Foreign Direct Investment in London (1) Question No: 2019/12262 Fiona Twycross Can you detail how much foreign direct investment (FDI) London has received by year since 2014 and where it has originated from?

2019 (to Source Country 2014 2015 2016 2017 2018 Total March) United States 197 207 174 220 223 51 1,072 France 34 46 45 32 33 7 197 Italy 21 27 27 17 17 1 110 China 13 25 21 24 22 105 Australia 18 12 18 25 26 2 101 Germany 14 20 19 14 25 3 95 Spain 25 20 14 16 16 1 92 Switzerland 21 13 14 9 24 7 88 Canada 15 11 12 16 28 3 85 India 6 17 12 9 32 76 Japan 12 7 16 11 18 7 71 Netherlands 13 14 9 16 10 2 64 Sweden 5 6 9 16 19 7 62 Ireland 7 5 10 8 15 2 47 Israel 2 5 7 13 9 2 38 Singapore 4 8 4 6 12 2 36 Hong Kong 6 6 5 8 10 35 Turkey 1 1 7 11 10 1 31 Denmark 8 4 6 4 5 1 28 UAE 2 5 9 4 3 4 27 South Africa 2 5 5 9 4 25 Portugal 5 11 3 2 3 24 Belgium 5 3 2 4 2 4 20 Brazil 3 1 5 4 4 1 18 Finland 6 5 3 3 1 18 Norway 1 2 2 3 8 1 17 Poland 4 2 4 2 3 15 Luxembourg 2 3 2 2 4 1 14 Estonia 1 4 6 2 13 Russia 4 3 2 3 12 New Zealand 1 2 2 2 4 11 South Korea 2 4 1 2 2 11 Cyprus 3 3 4 1 11 Malaysia 3 3 2 1 9 Malta 1 1 1 3 1 7 Austria 1 2 1 2 6 Bermuda 1 2 1 2 6 Greece 2 1 2 1 6 Czech Republic 2 1 1 1 5 Latvia 1 1 1 1 1 5 Lebanon 2 2 1 5 Argentina 1 2 2 5 Iran 1 2 1 1 5 Other 8 17 10 14 19 4 72 Total 480 541 492 546 625 116 2,800

Source: FDI Monitor, Financial Times (2019)

INTERNAL AUDIT REPORT HSE & Technical

Management of Fatigue in Tram Operations Limited - TOL (IA 17 780 vA)

John Rymer, Managing Director TOL

Audit Conclusion: Requires Improvement

Draft Report

Fatigue Management in Tram Operations Limited - TOL (IA 17 780)

CONTENTS

INTRODUCTION AND BACKGROUND ...... 3

EXECUTIVE SUMMARY ...... 4

DETAILED FINDINGS ...... 5

APPENDIX 1: MANAGEMENT ACTIONS ...... 14

APPENDIX 2: DISTRIBUTION LIST ...... 17

APPENDIX 3: DEFINITION OF ISSUE RATINGS ...... 18

Audit information

Fieldwork started 13 06 2017 Fieldwork completed 15 06 2017 Draft report issued 07 07 2017 Auditor Peter Buzzard Audit Manager Mike Shirbon

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INTRODUCTION AND BACKGROUND Objective This audit was requested to provide assurance on the effectiveness of Tram Operations Limited’s (TOL) fatigue management arrangements. This audit also aimed to provide assurance in relation to TfL strategic risk SR1 – “Safety Standards”. This audit considered TOL’s Fatigue Risk Management System (FRMS) with respect to the Office of Rail Regulation’s (ORR) guidance – Managing Rail Staff Fatigue. The guidance is aimed at companies and individuals who have responsibility for managing fatigue in railway staff, including those who have control of safety critical work under regulation 25 of the Railways and Other Guided Transport Systems (Safety) Regulations 2006 (ROGS). The ORR cites this document as advice on good practice and the audit has therefore applied its contents as industry good practice. Tramlink is the name given to the tramway linking Croydon town centre with Wimbledon, Beckenham Junction, Elmers End and New Addington. Tramlink has been owned by Transport for London (TfL) since July 2008. TOL, part of FirstGroup plc, is responsible for operating the trams. TOL is based at Therapia Lane Croydon and employs 151 tram drivers. The main roster is covered by 98 drivers. By agreement with TOL, 20 drivers are based permanently on the early roster and 16 on the late roster. The remaining 17 drivers are made up of support staff that are certified to drive trams; these drivers are required to complete one driving roster every 28 days. TOL carried out an audit of their FRMS in May 2017. This was supplemented by completing the FRMS checklist in Appendix F of the ORR guidance – Managing Rail Staff Fatigue. Where this audit’s findings concur with those from TOL’s audit this is highlighted in this report. Scope This audit focused on the control environment in relation to the following key risk areas:  Governance.  Education and Training.  Fatigue Risk Assessment.  Fatigue Reporting.  Physical Environment.  Audit and Review.

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EXECUTIVE SUMMARY All the scope areas were examined during the audit.

Areas of Effective Control:  TOL’s standards and limits on working hours have been effectively communicated.  Variances in hours worked including overtime, exceedances and shift exchanges are being managed in compliance with TOL’s standards and limits.  Employee consultation has taken place on roster changes.  When booking on, drivers are checked by Control Room staff for signs of fatigue, including effects from prescription and over the counter medications.

Priority 1 Issues:  TOL’s management of driver’s hours of work, and the roster design, do not consider fatigue risk factors or reference industry good practice.  TOL’s fatigue awareness training for managers and supervisors does not include factors that increase fatigue or how to recognise fatigue in others.  TOL has no formal process for determining when a fatigue risk analysis should be carried out or reviewed.

Priority 2 issues:  SM 0003 – Safety Critical Employees – Management of Fatigue - does not clearly detail the roles and responsibilities for those employees involved in managing fatigue, or a requirement to review the FRMS when the effectiveness of the arrangements is in doubt.  Data available from monitoring is not analysed, communicated, trended or used to review and update the FRMS.  Procedures for managing fatigue by the Control Room and supervisors are not formally documented, e.g. driver booking on, approving overtime, exceedances, shift exchanges and approving medications.  TOL does not consider late shift workers, particularly those on permanent late shifts, to be night workers for fatigue risk assessment and medical fitness purposes.  TOL considers the design of the cab, and its associated impact on fatigue risk, to be TfL’s responsibility and has not included the driving environment within the FRMS.

Conclusion On the basis of the work completed we have concluded that Fatigue Management in TOL Requires Improvement.

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DETAILED FINDINGS 1.0 Governance 1.1 Ownership and Control of Fatigue Management Arrangements Regulation 25 of ROGS Regulations 2006 - states that every controller of safety critical work shall have in place arrangements to ensure, so far as is reasonably practicable, that a safety critical worker under his management, supervision or control does not carry out safety critical work in circumstances where he is so fatigued or where he would be liable to become so fatigued that his health or safety or the health or safety of other persons on a transport system could be significantly affected. SM0003 – Safety Critical Employees – Management of Fatigue - details TOL’s Fatigue Risk Management System. SM0003 is available via TOL’s electronic document control system (XDMS), it has not been formally communicated. QP0005 – Document Control - Clause 4.1.3 – states that, as a minimum, documents shall be reviewed every two years. SM0003 was last reviewed in June 2014. SM0003 does not clearly detail the roles and responsibilities for those employees involved in managing fatigue (Issue 04, Priority 2). SM0003 Clause 2 – details TOL’s fatigue management policy. The policy was evidenced as including Senior Management commitment, allocation of adequate resources and collaboration. This is in accordance with the ORR’s guidance – Managing Rail Staff Fatigue - Section 5.13. Recommendation 6 from TOL’s audit of their FRMS in May 2017 identified that a full review of TOL’s fatigue management arrangements is required. A draft copy of the revised SM0003 was evidenced as detailing roles and responsibilities but not the fatigue management policy (See Issue 04). 1.2 Fatigue Preventative and Protective Measures ORR’s guidance – Managing Rail Staff Fatigue - Section 6.53 - states that controllers of safety critical work should be aware of factors affecting the onset of fatigue and reduce these as far as is reasonably practicable. TOL’s fatigue control measures are based on TOL’s standards and limits on working hours, breaks, shift exchanges and exceedances (referred to as breaches by TOL). These are recorded in SM0003. Control measures do not include fatigue risk factors other than working hours and patterns, or reference industry good practice (Issue 01, Priority 1). TOL’s standards and limits are communicated as follows:  Lesson Plan TLP 0005 – Drivers Hours - this lesson plan is delivered as part of the driver’s basic training.  ALO 0030 – New Employee Induction Checklist – delivered as part of employee induction including TOL’s working hours standards and limits in relation to safety critical work.

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 Briefing dated 19 May 2017 - reminding drivers of the requirement to be fit for duty when they sign on to work and their responsibilities in relation to fatigue.  Briefing – Safety Critical Work, Fatigue – dated 8 December 2016 - evidenced as being distributed with the drivers’ pay slips. This briefing had also been delivered on a one to one basis by the Operations Manager to approximately 66% of the drivers to date. 1.3 Joint Management / Staff Consultation Arrangements ORR’s guidance – Managing Rail Staff Fatigue - Section 6.68 – states that controllers of safety critical work should consult with safety critical workers and their safety representatives on the arrangements needed to manage fatigue and when standards and limits are to be changed. SM0003 Section 5 – states that TOL will consult with employee representatives when new roster patterns are introduced. An e-mail dated 12 February 2016 was evidenced confirming that ASLEF had been consulted, and their suggestions incorporated, on the latest rosters. 1.4 Effectiveness of Control Measures is monitored ORR’s guidance – Managing Rail Staff Fatigue – states that controllers of safety critical work should monitor the arrangements for managing fatigue to assess how effectively they are controlling the risks arising from fatigue. This includes actual hours worked, exceedances and overtime levels. Trends from monitoring should be used to improve the FRMS. TOL’s allocation team are responsible for allocating drivers to rosters and reviewing compliance to the standards and limits of actual hours worked. The allocation team were able to evidence that the following data is recorded:  Hours Worked - are recorded on TOL’s Driver Allocation System (DAS). Individual driver’s time sheets are also retained as a hard copy record of what is entered in to DAS.  Overtime - is recorded on the overtime sheet which is populated by the Control Room for each shift. This is primarily used for payment purposes.  Exceedances – DAS automatically flags any exceedances to TOL’s standards and limits. Exceedances are also recorded on the variations sheet which is populated by the Control Room. The Control Room log book is used to record any exceedances and is countersigned by the authoriser. Unexplained exceedances in DAS were evidenced as being escalated to the management team for review.  Shift variations – the planned shifts worked by each driver (early or late) are shown on the roster.  Shift exchanges - are shown on the variations sheet as MX or DX depending on whether the shift exchange was requested by the employee or the Company.

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 Absence - is recorded on DAS along with the reason. Absence monitoring is also completed by Human Resources for the purposes of employee support. Data available from monitoring by the allocation team is not analysed, communicated or used to review and update the FRMS (Issue 05, Priority 2). Compliance to TOL’s working hours standards and limits is the only fatigue related Key Performance Indicator (KPI). This is reported to the Management Safety Meeting. A review is carried out of randomly selected time sheets for compliance to TOL’s standards and limits (see section 3.5 of this report). TOL’s audit of their FRMS in May 2017, and their completion of the FRMS checklist in Appendix F of the ORR guidance, identified that an assessment of staff that regularly undertake overtime should be made. It also identified that other indicators (for example shift exchanges and absence rates) are not analysed for their impact on fatigue (See Issue 05). 2.0 Education and Training 2.1 Basic Fatigue Awareness ORR’s guidance – Managing Rail Staff Fatigue - Section 5.39 – states that where people have responsibilities for managing fatigue, there should be adequate competence management arrangements in place to ensure that they acquire and retain the appropriate fatigue knowledge and skills. This will be particularly important for supervisors and managers of staff carrying out safety critical work, and staff who devise and amend rosters. TOL’s fatigue awareness training for drivers is included in the drivers’ Passenger Service Assessment (PAX) training. This is based on adherence to TOL’s standards and limits on working hours and shift patterns. The Operations Director, Operations Manager, Duty Managers (x5) and Control Room Staff (x15) are all trained as drivers and as such receive the basic fatigue awareness training which was evidenced as including:  Lesson Plan TLP 0005 – Drivers Hours – including TOL’s standards and limits on working hours, breaks, shift patterns and rest periods.  DVD “The 21st Century Professional Driver - is also shown to the drivers.  TFM 0011 - Safety Responsibility Statement - including drivers not being fatigued when reporting for duty and reporting if they become fatigued during duty. This statement is signed by each driver. ORR’s guidance – Managing Rail Staff Fatigue - Section 5.40 – details that the fatigue education and awareness arrangements would usually include personal assessment of fatigue risk and strategies for managing personal fatigue risk. These items are not included in TOL’s driver training (Issue 02, Priority 1). Training Records are held on XDMS. The records were evidenced as confirming that all those available to drive have passed the Passenger Service Assessment (PAX) training.

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Formal refresher training is not in place (See Issue 02). Communication programmes are carried out via briefings given to remind drivers of the fatigue management arrangements and their responsibilities as evidenced in section 1.2 of this report. 2.2 Fatigue Training for Management and Supervisors ORR’s guidance – Managing Rail Staff Fatigue - Section 5.65 - states that all staff should have a basic awareness of how to recognise fatigue in themselves or others, but this is especially important for staff responsible for carrying out fitness for duty checks and for those responsible for ensuring staff remain fit for duty throughout their shifts. TOL does not provide additional training on identifying fatigue in others for those in management and supervisory roles. Recommendation 1 from TOL’s audit of their FRMS in May 2017, and their completion of the FRMS checklist in Appendix F of the ORR guidance, recognised that those responsible for making changes to work patterns should consider fatigue implications, and that training for management and supervision on the factors that increase fatigue should be strengthened (See Issue 02). 2.3 Training in Roster Design ORR’s guidance – Managing Rail Staff Fatigue Section 6.17 – states that it is vital that staff who devise working patterns receive training in roster design and the implications for fatigue. It could not be evidenced that TOL’s roster designer had received training in minimising fatigue in roster design (See Issue 02). 3.0 Fatigue Risk Assessment and Managing the Risks ORR’s guidance – Managing Rail Staff Fatigue - Stage 2 – states that controllers of safety critical work should identify, set and adhere to appropriate standards for working hours and working patterns, observing any relevant working time limits that apply. The standards and limits set should take into account recognised national industry good practice guidance applying to railways and other guided transport systems. 3.1 Standards and Limits TOL’s standards and limits for working hours were evidenced as considering:  ORR’s guidance – Managing Rail Staff Fatigue Section 6.20 – detailing the criteria to which numerical limits should be applied.  Limiting overtime with respect to not exceeding the maximum permitted hours without authorisation. TOL’s standards and limits for working hours did not consider (See Issue 01):  National industry good practice.  A limit on the number of shift exchanges.

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3.2 Controlling Variances and Exceedances ORR’s guidance – Managing Rail Staff Fatigue - Section 5.44 – states that the FRMS should outline in particular the organisational arrangements for controlling overtime, shift exchange, travel time and on-call duties. Potential fatigue due to variances, shift exchanges and overtime is controlled with respect to TOL’s standards and limits. The Control Room staff are not trained in recognising other fatigue causal factors or fatigue in others (See Issue 02). The process by which the Controllers (located within the Control Room) manage variances and exceedances is not documented. This is being reviewed as part of TOL’s full review of their FRMS (Issue 06, Priority 2). The duty Control Room Manager was interviewed to evidence that the controls relating to TOL’s standards and limits are understood as follows:  Overtime is checked to be within TOL’s standards and limits and recorded on the overtime sheet. Any variances leading to the need for overtime are recorded on the variance sheet.  Exceedances are authorised by a supervisor or relevant line manager, recorded in the logbook and countersigned by the authoriser. The last exceedance was evidenced in the Control Room logbook as occurring on 26 July 2016 at 18:51. A secondary check for any exceedances is made by the allocations team, see section 1.4 of this report.  Shift exchanges are checked to be within TOL’s standards and limits and recorded on the variations sheet as MX or DX depending on whether it was requested by the employee or the Company respectively. 3.3 Provision of Breaks ORR’s guidance – Managing Rail Staff Fatigue - Section 6.57 – states that controllers of safety critical work should make arrangements for workers to take breaks during periods of duty. Drivers’ breaks are set within the timetabling. This was evidenced on the Duty Cards which detail the timetabling, and associated rest periods, for the routes driven within the roster. Where breaks do not take place at the designated time, or are reduced in length, the Control Room will make mutually agreed adjustments to accommodate additional break time elsewhere in the shift. This is not documented (See Issue 06). SM0003 Clause 10 – Provision of Breaks – details the length and frequency of breaks. The number of occurrences where this clause is not met is not monitored or analysed (See Issue 05). 3.4 Roster Design ORR’s guidance – Managing Rail Staff Fatigue - Appendix A – states that working patterns should be designed to incorporate good fatigue management principles and recommends that an assessment is carried out on the proposed pattern using a fatigue assessment tool. TOL’s base rosters established in 2016 were evidenced as being analysed using the HSE Fatigue and Risk Index tool. The Trade Union were consulted on the roster design

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(see section 1.3 of this report). The roster design did not consider industry good practice (See Issue 01). 3.5 Time Sheet Review SM0003 - Clause 13 – states that time sheets will be randomly selected to review for compliance to the standards and limits on a periodic basis. This is carried out by the HR Manager and communicated by e-mail, including the details of which drivers were checked. An e-mail dated 22 May 2017 was evidenced as confirming that the time sheets for eight drivers, four controllers and one duty manager had been checked as complying for period 13 2016/17. The 2017/18 Inspections and Tours report - was also evidenced to confirm that this information is communicated to TOL’s Safety Management Review Group on a periodic basis. 3.6 Managing the Fatigue Risk of Actual Hours Worked The recording of actual hours worked, and the controlling of variances and exceedances, is detailed in sections 1.4 and 3.2 of this report. The actual hours worked are controlled with respect to TOL’s standards and limits, other fatigue factors are not considered. A sample of actual hours worked, including variances, is not evaluated using a fatigue risk tool (Issue 03, Priority 1). 3.7 Consideration of Travelling Time in Fatigue Management ORR’s guidance – Managing Rail Staff Fatigue - Section 8.7 – states that fatigue management systems should include arrangements for assessing and controlling risks from travel time. Driver travel time is considered in the recruitment process by recruiting drivers who live within a 1 hour commute of the depot. This ensures that if a maximum allowable 12 hour shift is worked, combined with 2 hours travelling to and from work, a 10 hour rest period is achieved. Drivers are required to notify TOL of any changes of address, this requirement is included in ALO 0030 – New Employee Induction Checklist. The nature and duration of changes to a driver’s travel time is not fatigue risk assessed (See Issue 03). 3.8 Managing Changes to Employees Circumstances ORR’s guidance – Managing Rail Staff Fatigue - Section 6.77 – states that safety critical workers should be made aware of the procedures to be followed if they consider that there are circumstances, such as significant life events or medical conditions, which may cause them to either be or become so fatigued that health and safety could be significantly affected. SM0021 – Driver Monitoring – includes details of domestic circumstances. This procedure is applied to drivers at set intervals during their first year of employment. All drivers, including those rostered once a month, are then monitored annually. This process is also implemented following behaviour or performance issues.

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Reporting changes to employee circumstances, with the exception of home address, is not included in ALO 0030 – New Employee Induction Checklist, or TFM 0011 - Safety Responsibility Statement. There is no documented process for driver’s to report changes in circumstances (See Issue 06) or for those changes to be fatigue risk assessed (See Issue 03). 3.9 Managing the Risk of Fatigue when booking on and off Shifts ORR’s guidance – Managing Rail Staff Fatigue - Sections 5.64 and 5.65 – state that companies should have fitness for duty checking arrangements to ensure that staff reporting for safety critical work are not suffering, or likely to suffer during their shift, from fatigue. This checking should be carried out face to face by staff with awareness in recognising fatigue. The requirement for employees not to book on if fatigued is included in the driver induction and Lesson Plan 5 of their training. This requirement was also included in the briefing – Safety Critical Work, Fatigue – dated 8 December 2016, see section 1.2 of this report. Drivers sign on at the Control Room where the controllers monitor their fitness for work including fatigue. The controllers are not trained in recognising the symptoms of fatigue (See issue 02). Control Room staff were interviewed to determine what they would do if a driver appeared unfit for work. It was stated that they would firstly speak to the driver, and if deemed unfit to work they would be signed off as sick, sent home and their roster re-assigned. This process, including review of the reasons for fatigue, how to manage the individual, escalation (if necessary) and ensuring the safety of the individual in returning home is not documented (See Issue 06). 3.10 The use of Fatigue Risk Assessment Tools ORR’s guidance – Managing Rail Staff Fatigue - Section 5.2 – states that the FRMS should outline how fatigue risk assessments are to be carried out, who should carry them out, and under what circumstances they should be completed, for instance before changes in working patterns, after incidents or reports of concerns about fatigue. TOL has no formal process for determining when a fatigue risk analysis should be carried out. For example FOM 003 – Unauthorised SPAS Event Report - was evidenced as confirming if the working limits had been exceeded but does not consider any other fatigue risk factors. TOL’s completion of the FRMS checklist in Appendix F of the ORR guidance included updating the FRMS to include the use of fatigue risk assessments (See Issue 03). Drivers on late shifts are allocated to tram preparation duties for the later part of their shift. For this reason TOL does not consider drivers working late shifts, either permanently or on rotation, should be considered as night workers and therefore subject to fatigue risk assessment. For comparison purposes LU considers any driver completing 3 rostered hours between 11pm and 6am on a regular basis to be considered as a night worker (Issue 07, Priority 2).

