5. Train Operators not allocated a running duty or cover duty may take leave or take an alternative
rest day to New Years Eve (between 28 and 30

December 2013), if volunteering to work on 31
December. Otherwise they will locally be allocated a start and finish time (in line with their
normal duty length) and work as additional covers. These duties may be utilised to reduce and
(where possible) eliminate the amount of overtime or to give other staff leave.

6. Special arrangements for Tuesday 31 December 2013 (New Years Eve) and Wednesday 1
January 2014 (New Years Day).

a) In accordance with Appendix 3a of Professional Train Operators Agreement, volunteer Train
Operators will be called for first to work the night duties on New Years Eve. In the event that
this fails to satisfy staffing requirements, then duties will be allocated on a juniority basis.

b) If necessary, some staff will be required to work a night duty on New Years Eve followed by
a late duty on New Years Day. The number of staff required to do this will be minimised and
in all cases there must be a minimum of 12 hours rest between shifts.

c) Responsibility for duty allocation will lie with Depot Management and this will be carried out
with full involvement of local depot representatives and sufficient release will be granted. As
far as possible work will be allocated in advance to staff rostered as leave cover over
Christmas 2013 / New Year 2014. Scheduling Services will ensure Duty Schedules for the
period 24 December 2013 to

1 January 2014 are issued as soon as possible, and no later
than 12th November 2013.

Scheduling Services
14
th
October, 2013


18. Key documents for Reference

PTOA
Trains Functional Council Christmas and New Year Working Agreement Guidelines for
Train staff Duty Schedules and Rotas
Framework Agreement
Guidelines For TrainStaff and Duty Schedules and Rotas
Machinery of Negotiation and Consultation




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19. Note

This Agreement does not supersede any existing Agreements.
The application of individual processes are subject to audit
Copies of all paperwork must be kept for 7 years


20. Anomalies

20.1 Any anomalies that arise out of this Agreement must be referred to the Staff Side Secretary
for the attention of the Trains Functional Council.

20.2 Any anomalies will be listed for Trains Functional Council by the Staff Side Secretary.



































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21. Appendices

Appendix 1

Method for Allocating Volunteers

A depot has 20 train operators and there is a requirement for 5 volunteers to work New Year Eve.
All the train operators at the depot are ordered based on train grade seniority. Volunteers are then
high-lighted and the top 5 senior most train operators are chosen.

In subsequent years those that worked move to the bottom of a continuously rolling list.

Should a T/Op be transferred in to a depot then his position on the list will be determined by the
level 1 committee giving consideration to whether they had worked the previous year or years.



Year 1
McJones P
Singh H
Smyth J
Patel R
White A
Richards A
Williams P
Peters M
Roberts M
Legba L
Nichols A
Morris B
Ramsay S
Murray G
Wilson M
Chandler J
Coffee J
Tesla M
Howard W
Walters C








Year 1
There are 7 volunteers but only 5
can be booked to work. To work:
1. J Smyth
2. A Richards
3. B Morris
4. S Ramsay
5. 5.J Chandler
W Howard and C Walters are
reserve if any of the above 5 train
operators are unable to work.


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Year 2

McJones P
Singh H
Patel R
White A
Williams P
Peters M
Roberts M
Legba L
Nichols A
Murray G
Wilson M
Coffee J
Tesla M
Howard W
Walters C
Smyth J
Richards A
Morris B
Ramsay S
Chandler J

Year 3

McJones P
Singh H
Patel R
Williams P
Peters M
Roberts M
Nichols A
Murray G
Wilson M
Coffee J
Tesla M
Smyth J
Richards A
Morris B
Ramsay S
White A
Legba L
Chandler J
Howard W
Walters C
Appendix 2
Year 2
There are 9 volunteers but only 5 can
be booked to work. To work:
1. A White
2. L Legba
3. W Howard
4. C Walters
5. J Smyth
A Richards, B Morris, S Ramsay and J
Chandler are reserve if any of the
above 5 train operators are unable to
work.
Year 3
There are 9 volunteers but only 5 can
be booked to work. To work:
1. P Williams
2. J Smyth
3. A Richards
4. S Ramsay
5. A White

L Legba, J Chandler, W Howard and C
Walters are reserve if any of the above
5 train operators are unable to work.