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3.11 Fatigue Related Medical Fitness for Work ORR’s guidance – Managing Rail Staff Fatigue - Section 6.6 – states that Regulation 24(1) (a) of ROGS requires controllers of safety critical work to ensure that people carrying out such work have been assessed as fit for that work, and Regulation 24(1) (d) requires them to have in place arrangements for monitoring the ongoing fitness of such staff. These fitness assessment and monitoring arrangements should take potential risks from fatigue into account. SM0008 – Fitness Standards (Safety Critical Work) - Clause 3.2 - defines the frequency at which in-service medicals, following the initial medical, are carried out. SM0008 - Appendix A – Medical Standards – details minimum medical fitness requirements for drivers including checks for alerted levels of consciousness and that those drivers with sleep apnea are deemed unfit for duty until treatment is successful. Medicals are completed by Maitland Medical Services. Late shift drivers, particularly permanent late shift drivers, are not considered by TOL as night shift workers and therefore not subject to a medical appropriate for night shift workers (See Issue 07). ALO0030 – New Employee Induction Checklist – includes reporting the use of prescription and over the counter medicines to the company. Control Room staff were interviewed to determine what they would do if a driver reports they are taking medication. It was stated that the medication is checked against a permitted medications list issued by Maitland Medical Services. If the medication is not on the permitted list the driver is either told not to take the medication or stood down. If a driver is stood down Maitland Medical Services are e-mailed with details of the medication to determine if the driver is fit for duty. The procedure for reporting medications, and the subsequent actions, is not documented (See Issue 06). 4.0 Fatigue Reporting 4.1 Process for Staff to Report Fatigue Related Issues ORR’s guidance – Managing Rail Staff Fatigue - Sections 5.38 and 5.75 – state that there should be open, easy-to-use channels of communication for reporting any concerns and that a non-punitive reporting system is essential to encourage staff to report fatigue. TOL employees can report concerns using FirstGroup’s confidential reporting system (managed by Ethics Point) or CIRAS. It was evidenced that this is publicised on notice boards around the site. The HR Manager is TOL’s nominated champion in CIRAS. Confidential reports have been received twice on First Group’s system and twice on CIRAS. It was evidenced that only one of these reports, received via CIRAS in 2014, referred to fatigue. This related to fatigue caused by shift rotations and included a response by TOL. TOL’s completion of the FRMS checklist in Appendix F of the ORR guidance recognised that employees use more informal routes to report fatigue issues,

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for example talking to their manager. The procedure for recording and managing these reports is not documented (See Issue 06). 5.0 Physical Environment TOL advised that TfL provide the rolling stock and as such they consider the design of the cab, and its associated impact on fatigue risk, to be TfL’s responsibility in the first instance. HSE document HSG48 - Reducing Error and Influencing Behaviour - refers to the combined effect of the individual, organisation and the job. There is a risk that in considering these factors in isolation, the collective impact on fatigue may not be identified. (Issue 08, Priority 2). 6.0 Audit and Review ORR’s guidance – Managing Rail Staff Fatigue - Section 5.84 – states that the FRMS should be a self-correcting process which periodically audits and reviews the effectiveness of the organisation’s existing fatigue policy. The review should include the fatigue related organising, planning, implementing, and measuring processes. TOL carried out an audit of their FRMS in May 2017. This was supplemented by completing the FRMS checklist in Appendix F of the ORR guidance – Managing Rail Staff Fatigue. Where this audit’s findings concur with those from TOL’s audit this is highlighted in this report. QP 0005 – Document Control - Clause 4.1.3 - states that TOL documentation shall be reviewed every 2 years or earlier if part of an incident investigation. The last recorded review of SM0003 was in June 2014. SM0003 does not include a statement to undertake a review of the FRMS when the effectiveness of the arrangements is in doubt (See Issue 04). TOL Integrated Audit Schedule 2017 - was evidenced as including an audit of TOL’s Safety Management System. Items to be covered in this audit are based on TOL’s Risk Profile and discussions with the Head of Safety. This was evidenced as including compliance to ROGS.

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APPENDIX 1: MANAGEMENT ACTIONS

Priority 1 Issues Ref. Description Report Management Action Action Paragraph Owner and Date 01 TOL’s fatigue control measures set limits on 1.2 The process to ensure TOL’s fatigue working hours, breaks, shift exchanges and 3.1 control measures and roster design take exceedances. Neither these control measures, 3.4 into consideration other fatigue risk or the roster design, consider other fatigue risk factors and industry good practice should factors or reference industry good practice. be developed. 02 TOL’s fatigue awareness training does not 2.1 TOL’s training should be reviewed to include: 2.2 ensure that drivers are competent in  Personal assessment of fatigue risk. 2.3 recognising fatigue risk in themselves, and that those responsible for  Refresher training. 3.2 authorising overtime, exceedances and  Training for management and supervision 3.9 shift exchanges are competent in on the factors that increase fatigue. recognising fatigue risk in others.  Training for Control Room staff in recognising fatigue in drivers when booking Training should be provided in on. minimising fatigue in the roster design.  Training in minimising fatigue in the roster design. Fatigue Management in Tram Operations Limited - TOL (IA 17 780)

03 TOL has no formal process for determining 3.6 TOL’s FRMS should outline how fatigue when a fatigue risk analysis should be carried 3.7 risk assessments are to be carried out, out including: 3.8 who should carry them out, and under  Post Incident. what circumstances they should be 3.10 completed.  Sampling actual hours worked.  Risk assessing changes to travel time.  Risk assessing changes to driver’s circumstances.

Priority 2 issues Ref. Description Report Management Action Action Paragraph Owner and Date 04 SM 0003 – Safety Critical Employees – 1.1 These requirements should be included Management of Fatigue - does not clearly 6.0 in the revised SM 0003 being developed detail the roles and responsibilities for those as part of TOL’s full review of its Fatigue employees involved in managing fatigue, or Risk Management System. include a statement to undertake a review of the FRMS when the effectiveness of the arrangements is in doubt. 05 Data available from monitoring, for example 1.4 The process to ensure data from overtime and exceedances, is not analysed, 3.3 monitoring, and other sources, is used to communicated, trended or used to review and review and update the FRMS should be update the FRMS. developed. The number of occasions where breaks are moved or not taken is not monitored.

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06 The following procedures are not formally 3.2 TOL’s FRMS should be reviewed to documented: 3.3 ensure that the processes for managing  The Control Room’s management of 3.8 and reporting fatigue are documented. The procedure for reporting medications, variances, exceedances and changes to 3.9 breaks. and the subsequent actions should be 3.11  Reporting driver’s changes in documented. circumstances. 4.1  The process when drivers are deemed unfit for work due to fatigue.  The procedure for reporting medications, and the subsequent actions.  The procedure for recording and managing fatigue reporting by staff. 07 For fatigue risk assessment, and medical 3.10 TOL should review the status of late shift fitness for work purposes, TOL does not 3.11 workers being considered as night consider late shift workers, particularly those on workers and procedures updated as permanent late shifts, to be night workers. applicable. 08 TOL does not fatigue risk assess the driving 5.0 The responsibility for risk assessing the environment as they consider the design of the impact of the cab environment on fatigue cab, and its associated impact on fatigue risk, should be determined. to be TfL’s responsibility.

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APPENDIX 2: DISTRIBUTION LIST

This report was sent to John Rymer, Managing Director TOL, and copied to:

Jonathan Fox Director of London Rail Rory O’Neill Director, London Trams Leon Daniels Managing Director, Surface Transport Rob Mair Senior HSE Manager Ruth Turner Human Factors Specialist, HSE Danny Powell Performance Manager Trains, Northern line Jonathan Morris Head of Commercial Disputes Resolution Howard Carter General Counsel, TfL Karlene Reid Key Risk Representative Ian Nunn Chief Finance Officer Howard Carter General Counsel Clive Walker Director Internal Audit Jill Collis Director of Health, Safety & Environment Ian Gaskin Head of HSE Improvement Programme & HSE Professional Services Mike Shirbon Audit Manager Robert Kemp Senior Audit Manager Gareth Powell Director of Strategy & Contracted Services

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APPENDIX 3: DEFINITION OF ISSUE RATINGS

Priority 1

Significant weakness(es) in the control environment which, if not addressed, have the potential to undermine the achievement of key corporate and/or business area objectives.

Priority 2

Other control weakness(es) that are less significant but still have the potential to threaten the achievement of corporate and/or business area objectives.

Priority 3

While not necessarily a control weakness there is potential for process improvement by, for example, ensuring compliance with good practice, increasing process efficiency, identifying areas of ‘over control’, or strengthening the overall control environment by building upon the existing controls.

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INTERNAL AUDIT REPORT HSE & Technical

Management of Fatigue in Tram Operations Limited - TOL (IA 17 780)

John Rymer, Managing Director TOL

Fatigue Management in Tram Operations Limited - TOL (IA 17 780)

CONTENTS

INTRODUCTION AND BACKGROUND ...... 3

EXECUTIVE SUMMARY ...... 4

DETAILED FINDINGS ...... 6

APPENDIX 1: MANAGEMENT ACTIONS ...... 15

APPENDIX 2: DISTRIBUTION LIST ...... 18

Audit information

Fieldwork started 13 06 2017 Fieldwork completed 15 06 2017 Auditor Peter Buzzard Audit Manager Mike Shirbon

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INTRODUCTION AND BACKGROUND Tramlink is the name given to the tramway linking Croydon town centre with Wimbledon, Beckenham Junction, Elmers End and New Addington. Tramlink has been owned by Transport for London (TfL) since July 2008. Tram Operations Limited (TOL), part of FirstGroup plc, is responsible for operating the trams. TOL is based at Therapia Lane Croydon and employs 151 tram drivers as follows:  98 main roster drivers;  20 drivers based permanently on the early roster;  16 drivers based permanently on the late roster; and  17 drivers made up of support staff that are certified to drive trams. These drivers are required to complete one driving roster every 28 days. TOL carried out an audit of its Fatigue Risk Management System (FRMS) in May 2017. The audit was supplemented by completing the FRMS checklist in Appendix F of the ORR guidance – Managing Rail Staff Fatigue. We have highlighted in this audit report where TOL’s own audit has identified similar findings to this one. Objective This audit was requested to provide assurance on the effectiveness of TOL’s fatigue management arrangements. Scope This audit focused on the control environment in relation to the following key risk areas:  Governance.  Education and Training.  Fatigue Risk Assessment.  Fatigue Reporting.  Physical Environment.  Audit and Review. The audit also considered TOL’s Fatigue Risk Management System (FRMS) with respect to the Office of Rail and Road (ORR) guidance – Managing Rail Staff Fatigue. The guidance is aimed at companies and individuals who have responsibility for managing fatigue in railway staff, including those who have control of safety critical work under regulation 25 of the Railways and Other Guided Transport Systems (Safety) Regulations 2006 (ROGS). The guidance gives ‘advice on good practice in managing fatigue associated with work in the rail industry’; it is intended to provide ‘practical advice on what responsible employers should already be doing’.

TfL RESTRICTED Fatigue Management in Tram Operations Limited - TOL (IA 17 780)

EXECUTIVE SUMMARY All the scope areas were examined during the audit.

This audit provides assurance against TOL’s own standards and identifies areas for potential improvement based on ORR guidance.

Areas of Effective Control We identified the following areas of effective control with regard to TOL’s own FRMS:  TOL’s standards and limits on working hours have been effectively communicated;  Variances in hours worked including overtime, exceedances and shift exchanges are being managed in compliance with TOL’s standards and limits;  Employee consultation has taken place on roster changes; and  When booking on, drivers are checked by Control Room staff for signs of fatigue, including effects from prescription and over the counter medications.

Opportunities for Improvement The following findings are areas for potential improvement of TOL’s FRMS with respect to the ORR guidance on Managing Rail Staff Fatigue, which states: ‘Following the guidance is not compulsory and you are free to take other action. But if you do follow the guidance you will normally be doing enough to comply with the law’. Several of these findings align with work already underway following TOL’s own audit of their FRMS and TOL’s completion of the FRMS checklist in Appendix F of the ORR guidance:  Updating the FRMS to detail the roles and responsibilities for those employees involved in managing fatigue and the requirement to review the FRMS when the effectiveness of the arrangements is in doubt;  Formalising the process for determining when to carry out a fatigue risk analysis;  The consideration of ORR’s Good practice guidelines – Fatigue Factors, and industry good practice, in addition to applying the HSE Fatigue Risk Index Tool to the roster design;  The consideration of ORR’s Good practice guidelines – Fatigue Factors, in addition to numerical limits, in the management of changes to driver’s hours of work, including shift exchanges;  Reviewing fatigue awareness training for managers and supervisors to ensure it includes factors that increase fatigue and how to recognise fatigue in others;  Analysing, communicating and trending data available from monitoring for fatigue implications and for reviewing the effectiveness of the FRMS;  Documenting the procedures for managing fatigue by the Control Room and supervisors e.g. driver booking on, approving overtime, exceedances, shift exchanges and approving medications:

TfL RESTRICTED Fatigue Management in Tram Operations Limited - TOL (IA 17 780)

 Reviewing Working Time Regulations and industry good practice to determine if late shift workers, particularly those on permanent late shifts, should be classified as night shift workers; and  Formalising the arrangements for including within the FRMS the design of the cab and driving environment, and its associated impact on fatigue risk.

TfL RESTRICTED Fatigue Management in Tram Operations Limited - TOL (IA 17 780)

DETAILED FINDINGS 1.0 Governance 1.1 Ownership and Control of Fatigue Management Arrangements Regulation 25 of ROGS Regulations 2006 - states that “every controller of safety critical work shall have in place arrangements to ensure, so far as is reasonably practicable, that a safety critical worker under his management, supervision or control does not carry out safety critical work in circumstances where he is so fatigued or where he would be liable to become so fatigued that his health or safety or the health or safety of other persons on a transport system could be significantly affected.” SM0003 – Safety Critical Employees – Management of Fatigue - details TOL’s Fatigue Risk Management System. SM0003 is available via TOL’s electronic document control system (XDMS). It is not formally communicated. QP0005 – Document Control - Clause 4.1.3 – states that, as a minimum, documents shall be reviewed every two years. SM0003 was last reviewed in June 2014. SM0003 does not clearly detail the roles and responsibilities for those employees involved in managing fatigue (Management Action 01). Recommendation 6 from TOL’s audit of their FRMS identified that a full review of TOL’s fatigue management arrangements is required. A draft copy of the revised SM0003 was evidenced as detailing roles and responsibilities for those employees involved in managing fatigue (See Management Action 01). SM0003 Clause 2 – details TOL’s fatigue management policy. The policy was evidenced as including Senior Management commitment, allocation of adequate resources and collaboration. This is in accordance with the ORR’s guidance – Managing Rail Staff Fatigue - Section 5.13. 1.2 Fatigue Preventative and Protective Measures ORR’s guidance – Managing Rail Staff Fatigue - Section 6.53 - states that controllers of safety critical work should be aware of factors affecting the onset of fatigue and reduce these as far as is reasonably practicable. TOL’s fatigue control measures are based on TOL’s standards and limits on working hours, breaks, shift exchanges and exceedances (referred to as breaches by TOL). These are recorded in SM0003. Recommendation 1 from TOL’s audit of their FRMS identified that those responsible for making shift exchanges should consider fatigue implications in addition to checking compliance with TOL’s standards and limits. ORR’s Good Practice Guidelines – Fatigue Factors, states that fatigue factors, in addition to numerical limits, should be considered in the management of changes to driver’s hours of work, including shift exchanges (Management Action 04). TOL’s standards and limits are communicated as follows:  Lesson Plan TLP 0005 – Drivers’ Hours - this lesson plan is delivered as part of the driver’s basic training.

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 ALO 0030 – New Employee Induction Checklist – delivered as part of employee induction including TOL’s working hours standards and limits in relation to safety critical work.  Briefing dated 19 May 2017 - reminding drivers of the requirement to be fit for duty when they sign on to work and their responsibilities in relation to fatigue.  Briefing – Safety Critical Work, Fatigue – dated 8 December 2016 - evidenced as being distributed with the drivers’ pay slips. This briefing had also been delivered on a one to one basis by the Operations Manager to approximately 66% of the drivers to date. 1.3 Joint Management / Staff Consultation Arrangements ORR’s guidance – Managing Rail Staff Fatigue - Section 6.68 – states that controllers of safety critical work should consult with safety critical workers and their safety representatives on the arrangements needed to manage fatigue and when standards and limits are to be changed. SM0003 Section 5 – states that TOL will consult with employee representatives when new roster patterns are introduced. An e-mail dated 12 February 2016 was evidenced confirming that ASLEF had been consulted, and their suggestions incorporated, on the latest rosters. 1.4 Effectiveness of Control Measures is monitored ORR’s guidance – Managing Rail Staff Fatigue – states that controllers of safety critical work should monitor the arrangements for managing fatigue to assess how effectively they are controlling the risks arising from fatigue. This includes actual hours worked, exceedances and overtime levels. Trends from monitoring should be used to improve the FRMS. TOL’s allocation team are responsible for allocating drivers to rosters and reviewing compliance to the standards and limits of actual hours worked. The allocation team were able to evidence that the following data is recorded:  Hours Worked - are recorded on TOL’s Driver Allocation System (DAS). Individual driver’s time sheets are also retained as a hard copy record of what is entered into DAS.  Overtime - is recorded on the overtime sheet which is populated by the Control Room for each shift. This is primarily used for payment purposes.  Exceedances – DAS automatically flags any exceedances to TOL’s standards and limits. Exceedances are also recorded on the variations sheet which is populated by the Control Room. The Control Room log book is used to record any exceedances and is countersigned by the authoriser. Unexplained exceedances in DAS were evidenced as being escalated to the management team for review.  Shift variations – the planned shifts worked by each driver (early or late) are shown on the roster.

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 Shift exchanges - are shown on the variations sheet as MX or DX depending on whether the shift exchange was requested by the employee or the Company.  Absence - is recorded on DAS along with the reason. Absence monitoring is also completed by Human Resources for the purposes of employee support. Recommendation 7 from TOL’s audit of their FRMS identified that an assessment of staff that regularly work overtime should be made to determine if other control measures should be implemented to safeguard against fatigue. TOL should also consider analysing other data available from monitoring for fatigue implications. This analysis should also be used to review and update the FRMS (Management Action 06). Compliance to TOL’s working hours standards and limits is measured as a Key Performance Indicator (KPI). This is reported to the Management Safety Meeting. A review is carried out of randomly selected time sheets for compliance to TOL’s standards and limits (see section 3.5 of this report). 2.0 Education and Training 2.1 Basic Fatigue Awareness ORR’s guidance – Managing Rail Staff Fatigue - Section 5.65 - states that all staff should have a basic awareness of how to recognise fatigue in themselves or others. TOL’s fatigue awareness training for drivers is included in the drivers’ Passenger Service Assessment (PAX) training. This is based on adherence to TOL’s standards and limits on working hours and shift patterns. The Operations Director, Operations Manager, Duty Managers (x5) and Control Room Staff (x15) are all trained as drivers and as such receive the basic fatigue awareness training which was evidenced as including:  Lesson Plan TLP 0005 – Drivers’ Hours – including TOL’s standards and limits on working hours, breaks, shift patterns and rest periods.  DVD “The 21st Century Professional Driver” - is also shown to the drivers.  TFM 0011 - Safety Responsibility Statement - including drivers not being fatigued when reporting for duty and reporting if they become fatigued during duty. This statement is signed by each driver. Training Records are held on XDMS. The records were evidenced as confirming that all those available to drive have passed the Passenger Service Assessment (PAX) training. Formal refresher training is not in place. Refreshment of the fatigue management arrangements is provided by briefings given to remind drivers of the fatigue management arrangements and their responsibilities (as evidenced in section 1.2 of this report).

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2.2 Fatigue Training for Management and Supervisors ORR’s guidance – Managing Rail Staff Fatigue - Section 5.39 – states that where people have responsibilities for managing fatigue, there should be adequate competence management arrangements in place to ensure that they acquire and retain the appropriate fatigue knowledge and skills. This will be particularly important for supervisors and managers of staff carrying out safety critical work, and staff who devise and amend rosters. ORR’s guidance – Managing Rail Staff Fatigue - Section 5.65 – also states that basic awareness of how to recognise fatigue in others is especially important for staff responsible for carrying out fitness for duty checks and for those responsible for ensuring staff remain fit for duty throughout their shifts. Recommendations 1 and 2 from TOL’s audit of their own FRMS identified that not all employees have sufficient knowledge of the factors that increase fatigue (specifically those carrying out briefings and checking compliance when shifts are exchanged). TOL should review their fatigue awareness training for managers and supervisors to ensure it includes factors that increase fatigue and how to recognise fatigue in others (Management Action 05). 2.3 Training in Roster Design ORR’s guidance – Managing Rail Staff Fatigue - Section 6.17 – states that it is vital that staff who devise working patterns receive training in roster design and the implications for fatigue. It could not be evidenced that TOL’s roster designer had received training in minimising fatigue in roster design (See Management Action 05). 3.0 Fatigue Risk Assessment and Managing the Risks ORR’s guidance – Managing Rail Staff Fatigue - Stage 2 – states that controllers of safety critical work should identify, set and adhere to appropriate standards for working hours and working patterns, observing any relevant working time limits that apply. The standards and limits set should take into account recognised national industry good practice guidance applying to railways and other guided transport systems. 3.1 Standards and Limits TOL’s standards and limits for working hours were evidenced as considering:  ORR’s guidance – Managing Rail Staff Fatigue Section 6.20 – detailing the criteria to which numerical limits should be applied.  Limiting overtime with respect to not exceeding the maximum permitted hours without authorisation. 3.2 Controlling Variances and Exceedances ORR’s guidance – Managing Rail Staff Fatigue - Section 5.44 – states that the FRMS should outline in particular the organisational arrangements for controlling overtime, shift exchange, travel time and on-call duties.

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Potential fatigue due to variances, shift exchanges and overtime is controlled with respect to TOL’s standards and limits. The Control Room staff are not trained in recognising other fatigue causal factors or fatigue in others (See Management Action 05). The process by which the Controllers (located within the Control Room) manage variances and exceedances is not documented. This is being reviewed as part of TOL’s full review of their FRMS (Management Action 07). The duty Control Room Manager was interviewed to evidence that the controls relating to TOL’s standards and limits are understood and actioned as follows:  Overtime is checked to be within TOL’s standards and limits and recorded on the overtime sheet. Any variances leading to the need for overtime are recorded on the variance sheet.  Exceedances are authorised by a supervisor or relevant line manager, recorded in the logbook and countersigned by the authoriser. The last exceedance was evidenced in the Control Room logbook as occurring on 26 July 2016 at 18:51. A secondary check for any exceedances is made by the allocations team, see section 1.4 of this report.  Shift exchanges are checked to be within TOL’s standards and limits and recorded on the variations sheet as MX or DX depending on whether it was requested by the employee or the Company respectively. 3.3 Provision of Breaks ORR’s guidance – Managing Rail Staff Fatigue - Section 6.57 – states that controllers of safety critical work should make arrangements for workers to take breaks during periods of duty. Drivers’ breaks are set within the timetabling. This was evidenced on the Duty Cards which detail the timetabling, and associated rest periods, for the routes driven within the roster. Where breaks do not take place at the designated time, or are reduced in length, the Control Room will make mutually agreed adjustments to accommodate additional break time elsewhere in the shift. This is not documented. Section 10 of TOL’s audit of their FRMS recommends that guidelines on driver breaks are devised and agreed (See Management Action 07). SM0003 Clause 10 – Provision of Breaks – details the length and frequency of breaks. The number of occurrences where this clause is not met is not monitored or analysed (See Management Action 06). 3.4 Roster Design ORR’s guidance – Managing Rail Staff Fatigue - Appendix A – states that working patterns should be designed to incorporate good fatigue management principles and recommends that an assessment is carried out on the proposed pattern using a fatigue assessment tool. TOL’s base rosters established in 2016 were evidenced as being analysed using the HSE Fatigue and Risk Index tool. Section 8 of TOL’s audit of their own FRMS identified that rosters are assessed using the HSE Fatigue Index but no formal risk assessment of the roster had been carried out for factors that exacerbate fatigue. ORR’s Good practice guidelines – Fatigue Factors, and industry good

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practice, should be considered in addition to applying the HSE Fatigue Risk Index Tool to the roster design (Management Action 03). 3.5 Time Sheet Review SM0003 - Clause 13 – states that time sheets will be randomly selected to review for compliance to the standards and limits on a periodic basis. This is carried out by the HR Manager and communicated by e-mail, including the details of which drivers were checked. An e-mail dated 22 May 2017 was evidenced as confirming that the time sheets for eight drivers, four controllers and one duty manager had been checked as complying for period 13 2016/17. The 2017/18 Inspections and Tours report - was also evidenced to confirm that this information is communicated to TOL’s Safety Management Review Group on a periodic basis. 3.6 Managing the Fatigue Risk of Actual Hours Worked The recording of actual hours worked, and the controlling of variances and exceedances, is detailed in sections 1.4 and 3.2 of this report. The actual hours worked are controlled with respect to TOL’s standards and limits, other fatigue factors are not considered. A sample of actual hours worked, including variances, is not evaluated using a fatigue risk tool (Management Action 02). 3.7 Consideration of Travelling Time in Fatigue Management ORR’s guidance – Managing Rail Staff Fatigue - Section 8.7 – states that fatigue management systems should include arrangements for assessing and controlling risks from travel time. Driver travel time is considered in the recruitment process by recruiting drivers who live within a 1 hour commute of the depot. This ensures that if a maximum allowable 12 hour shift is worked, combined with 2 hours travelling to and from work, a 10 hour rest period is achieved. Drivers are required to notify TOL of any changes of address, this requirement is included in ALO 0030 – New Employee Induction Checklist. The nature and duration of changes to a driver’s travel time is not fatigue risk assessed (See Management Action 02). 3.8 Managing Changes to Employees Circumstances ORR’s guidance – Managing Rail Staff Fatigue - Section 6.77 – states that safety critical workers should be made aware of the procedures to be followed if they consider that there are circumstances, such as significant life events or medical conditions, which may cause them to either be or become so fatigued that health and safety could be significantly affected. SM0021 – Driver Monitoring – includes details of domestic circumstances. This procedure is applied to drivers at set intervals during their first year of employment. All drivers, including those rostered once a month, are then monitored annually. This process is also implemented following behaviour or performance issues.

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Reporting changes to employee circumstances, with the exception of home address, is not included in ALO 0030 – New Employee Induction Checklist, or TFM 0011 - Safety Responsibility Statement. There is no documented process for drivers to report changes in circumstances (See Management Action 07) or for those changes to be fatigue risk assessed (See Management Action 02). 3.9 Managing the Risk of Fatigue when booking on and off Shifts ORR’s guidance – Managing Rail Staff Fatigue - Sections 5.64 and 5.65 – state that companies should have fitness for duty checking arrangements to ensure that staff reporting for safety critical work are not suffering, or likely to suffer during their shift, from fatigue. This checking should be carried out face to face by staff with awareness in recognising fatigue. The requirement for employees not to book on if fatigued is included in the driver induction and Lesson Plan 5 of their training. This requirement was also included in the briefing – Safety Critical Work, Fatigue – dated 8 December 2016, see section 1.2 of this report. Drivers sign on at the Control Room where the controllers monitor their fitness for work including fatigue. The controllers are not trained in recognising the symptoms of fatigue (See Management Action 05). Control Room staff were interviewed to determine what they would do if a driver appeared unfit for work. It was stated that they would firstly speak to the driver, and if deemed unfit to work they would be signed off as sick, sent home and their roster re-assigned. This process, including review of the reasons for fatigue, how to manage the individual, escalation (if necessary) and ensuring the safety of the individual in returning home is not documented (See Management Action 07). 3.10 The use of Fatigue Risk Assessment Tools ORR’s guidance – Managing Rail Staff Fatigue - Section 5.32 – states that the FRMS should outline how fatigue risk assessments are to be carried out, who should carry them out, and under what circumstances they should be completed, for instance before changes in working patterns, after incidents or reports of concerns about fatigue. TOL has no formal process for determining when a fatigue risk analysis should be carried out. For example FOM 003 – Unauthorised SPAS Event Report - was evidenced as confirming if the working limits had been exceeded but does not consider any other fatigue risk factors. (See Management Action 02). Drivers on late shifts are allocated to tram preparation duties for the later part of their shift. For this reason TOL does not consider drivers working late shifts, either permanently or on rotation, should be considered as night workers and therefore subject to fatigue risk assessment. For comparison purposes LU considers any driver completing 3 rostered hours between 11pm and 6am on a regular basis to be classified as night workers. Working Time Regulations and industry good practice should be reviewed to determine if

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late shift workers, particularly those on permanent late shifts, should be classified as night shift workers (Management Action 08). 3.11 Fatigue Related Medical Fitness for Work ORR’s guidance – Managing Rail Staff Fatigue - Section 6.6 – states that Regulation 24(1) (a) of ROGS requires controllers of safety critical work to ensure that people carrying out such work have been assessed as fit for that work, and Regulation 24(1) (d) requires them to have in place arrangements for monitoring the ongoing fitness of such staff. These fitness assessments and monitoring arrangements should take potential risks from fatigue into account. SM0008 – Fitness Standards (Safety Critical Work) - Clause 3.2 - defines the frequency at which in-service medicals, following the initial medical, are carried out. SM0008 - Appendix A – Medical Standards – details minimum medical fitness requirements for drivers including checks for alerted levels of consciousness and that those drivers with sleep apnea are deemed unfit for duty until treatment is successful. Medicals are completed by Maitland Medical Services. Late shift drivers, particularly permanent late shift drivers, are not considered by TOL as night shift workers and therefore not subject to a medical appropriate for night shift workers (See Management Action 08). ALO0030 – New Employee Induction Checklist – includes reporting the use of prescription and over the counter medicines to the company. Control Room staff were interviewed to determine what they would do if a driver reports they are taking medication. It was stated that the medication is checked against a permitted medications list issued by Maitland Medical Services. If the medication is not on the permitted list the driver is either told not to take the medication or stood down. If a driver is stood down Maitland Medical Services are e-mailed with details of the medication to determine if the driver is fit for duty. The procedure for reporting medications, and the subsequent actions, is not documented (See Management Action 07). 4.0 Fatigue Reporting 4.1 Process for Staff to Report Fatigue Related Issues ORR’s guidance – Managing Rail Staff Fatigue - Sections 5.38 and 5.75 – states that there should be open, easy-to-use channels of communication for reporting any concerns and that a non-punitive reporting system is essential to encourage staff to report fatigue. TOL employees can report concerns using FirstGroup’s confidential reporting system (managed by Ethics Point) or CIRAS. It was evidenced that this is publicised on notice boards around the site. The HR Manager is TOL’s nominated champion in CIRAS. Confidential reports have been received twice on First Group’s system and twice on CIRAS. It was evidenced that only one of these reports, received via CIRAS in 2014, referred to fatigue. This related to fatigue caused by shift rotations and included a response by TOL.

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TOL’s completion of the FRMS checklist in Appendix F of the ORR guidance recognised that employees use more informal routes to report fatigue issues, for example talking to their manager. The procedure for recording and managing these reports is not documented (See Management Action 07). 5.0 Physical Environment TOL advised that TfL provide the rolling stock and as such they consider the design of the cab, and its associated impact on fatigue risk, to be TfL’s responsibility in the first instance. HSE document HSG48 - Reducing Error and Influencing Behaviour - refers to the combined effect of the individual, organisation and the job. There is a risk that in considering these factors in isolation, the collective impact on fatigue may not be identified. The arrangements for including the design of the cab, and its associated impact on fatigue risk, within the FRMS should be formalised (Management Action 09). 6.0 Audit and Review ORR’s guidance – Managing Rail Staff Fatigue - Section 5.84 – states that the FRMS should be a self-correcting process which periodically audits and reviews the effectiveness of the organisation’s existing fatigue policy. The review should include the fatigue related organising, planning, implementing, and measuring processes. TOL carried out an audit of their FRMS in May 2017. This was supplemented by completing the FRMS checklist in Appendix F of the ORR guidance – Managing Rail Staff Fatigue. Where this audit’s findings concur with those from TOL’s audit this is highlighted in this report. QP 0005 – Document Control - Clause 4.1.3 - states that TOL documentation shall be reviewed every 2 years or earlier if part of an incident investigation. The last recorded review of SM0003 was in June 2014. SM0003 does not include a statement to undertake a review of the FRMS when the effectiveness of the arrangements is in doubt (See Management Action 01). TOL Integrated Audit Schedule 2017 - was evidenced as including an audit of TOL’s Safety Management System. Items to be covered in this audit are based on TOL’s Risk Profile and discussions with the Head of Safety. This was evidenced as including compliance to ROGS.

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APPENDIX 1: MANAGEMENT ACTIONS Ref. Description Report Management Action Owner / Paragraph Date 01 SM 0003 – Safety Critical Employees – 1.1 These requirements should be included Management of Fatigue - does not clearly 6.0 in the revised SM 0003 being developed detail the roles and responsibilities for those as part of TOL’s full review of its Fatigue employees involved in managing fatigue, or Risk Management System. include a statement to undertake a review of the FRMS when the effectiveness of the arrangements is in doubt. 02 TOL has no formal process for determining 3.6 TOL’s FRMS should outline how fatigue when a fatigue risk analysis should be carried 3.7 risk assessments are to be carried out, out including: 3.8 who should carry them out, and under  Post Incident. what circumstances they should be 3.10 completed.  Sampling actual hours worked.  Risk assessing changes to travel time.  Risk assessing changes to driver’s circumstances. 03 ORR’s Good practice guidelines – Fatigue 3.4 ORR’s Good practice guidelines – Factors, and industry good practice, are not Fatigue Factors, and industry good considered in addition to applying the HSE practice - should be considered in the Fatigue Risk Index Tool to the roster design. roster design. 04 TOL’s fatigue control measures set limits on 1.2 ORR’s Good practice guidelines – working hours, breaks, shift exchanges and Fatigue Factors, in addition to numerical exceedances. ORR’s Good practice guidelines limits, should be considered in the – Fatigue Factors, in addition to numerical management of changes to driver’s limits, are not considered in the management of hours of work, including shift exchanges. changes to driver’s hours of work, including shift exchanges. Fatigue Management in Tram Operations Limited - TOL (IA 17 780)

05 TOL’s fatigue awareness training does not 2.2 TOL’s training should be reviewed to include: 2.3 ensure that drivers are competent in  Personal assessment of fatigue risk. 3.2 recognising fatigue risk in themselves, and that those responsible for  Training for management and supervision 3.9 authorising overtime, exceedances and on the factors that increase fatigue. shift exchanges are competent in  Training for Control Room staff in recognising fatigue risk in others. recognising fatigue in drivers when booking on. Training should be provided in  Training in minimising fatigue in the roster minimising fatigue in the roster design. design.

06 Data available from monitoring, for example 1.4 The process to ensure data from overtime and exceedances, is not analysed, 3.3 monitoring, and other sources, is used to communicated, trended or used to review and review and update the FRMS should be update the FRMS. considered. The number of occasions where breaks are moved or not taken is not monitored. 07 The following procedures are not formally 3.2 TOL’s FRMS should be reviewed to documented: 3.3 ensure that the processes for managing  The Control Room’s management of 3.8 and reporting fatigue are documented. The procedure for reporting medications, variances, exceedances and changes to 3.9 breaks. and the subsequent actions should be 3.11  Reporting driver’s changes in documented. circumstances. 4.1  The process when drivers are deemed unfit for work due to fatigue.  The procedure for reporting medications, and the subsequent actions. The procedure for recording and managing fatigue reporting by staff.

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08 For fatigue risk assessment, and medical 3.10 Working Time Regulations and industry fitness for work purposes, TOL does not 3.11 good practice should be considered to consider late shift workers, particularly those on determine if late shift workers, permanent late shifts, to be night workers. particularly those on permanent late shifts, should be classified as night shift workers. 09 TOL does not fatigue risk assess the driving 5.0 The arrangements for including the environment as they consider the design of the design of the cab, and its associated cab, and its associated impact on fatigue risk, impact on fatigue risk, within the FRMS to be TfL’s responsibility. should be formalised.

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APPENDIX 2: DISTRIBUTION LIST

This report was sent to John Rymer, Managing Director TOL, and copied to:

Jonathan Fox Director of London Rail Rory O’Neill Director, London Trams Leon Daniels Managing Director, Surface Transport Rob Mair Senior HSE Manager Ruth Turner Human Factors Specialist, HSE Danny Powell Performance Manager Trains, Northern line Jonathan Morris Head of Commercial Disputes Resolution Karlene Reid Key Risk Representative Howard Carter General Counsel Simon Kilonback Director of Corporate Finance Sarah Bradley Group Financial Controller Clive Walker Director Internal Audit Robert Kemp Senior Audit Manager Jill Collis Director of Health, Safety & Environment Ian Gaskin Head of HSE Improvement Programme & HSE Professional Services Mike Shirbon Audit Manager Gareth Powell Director of Strategy & Contracted Services

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INTERNAL AUDIT REPORT HSE & Technical

Management of Fatigue in Tram Operations Limited - TOL (IA 17 780)

Jackie Townsend, Interim Managing Director TOL

Fatigue Management in Tram Operations Limited - TOL (IA 17 780)

CONTENTS

INTRODUCTION AND BACKGROUND ...... 3

EXECUTIVE SUMMARY ...... 4

DETAILED FINDINGS ...... 6

APPENDIX 1: MANAGEMENT ACTIONS ...... 15

APPENDIX 2: DISTRIBUTION LIST ...... 18

Audit information

Fieldwork started 13 06 2017 Fieldwork completed 15 06 2017 Auditor Peter Buzzard Audit Manager Mike Shirbon

TfL RESTRICTED Fatigue Management in Tram Operations Limited - TOL (IA 17 780)

INTRODUCTION AND BACKGROUND London Trams is the name given to the tramway linking Croydon town centre with Wimbledon, Beckenham Junction, Elmers End and New Addington. London Trams has been owned by Transport for London (TfL) since July 2008. Tram Operations Limited (TOL), part of FirstGroup plc, is responsible for operating the trams. TOL is based at Therapia Lane Croydon and employs 151 tram drivers as follows: • 98 main roster drivers; • 20 drivers based permanently on the early roster; • 16 drivers based permanently on the late roster; and • 17 drivers made up of support staff that are certified to drive trams. These drivers are required to complete one driving roster every 28 days. TOL carried out an audit of its Fatigue Risk Management System (FRMS) in May 2017. The audit was supplemented by completing the FRMS checklist in Appendix F of the ORR guidance – Managing Rail Staff Fatigue. We have highlighted in this audit report where TOL’s own audit has identified similar findings to this one. Objective This audit was requested to provide assurance on the effectiveness of TOL’s fatigue management arrangements. Scope This audit focused on the control environment in relation to the following key risk areas: • Governance. • Education and Training. • Fatigue Risk Assessment. • Fatigue Reporting. • Physical Environment. • Audit and Review. The audit also considered TOL’s Fatigue Risk Management System (FRMS) with respect to the Office of Rail and Road (ORR) guidance – Managing Rail Staff Fatigue. The guidance is aimed at companies and individuals who have responsibility for managing fatigue in railway staff, including those who have control of safety critical work under regulation 25 of the Railways and Other Guided Transport Systems (Safety) Regulations 2006 (ROGS). The guidance gives ‘advice on good practice in managing fatigue associated with work in the rail industry’; it is intended to provide ‘practical advice on what responsible employers should already be doing’.

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EXECUTIVE SUMMARY All the scope areas were examined during the audit.

This audit provides assurance against TOL’s own standards and identifies areas for potential improvement based on ORR guidance.

Areas of Effective Control We identified the following areas of effective control with regard to TOL’s own FRMS: • TOL’s standards and limits on working hours have been effectively communicated; • Variances in hours worked including overtime, exceedances and shift exchanges are being managed in compliance with TOL’s standards and limits; • Employee consultation has taken place on roster changes; and • When booking on, drivers are checked by Control Room staff for signs of fatigue, including effects from prescription and over the counter medications.

Opportunities for Improvement The following findings are areas for potential improvement of TOL’s FRMS with respect to the ORR guidance on Managing Rail Staff Fatigue, which states: ‘Following the guidance is not compulsory and you are free to take other action. But if you do follow the guidance you will normally be doing enough to comply with the law’. Several of these findings align with work already underway following TOL’s own audit of their FRMS and TOL’s completion of the FRMS checklist in Appendix F of the ORR guidance: • Updating the FRMS to detail the roles and responsibilities for those employees involved in managing fatigue and the requirement to review the FRMS when the effectiveness of the arrangements is in doubt; • Formalising the process for determining when to carry out a fatigue risk analysis; • The consideration of ORR’s Good practice guidelines – Fatigue Factors, and industry good practice, in addition to applying the HSE Fatigue Risk Index Tool to the roster design; • The consideration of ORR’s Good practice guidelines – Fatigue Factors, in addition to numerical limits, in the management of changes to driver’s hours of work, including shift exchanges; • Reviewing fatigue awareness training for managers and supervisors to ensure it includes factors that increase fatigue and how to recognise fatigue in others; • Analysing, communicating and trending data available from monitoring for fatigue implications and for reviewing the effectiveness of the FRMS; • Documenting the procedures for managing fatigue by the Control Room and supervisors e.g. driver booking on, approving overtime, exceedances, shift exchanges and approving medications:

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• Reviewing Working Time Regulations and industry good practice to determine if late shift workers, particularly those on permanent late shifts, should be classified as night shift workers; and • Formalising the arrangements for including within the FRMS the design of the cab and driving environment, and its associated impact on fatigue risk.

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DETAILED FINDINGS 1.0 Governance 1.1 Ownership and Control of Fatigue Management Arrangements Regulation 25 of ROGS Regulations 2006 - states that “every controller of safety critical work shall have in place arrangements to ensure, so far as is reasonably practicable, that a safety critical worker under his management, supervision or control does not carry out safety critical work in circumstances where he is so fatigued or where he would be liable to become so fatigued that his health or safety or the health or safety of other persons on a transport system could be significantly affected.” SM0003 – Safety Critical Employees – Management of Fatigue - details TOL’s Fatigue Risk Management System. SM0003 is available via TOL’s electronic document control system (XDMS). It is not formally communicated. QP0005 – Document Control - Clause 4.1.3 – states that, as a minimum, documents shall be reviewed every two years. SM0003 was last reviewed in June 2014. SM0003 does not clearly detail the roles and responsibilities for those employees involved in managing fatigue (Management Action 01). Recommendation 6 from TOL’s audit of their FRMS identified that a full review of TOL’s fatigue management arrangements is required. A draft copy of the revised SM0003 was evidenced as detailing roles and responsibilities for those employees involved in managing fatigue (See Management Action 01). SM0003 Clause 2 – details TOL’s fatigue management policy. The policy was evidenced as including Senior Management commitment, allocation of adequate resources and collaboration. This is in accordance with the ORR’s guidance – Managing Rail Staff Fatigue - Section 5.13. 1.2 Fatigue Preventative and Protective Measures ORR’s guidance – Managing Rail Staff Fatigue - Section 6.53 - states that controllers of safety critical work should be aware of factors affecting the onset of fatigue and reduce these as far as is reasonably practicable. TOL’s fatigue control measures are based on TOL’s standards and limits on working hours, breaks, shift exchanges and exceedances (referred to as breaches by TOL). These are recorded in SM0003. Recommendation 1 from TOL’s audit of their FRMS identified that those responsible for making shift exchanges should consider fatigue implications in addition to checking compliance with TOL’s standards and limits. ORR’s Good Practice Guidelines – Fatigue Factors, states that fatigue factors, in addition to numerical limits, should be considered in the management of changes to driver’s hours of work, including shift exchanges (Management Action 04). TOL’s standards and limits are communicated as follows: • Lesson Plan TLP 0005 – Drivers’ Hours - this lesson plan is delivered as part of the driver’s basic training.