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Definitions
T/Op refers to T/Op, I/Op and SSTO
Train Grade Seniority (primarily determined using pay grade / SAP)

Train Grade seniority starts from the day of consolidation as a T/Op and can be aggregated
and will include:

Time as a former guard / T/Op, I/Op or SSTO
Time on secondments where there is a return date and the employee stays on books as
a T/Op
Time training for another grade or position prior to passing out for that grade or position
Time training for a redeployed (non-disciplinary) position prior to qualification for that
position
Career breaks less than 6 months (over 6 months and the time of resignation does not
aggregate)
Maternity, paternity and adoption leave
Temporary alternative duties
The time from re-grading via disciplinary to T/Op pending qualification
Temporary domestic redeployment with an agreed return
Time training for another grade or position prior to passing out for that grade or position
via safety related redeployment
Full time / temporary Trade Union release whilst employed by LUL

Aggregated time will not include:

Time from the moment of a disciplinary re-grading away from the trains
Expected permanent medical redeployment
Fixed term medical redeployment (e.g. seizures etc)
Test Train Operators
Test Train Engineers
T/Ops from other TOCs

Sundays falling on 26 December

2021, 2027, 2032, 2038, 2049, 2055, 2060, 2066, 2077, 2083, 2088, 2094, 2100


Appendix 3

Machinery of Negotiation and Consultation

Purpose

11.1 The following questions for negotiation are within the purpose of the Council:-

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(i) Framework Agreements;

(ii) to deal with failures to agree on issues recorded at the local level;

(iii) impact upon staff of the introduction of new timetables and schedules;

Agreements made at this level can be remitted to local level for implementation, where necessary.

11.2 The following matters for consultation are within the purpose of the Council:-

(i) the application and operation of the disciplinary procedure;

(ii) the application of equal employment opportunities;

(iii) changes to timetables and schedules;

(iv) training (excluding safety training, which will be discussed within the Health and Safety
Consultative Framework).


4.3 Rosters Extract from Agreement for Operational Staff and Operational Managers
(clauses 6.1.1 and 6.1.2)

Clause 6.1.1

Any staffing level changes with safety implications will be dealt with through the Safety Review and
Change Control process, as referred to in the statutory Railway Safety Cases and have the
involvement of Health and Safety Representatives.

The impact upon staff of the introduction of new timetables and schedules, or issues arising from
changes to working arrangements, are questions for negotiation.

The appropriate negotiating machinery to reach agreement will apply and will be exhausted if
necessary. Both parties will use their best endeavours to reach an agreement, operating within the
General Collective Bargaining Agreement and to respect the process, not take unilateral action and
not impose staff number reductions whilst discussions continue. If in the event the Agreement is
exhausted, management will not impose for six weeks.

The relevant local representatives, including health and safety representatives, may be co-opted to
assist in discussion on staffing levels as appropriate.

LUL will engage the unions in an annual review of staffing levels to ensure there is clarity on the
current situation and any future plans.

The parties to this agreement accept that they have a joint responsibility to ensure that acceptance
of proposals is not unreasonably withheld and, once questions or matters have been settled, to take
all reasonable steps to ensure their successful implementation.

The above does not preclude the rights of the trades unions to refer issues to the Underground
Health and Safety Forum, which is a joint LUL/Infraco and trades union body.

Clause 6.1.2

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Duty rosters will be constructed to meet business needs in providing a safe, efficient, quality service
to the customers. This will be done within the negotiated criteria laid down in the framework
agreement for the activity concerned and in full consultation with the trades unions.


Appendix 4

Contained within a letter from Gerry Duffy, Director of Employee Relations

30
th
September 2011

If a TO wishes to work on a Bank Holiday when they have been booked off that day under the
agreed process, then in principle LU is prepared to agree that that they may work their rostered duty
length and hours, subject to the following:
This only applies to those TOs who would have otherwise been expected to work normally,
but have instead been required to take Leave because it is a Bank Holiday.
This arrangement being cost neutral and that there is no loss of productivity as a result of
this arrangement.
The working of this agreement will be reviewed by TFC 12 months after implementation to
ensure its correct and effective operation


Appendix 5

The local manager will arrange for duty rosters to be compiled in accordance with the above
principles and will consult the local representative(s) with a view to reaching agreement. Any
disagreement on duty rosters may be raised within the grievance procedure.

4.4 A question under paragraph 4.1, which is unresolved at local level, will be progressed in
accordance with clauses 14.1, 14.2 and 14.3 of Annex B.