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• ALO 0030 – New Employee Induction Checklist – delivered as part of employee induction including TOL’s working hours standards and limits in relation to safety critical work. • Briefing dated 19 May 2017 - reminding drivers of the requirement to be fit for duty when they sign on to work and their responsibilities in relation to fatigue. • Briefing – Safety Critical Work, Fatigue – dated 8 December 2016 - evidenced as being distributed with the drivers’ pay slips. This briefing had also been delivered on a one to one basis by the Operations Manager to approximately 66% of the drivers to date. 1.3 Joint Management / Staff Consultation Arrangements ORR’s guidance – Managing Rail Staff Fatigue - Section 6.68 – states that controllers of safety critical work should consult with safety critical workers and their safety representatives on the arrangements needed to manage fatigue and when standards and limits are to be changed. SM0003 Section 5 – states that TOL will consult with employee representatives when new roster patterns are introduced. An e-mail dated 12 February 2016 was evidenced confirming that ASLEF had been consulted, and their suggestions incorporated, on the latest rosters. 1.4 Effectiveness of Control Measures is monitored ORR’s guidance – Managing Rail Staff Fatigue – states that controllers of safety critical work should monitor the arrangements for managing fatigue to assess how effectively they are controlling the risks arising from fatigue. This includes actual hours worked, exceedances and overtime levels. Trends from monitoring should be used to improve the FRMS. TOL’s allocation team are responsible for allocating drivers to rosters and reviewing compliance to the standards and limits of actual hours worked. The allocation team were able to evidence that the following data is recorded: • Hours Worked - are recorded on TOL’s Driver Allocation System (DAS). Individual driver’s time sheets are also retained as a hard copy record of what is entered into DAS. • Overtime - is recorded on the overtime sheet which is populated by the Control Room for each shift. This is primarily used for payment purposes. • Exceedances – DAS automatically flags any exceedances to TOL’s standards and limits. Exceedances are also recorded on the variations sheet which is populated by the Control Room. The Control Room log book is used to record any exceedances and is countersigned by the authoriser. Unexplained exceedances in DAS were evidenced as being escalated to the management team for review. • Shift variations – the planned shifts worked by each driver (early or late) are shown on the roster.

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• Shift exchanges - are shown on the variations sheet as MX or DX depending on whether the shift exchange was requested by the employee or the Company. • Absence - is recorded on DAS along with the reason. Absence monitoring is also completed by Human Resources for the purposes of employee support. Recommendation 7 from TOL’s audit of their FRMS identified that an assessment of staff that regularly work overtime should be made to determine if other control measures should be implemented to safeguard against fatigue. TOL should also consider analysing other data available from monitoring for fatigue implications. This analysis should also be used to review and update the FRMS (Management Action 06). Compliance to TOL’s working hours standards and limits is measured as a Key Performance Indicator (KPI). This is reported to the Management Safety Meeting. A review is carried out of randomly selected time sheets for compliance to TOL’s standards and limits (see section 3.5 of this report). 2.0 Education and Training 2.1 Basic Fatigue Awareness ORR’s guidance – Managing Rail Staff Fatigue - Section 5.65 - states that all staff should have a basic awareness of how to recognise fatigue in themselves or others. TOL’s fatigue awareness training for drivers is included in the drivers’ Passenger Service Assessment (PAX) training. This is based on adherence to TOL’s standards and limits on working hours and shift patterns. The Operations Director, Operations Manager, Duty Managers (x5) and Control Room Staff (x15) are all trained as drivers and as such receive the basic fatigue awareness training which was evidenced as including: • Lesson Plan TLP 0005 – Drivers’ Hours – including TOL’s standards and limits on working hours, breaks, shift patterns and rest periods. • DVD “The 21st Century Professional Driver” - is also shown to the drivers. • TFM 0011 - Safety Responsibility Statement - including drivers not being fatigued when reporting for duty and reporting if they become fatigued during duty. This statement is signed by each driver. Training Records are held on XDMS. The records were evidenced as confirming that all those available to drive have passed the Passenger Service Assessment (PAX) training. Formal refresher training is not in place. Refreshment of the fatigue management arrangements is provided by briefings given to remind drivers of the fatigue management arrangements and their responsibilities (as evidenced in section 1.2 of this report).

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2.2 Fatigue Training for Management and Supervisors ORR’s guidance – Managing Rail Staff Fatigue - Section 5.39 – states that where people have responsibilities for managing fatigue, there should be adequate competence management arrangements in place to ensure that they acquire and retain the appropriate fatigue knowledge and skills. This will be particularly important for supervisors and managers of staff carrying out safety critical work, and staff who devise and amend rosters. ORR’s guidance – Managing Rail Staff Fatigue - Section 5.65 – also states that basic awareness of how to recognise fatigue in others is especially important for staff responsible for carrying out fitness for duty checks and for those responsible for ensuring staff remain fit for duty throughout their shifts. Recommendations 1 and 2 from TOL’s audit of their own FRMS identified that not all employees have sufficient knowledge of the factors that increase fatigue (specifically those carrying out briefings and checking compliance when shifts are exchanged). TOL should review their fatigue awareness training for managers and supervisors to ensure it includes factors that increase fatigue and how to recognise fatigue in others (Management Action 05). 2.3 Training in Roster Design ORR’s guidance – Managing Rail Staff Fatigue - Section 6.17 – states that it is vital that staff who devise working patterns receive training in roster design and the implications for fatigue. It could not be evidenced that TOL’s roster designer had received training in minimising fatigue in roster design (See Management Action 05). 3.0 Fatigue Risk Assessment and Managing the Risks ORR’s guidance – Managing Rail Staff Fatigue - Stage 2 – states that controllers of safety critical work should identify, set and adhere to appropriate standards for working hours and working patterns, observing any relevant working time limits that apply. The standards and limits set should take into account recognised national industry good practice guidance applying to railways and other guided transport systems. 3.1 Standards and Limits TOL’s standards and limits for working hours were evidenced as considering: • ORR’s guidance – Managing Rail Staff Fatigue Section 6.20 – detailing the criteria to which numerical limits should be applied. • Limiting overtime with respect to not exceeding the maximum permitted hours without authorisation. 3.2 Controlling Variances and Exceedances ORR’s guidance – Managing Rail Staff Fatigue - Section 5.44 – states that the FRMS should outline in particular the organisational arrangements for controlling overtime, shift exchange, travel time and on-call duties.

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Potential fatigue due to variances, shift exchanges and overtime is controlled with respect to TOL’s standards and limits. The Control Room staff are not trained in recognising other fatigue causal factors or fatigue in others (See Management Action 05). The process by which the Controllers (located within the Control Room) manage variances and exceedances is not documented. This is being reviewed as part of TOL’s full review of their FRMS (Management Action 07). The duty Control Room Manager was interviewed to evidence that the controls relating to TOL’s standards and limits are understood and actioned as follows: • Overtime is checked to be within TOL’s standards and limits and recorded on the overtime sheet. Any variances leading to the need for overtime are recorded on the variance sheet. • Exceedances are authorised by a supervisor or relevant line manager, recorded in the logbook and countersigned by the authoriser. The last exceedance was evidenced in the Control Room logbook as occurring on 26 July 2016 at 18:51. A secondary check for any exceedances is made by the allocations team, see section 1.4 of this report. • Shift exchanges are checked to be within TOL’s standards and limits and recorded on the variations sheet as MX or DX depending on whether it was requested by the employee or the Company respectively. 3.3 Provision of Breaks ORR’s guidance – Managing Rail Staff Fatigue - Section 6.57 – states that controllers of safety critical work should make arrangements for workers to take breaks during periods of duty. Drivers’ breaks are set within the timetabling. This was evidenced on the Duty Cards which detail the timetabling, and associated rest periods, for the routes driven within the roster. Where breaks do not take place at the designated time, or are reduced in length, the Control Room will make mutually agreed adjustments to accommodate additional break time elsewhere in the shift. This is not documented. Section 10 of TOL’s audit of their FRMS recommends that guidelines on driver breaks are devised and agreed (See Management Action 07). SM0003 Clause 10 – Provision of Breaks – details the length and frequency of breaks. The number of occurrences where this clause is not met is not monitored or analysed (See Management Action 06). 3.4 Roster Design ORR’s guidance – Managing Rail Staff Fatigue - Appendix A – states that working patterns should be designed to incorporate good fatigue management principles and recommends that an assessment is carried out on the proposed pattern using a fatigue assessment tool. TOL’s base rosters established in 2016 were evidenced as being analysed using the HSE Fatigue and Risk Index tool. Section 8 of TOL’s audit of their own FRMS identified that rosters are assessed using the HSE Fatigue Index but no formal risk assessment of the roster had been carried out for factors that exacerbate fatigue. ORR’s Good practice guidelines – Fatigue Factors, and industry good

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practice, should be considered in addition to applying the HSE Fatigue Risk Index Tool to the roster design (Management Action 03). 3.5 Time Sheet Review SM0003 - Clause 13 – states that time sheets will be randomly selected to review for compliance to the standards and limits on a periodic basis. This is carried out by the HR Manager and communicated by e-mail, including the details of which drivers were checked. An e-mail dated 22 May 2017 was evidenced as confirming that the time sheets for eight drivers, four controllers and one duty manager had been checked as complying for period 13 2016/17. The 2017/18 Inspections and Tours report - was also evidenced to confirm that this information is communicated to TOL’s Safety Management Review Group on a periodic basis. 3.6 Managing the Fatigue Risk of Actual Hours Worked The recording of actual hours worked, and the controlling of variances and exceedances, is detailed in sections 1.4 and 3.2 of this report. The actual hours worked are controlled with respect to TOL’s standards and limits, other fatigue factors are not considered. A sample of actual hours worked, including variances, is not evaluated using a fatigue risk tool (Management Action 02). 3.7 Consideration of Travelling Time in Fatigue Management ORR’s guidance – Managing Rail Staff Fatigue - Section 8.7 – states that fatigue management systems should include arrangements for assessing and controlling risks from travel time. Driver travel time is considered in the recruitment process by recruiting drivers who live within a 1 hour commute of the depot. This ensures that if a maximum allowable 12 hour shift is worked, combined with 2 hours travelling to and from work, a 10 hour rest period is achieved. Drivers are required to notify TOL of any changes of address, this requirement is included in ALO 0030 – New Employee Induction Checklist. The nature and duration of changes to a driver’s travel time is not fatigue risk assessed (See Management Action 02). 3.8 Managing Changes to Employees Circumstances ORR’s guidance – Managing Rail Staff Fatigue - Section 6.77 – states that safety critical workers should be made aware of the procedures to be followed if they consider that there are circumstances, such as significant life events or medical conditions, which may cause them to either be or become so fatigued that health and safety could be significantly affected. SM0021 – Driver Monitoring – includes details of domestic circumstances. This procedure is applied to drivers at set intervals during their first year of employment. All drivers, including those rostered once a month, are then monitored annually. This process is also implemented following behaviour or performance issues.

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Reporting changes to employee circumstances, with the exception of home address, is not included in ALO 0030 – New Employee Induction Checklist, or TFM 0011 - Safety Responsibility Statement. There is no documented process for drivers to report changes in circumstances (See Management Action 07) or for those changes to be fatigue risk assessed (See Management Action 02). 3.9 Managing the Risk of Fatigue when booking on and off Shifts ORR’s guidance – Managing Rail Staff Fatigue - Sections 5.64 and 5.65 – state that companies should have fitness for duty checking arrangements to ensure that staff reporting for safety critical work are not suffering, or likely to suffer during their shift, from fatigue. This checking should be carried out face to face by staff with awareness in recognising fatigue. The requirement for employees not to book on if fatigued is included in the driver induction and Lesson Plan 5 of their training. This requirement was also included in the briefing – Safety Critical Work, Fatigue – dated 8 December 2016, see section 1.2 of this report. Drivers sign on at the Control Room where the controllers monitor their fitness for work including fatigue. The controllers are not trained in recognising the symptoms of fatigue (See Management Action 05). Control Room staff were interviewed to determine what they would do if a driver appeared unfit for work. It was stated that they would firstly speak to the driver, and if deemed unfit to work they would be signed off as sick, sent home and their roster re-assigned. This process, including review of the reasons for fatigue, how to manage the individual, escalation (if necessary) and ensuring the safety of the individual in returning home is not documented (See Management Action 07). 3.10 The use of Fatigue Risk Assessment Tools ORR’s guidance – Managing Rail Staff Fatigue - Section 5.32 – states that the FRMS should outline how fatigue risk assessments are to be carried out, who should carry them out, and under what circumstances they should be completed, for instance before changes in working patterns, after incidents or reports of concerns about fatigue. TOL has no formal process for determining when a fatigue risk analysis should be carried out. For example FOM 003 – Unauthorised SPAS Event Report - was evidenced as confirming if the working limits had been exceeded but does not consider any other fatigue risk factors. (See Management Action 02). Drivers on late shifts are allocated to tram preparation duties for the later part of their shift. For this reason TOL does not consider drivers working late shifts, either permanently or on rotation, should be considered as night workers and therefore subject to fatigue risk assessment. For comparison purposes LU considers any driver completing 3 rostered hours between 11pm and 6am on a regular basis to be classified as night workers. Working Time Regulations and industry good practice should be reviewed to determine if

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late shift workers, particularly those on permanent late shifts, should be classified as night shift workers (Management Action 08). 3.11 Fatigue Related Medical Fitness for Work ORR’s guidance – Managing Rail Staff Fatigue - Section 6.6 – states that Regulation 24(1) (a) of ROGS requires controllers of safety critical work to ensure that people carrying out such work have been assessed as fit for that work, and Regulation 24(1) (d) requires them to have in place arrangements for monitoring the ongoing fitness of such staff. These fitness assessments and monitoring arrangements should take potential risks from fatigue into account. SM0008 – Fitness Standards (Safety Critical Work) - Clause 3.2 - defines the frequency at which in-service medicals, following the initial medical, are carried out. SM0008 - Appendix A – Medical Standards – details minimum medical fitness requirements for drivers including checks for alerted levels of consciousness and that those drivers with sleep apnea are deemed unfit for duty until treatment is successful. Medicals are completed by Maitland Medical Services. Late shift drivers, particularly permanent late shift drivers, are not considered by TOL as night shift workers and therefore not subject to a medical appropriate for night shift workers (See Management Action 08). ALO0030 – New Employee Induction Checklist – includes reporting the use of prescription and over the counter medicines to the company. Control Room staff were interviewed to determine what they would do if a driver reports they are taking medication. It was stated that the medication is checked against a permitted medications list issued by Maitland Medical Services. If the medication is not on the permitted list the driver is either told not to take the medication or stood down. If a driver is stood down Maitland Medical Services are e-mailed with details of the medication to determine if the driver is fit for duty. The procedure for reporting medications, and the subsequent actions, is not documented (See Management Action 07). 4.0 Fatigue Reporting 4.1 Process for Staff to Report Fatigue Related Issues ORR’s guidance – Managing Rail Staff Fatigue - Sections 5.38 and 5.75 – states that there should be open, easy-to-use channels of communication for reporting any concerns and that a non-punitive reporting system is essential to encourage staff to report fatigue. TOL employees can report concerns using FirstGroup’s confidential reporting system (managed by Ethics Point) or CIRAS. It was evidenced that this is publicised on notice boards around the site. The HR Manager is TOL’s nominated champion in CIRAS. Confidential reports have been received twice on First Group’s system and twice on CIRAS. It was evidenced that only one of these reports, received via CIRAS in 2014, referred to fatigue. This related to fatigue caused by shift rotations and included a response by TOL.

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TOL’s completion of the FRMS checklist in Appendix F of the ORR guidance recognised that employees use more informal routes to report fatigue issues, for example talking to their manager. The procedure for recording and managing these reports is not documented (See Management Action 07). 5.0 Physical Environment TOL advised that TfL provide the rolling stock and as such they consider the design of the cab, and its associated impact on fatigue risk, to be TfL’s responsibility in the first instance. HSE document HSG48 - Reducing Error and Influencing Behaviour - refers to the combined effect of the individual, organisation and the job. There is a risk that in considering these factors in isolation, the collective impact on fatigue may not be identified. The arrangements for including the design of the cab, and its associated impact on fatigue risk, within the FRMS should be formalised (Management Action 09). 6.0 Audit and Review ORR’s guidance – Managing Rail Staff Fatigue - Section 5.84 – states that the FRMS should be a self-correcting process which periodically audits and reviews the effectiveness of the organisation’s existing fatigue policy. The review should include the fatigue related organising, planning, implementing, and measuring processes. TOL carried out an audit of their FRMS in May 2017. This was supplemented by completing the FRMS checklist in Appendix F of the ORR guidance – Managing Rail Staff Fatigue. Where this audit’s findings concur with those from TOL’s audit this is highlighted in this report. QP 0005 – Document Control - Clause 4.1.3 - states that TOL documentation shall be reviewed every 2 years or earlier if part of an incident investigation. The last recorded review of SM0003 was in June 2014. SM0003 does not include a statement to undertake a review of the FRMS when the effectiveness of the arrangements is in doubt (See Management Action 01). TOL Integrated Audit Schedule 2017 - was evidenced as including an audit of TOL’s Safety Management System. Items to be covered in this audit are based on TOL’s Risk Profile and discussions with the Head of Safety. This was evidenced as including compliance to ROGS.

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APPENDIX 1: MANAGEMENT ACTIONS Ref. Description Report Management Action Owner / Paragraph Date 01 SM 0003 – Safety Critical Employees – 1.1 These requirements should be included Management of Fatigue - does not clearly 6.0 in the revised SM 0003 being developed detail the roles and responsibilities for those as part of TOL’s full review of its Fatigue employees involved in managing fatigue, or Risk Management System. include a statement to undertake a review of the FRMS when the effectiveness of the arrangements is in doubt. 02 TOL has no formal process for determining 3.6 TOL’s FRMS should outline how fatigue when a fatigue risk analysis should be carried 3.7 risk assessments are to be carried out, who should carry them out, and under out including: 3.8 • Post Incident. what circumstances they should be 3.10 completed. • Sampling actual hours worked. • Risk assessing changes to travel time. • Risk assessing changes to driver’s circumstances. 03 ORR’s Good practice guidelines – Fatigue 3.4 ORR’s Good practice guidelines – Factors, and industry good practice, are not Fatigue Factors, and industry good considered in addition to applying the HSE practice - should be considered in the Fatigue Risk Index Tool to the roster design. roster design. 04 TOL’s fatigue control measures set limits on 1.2 ORR’s Good practice guidelines – working hours, breaks, shift exchanges and Fatigue Factors, in addition to numerical exceedances. ORR’s Good practice guidelines limits, should be considered in the – Fatigue Factors, in addition to numerical management of changes to driver’s limits, are not considered in the management of hours of work, including shift exchanges. changes to driver’s hours of work, including shift exchanges. Fatigue Management in Tram Operations Limited - TOL (IA 17 780)

05 TOL’s fatigue awareness training does not 2.2 TOL’s training should be reviewed to include: 2.3 ensure that drivers are competent in recognising fatigue risk in themselves, • Personal assessment of fatigue risk. 3.2 and that those responsible for • Training for management and supervision 3.9 authorising overtime, exceedances and on the factors that increase fatigue. shift exchanges are competent in • Training for Control Room staff in recognising fatigue risk in others. recognising fatigue in drivers when booking on. Training should be provided in • Training in minimising fatigue in the roster minimising fatigue in the roster design. design.

06 Data available from monitoring, for example 1.4 The process to ensure data from overtime and exceedances, is not analysed, 3.3 monitoring, and other sources, is used to communicated, trended or used to review and review and update the FRMS should be update the FRMS. considered. The number of occasions where breaks are moved or not taken is not monitored. 07 The following procedures are not formally 3.2 TOL’s FRMS should be reviewed to documented: 3.3 ensure that the processes for managing and reporting fatigue are documented. • The Control Room’s management of 3.8 The procedure for reporting medications, variances, exceedances and changes to 3.9 breaks. and the subsequent actions should be 3.11 • Reporting driver’s changes in documented. circumstances. 4.1 • The process when drivers are deemed unfit for work due to fatigue. • The procedure for reporting medications, and the subsequent actions. The procedure for recording and managing fatigue reporting by staff.

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08 For fatigue risk assessment, and medical 3.10 Working Time Regulations and industry fitness for work purposes, TOL does not 3.11 good practice should be considered to consider late shift workers, particularly those on determine if late shift workers, permanent late shifts, to be night workers. particularly those on permanent late shifts, should be classified as night shift workers. 09 TOL does not fatigue risk assess the driving 5.0 The arrangements for including the environment as they consider the design of the design of the cab, and its associated cab, and its associated impact on fatigue risk, impact on fatigue risk, within the FRMS to be TfL’s responsibility. should be formalised.

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APPENDIX 2: DISTRIBUTION LIST

This report was sent to John Rymer, Managing Director TOL, and copied to:

Jonathan Fox Director of London Rail Rory O’Neill Director, London Trams Leon Daniels Managing Director, Surface Transport Rob Mair Senior HSE Manager Ruth Turner Human Factors Specialist, HSE Danny Powell Performance Manager Trains, Northern line Jonathan Morris Head of Commercial Disputes Resolution Karlene Reid Key Risk Representative Howard Carter General Counsel Simon Kilonback Director of Corporate Finance Sarah Bradley Group Financial Controller Clive Walker Director Internal Audit Robert Kemp Senior Audit Manager Jill Collis Director of Health, Safety & Environment Ian Gaskin Head of HSE Improvement Programme & HSE Professional Services Mike Shirbon Audit Manager Gareth Powell Director of Strategy & Contracted Services

TfL RESTRICTED Page 18 From: Mair Rob To: Buzzard Peter; O"Neill Rory (Trams); Danny Powell (Performance Manager Trains, Northern Line); Shirbon Mike; Kemp Robert; Walker Clive (Internal Audit); Turner Ruth Subject: RE: Audit IA 17 780 - Management of Fatigue in Tram Operations Limited (TOL) - Draft Report Date: 07 July 2017 17:08:08

Peter – thank you. Rory – shall we discuss early next week with a view to sharing with TOL as soon as possible? I’ve asked Aneta to try and find some time on Friday 14th for the closing meeting. Kind regards Rob From: Buzzard Peter Sent: 07 July 2017 16:19 To: O'Neill Rory (Trams); Mair Rob; Danny Powell (Performance Manager Trains, Northern Line); Shirbon Mike; Kemp Robert; Walker Clive (Internal Audit); Turner Ruth Subject: Audit IA 17 780 - Management of Fatigue in Tram Operations Limited (TOL) - Draft Report All, Please find attached a copy of Audit IA 17 780 - Management of Fatigue in Tram Operations Limited (TOL) - Draft Report. Rob (Mair), As discussed Internal Audit would normally issue a copy of the draft report to TOL prior to the closing meeting. Once Rory O’ Neill and yourself have reviewed the report could you confirm the closing meeting date and time with TOL (the Letter of Engagement stated this would happen by the 14th July) and formally provide TOL with a copy (For consistency with the Letter of Engagement this would be via Rory O’Neill’s Office). Regards, Peter Buzzard IA Cert Internal Auditor – HSE and Technical 8th Floor, Windsor House, 42-50 Victoria Street, London SW1H OTL Tel: Mob: Email: @tfl.gov.uk From: Mair Rob To: Colli Aneta Subject: RE: Audit IA 17 780 - Management of Fatigue in Tram Operations Limited (TOL) - Draft Report Date: 07 July 2017 17:02:10

Hi Aneta As discussed to afternoon, if you could please set up an hour meeting on Friday 14th July (or thereabouts) with: · John Rymer · Jackie Townsend · Steve Duckering · Andrew Wallace · Rory O’Neill · Danny Powell · Mike Shirbon · Peter Buzzard · Myself Either Knollys or TLD would be fine. Many thanks Rob From: Buzzard Peter Sent: 07 July 2017 16:19 To: O'Neill Rory (Trams); Mair Rob; Danny Powell (Performance Manager Trains, Northern Line); Shirbon Mike; Kemp Robert; Walker Clive (Internal Audit); Turner Ruth Subject: Audit IA 17 780 - Management of Fatigue in Tram Operations Limited (TOL) - Draft Report All, Please find attached a copy of Audit IA 17 780 - Management of Fatigue in Tram Operations Limited (TOL) - Draft Report. Rob (Mair), As discussed Internal Audit would normally issue a copy of the draft report to TOL prior to the closing meeting. Once Rory O’ Neill and yourself have reviewed the report could you confirm the closing meeting date and time with TOL (the Letter of Engagement stated this would happen by the 14th July) and formally provide TOL with a copy (For consistency with the Letter of Engagement this would be via Rory O’Neill’s Office). Regards, Peter Buzzard IA Cert Internal Auditor – HSE and Technical 8th Floor, Windsor House, 42-50 Victoria Street, London SW1H OTL Tel: Mob: Email @tfl.gov.uk From: O"Neill Rory (Trams) To: Mair Rob; Buzzard Peter; Danny Powell (Performance Manager Trains, Northern Line); Shirbon Mike; Kemp Robert; Walker Clive (Internal Audit); Turner Ruth Subject: RE: Audit IA 17 780 - Management of Fatigue in Tram Operations Limited (TOL) - Draft Report Date: 10 July 2017 07:05:01

Rob, Yes, I’d like TOL to see this asap. Rgds, Rory From: Mair Rob Sent: 07 July 2017 17:08 To: Buzzard Peter; O'Neill Rory (Trams); Danny Powell (Performance Manager Trains, Northern Line); Shirbon Mike; Kemp Robert; Walker Clive (Internal Audit); Turner Ruth Subject: RE: Audit IA 17 780 - Management of Fatigue in Tram Operations Limited (TOL) - Draft Report Peter – thank you. Rory – shall we discuss early next week with a view to sharing with TOL as soon as possible? I’ve asked Aneta to try and find some time on Friday 14th for the closing meeting. Kind regards Rob From: Buzzard Peter Sent: 07 July 2017 16:19 To: O'Neill Rory (Trams); Mair Rob; Danny Powell (Performance Manager Trains, Northern Line); Shirbon Mike; Kemp Robert; Walker Clive (Internal Audit); Turner Ruth Subject: Audit IA 17 780 - Management of Fatigue in Tram Operations Limited (TOL) - Draft Report All, Please find attached a copy of Audit IA 17 780 - Management of Fatigue in Tram Operations Limited (TOL) - Draft Report. Rob (Mair), As discussed Internal Audit would normally issue a copy of the draft report to TOL prior to the closing meeting. Once Rory O’ Neill and yourself have reviewed the report could you confirm the closing meeting date and time with TOL (the Letter of Engagement stated this would happen by the 14th July) and formally provide TOL with a copy (For consistency with the Letter of Engagement this would be via Rory O’Neill’s Office). Regards, Peter Buzzard IA Cert Internal Auditor – HSE and Technical 8th Floor, Windsor House, 42-50 Victoria Street, London SW1H OTL Tel: Mob: Email: @tfl.gov.uk From: Mair Rob To: O"Neill Rory (Trams); Buzzard Peter; Danny Powell (Performance Manager Trains, Northern Line); Shirbon Mike; Kemp Robert; Walker Clive (Internal Audit); Turner Ruth Subject: RE: Audit IA 17 780 - Management of Fatigue in Tram Operations Limited (TOL) - Draft Report Date: 10 July 2017 11:35:47

Agreed I’ve reviewed the report and don’t have any significant comments, so unless anyone else wishes to comment I’ll ask Aneta to issue to TOL with a request for a closing meeting on Friday. Kind regards Rob From: O'Neill Rory (Trams) Sent: 10 July 2017 07:05 To: Mair Rob; Buzzard Peter; Danny Powell (Performance Manager Trains, Northern Line); Shirbon Mike; Kemp Robert; Walker Clive (Internal Audit); Turner Ruth Subject: RE: Audit IA 17 780 - Management of Fatigue in Tram Operations Limited (TOL) - Draft Report Rob, Yes, I’d like TOL to see this asap. Rgds, Rory From: Mair Rob Sent: 07 July 2017 17:08 To: Buzzard Peter; O'Neill Rory (Trams); Danny Powell (Performance Manager Trains, Northern Line); Shirbon Mike; Kemp Robert; Walker Clive (Internal Audit); Turner Ruth Subject: RE: Audit IA 17 780 - Management of Fatigue in Tram Operations Limited (TOL) - Draft Report Peter – thank you. Rory – shall we discuss early next week with a view to sharing with TOL as soon as possible? I’ve asked Aneta to try and find some time on Friday 14th for the closing meeting. Kind regards Rob From: Buzzard Peter Sent: 07 July 2017 16:19 To: O'Neill Rory (Trams); Mair Rob; Danny Powell (Performance Manager Trains, Northern Line); Shirbon Mike; Kemp Robert; Walker Clive (Internal Audit); Turner Ruth Subject: Audit IA 17 780 - Management of Fatigue in Tram Operations Limited (TOL) - Draft Report All, Please find attached a copy of Audit IA 17 780 - Management of Fatigue in Tram Operations Limited (TOL) - Draft Report. Rob (Mair), As discussed Internal Audit would normally issue a copy of the draft report to TOL prior to the closing meeting. Once Rory O’ Neill and yourself have reviewed the report could you confirm the closing meeting date and time with TOL (the Letter of Engagement stated this would happen by the 14th July) and formally provide TOL with a copy (For consistency with the Letter of Engagement this would be via Rory O’Neill’s Office). Regards, Peter Buzzard IA Cert Internal Auditor – HSE and Technical 8th Floor, Windsor House, 42-50 Victoria Street, London SW1H OTL Tel: Mob: Email: @tfl.gov.uk From: Mair Rob To: Colli Aneta Cc: O"Neill Rory (Trams) Subject: RE: Audit IA 17 780 - Management of Fatigue in Tram Operations Limited (TOL) - Draft Report Date: 10 July 2017 11:36:47

Aneta Can you please issue the report to TOL (John Rymer, Jackie Townsend, Steve Duckering & Andrew Wallace) and set up a closing meeting on Friday? Many thanks Rob From: O'Neill Rory (Trams) Sent: 10 July 2017 07:05 To: Mair Rob; Buzzard Peter; Danny Powell (Performance Manager Trains, Northern Line); Shirbon Mike; Kemp Robert; Walker Clive (Internal Audit); Turner Ruth Subject: RE: Audit IA 17 780 - Management of Fatigue in Tram Operations Limited (TOL) - Draft Report Rob, Yes, I’d like TOL to see this asap. Rgds, Rory From: Mair Rob Sent: 07 July 2017 17:08 To: Buzzard Peter; O'Neill Rory (Trams); Danny Powell (Performance Manager Trains, Northern Line); Shirbon Mike; Kemp Robert; Walker Clive (Internal Audit); Turner Ruth Subject: RE: Audit IA 17 780 - Management of Fatigue in Tram Operations Limited (TOL) - Draft Report Peter – thank you. Rory – shall we discuss early next week with a view to sharing with TOL as soon as possible? I’ve asked Aneta to try and find some time on Friday 14th for the closing meeting. Kind regards Rob From: Buzzard Peter Sent: 07 July 2017 16:19 To: O'Neill Rory (Trams); Mair Rob; Danny Powell (Performance Manager Trains, Northern Line); Shirbon Mike; Kemp Robert; Walker Clive (Internal Audit); Turner Ruth Subject: Audit IA 17 780 - Management of Fatigue in Tram Operations Limited (TOL) - Draft Report All, Please find attached a copy of Audit IA 17 780 - Management of Fatigue in Tram Operations Limited (TOL) - Draft Report. Rob (Mair), As discussed Internal Audit would normally issue a copy of the draft report to TOL prior to the closing meeting. Once Rory O’ Neill and yourself have reviewed the report could you confirm the closing meeting date and time with TOL (the Letter of Engagement stated this would happen by the 14th July) and formally provide TOL with a copy (For consistency with the Letter of Engagement this would be via Rory O’Neill’s Office). Regards, Peter Buzzard IA Cert Internal Auditor – HSE and Technical 8th Floor, Windsor House, 42-50 Victoria Street, London SW1H OTL Tel: Mob: Email: @tfl.gov.uk

From: Colli Aneta To: O"Neill Rory (Trams); Mair Rob Subject: FW: Internal Audit Report; Management of Fatigue in Trams Operations Limited Date: 11 July 2017 15:01:50

Both,

Andrew declined due to A/L and Steve feels he should be present.

Shall I reschedule for 19 July, or are you happy to proceed without him?

Kind regards,

Aneta

-----Original Appointment----- From: Andrew Wallace [mailto @firstgroup.com] Sent: 11 July 2017 14:08 To: Colli Aneta Subject: Declined: Internal Audit Report; Management of Fatigue in Trams Operations Limited When: 14 July 2017 15:00-16:00 (UTC+00:00) Dublin, Edinburgh, Lisbon, London. Where: Knollys House; meeting room1

Sorry I’m on A/L 14, 17 and 18 July

Regards

A

FirstGroup plc, registered in Scotland No SC157176. Registered office: 395 King Street, Aberdeen AB24 5RP

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Click here to report this email as SPAM. From: Mair Rob To: Colli Aneta Cc: O"Neill Rory (Trams) Subject: Re: Internal Audit Report; Management of Fatigue in Trams Operations Limited Date: 11 July 2017 15:04:53

Aneta

I think it's important that TOL feel like they have the right people here so I think 19 July might be better.

Rob

Sent from my iPhone

On 11 Jul 2017, at 15:01, Colli Aneta @tfl.gov.uk> wrote:

Both, Andrew declined due to A/L and Steve feels he should be present. Shall I reschedule for 19 July, or are you happy to proceed without him? Kind regards, Aneta -----Original Appointment----- From: Andrew Wallace [mailto @firstgroup.com] Sent: 11 July 2017 14:08 To: Colli Aneta Subject: Declined: Internal Audit Report; Management of Fatigue in Trams Operations Limited When: 14 July 2017 15:00-16:00 (UTC+00:00) Dublin, Edinburgh, Lisbon, London. Where: Knollys House; meeting room1 Sorry I’m on A/L 14, 17 and 18 July Regards

A

FirstGroup plc, registered in Scotland No SC157176 Registered office: 395 King Street, Aberdeen AB24 5RP

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Click here to report this email as SPAM. From: Colli Aneta To: Mair Rob Cc: O"Neill Rory (Trams) Subject: RE: Internal Audit Report; Management of Fatigue in Trams Operations Limited Date: 11 July 2017 15:07:21

I will reschedule now and wait for confirmation from them. They are in a meeting currently, so it might be tomorrow that we have an answer. From: Mair Rob Sent: 11 July 2017 15:05 To: Colli Aneta Cc: O'Neill Rory (Trams) Subject: Re: Internal Audit Report; Management of Fatigue in Trams Operations Limited Aneta I think it's important that TOL feel like they have the right people here so I think 19 July might be better. Rob

Sent from my iPhone

On 11 Jul 2017, at 15:01, Colli Aneta < @tfl.gov.uk> wrote:

Both, Andrew declined due to A/L and Steve feels he should be present. Shall I reschedule for 19 July, or are you happy to proceed without him? Kind regards, Aneta -----Original Appointment----- From: Andrew Wallace [mailto: @firstgroup.com] Sent: 11 July 2017 14:08 To: Colli Aneta Subject: Declined: Internal Audit Report; Management of Fatigue in Trams Operations Limited When: 14 July 2017 15:00-16:00 (UTC+00:00) Dublin, Edinburgh, Lisbon, London. Where: Knollys House; meeting room1 Sorry I’m on A/L 14, 17 and 18 July Regards

A

FirstGroup plc, registered in Scotland No SC157176 Registered office: 395 King Street, Aberdeen AB24 5RP

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From: Mair Rob To: Colli Aneta Subject: RE: Audit IA 17 780 - Management of Fatigue in Tram Operations Limited (TOL) - Draft Report Date: 12 July 2017 12:28:09

Either way we need to set it up for a time in the near future – it may be impossible to get everyone on the list there, but as long as LT and TOL are both represented and IA are available to go through the report, then it can go ahead. Please can you confirm that a copy of the draft audit report has been sent from Rory to TOL for comment? Thanks Rob From: Mair Rob Sent: 12 July 2017 12:26 To: Colli Aneta Subject: RE: Audit IA 17 780 - Management of Fatigue in Tram Operations Limited (TOL) - Draft Report You said you were going to change it for the Monday? From: Colli Aneta Sent: 12 July 2017 12:25 To: Mair Rob Subject: RE: Audit IA 17 780 - Management of Fatigue in Tram Operations Limited (TOL) - Draft Report Danny and Andrew are on leave and Jackie has declined. From: Mair Rob Sent: 12 July 2017 12:21 To: Colli Aneta Subject: Re: Audit IA 17 780 - Management of Fatigue in Tram Operations Limited (TOL) - Draft Report Just the names below please! Including me! R

Sent from my iPhone

On 12 Jul 2017, at 12:08, Colli Aneta < @tfl.gov.uk> wrote:

Rob, Thanks – it looks like I needed it!! Did we not say the exec team? Shall I un-invite them? From: Mair Rob Sent: 12 July 2017 12:01 To: Colli Aneta Subject: Re: Audit IA 17 780 - Management of Fatigue in Tram Operations Limited (TOL) - Draft Report Aneta Just a reminder that these are the attendees for the audit closing meeting please. Rob

Sent from my iPhone

On 7 Jul 2017, at 17:02, Mair Rob @TfL.gov.uk> wrote:

Hi Aneta As discussed to afternoon, if you could please set up an hour meeting th on Friday 14 July (or thereabouts) with:

· John Rymer · Jackie Townsend · Steve Duckering · Andrew Wallace · Rory O’Neill · Danny Powell · Mike Shirbon · Peter Buzzard · Myself Either Knollys or TLD would be fine. Many thanks Rob From: Buzzard Peter Sent: 07 July 2017 16:19 To: O'Neill Rory (Trams); Mair Rob; Danny Powell (Performance Manager Trains, Northern Line); Shirbon Mike; Kemp Robert; Walker Clive (Internal Audit); Turner Ruth Subject: Audit IA 17 780 - Management of Fatigue in Tram Operations Limited (TOL) - Draft Report All, Please find attached a copy of Audit IA 17 780 - Management of Fatigue in Tram Operations Limited (TOL) - Draft Report. Rob (Mair), As discussed Internal Audit would normally issue a copy of the draft report to TOL prior to the closing meeting. Once Rory O’ Neill and yourself have reviewed the report could you confirm the closing meeting date and time with TOL (the Letter of Engagement stated this would happen by the 14th July) and formally provide TOL with a copy (For consistency with the Letter of Engagement this would be via Rory O’Neill’s Office). Regards, Peter Buzzard IA Cert Internal Auditor – HSE and Technical 8th Floor, Windsor House, 42-50 Victoria Street, London SW1H OTL Tel: Mob: Email: @tfl.gov.uk From: Colli Aneta To: Mair Rob Subject: RE: Audit IA 17 780 - Management of Fatigue in Tram Operations Limited (TOL) - Draft Report Date: 12 July 2017 12:41:00 Attachments: Audit Report .msg

Rob, As per my email yesterday, the report was sent to Jackie, Steve, John and Andrew (attached). I have since spoken with Steve who confirmed receipt. Steve assured me that he will prioritise this meeting over other engagements. I will keep you updated in case there are any issues. KR, Aneta From: Mair Rob Sent: 12 July 2017 12:28 To: Colli Aneta Subject: RE: Audit IA 17 780 - Management of Fatigue in Tram Operations Limited (TOL) - Draft Report Either way we need to set it up for a time in the near future – it may be impossible to get everyone on the list there, but as long as LT and TOL are both represented and IA are available to go through the report, then it can go ahead. Please can you confirm that a copy of the draft audit report has been sent from Rory to TOL for comment? Thanks Rob From: Mair Rob Sent: 12 July 2017 12:26 To: Colli Aneta Subject: RE: Audit IA 17 780 - Management of Fatigue in Tram Operations Limited (TOL) - Draft Report You said you were going to change it for the Monday? From: Colli Aneta Sent: 12 July 2017 12:25 To: Mair Rob Subject: RE: Audit IA 17 780 - Management of Fatigue in Tram Operations Limited (TOL) - Draft Report Danny and Andrew are on leave and Jackie has declined. From: Mair Rob Sent: 12 July 2017 12:21 To: Colli Aneta Subject: Re: Audit IA 17 780 - Management of Fatigue in Tram Operations Limited (TOL) - Draft Report Just the names below please! Including me! R

Sent from my iPhone

On 12 Jul 2017, at 12:08, Colli Aneta < @tfl.gov.uk> wrote:

Rob, Thanks – it looks like I needed it!! Did we not say the exec team? Shall I un-invite them? From: Mair Rob Sent: 12 July 2017 12:01 To: Colli Aneta Subject: Re: Audit IA 17 780 - Management of Fatigue in Tram Operations Limited (TOL) - Draft Report Aneta Just a reminder that these are the attendees for the audit closing meeting please. Rob

Sent from my iPhone

On 7 Jul 2017, at 17:02, Mair Rob @TfL.gov.uk> wrote:

Hi Aneta As discussed to afternoon, if you could please set up an hour meeting on Friday 14th July (or thereabouts) with:

· John Rymer · Jackie Townsend · Steve Duckering · Andrew Wallace · Rory O’Neill · Danny Powell · Mike Shirbon · Peter Buzzard · Myself Either Knollys or TLD would be fine. Many thanks Rob From: Buzzard Peter Sent: 07 July 2017 16:19 To: O'Neill Rory (Trams); Mair Rob; Danny Powell (Performance Manager Trains, Northern Line); Shirbon Mike; Kemp Robert; Walker Clive (Internal Audit); Turner Ruth Subject: Audit IA 17 780 - Management of Fatigue in Tram Operations Limited (TOL) - Draft Report All, Please find attached a copy of Audit IA 17 780 - Management of Fatigue in Tram Operations Limited (TOL) - Draft Report. Rob (Mair), As discussed Internal Audit would normally issue a copy of the draft report to TOL prior to the closing meeting. Once Rory O’ Neill and yourself have reviewed the report could you confirm the closing meeting date and time with TOL (the Letter of Engagement stated this would happen by the 14th July) and formally provide TOL with a copy (For consistency with the Letter of Engagement this would be via Rory O’Neill’s Office). Regards, Peter Buzzard IA Cert Internal Auditor – HSE and Technical 8th Floor, Windsor House, 42-50 Victoria Street, London SW1H OTL Tel: Mob: Email: @tfl.gov.uk From: Mair Rob To: Colli Aneta Subject: RE: Audit IA 17 780 - Management of Fatigue in Tram Operations Limited (TOL) - Draft Report Date: 12 July 2017 12:28:09

Either way we need to set it up for a time in the near future – it may be impossible to get everyone on the list there, but as long as LT and TOL are both represented and IA are available to go through the report, then it can go ahead. Please can you confirm that a copy of the draft audit report has been sent from Rory to TOL for comment? Thanks Rob From: Mair Rob Sent: 12 July 2017 12:26 To: Colli Aneta Subject: RE: Audit IA 17 780 - Management of Fatigue in Tram Operations Limited (TOL) - Draft Report You said you were going to change it for the Monday? From: Colli Aneta Sent: 12 July 2017 12:25 To: Mair Rob Subject: RE: Audit IA 17 780 - Management of Fatigue in Tram Operations Limited (TOL) - Draft Report Danny and Andrew are on leave and Jackie has declined. From: Mair Rob Sent: 12 July 2017 12:21 To: Colli Aneta Subject: Re: Audit IA 17 780 - Management of Fatigue in Tram Operations Limited (TOL) - Draft Report Just the names below please! Including me! R

Sent from my iPhone

On 12 Jul 2017, at 12:08, Colli Aneta wrote:

Rob, Thanks – it looks like I needed it!! Did we not say the exec team? Shall I un-invite them? From: Mair Rob Sent: 12 July 2017 12:01 To: Colli Aneta Subject: Re: Audit IA 17 780 - Management of Fatigue in Tram Operations Limited (TOL) - Draft Report Aneta Just a reminder that these are the attendees for the audit closing meeting please. Rob

Sent from my iPhone

On 7 Jul 2017, at 17:02, Mair Rob < @TfL.gov.uk> wrote:

Hi Aneta As discussed to afternoon, if you could please set up an hour meeting th on Friday 14 July (or thereabouts) with:

· John Rymer · Jackie Townsend · Steve Duckering · Andrew Wallace · Rory O’Neill · Danny Powell · Mike Shirbon · Peter Buzzard · Myself Either Knollys or TLD would be fine. Many thanks Rob From: Buzzard Peter Sent: 07 July 2017 16:19 To: O'Neill Rory (Trams); Mair Rob; Danny Powell (Performance Manager Trains, Northern Line); Shirbon Mike; Kemp Robert; Walker Clive (Internal Audit); Turner Ruth Subject: Audit IA 17 780 - Management of Fatigue in Tram Operations Limited (TOL) - Draft Report All, Please find attached a copy of Audit IA 17 780 - Management of Fatigue in Tram Operations Limited (TOL) - Draft Report. Rob (Mair), As discussed Internal Audit would normally issue a copy of the draft report to TOL prior to the closing meeting. Once Rory O’ Neill and yourself have reviewed the report could you confirm the closing meeting date and time with TOL (the Letter of Engagement stated this would happen by the 14th July) and formally provide TOL with a copy (For consistency with the Letter of Engagement this would be via Rory O’Neill’s Office). Regards, Peter Buzzard IA Cert Internal Auditor – HSE and Technical 8th Floor, Windsor House, 42-50 Victoria Street, London SW1H OTL Tel: Mob Email @tfl.gov.uk From: Steve Duckering To: O"Neill Rory (Trams) Cc: John Rymer; Andrew Wallace; Jackie Townsend Subject: RE: Internal Audit Report; Management of Fatigue in Trams Operations Limited Date: 12 July 2017 15:05:34

Rory Sorry, Jackie and Andy are not available on Monday I think that it is important that they are in attendance. Can we reschedule for the week afterwards? Steve

Stephen Duckering Operations Director Office: Tram Operations Ltd, Tramlink Depot, Coomber Way,Croydon, CR0 4TQ. Registered in England and Wales 3097532 ______From: O'Neill Rory (Trams) [ @tfl.gov.uk] Sent: 11 July 2017 13:37 To: Baker Nick (Trams) ; Capps William ; Garratt Mike ; Lyons Greg ; Mair Rob ; John Rymer ; Steve Duckering ; Andrew Wallace ; Jackie Townsend ; Knollys House Meeting Room 1(14) Subject: RE: Internal Audit Report; Management of Fatigue in Trams Operations Limited Dear all, Please let me know if an early slot at 8:30 is better for you. Kind regards, Aneta -----Original Appointment----- From: O'Neill Rory (Trams) Sent: 11 July 2017 13:32 To: O'Neill Rory (Trams); Baker Nick (Trams); Capps William; Garratt Mike; Lyons Greg; Mair Rob; John Rymer; Duckering Stephen (Firstgroup); Andrew Wallace; Jackie Townsend; Knollys House Meeting Room 1(14) Subject: Internal Audit Report; Management of Fatigue in Trams Operations Limited When: 14 July 2017 15:00-16:00 (UTC+00:00) Dublin, Edinburgh, Lisbon, London. Where: Knollys House; meeting room1 Dear all, An hour to discuss the findings of the internal audit. Kind regards, Aneta

FirstGroup plc, registered in Scotland No SC157176 Registered office: 395 King Street, Aberdeen AB24 5RP

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From: Kemp Robert To: Buzzard Peter Cc: Shirbon Mike Subject: FW: TfL Audit of TOL Fatigue Risk Management Arrangements Date: 31 July 2017 12:41:52 Importance: High Sensitivity: Confidential

FYI.

I will respond to Andrew and copy you in.

Regards

Robert Kemp HSE & Technical Senior Audit Manager, Crossrail Head of Audit Office (CRL): Office (TfL): Mobile

-----Original Message----- From: Andrew Wallace [mailto @firstgroup.com] Sent: 28 July 2017 21:13 To: O'Neill Rory (Trams); Kemp Robert Cc: Jackie Townsend; @firstgroup.com Subject: TfL Audit of TOL Fatigue Risk Management Arrangements Importance: High Sensitivity: Confidential

Rory, Robert

Thank you for meeting with us on Wednesday to discuss feedback on your Fatigue Management Audit. Thank you also for confirming you will be reviewing both the detail and the conclusions reached in your draft report. I thought it might be helpful to summarise our main observations made at that meeting. We are also able to provide detailed comments on the report but anticipate that it might be more useful to provide once we have your revised draft:

· At the end of the audit, TOL was given verbally a provisional conclusion of 'Generally Well Controlled'. This conclusion was then changed to 'Requires Improvement' in the draft report without any further discussion or indication either ahead of the release of the draft or at the meeting as to why the conclusion had changed;

· The audit does not appear to take into account Regulation 25 of ROGS (which requires that the control system implemented is proportionate to the risk level of the operation). Instead the audit was carried out against ORR’s good practice rather than against TOL’s SMS. As you have noted in the draft report, ORR’s document 'Managing Rail Staff Fatigue' gives advice and guidance on good practice, rather than setting out a checklist of standards that must be achieved.

· TfL appeared not to recognise many areas in which TOL’s systems reflect good practice because they had not been written up as formal procedures.

· TfL also appeared to not take into account the competence and expertise of the TOL staff operating the management system.

· The language and tone of the report was surprisingly negative, particularly given the auditor’s initial conclusion of 'Generally Well Controlled'.

· All the recommendations have been assigned a priority level of either 1 or 2. However, TfL’s own ranking system requires areas which do not reflect good practice to be recorded at priority level 3.

It would be helpful to know when you plan to reissue a revised draft for our comments. If you could give an indication of the timescales in correspondence it would be much appreciated.

Kind regards

Andy

Andy Wallace Head of Safety Tram Operations Limited Registered England & Wales No: 097532 Tramlink Depot Coomber Way Croydon CRO 4TQ

T: M:

[http://www firstgroupplc.com/~/media/Images/F/Firstgroup-Plc/content-images/vision-image.gif]

FirstGroup plc, registered in Scotland No SC157176. Registered office: 395 King Street, Aberdeen AB24 5RP

This email (and any attachment) is intended solely for the addressee and may contain confidential information. If you have received this email in error, please notify us immediately and delete it. Reading, disclosing, copying or disseminating any portion of this transmission without authorization is prohibited. For more information on our range of services, please visit http://www firstgroupplc.com From: Kemp Robert To: "Andrew Wallace"; O"Neill Rory (LO) Cc: Jackie Townsend; @firstgroup.com; Shirbon Mike; Buzzard Peter Subject: RE: TfL Audit of TOL Fatigue Risk Management Arrangements Date: 31 July 2017 12:57:50 Sensitivity: Confidential

Andrew,

Thanks for your comments below. I have discussed with the Director of Internal Audit, and we have agreed a way forward. I have also agreed the approach with Mike Shirbon and Peter Buzzard.

Although Mike is on leave this week, we will endeavour to get a draft to our Director for review this week. Assuming all goes well, I would hope to be able to share the draft with Rory early next week. As you will appreciate, we are in the middle of holiday season, but we do our best to make this happen.

We will try to address as many of your comments as we can, but the essential findings will not change. As we said in the meeting, several / many of our findings align with those of the recent TOL audit report on fatigue. Jackie also said in the meeting that many of the suggested actions in the original draft report were already in hand.

We will endeavour get back to you through Rory next week.

Regards

Robert Kemp HSE & Technical Senior Audit Manager, Crossrail Head of Audit Office (CRL): Office (TfL): Mobile:

-----Original Message----- From: Andrew Wallace [mailto @firstgroup.com] Sent: 28 July 2017 21:13 To: O'Neill Rory (Trams); Kemp Robert Cc: Jackie Townsend; @firstgroup.com Subject: TfL Audit of TOL Fatigue Risk Management Arrangements Importance: High Sensitivity: Confidential

Rory, Robert

Thank you for meeting with us on Wednesday to discuss feedback on your Fatigue Management Audit. Thank you also for confirming you will be reviewing both the detail and the conclusions reached in your draft report. I thought it might be helpful to summarise our main observations made at that meeting. We are also able to provide detailed comments on the report but anticipate that it might be more useful to provide once we have your revised draft:

· At the end of the audit, TOL was given verbally a provisional conclusion of 'Generally Well Controlled'. This conclusion was then changed to 'Requires Improvement' in the draft report without any further discussion or indication either ahead of the release of the draft or at the meeting as to why the conclusion had changed;

· The audit does not appear to take into account Regulation 25 of ROGS (which requires that the control system implemented is proportionate to the risk level of the operation). Instead the audit was carried out against ORR’s good practice rather than against TOL’s SMS. As you have noted in the draft report, ORR’s document 'Managing Rail Staff Fatigue' gives advice and guidance on good practice, rather than setting out a checklist of standards that must be achieved.

· TfL appeared not to recognise many areas in which TOL’s systems reflect good practice because they had not been written up as formal procedures.

· TfL also appeared to not take into account the competence and expertise of the TOL staff operating the management system.

· The language and tone of the report was surprisingly negative, particularly given the auditor’s initial conclusion of 'Generally Well Controlled'.

· All the recommendations have been assigned a priority level of either 1 or 2. However, TfL’s own ranking system requires areas which do not reflect good practice to be recorded at priority level 3.

It would be helpful to know when you plan to reissue a revised draft for our comments. If you could give an indication of the timescales in correspondence it would be much appreciated.

Kind regards

Andy

Andy Wallace Head of Safety Tram Operations Limited Registered England & Wales No: 097532 Tramlink Depot Coomber Way Croydon CRO 4TQ

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From: O"Neill Rory (LO) To: Jackie Townsend Cc: Mair Rob; Powell Danny SCM 4LM Implementation; "Andrew Wallace"; Shirbon Mike Subject: Fatigue Audit Report Date: 14 August 2017 14:56:42 Attachments: Fatigue Audit Draft Report v3 issued to TOL 14 Aug 2017.docx

Jackie, Attached is the draft report. It is planned to discuss this in detail at a meeting on 23 August to capture the actions, names and dates to complete, these are set out on pages 15-17. Andy Wallace has been invited to this meeting but others will be welcome to attend. Regards, Rory Rory O’Neill Director London Trams London Trams | Floor 11 | 17 Addiscombe Road | Knollys House | East Croydon | Surrey | CR0 6SR Tel |Auto |Mobile Emai @tfl.gov.uk

Volume 2

The Specification TfL 94050 Bus Driver Fatigue

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I.) ORGANISATIONAL OVERVIEW a. Transport for London (TfL)

1.1.1 TfL was created in 2000 as the integrated body responsible for London’s transport system. TfL is a functional body of the Greater London Authority. Its primary role is to implement the Mayor of London’s Transport Strategy and manage transport services to, from and within London.

1.1.2 TfL manages London’s buses, the Tube network, Docklands Light Railway, Overground and Trams. TfL also runs Santander Cycles, London River Services, Victoria Coach Station, the Emirates Air Line and London Transport Museum. As well as controlling a 580km network of main roads and the city’s 6,000 traffic lights, TfL also regulates London’s taxis and private hire vehicles and the Congestion Charge scheme.

1.1.3 Further background on what TfL does can be found on the TfL website here:

https://tfl.gov.uk/corporate/about-tfl/what-we-do

b. Business Unit

1.2.1 Bus Operations is part of Surface Transport and manages the safety and environmental planning, contracting and performance of the London bus network, as well as day to day operational aspects. The Bus Safety Programme sits within this directorate. Bus Operations secures bus services in London on a contract basis from private operators.

1.2.2 The main responsibilities include: • developing the bus network • competitively tendering bus services and ensuring contract compliance • monitoring the bus network and targeting poor performing operators or routes • dealing with ticketing issues • maintaining the new iBus technology • Our ambition in Surface Transport is to be the first class, seamless, integrated and interconnected system that efficiently and safely links and opens up all corners of London for everyone.

1.2.3 Our outcomes relevant to this project include:

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• Reduced casualties: continuing the downward trend in casualties on London’s roads and public transport networks • Quality bus network: maintaining and enhancing a reliable, accessible and high quality bus network and ensuring efficient coach service in London • More and safer cycling: enabling more people to cycle, more safely, more often • More and safer walking: supporting an increase in walking by creating safe, attractive and accessible streets and public spaces that people can use and enjoy • Reliable roads: ensuring reliable operation of London’s road network while reducing congestion

c. Bus Operators

1.3.1 There are currently ten bus operators with contracts in London, and between them they employ around 25,000 bus drivers.

1.3.2 Each operator is responsible for their own staff, including driver employment, training, setting rotas and shifts, pay etc – there are few pan- London arrangements.

1.3.3 The main trade unions play an active role in negotiating working conditions for drivers and have separate agreements with each operator regarding lengths of shifts. These can therefore differ between operators.

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II.) INTRODUCTION a. Background

Vision Zero for London

2.1.1 In his new Transport Strategy1, the Mayor has made clear that loss of life and serious injuries on London’s roads are neither acceptable nor inevitable. TfL has now adopted Vision Zero for London, with a target of zero deaths or serious injuries by 2041.

2.1.2 For buses we have even more ambitious interim targets:

1. 70 per cent reduction in the number of people killed or seriously injured in, or by, buses by 2022 (against 2005-09 baseline) 2. No one killed in, or by, a London bus by 2030

2.1.3 In 2016, 11 people were killed in collisions with London buses and 155 were seriously injured. Meeting the Vision Zero targets will require a huge step change in effort for all responsible including TfL planners and engineers, bus operators and drivers.

2.1.4 TfL applies a Safe System approach to delivering Vision Zero, based on the acceptance that, while we must minimise mistakes, there will always be the chance of human error. Our job therefore, is to make the whole system as safe as possible so that when a road user, for example a pedestrian or cyclist, does make a mistake, this mistake does not result in serious or fatal injury. Safe driver behaviour, particularly among professional drivers must be a key component of a safe system.

Fatigue

2.1.5 While there is no single agreed definition of fatigue, for the purposes of this study fatigue will use the Office of Rail and Road’s (ORR) definition:

A state of perceived weariness that can result from prolonged working, heavy workload, insufficient rest and inadequate sleep2.

1 https://www.london.gov.uk/sites/default/files/mayors-transport-strategy-2018.pdf

2 http://orr.gov.uk/__data/assets/pdf_file/0005/2867/managing_rail_fatigue.pdf

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2.1.6 There is a growing concern and awareness across all of TfL’s operations of the potential role driver fatigue plays in incidents and collisions. The fatal tram crash in Croydon in November 2016 has, in part, been attributed to driver fatigue and we are working across the business to apply the findings from the investigations into this3.

2.1.7 At present we do not know the scale or nature of the problem among bus drivers, but there is anecdotal evidence to suggest that fatigue is likely to be under-reported by drivers and under-identified in both police and bus operator investigations into collisions. TfL does not currently monitor bus driver fatigue and the bus operators have varying approaches to monitoring and promoting bus driver welfare. We recently held a workshop with bus operators to discuss their experience of fatigue among drivers, to identify knowledge gaps and to get an understanding of the range of initiatives that operators have already introduced, or are considering introducing. The notes from this workshop are attached to this document – see Attachment 1.

2.1.8 In July 2017, the London Assembly’s Transport Committee published a report: Driven to Distraction - Making London's Buses Safer'. They suggested that fatigue is a key concern among London bus drivers and may be due to working conditions and pressures. This report made the following recommendation:4

TfL should commission a comprehensive and independent investigation or piece of research into London bus drivers’ working conditions (with a focus on the causes of fatigue) in order to determine the scale of the problem. This should involve … surveying drivers as well as others who can offer different perspectives, such as controllers, mechanics and other operational staff. b. Objectives

2.2.1 This study will be applied research that will help us better understand driver fatigue in the context of London buses and will propose effective solutions. Specifically the study will answer the following questions:

3 https://www.gov.uk/government/news/report-182017-overturning-of-a-tram-at-sandilands-junction- croydon

4 https://www.london.gov.uk/sites/default/files/final_driven-to-distraction-17-07-17.pdf

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1. What is the extent and nature of fatigue in London bus drivers?

2. What are the key causes of fatigue? Are there patterns of working, demographics or any other factors that are correlated with fatigue in London bus drivers?

3. Based on the findings to questions 1 and 2, what solutions should we be implementing or trialling to reduce fatigue and the risk of associated incidents?

4. How effective are these solutions at reducing fatigue and by extension, fatigue related collisions or safety incidents?

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III.) SCOPE

General Requirement 3.1 This research should use appropriate and robust methods to ensure that the project’s final output is a good quality study with valid findings. The final output will be a written report and up to two presentations.

3.2 The proposal should be concise and include appropriate detail on points outlined in Section 4.2. Proposals should not exceed 10 pages, including any appendices. One-page CVs for each of the proposed project team should also be included. Title and contents pages, CVs and a one-page example of writing are not included in the maximum 10 page length.

3.3 The proposal should name the author/s of the final report and include an extract from a previous piece of work (one page only) by the proposed author(s).

Research Methodology 3.4 Literature review 3.4.1 A literature review should be undertaken to highlight best practice for fatigue management drawing from research conducted in the UK and internationally. The literature review should assist with planning the qualitative and quantitative stages of this research.

3.4.2 We expect the literature review to cover the evidence base for fatigue management in the transport industry, including links between driver fatigue and collisions and other safety incidents.

3.5 Qualitative stage 3.5.1 We expect the research to begin with a qualitative, scoping stage, and we would need interim findings from this stage. This stage is likely to include interviews with drivers and other bus operator staff including those responsible for rostering, driver well-being, driver training and health and safety. The qualitative research should inform the quantitative design as well as generate valuable insights in itself.

3.5.2 We would expect this stage to investigate (this list is not exhaustive): • The range of fatigue monitoring and management systems across operators. • The degree to which rostering patterns varies across operators and garages. • Drivers’ and operators’ views and experiences of fatigue causes and consequences.

3.6 Quantitative stage 3.6.1 The main body of the research will be a quantitative study. Methods might include, but are not limited to:

• Questionnaires • On road assessments of fatigue. For example, using sleepiness scales. However, please be aware that App-based systems will not

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work in this context as bus drivers are not permitted to use a mobile phone when in their cab, even when the bus is parked or out of service. • Actimetry/ Actigraphy • Analysis of rostering patterns • Analysis of data held by operators including: initial data from small- scale, operator led trials of in-cab fatigue monitoring systems.

3.6.2 The study must capture information on driver commute times, shift- swapping and overtime.

3.7 Avoiding bias 3.7.1 Fatigue and driver well-being are highly contentious issues, with strong union involvement. Drivers are likely to be reticent to share information unless they are absolutely confident that their data will be dealt with confidentially.

3.7.2 The supplier will need to clearly set out in their submission the measures they will take to ensure that the results of this research are unbiased and independent of TfL and the bus industry more widely.

3.8 Development of solutions 3.8.1 Proposed solutions (or trials of solutions) must be evidence-led. Solutions could include measures to be implemented by:

• TfL as contract manager • Operators • Bus Manufacturers • Drivers • Any other part of the bus industry, government or regulatory bodies

3.8.2 Proposed solutions should be evaluated for their expected effectiveness at reducing or managing fatigue among bus drivers in London.

3.8.3 No proposed solutions should be discounted but they should be prioritised by their expected level of effectiveness. Deliverability must also be considered, as should any operational issues. In particular, the supplier must take into account the competitive nature of the London Bus industry and ensure that solutions can be implemented effectively by all operators so that none is perceived to be disadvantaged.

3.8.4 The evaluation method proposed should be agreed with TfL to ensure it is fit for purpose.

3.8.5 Solutions may include recommendations for on-going data collection and analysis around fatigue risk. However, this must be in addition to practical solutions to manage fatigue risk.

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IV.) DELIVERABLES / MILESTONES

General Requirements from Tenderers 4.1 Undertake this research into fatigue and deliver the specification outlined in Section 3 of this document.

4.2 Tenderers should follow the methodology set out in Section 3 of this document.

4.3 As part of the bid TfL expects tenderers to provide a project programme.

4.4 A progress report and agenda to be provided in advance of each progress meeting with Minutes provided within 5 days of each progress meeting.

4.5 Details of costs must be provided and include a task timeline and cost split by task and resource.

The Supplier’s Proposal 4.6 The research proposal should respond to this research brief. The proposal should be concise and include appropriate detail on points outlined in this section (section 4.2) and Section 3.1.

4.7 Demonstrate an understanding of the brief and the study’s objectives, including the study’s context and scope.

4.8 Describe how the study would be undertaken and the research objectives met.

i. In particular: • Describe what methods will be used and how data collection will be undertaken. • Describe what analysis will be undertaken. • Explain how the research questions will be addressed. • Provide details on how solutions will be identified. • Explain in detail how the relevance of solutions will be determined. • Describe how recommendations will be formulated, including a consideration of the activities already underway by the bus operators (see Attachment 1).

ii. Indicate what quality assurance processes will be used both for the research and report preparation.

iii. Explain how the project will be managed, indicate project milestones, and include a Gantt chart to represent duration of tasks against time. Propose a start and completion date and name the proposed project manager. Up to four meetings should be allowed for: at project inception, to report initial findings and draft report; and at final report stage.

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iv. Include information on the suppliers’ experience of similar or related work and name any agency to be sub-contracted.

v. Describe relevant experience and qualifications of staff in the project team. Name the proposed author(s) of the final research report and reference the guidance that will be followed on research report writing and data presentation. Include an extract from a previous piece of work (1 page only) by the proposed author(s).

vi. Include a risk register to reflect risks to the project and their probability of occurrence and impact, along with proposed mitigation measures.

Delivery and Outputs 4.9 The main outputs will be a two-stage written report and up two presentations. Presentations are to be prepared and delivered after the completion of the full draft report and before the report is finalised.

4.10 The written report(s) will include: - Interim results from the qualitative study - Results of the quantitative research and analysis - Proposed solutions, with evaluated effectiveness

4.11 To make the study relevant and useful, the findings should be presented in a way that is accessible and clear to policy makers and practitioners. Any charts, diagrams/figures and illustrations included in the final report should be fully comprehensible when viewed in black and white or greyscale.

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V.) SERVICE LEVEL AGREEMENTS (SLAS)/KEY PERFORMANCE INDICATORS (KPIS)

5.1 This research is offered on a fixed-price basis only. If for any reason the tenderer does not meet the timescale set out in section 6 and the project overruns, this additional cost should be met by the tenderer.

Project Management 5.2 The research should be completed and research outputs delivered to specification and within an agreed budget and time frame. Suitable project governance, management processes and tools should be proposed by the supplier and will be agreed at the start of the project. These should then be applied throughout the duration of the project.

Quality Assurance and Research Quality 5.3 TfL expects high scientific research standards. To ensure that transport policy and practice in London are based on sound evidence, research quality is essential. Sound and established research methods should be applied and documented at each project stage. Appropriate quality assurance should be undertaken throughout the research process. 5.4 TfL requires any research output such as supporting documentation, data collection methods, and all datasets which form part of the analysis, to be safeguarded three years after the study is completed. TfL may also request any research output to be provided. Research Ethics 5.5 TfL expects all research involving data collection from human participants to be undertaken in accordance with standards of good practice:

i. Beneficence and Non-Malfeasance: Participants and researchers should not be put at risk of harm as a result of the research. Harm includes emotional and mental distress, and possible damage to financial and social standing, as well as physical harm.

ii. Informed Consent: Each potential participant must be adequately informed of the aims, methods, benefits and disbenefits of participation. Informed consent should be required from participants and records of consent maintained.

iii. Anonymity and Confidentiality: Data collection should preserve the anonymity of participants. Interviews should be confidential. Data that could identify its originator should not be used unless identifying details can be changed.

iv. Accountability: The findings of the research should be made available, before publication and in a suitable format, to all participants.

Data Protection 5.6 Under the Data Protection Act, TfL is obliged to take appropriate technical and organisational measures against unauthorised or unlawful processing of

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personal data and against accidental loss or destruction of, or damage to, personal data. To comply with this requirement, TfL must: i. Choose a supplier who can provide sufficient guarantees in respect of the technical and organisational security measures governing the data processing to be carried out; and

ii. Ensure that the data process complies with those measures.

5.7 The supplier must not share any personal data with any sub-contractor unless TfL has given written consent.

Communicating Research 5.8 Research quality is important to TfL and this should be reflected in the project’s output. The research report should provide detail on methods and results to illustrate the validity of the findings. The research report should explicitly respond to the research questions and conclusions and recommendations should be based on research findings and appropriately referenced. The report should include a brief executive summary. Terminology should be defined and used appropriately and consistently. Instead of “accident”, the term “collision” should be used wherever possible. A standard disclaimer should be contained at the beginning of the report.

5.9 To make the research relevant and useful for transport professionals and other stakeholders, the findings should be communicated and presented in a succinct and well presented report. It is expected that report authors follow established best practice on report writing and data presentation to effectively communicate research to a wide audience. An awareness of the London’s walking and transport policy context should be shown in the final report.

5.10 An electronic copy of the draft report will be required for proposed edits. Following editing, the final report should be delivered electronically both in MS Word and Adobe pdf format (not exceeding 10MB). The pdf file should contain document information and meta data in accordance with TfL’s requirements (to be specified).

Report Publication 5.11 To promote evidence-based policy and practice in road safety across London, TfL aims to publish all research reports on TfL’s website. However, all reports need to gain approval for publication from within TfL (TfL senior managers, TfL Press Office) and from the Greater London Authority (Mayor’s office, Transport Team). The supplier must not release or publish the research report (including on their website) without the clear approval of TfL, and not before the report is published by TfL. The supplier must not charge for downloading research reports (but can charge to cover the cost of paper copies). All press work regarding the publication of the research report will be coordinated through TfL’s press office (this includes the trade press).

Academic Work 5.12 The successful tenderer should not make public this research before it has been cleared for publication by TfL and without prior approval by TfL.

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Equality and Inclusion 5.13 TfL is committed to removing barriers to accessing transport services wherever possible and in the way it employs and develops its workforce. In particular, the supplier should clearly demonstrate how equality and inclusion issues in road safety are addressed by this research project.

Crime and Disorder Act 5.14 It is a statutory requirement for all departments in TfL to follow Section 17 of the Crime and Disorder Act 1998. Section 17 requires authorities to consider the likely affect on crime, disorder and community safety in all that they do, and take action to prevent crime and disorder, substance misuse, anti-social behaviour and behaviour that adversely affects the environment. In particular, the supplier should demonstrate how issues of crime and disorder are addressed by this research project.

Responsible Procurement 5.15 TfL will proactively conduct its procurement process in line with it’s ‘Responsible Procurement’ code. Within its obligations as a Best Value Authority, and in compliance with EU and UK legislation, TfL will adopt the principles of ‘Reduce, Reuse, Recycle’ and ‘Buy Recycled’. TfL is committed to applying these principles in procurement of Goods, Works and Services, where the required criteria for performance and cost effectiveness can be met. TfL will actively promote ‘Responsible Procurement’ throughout its supply chain.

Research Partners and Subcontractors 5.16 TfL understands that in some instances more than one supplier is necessary to best fulfil the research requirements. If multiple suppliers are involved in a project, they must be named and arrangements between suppliers need to be made transparent:

i. Name the research partners/subcontractors, explain why they were selected for the project, and describe the roles and responsibilities of all suppliers involved.

ii. Explain how the main supplier ensures that projects are delivered as proposed and guarantees that all suppliers are complying with TfL’s policies outlined in this brief and in the framework contracts.

Other Key Performance Indicators 5.17 A minimum of fortnightly written updates to the TfL Project Manager. These can be concise updates by email, but should include details of progress against project timescale, risks/ issues for discussion, actions required by TfL or others that affect the project timescale, etc.

5.18 Teleconference/ updates by telephone or email as required by the tenderer or by the TfL Project Manager.

5.19 Monthly face-to-face meetings, either at TfL's office (Palestra, 197 Blackfriars Road, London) or at the tenderers office, by pre-arranged agreement.

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5.20 Tenderer to respond to all TfL queries on the project within two working days, providing an update where queries need further time to be answered. Ensure that alternative contact details are provided when key team members are unavailable.

5.21 Provide sufficient resources to achieve the project timescale. Where slippage occurs, to be raised and discussed with the TfL Project Manager within three working days.

5.22 Build a good working relationship with the bus operators and be trusted by bus drivers and unions to deliver independent research. Any issues raised by the bus operators or TfL to be responded to within three working days.

5.23 All processes must be transparent and all results must be publishable, with any personal data to be suitably anonymised.

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ATTACHMENT 1

Notes from Fatigue Management Workshop (TfL led with Bus Operators)

TfL 94050 Fatigue Workshops 1-3 Notes v1_Attachment 1.pdf

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LEAP Programme Recipient name Scheme ( Purpose of project) Air Quality- (GD3) Better Bankside Business Improvement District Design work for infrastructure for the Borough High Street Business Low Emission Neighbourhood Cleaner Heat Cashback Bonney Downs Community Association Cashback on cost of new boiler grant Cleaner Heat Cashback Rio Centre Dalston Ltd Cashback on cost of new boiler grant Core funding Access Europe Network Grant funding to Access Europe Network Core funding NWES London Growth Hub Digital Skills A New Direction Digital bootcamp sessions Digital Skills A New Direction Refurbishment of IT facilities/purchase of IT equipment Digital Skills A New Direction London Ltd Digital bootcamp sessions Digital Skills A New Direction London Ltd Young Entrepreneurs Digital Skills Funding London Investment for High Growth digital & tech company financing across London Digital Skills Capital Enterprise Refurbishment of IT facilities/purchase of IT equipment Digital Skills Capital Enterprise Young Entrepreneurs Digital Skills London Connected Learning Centre (Education Development Trust) Refurbishment of IT facilities/purchase of IT equipment Digital Skills Freeformers [ESF co-funded] Digital skills training sessions Digital Skills Livity Digital bootcamp sessions Digital Skills Livity Refurbishment of IT facilities/purchase of IT equipment Digital Skills Newham College Refurbishment of IT facilities/purchase of IT equipment Digital Skills New City College Digital skills training sessions Digital Skills New City College Refurbishment of IT facilities/purchase of IT equipment Digital Skills Newham [ESF co-funded] Digital skills training sessions Digital Skills Westminster Kingsway College Refurbishment of IT facilities/purchase of IT equipment Digital Skills Westminster Kingsway College Digital bootcamp sessions Digital Skills WKCIC Digital bootcamp sessions Digital Skills WKCIC Refurbishment of IT facilities/purchase of IT equipment European Region Development Fund British Fashion Council Commercialising creative fashion business grant European Region Development Fund British Library Innovating for growth grant European Region Development Fund British Library Start up in London libraries (SiLL) grant European Region Development Fund Brunel University Brunel co-innovate journeys grant European Region Development Fund Brunel University Bridging the gap grant European Region Development Fund Central Research Laboratory (Hayes) Ltd Central research lab European Region Development Fund East London Small Business Centre Enterprise for everyone grant European Region Development Fund Enterprise Enfield Agency Inspiring women grant European Region Development Fund Fund Manager Amber Infrastructure Ltd Mayor's energy efficiency fund grant European Region Development Fund Health Innovation Network; Guys and St Thomas’ NHS Foundation Trust The London digital health accelerator programme grant European Region Development Fund King's College London Collaborate to innovate grant European Region Development Fund LB Lewisham The dek growth programme grant European Region Development Fund London & Partners Mayor's international business programme grant European Region Development Fund London & Partners The London growth network grant European Region Development Fund London South Bank University Simulation for digital health grant European Region Development Fund London South Bank University London Agri Food Innovation Clinic grant European Region Development Fund London South Bank University Accelerating the Creative Economy through Immersive Tech grant European Region Development Fund London South Bank University Greentech access to innovation grant European Region Development Fund London South Bank University Low carbon London grant European Region Development Fund London Training and Employment Network Inspiring Enterprise and growth grant European Region Development Fund London Waste and Recycling Board Advance London grant European Region Development Fund Newable Innovate to succeed grant European Region Development Fund Newham College of Further Education Building legacies grant European Region Development Fund Newham College of Further Education Enterprise steps grant European Region Development Fund Queen Mary University of London Cardiovascular Devices Hub grant European Region Development Fund SME Wholesale Finance (London) Ltd on behalf of GLIF Ltd Greater London Investment Fund grant European Region Development Fund SPACE (Art Services Grants Ltd) London creative network grant European Region Development Fund The Prince's Trust Boost your business grant European Region Development Fund The Trampery Foundation Ltd Legacy for growth grant European Region Development Fund University College London Educational technology exchange (educate) grant European Region Development Fund University of the Arts London Fashion and technology emerging futures grant European Region Development Fund University of West London West London Food Innovation Lab grant European Region Development Fund Virgin Start Up Limited Ready, steady, grow with virgin start up grant European Region Development Fund Westminster City Council Connect Westminster grant European Social Fund Big Lottery Fund Building Better Opportunities - London grant European Social Fund City of London Corporation Working Capital grant European Social Fund City of London Corporation Central London Works, P1.4 grant European Social Fund Clarion Futures Love London Working grant European Social Fund Department for Work and Pensions ESF 2014-20 Provision - Older Workers grant European Social Fund Education and Skills Funding Agency London Priority 1 Application grant European Social Fund Education and Skills Funding Agency London Priority 2 Application grant European Social Fund Limited Liability Partnership ESF 2014-20 Provision - Troubled Families grant European Social Fund London Borough of Croydon South London WHP, P14 grant European Social Fund London Borough of Ealing West London WHP, P1.4 grant European Social Fund London Borough of Hackney Unlocking London's Opportunities - the Growth Boroughs grant European Social Fund London Borough of Redbridge Local London WHP, P1.4 grant European Social Fund London Councils London ESF Youth Programme Support grant European Social Fund London Councils London Councils ESF Proramme 2015-19 grant European Social Fund London Voluntary Service Council VCS Assist 2.0 grant Further Education Capital Ada National College of Digital Skills FEC project - New state of the art Digital Skills campus Further Education Capital Barnet & Southgate College FEC project - Construction of the new Colindale Skills Centre and Modernisation of Southgate Centre Further Education Capital Big Creative Training Ltd. FEC project - Gnome House Further Education Capital Bromley College FEC project - Hospitality BR6 Bakehouse Further Education Capital City of Westminster College FEC project - Maida Vale campus refurb Further Education Capital Ealing Hammersmith and West London College FEC project - Dine in Southall (DiSH) Further Education Capital East London Advanced Technology Training FEC project - Refurbishment of ELATT’s premises to support digital training Further Education Capital Hackney Community College FEC project - Hackney Community College Further Education Capital Harrow (health) College FEC project - The Health and Social Care hub Further Education Capital Havering College of Further and Higher Education FEC project - Rainham Construction Infrastructure Skills Innovation Centre Further Education Capital Lambeth College FEC project - Lambeth College Further Education Capital Parsons Brinckerhoff FEC programme support - Due diligence services Further Education Capital Richmond upon Thames FEC project - Richmond upon Thames College Campus Transformation Further Education Capital South Thames College FEC project - Construction Skills Training Facility Further Education Capital Waltham Forest College FEC project - Construction of a new STEM Centre Further Education Capital West Thames College FEC project - Feltham Skills Centre Further Education Capital Westminster Kingsway FEC project - King's Cross Construction Centre Further Education Capital ARUP FEC/SfL programme support - External Cost Due diligence/Independent Monitoring Services Further Education Capital Big Creative Training Ltd. 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Audit Ref: IA 17 780 Audit Title: Management of Fatigue in TOL

IA HSET AUDIT PROGRAMME AND RISK/CONTROL EVALUATION

Background: 6.12 Identify Safety Critical workers - How many employees are competent to drive trams (including other staff who may be rostered)? 98 on Main Roster, 20 on Early Roster, 16 on Late Roster, 17 on Spare Roster. Driving over mixed routes. How many other employees have a direct role in fatigue management (supervisors, employees controlling rosters, approving exceedances etc)? What are the shift patterns and the number of routes, are they fixed for each employee or varied?

Opening meeting attendees: Andrew Wallace: Head of Safety TOL Steve Duckering: Operations Director TOL Peter Buzzard / Ruth Turner / Mike Shirbon

TOL expressed that they did not consider the audit was not at the right time due to the fact that they had recently undertaken an audit of fatigue themselves which they had not yet presented to TfL, insufficient notice to hold a planning meeting and prepare, availability of TOL employees due to Board Meeting Preparations. Access to driver’s requested but declined as in current climate driver’s may feel threatened and may request Union Reps to attend.

Risk Area: Governance of fatigue

Ref Expected Control / Risk Test Results & Supporting Evidence Mitigation 1. Ownership and control of Fatigue Risk Management System – (FRMS) A SM0003 – Safety Critical Employees – fatigue management documented process is in place for managing fatigue Management of Fatigue - details TOL’s Fatigue arrangements is identified (SM0003?). Risk Management System. TOL has a rolling and recorded. programme of document review. SM0003 is The arrangements (and any changes) are reviewed every 3 years. It is being updated communicated. following TOL’s internal audit recommendation 9 6.9 (1) Controllers of for a full review of TOL’s FRMS and was evidenced safety critical work. Accountabilities are identified within the FRMS, in draft form at the review stage. recorded and communicated. Stage 5 Recording the SM0003 is available via TOL’s XDMS (Xtreme *SM0003 2. - A fatigue policy is in place, arrangements. Data Management System). It is not formally

TfL RESTRICTED Page 1 of 15 Audit Ref: IA 17 780 Audit Title: Management of Fatigue in TOL

Ref Expected Control / Risk Test Results & Supporting Evidence Mitigation communicated, reviewed and includes Senior communicated. 5.30 FRMS describes Management Commitment, allocation of adequate overall organisational resources, collaboration and periodic review. Accountabilities are not clearly detailed in SM0003 arrangements. for all job roles. The revised SM0003 addresses this. Copy required of job descriptions required to 5.16, 5.18, 5.19, 5.20, show accountabilities for fatigue management. 5.28 Fatigue Policy. TOL’s fatigue policy is stated within SM0003 (meets 5.14 as included in FRMS) including Senior Management Commitment, allocation of adequate resources and collaboration. 2. Fatigue preventative and Documented process includes identifying and TOL does not have a register of the risks of fatigue. protective measures have mitigating the risks of fatigue. (Includes factors in They operate to the set limits. been determined based on ORR 6.55) ALARP principle. Fatigue Risk Register in place (or as part of overall 6.55 Factors affecting Risk Register) including mitigations. fatigue

3. Control measures are *SM0003 5 8) - Risks communicated to all affected Control measures are based on TOL’s Standards recorded, communicated employees. and limits on working hours, breaks, shift and implemented. exchanges and exceedances. Recorded in Employees are made aware of the standards and SM0003. These are communicated as part of Stage 6 Providing limits. basic training (Lesson Plan TLP0005) and information to safety briefings. critical workers Mitigations in place and implemented. Risks also communicated as part of employee Induction (ALO 0030) including Safety Critical Work / Working Time Regulations / Alcohol and Drugs.

Control measures do not include risk factors and

TfL RESTRICTED Page 2 of 15 Audit Ref: IA 17 780 Audit Title: Management of Fatigue in TOL

Ref Expected Control / Risk Test Results & Supporting Evidence Mitigation industry good practice. 4. Roles and responsibilities *SM0003 5 - Roles and responsibilities of Management (See Q1) of management, unions management, unions and individuals are defined Individuals included in SM0003 and training / and individuals. communicated and implemented. induction. Role of union (in agreeing base roster) not 5.30 Roles, responsibilities documented but evidence to be provided it and functions happens. 5. Joint management/staff *SM0003 5 (1) - Consultation (employees and unions) SM0003 2. consultation arrangements has taken place on the arrangements and any Evidence to be provided of Unions being consulted are in place. changes. on the roster (SD).

6.68 Consult with safety Results of consultation documented and FRMS critical workers and their updated. representatives.

5.35 Arrangements to ensure adequate co- operation. 6. Effectiveness of control Process in place (FRMS). Only KPI is compliance to working hours measures is monitored. requirements (reported at Management Safety Monitoring completed for both the whole population Meeting). 6.78 to 6.85 Monitoring the and individuals. arrangements Allocation team monitors the following: Metrics (KPI’s) defined and monitored. - Hours Worked are recorded in the Driver 5.69 Monitoring Allocation System (DAS). Individual performance Monitoring includes: Driver’s time sheets form a hard copy  Actual Hours worked. record of what is in DAS. 5.47, 10.4 Trend analysis  Higher risk staff. - Overtime is recorded on the overtime sheet of fatigue reporting  Excessive overtime. (populated by the Control Room). This is  Time spent travelling. used for payment purposes.  Exceedances. - Exceedances – DAS flags any  Absence. exceedances. These are also recorded on

TfL RESTRICTED Page 3 of 15 Audit Ref: IA 17 780 Audit Title: Management of Fatigue in TOL

Ref Expected Control / Risk Test Results & Supporting Evidence Mitigation  Shift exchanges. the variations sheet (populated by the  Shift variation. Control Room) and the authoriser signs the Control Room log book. Unexplained Trends from monitoring are analysed, communicated exceedances are escalated to the and used to review / update the FRMS. Management team for review (SD, AW, RH and Claire Marshall). One exceedance evidenced at meeting with Peter Pike, what was this for and why wasn’t it in the Control Room log book? - Shift exchanges are shown on the variations sheet as MX or DX depending on if it was requested by the employee or the Company. - Shift variations are shown on the roster. - Absence is recorded on DAS along with the reason. Also monitored via HR (TOL FRMS Review Q56)

TOL Audit - Monitoring Section 13:

Data from monitoring is not analysed, communicated or used to review / update the FRMS. TOL Audit Section 12 – no analysis of overtime.

Risk Area: Education and Training

Ref Expected Control / Risk Test Results & Supporting Evidence Mitigation 7. Managers are trained and Competence management arrangements are in place Training Records are held on XDMS. educated on their for managers. responsibilities, including Fatigue awareness training for drivers is based on

TfL RESTRICTED Page 4 of 15 Audit Ref: IA 17 780 Audit Title: Management of Fatigue in TOL

Ref Expected Control / Risk Test Results & Supporting Evidence Mitigation assessment of fitness for Training matrix exists, certifications in date, out of date adherence to TOL’s standards and limits on duty. training highlighted (employees removed from fatigue working patterns, hours etc. management responsibilities until training updated). 5.39 Competence The Operations Director, Raymond Hayter management Training provided by authorised body. Meets (Operations Manager), Duty Managers (x5) and arrangements requirements of 5.40. Control Room Staff (x15) are all trained as drivers and are required to undertake 1 driving shift per 5.40 fatigue education and Refresher training is provided at a frequency period. awareness arrangements proportional to the risk (5.41). Fatigue controls are included in TLP0005 – Lesson 5.41 Refresher training Training includes recognising the early stages of plan. DVD “The 21st Century Professional Driver is fatigue (including when employees are booking on also shown (Ruth checking if DVD includes fatigue 5.65 How to recognise and off). factors, maybe backup materials should be fatigue provided i.e. a booklet). Drivers also sign TFM Fatigue management included in Induction. 0011 - Safety Responsibility Statement - including being not fatigued on reporting for duty and reporting if they become fatigued.

There is no additional training on identifying fatigue in yourself and others and the factors that influence it (how much of this does the DVD cover?).

Training records evidenced confirming all those available to drive have passed the Passenger Service Assessment (PAX). There is no refresher training.

Training does not meet all the requirements of 5.40 (see notes on copy of guidance). This shortfall for managers, supervisors etc recognised in TOL’s own audit recommendation 1.0) – training for people considering fatigue factors and TOL’s FRMS Checklist review Q26.

TfL RESTRICTED Page 5 of 15 Audit Ref: IA 17 780 Audit Title: Management of Fatigue in TOL

Ref Expected Control / Risk Test Results & Supporting Evidence Mitigation

Note briefings written up in report as part of Q2 and Q3: Briefing – Safety Critical Work – Fatigue – evidenced as being distributed with pay slips in December 2016. This is being followed up with 1 to 1 briefings by Raymond Hayter (evidenced as approx. 2/3 complete).

Briefing 19 May 2017 also evidenced on Company notice boards reminding drivers of the requirement to be fit for duty when they sign on to work and their responsibilities in relation to fatigue. (J Fox question about comms programmes to support education programmes).

8. Individuals are educated *As question 07. See Question 07 on recognising and (Drivers, Roster Managers, TU Reps) mitigating fatigue and maximising alertness. 9. Training and guidance As question 07 plus specifics on roster design. It could not be evidenced that the Roster Designer completed for those (name and job title?) had training in minimising involved in roster design. fatigue in roster design.

6.17 training in roster design.

Risk Area: Fatigue Risk Assessment (including managing the risks)

Ref Expected Control / Risk Test Results & Supporting Evidence Mitigation

TfL RESTRICTED Page 6 of 15 Audit Ref: IA 17 780 Audit Title: Management of Fatigue in TOL

Ref Expected Control / Risk Test Results & Supporting Evidence Mitigation 10. Limits on working hours *Process for determining and recording working hours Standards and Limits: are determined, and patterns is documented, communicated and - National industry good practice has not communicated and references appropriate standards. been considered. controlled. - Does include the criteria in 6.20 SM0003 2 &6 - Standards and limits take into account - Overtime limited with respect to max 6.15 Adhere to appropriate the following: permitted hours. standards  National industry good practice (6.16). - No limit on the number of shift exchanges.  Foreseeable causes of fatigue (6.18). (unless SD provides evidence). 6.16 National industry  SM0003 13 2. TOL Standards and the limits good practice shown in 6.20.  Allowance for variances i.e. sickness (6.24). 6.18 Foreseeable causes  Limits on o/t, shift exchange, rest days, on call, The process by which the Controllers manage of fatigue training and authorised absences. variances and exceedances (breaches) is not documented. Understanding was evidenced by 6.20 Limits for hours *SM0003 9, 11 - Exceedances, overtime, shift interview (Paul Hodgeman) as follows: worked (12 hours) exchanges etc are authorised by competent people Note: fatigue from variances, shift exchanges and (SM0003 13 7) with regard to fatigue, within set limits, o/t is controlled within the set working limits. There 6.24 Allowance for the points system (SM0003 12) and recorded in is no check on the driver’s potential to be fatigued variance i.e. sickness Control Room Log Book (5) (7) (9). (or the other criteria in SM0003 Clause 4).

5.44 Controls (approval *SM0003 10 - How are breaks controlled (via the Secondary check for breaches is made by the process) for 5.68 overtime roster?) allocations team (Peter Pike). 5.67 shift exchange, 5.63 Approving and recording where drivers did not take on call, training, leave authorised breaks (6) - Overtime is checked to be within working hours limits and recorded on the overtime sheet 5.33 minimum staffing SM0003 5 (7) - Process ensures there are sufficient (populated by the Control Room). Any variances levels to meet roster and competent employees so that the variances and limits leading to the need for overtime are recorded on avoid voluntary overtime) (see bullet points above) can be managed. the variance sheet. Stage 3 Limiting - Exceedances are authorised by a supervisor or exceedances (6.63 relevant line manager, recorded in the logbook Roster design incorporates and controls the standards th procedure for authorising) and limits on working hours and follows good (countersigned). Last exceedance was on July 26 management principles - SM0003 5 (4). 2016 at 18:51. Copy of associated form FSM18A 5.54 Process for designing required as per new SM0003 Clause 10.5) (Note

TfL RESTRICTED Page 7 of 15 Audit Ref: IA 17 780 Audit Title: Management of Fatigue in TOL

Ref Expected Control / Risk Test Results & Supporting Evidence Mitigation work patterns / rosters SM0003 states exceedances have to be (5.55 consistent with good SM0003 (13 3/4/5/6) – Timesheets maintained and a authorised) fatigue management selection examined for compliance and infringements - Shift exchanges are shown on the variations practices). investigated (8) sheet as MX or DX depending on if it was requested by the employee or the Company. (TOL Audit Section 11, fatigue factors to also be considered in shift exchanges)

Breaks

Breaks are set within the timetabling. This was evidenced on the Duty Cards. Where breaks do not take place at the designated time or are reduced in length the control room will make mutually agreed adjustments to accommodate additional break time elsewhere in the shift. The number of occurrences, or where limits are exceeded, is not recorded. Guidelines for Controllers are being updated (as part of TOL Audit recommendation 6)

Roster Design

The base rosters established in 2016 were evidenced as being analysed using the HSE Fatigue and Risk Index tool. Also needs to consider industry good practice and feedback from staff (see LU consultation in Q5)

Time sheet review

Time sheets are randomly selected to review for compliance on a periodic basis (not weekly as per

TfL RESTRICTED Page 8 of 15 Audit Ref: IA 17 780 Audit Title: Management of Fatigue in TOL

Ref Expected Control / Risk Test Results & Supporting Evidence Mitigation TfL report request). This is carried out by the HR Manager and communicated by e-mail (with details of who was checked). Evidenced for period 13 as including 8 drivers, 4 controllers and 1 Duty Manager. This is also included on the report to the Safety Management Review Group.

11. The fatigue risk from Procedure (rostering?) exists and is implemented to Risk of fatigue is not considered, only adherence to actual hours worked is track and control work hours, overtime, exceedances, limits. controlled and measured shift changes. e.g. overtime and shift Operations Administrator (Peter Pike) interviewed, exchanges. SM0003 13 1. Hours of work verified by Ops he does not verify base rosters. Administrator. (4) A sample of hours worked should be put through a Procedure ensures approvals for exceedances etc fatigue risk tool. approved by competent staff . 12. Travelling time is *Effect of travel time included in FRMS and Not included in Induction Checklist. considered in fatigue implemented. Considered in initial recruitment (recruit drivers who management. live within a 1 hour commute of the depot). 12 hour Travel time is calculated and considers the nature and max shift + 1 hour to work + 1 hour to home = 14 8.4 Considered as part of timing of travel. hours => 10 hours rest. recruitment Special arrangements are considered (extra breaks, Driver’s required to notify changes of address as 8.7 Door to Door scenario supervision). stated in induction check list (changes not formally risk assessed). Nature and timing of travel not 8.7 Special arrangements Considered as part of recruitment. considered. Not picked up as part of SM021 – i.e. extra breaks Driver Monitoring (other than domestic circumstances).

TOL stated new SM0003 will include travel but could not be found in the draft.

TfL RESTRICTED Page 9 of 15 Audit Ref: IA 17 780 Audit Title: Management of Fatigue in TOL

Ref Expected Control / Risk Test Results & Supporting Evidence Mitigation 13. Changes to employees’ SM0003 14 & 5 (2) (9) - Included in FRMS, procedure SM0021 – Driver Monitoring – provides an circumstances are communicated and implemented. unbiased assessment of any support required by managed. the drivers during their first year of employment. *Employees are aware of what to do if their This process is also implemented following 5.62 Declaring second circumstances change (i.e. domestic arrangements, behavior or performance issues. All drivers, jobs. second jobs, travel arrangements). including those rostered once a month, are monitored annually (SM0021 table D). This The change in circumstances is risk assessed and includes domestic circumstances. The monitoring recorded (2). does not explicitly mention fatigue (J Fox Question)

There is no documented process for driver’s to report changes in circumstance and have the changes risk assessed (for fatigue).

Not mentioned in induction (other than change of address).

Safety Responsibility Statement signed by all drivers does not include reporting changes to circumstances (fatigue, medications etc). 14. The risk of fatigue is *A procedure exists, is communicated and is followed Employees are instructed in the requirement to not managed when booking for booking on and off including the criteria detailed in book on if fatigued in the following ways: on and off shifts. 5.64. - At their induction - Within their training (Lesson Plan 5) 5.64 Booking on and off Staff who are carrying out face to face fitness for work - Within the Dec 2016 Briefing procedure (5.60 considers checks are competent. other factors i.e. travel Drivers sign on at the Control Room. The time) Procedure includes remote booking on. Controllers monitor their fitness for work (including fatigue). Controllers are not trained in recognising 5.64 Fitness for duty (face Procedure is in place and implemented to remove the symptoms of fatigue). The booking on process to face) from duty employees who are found to be at risk of is not documented. Control Room staff (by fatigue before or during their shift. Details recorded interview) stated they would speak to a driver

TfL RESTRICTED Page 10 of 15 Audit Ref: IA 17 780 Audit Title: Management of Fatigue in TOL

Ref Expected Control / Risk Test Results & Supporting Evidence Mitigation 5.64 Remote booking on (1) appearing unfit for work. If deemed unable to work they would be signed off as sick, sent home and 5.65 Witnessed by trained their roster re-assigned. This process, including staff review of the reasons for fatigue, how to manage the individual, escalation (if necessary) and 6.86 Actions when ensuring the safety of the individual in returning workers are fatigued home is not documented. Some of this is (before or during duty) addressed in the revised SM0003.

15. The use of fatigue risk Procedure in place, communicated and implemented TOL Audit Section 15: Risk assessments and assessment tools is to define what fatigue risk assessment tools are used fatigue index assessments could not be evidenced defined and implemented. and when. (FRMS?). on shared drive.

5.32 FRMS defines how, A fatigue risk assessment schedule is in place and Ruth to reword this paragraph: by whom and under what implemented. TOL do not consider that for fatigue purposes the circumstances drivers working night shifts should be a criteria in assessments should be Fatigue risk assessments carried out by competent risk assessments as night workers only drive for carried out. people. half a shift and then move to tram preparation duties. (LU as guidance = 3 rostered hours 5.73 Used in rostering. Fatigue assessment tools are used: between 11pm and 6am on a regular basis = night  When setting work patterns and limits. work). 5.74 Used on actual hours  Rostering worked.  To assess the hours worked. Fatigue risk analysis of roster (When setting work  In post incident investigations (3). patterns and limits) see Q10  In changes to work patterns (SM0003 8). Note: do fatigue tools  After reports of fatigue. There is no formal process for when a fatigue risk include person / role and  To assess the working environment (ref Q20) analysis should be triggered and root causes environment (ref sought (i.e. post incident, after reports of fatigue). dismissed who driver cited This was recognised in the FRMS Checklist audit poor air conditioning). Q14 states fatigue risk assessments (who, when, addressing findings) to be added to SM0003.

TfL RESTRICTED Page 11 of 15 Audit Ref: IA 17 780 Audit Title: Management of Fatigue in TOL

Ref Expected Control / Risk Test Results & Supporting Evidence Mitigation Post incident reporting (i.e. FOM 003 – Unauthorised SPAS Event Report) confirms if the working limits have been exceeded but does not consider any fatigue factors. (J Fox question regarding collecting data about fatigue related incidents). 16. Fatigue risk assessment Fatigue risk assessments have been used to update Fatigue risk assessment tools have not been used tool outputs are used to the FRMS, roster design, working practices, working to modify the rosters. reduce fatigue risk. environment etc.

5.53 Fatigue Risk Management Plan.

17. Fatigue related medical *SM0003 5 (10) (13) Included in Alcohol & Drugs on Induction Checklist. fitness for work is Procedure is in place, communicated and controlled. implemented for medical fitness for work. SM0008 – Fitness Standards (Safety Critical Work) – Clause 3.2 defines the frequency at which in- 6.6 Initial and ongoing Procedure includes frequency of medicals and service medicals (following initial medical) are fitness for work. considers other conditions (i.e. drugs and alcohol, carried out. susceptibility to fatigue). Appendix A – Medical Standards – details 5.59 Includes medical minimum medical fitness requirements for drivers conditions that may Procedure includes: including levels of consciousness, sleep disorders increase risk of feeling  Reporting of prescription / over the counter (sleep apnea). Appendix B – Tram Safety sleepy. medications Awareness is not required by Drivers who have the  Checking the effect of medications on fatigue. Tram Driver’s medical.  How employees report changes to medical history and how this assessed and acted upon Medicals completed by Maitland Medical Services. (with respect to fatigue). Should late shift workers be considered as night shift and appropriate medical carried out. (Particularly permanent late shift staff)

TfL RESTRICTED Page 12 of 15 Audit Ref: IA 17 780 Audit Title: Management of Fatigue in TOL

Ref Expected Control / Risk Test Results & Supporting Evidence Mitigation Reporting of medicines is in Induction ALO0030. Procedure for reporting medications is not documented. Controller verbalised process as driver reports medication, checked against permitted list issued by Maitland. If not on list driver either told not to take medication or stood down, Maitland Medical Services e-mailed to clear driver for duty.

Annual Appraisal includes a declaration of being fit for duty. (SM021 refers).

TOL does not have a formal health and wellbeing programme. Sleep Apnea is considered on the medical (J Fox questions).

Risk Area: Fatigue Reporting

Ref Expected Control / Risk Test Results & Supporting Evidence Mitigation 18. Process for staff to openly *Process exists and is implemented for open or TOL employees can report concerns using First and pro-actively report confidential reporting of fatigue. (i.e. forms, CIRAS, Group’s confidential reporting system or CIRAS. It fatigue. phone line) SM0003 5 (14) (18) was evidenced that this is publicised on notice boards around the site. Not mentioned in 5.38 Fatigue reporting. Process is communicated and understood. induction.

5.75 non-punitive fatigue Not on Induction Checklist (Communications?) reporting system. TOL FRMS Review Q25 – confidential reporting via FirstGroup’s system (Run by Ethics Point). If Appendix D employees use more informal routes (i.e. talking to

TfL RESTRICTED Page 13 of 15 Audit Ref: IA 17 780 Audit Title: Management of Fatigue in TOL

Ref Expected Control / Risk Test Results & Supporting Evidence Mitigation their manager) how is this recorded and dealt with?

Claire Marshall (HR Manager) is the nominated champion in CIRAS (signed up to CIRAS since April 2016).

Confidential reports have been received twice on FirstGroup’s system and twice on CIRAS (of which one CIRAS report in 2014 referred to fatigue due to shift rotations). All others were not fatigue related.

19. Management responds to Procedure in place for responding to fatigue reporting and carries out analysis of and action taken (2). reports. Records of concerns are recorded. 10.3 Managing and responding to reports Trends from fatigue reporting are analysed and acted upon.

Risk Area: Physical Environment

Ref Expected Control / Risk Test Results & Supporting Evidence Mitigation 20. What management Procedure in place, documented, communicated and TOL stated that they do not risk assess the driver’s processes are in place to implemented. cab environment as they are provided the trams by review and monitor the TfL for TOL to operate. physical working *Evidence of driver complaints or concerns about the

TfL RESTRICTED Page 14 of 15 Audit Ref: IA 17 780 Audit Title: Management of Fatigue in TOL

Ref Expected Control / Risk Test Results & Supporting Evidence Mitigation environment of environment of the tram cabs relevant to fatigue employees? management.

Person, Role, Environment. Risk Area: Audit and Review

Ref Expected Control / Risk Test Results & Supporting Evidence Mitigation 21. Arrangements and Process and schedule for auditing fatigue QP 0005 – Document Control Clause 4.1.3 states activities in place for audit management is in place, communicated and documentation shall be reviewed every 2 years (or / review, self-correction, implemented. earlier if part of an incident investigation). Last particularly in response to recorded review of SM0003 June 2014. No incidents The procedure includes reviewing / auditing the FRMS reference in SM0003 to undertake a review when when the criteria in 6.90 have been detected. the effectiveness of the arrangements is in doubt 5.83 Improving fatigue (Note: check the revised SM0003 for this). management. Audits / reviews completed by people competent as auditors and in fatigue management. TOL have undertaken an audit, published on 23 5.86 Independent reviews. Audits reference FRMS checklist (App 12). May 2017. Copy evidenced. Recommendations where appropriate have been highlighted against 5.88 Audit findings Includes independent review. the questions in this audit. publicised. Audit / review findings are publicised, tracked, Review also carried out by TOL using the FRMS Appendix 12 FRMS actioned and used to update the FRMS. Checklist. Checklist. Evidence of previous audits / reviews, findings and TOL Integrated Audit Schedule 2017 evidenced as 6.89 Effectiveness in resolution. (Ref TOL audit post May incident) (10). including audit of Safety Management System. doubt Items to be covered are based on TOL’s Risk Profile and discussions with the Head of Safety. 6.90 Reasons for triggering a review

TfL RESTRICTED Page 15 of 15

Fatigue (ROGS Part 4 C.25) Setting standard for working hours and patterns. Systems for ensuring standards are adhered to. Controlling and monitoring of overtime. Audit Arrangements (ROGS Schedule 1, k) Audit schedule production. Independence. Action tracking. Criteria ROGS – Part 4 (24) Competence and Fitness. ROGS – Part 4 (25) Fatigue. ROGS – Schedule 1 - 2(e), 2 (f) and 2 (k). Transport at Work Act 1992. Management of Health and Safety at Work Regulations 1999. Working Time Regulations 1998. Reference to ORR’s Railway Safety Publication 1, Developing and Maintaining Staff Competence” . ORR - Managing Rail Staff Fatigue .

Planned Audit Timetable

Start of fieldwork 18 Jun 2014

Draft report issued 27 Jun 2014

Closing meeting 18 Jun 2014

Report issued 04 Jul 2014

Audit Team Auditor: Peter Buzzard

In the event of any queries with the content of this memo or at any time during the course of the audit, please do not hesitate to contact me or the Audit Manager (Brian Schiff) to discuss.

Kind regards

Peter Buzzard HSE & Technical Audit, TfL Internal audit

Appendix - 2019/12036

CYCLE SUPERHIGHWAYS Year delivered CS2 Bow Roundabout to Stratford 2013 CS5 Oval to Vauxhall Bridge Road 2015 CS1 Tottenham to City 2016 CS2 Aldgate to Bow roundabout 2016 CSEW Tower Hill to Parliament Sq 2016 CS6 Elephant and Castle to Stonecutter Street 2016 CSEW Parliament Sq to Lancaster Gate 2017 CS6 Phase 2 Stonecutter Street to Kings Cross 2018 CSEW North Carriage Drive 2019 MINI HOLLANDS NW.3 Portsmouth Road, Kingston 2016 LM.4 New Malden to Raynes Park (The Cut), Kingston 2017 NW.6a St Marks Hill Connectivity, Kingston 2017 A105 Green Lanes, Enfield 2018 NW.3a Connectivity to Portsmouth Road, Kingston 2018 Forest Road Cycle Route - A, Waltham Forest 2018 Lea Bridge Road: Burwell Road to Markhouse Road 2018 Lea Bridge Road: Section Salbombe Road to Bickley Road 2018 Lea Bridge Road: Section Poplars Road to Leyton Green Road 2018 Lea Bridge Road: Markhouse Road Junction 2018 Leyton - Blackhorse Cycle Route: 2018 LM.1 Kingston Station Plaza, Kingston 2018 Lea Bridge Road: Orient Way Junction 2019 QUIETWAYS & GRID Edward Street 2016 Tabbard Street 2016 Royal College Street - eastern extension, Camden 2016 Royal College Street - northen extension, Camden 2016 A41/Boundary Road, Westminster 2017 West Smithfield and Barbican, City of London 2017 Wood Street 2017 Nicholson street / Chancel street / Dolben street, Southwark 2017 Honour Lea Avenue / Temple Mills Lane, Newham 2017 Capel Rd / Forest Drive, Newham 2017 Woodford Rd / Capel Rd, Newham 2017 Dulwich Village junction, Southwark 2018 Union St east, Southwark 2018 Albany Road / Portland Stret junction, Southwark 2019 Bath Street to Finsbury Square, Islington 2018 Midland Road 2019 Nuttal Street 2019 Rodney Place / Road, Southwark 2019 Row Labels No Further Action Prosecuted Retraining Course Still Under Investigation Grand Total Barking & Dagenham Serious 12 3 3 18 bikeUnknown 1 1 car 11 2 2 15 goodsSmall 1 1 other 1 1 Slight 123 14 17 154 bus 1 2 3 car 96 13 12 121 coach 1 1 cycle 1 1 goodsLarge 1 1 goodsSmall 10 1 11 goodsUnknown 3 3 minibus 1 1 minicab 1 1 other 6 6 scooter 1 1 1 3 taxi 2 2 Barnet Serious 22 6 1 29 bikeUnknown 1 1 bus 2 2 car 16 3 1 20 goodsSmall 1 1 2 moped 1 1 scooter 2 1 3 Slight 131 45 13 189 bus 1 1 car 108 35 10 153 coach 2 2 cycle 1 1 goods 1 1 goodsSmall 9 5 1 15 goodsUnknown 2 1 3 minibus 1 1 other 5 2 7 scooter 1 2 1 4 taxi 1 1 Bexley Fatal 2 1 3 car 1 1 cycle 1 1 goodsUnknown 1 1 Serious 23 3 1 27 car 18 2 1 21 goodsSmall 2 2 motorbike 1 1 taxi 3 3 Slight 71 9 4 84 bikeUnknown 1 1 bus 1 1 car 57 9 4 70 cycle 3 3 goodsSmall 3 3 minicab 1 1 moped 1 1 other 3 3 taxi 1 1 Brent Fatal 1 1 car 1 1 Serious 32 7 7 46 bikeUnknown 2 1 3 car 23 5 6 34 cycle 1 1 goodsSmall 1 1 2 moped 1 1 motorbike 1 1 other 2 1 3 scooter 1 1 Slight 165 28 16 209 bikeUnknown 2 2 4 bus 3 3 car 128 21 11 160 coach 1 1 cycle 1 2 3 goodsSmall 12 3 1 16 goodsUnknown 3 1 4 motorbike 1 1 other 6 6 scooter 6 2 8 superbike 1 1 2 taxi 1 1 Bromley Fatal 1 1 1 3 car 1 1 2 other 1 1 Serious 26 1 4 31 bus 2 2 car 19 1 4 24 goodsSmall 2 2 motorbike 2 2 other 1 1 Slight 103 19 3 6 131 bikeUnknown 3 3 bus 1 1 car 75 13 3 4 95 coach 2 2 cycle 1 1 goodsSmall 12 4 1 17 goodsUnknown 1 1 minicab 1 1 moped 1 1 other 3 1 4 scooter 1 1 2 taxi 2 1 3 Camden Fatal 1 1 car 1 1 Serious 27 9 1 3 40 car 15 8 1 3 27 coach 1 1 cycle 1 1 goodsSmall 3 3 moped 1 1 motorbike 1 1 other 2 2 scooter 1 1 taxi 2 1 3 Slight 192 46 4 9 251 bikeUnknown 3 1 4 bus 1 1 car 110 33 1 4 148 coach 1 1 cycle 10 1 11 eBike 1 1 goodsSmall 10 3 1 2 16 goodsUnknown 2 2 minibus 1 1 minicab 5 1 6 moped 2 2 4 motorbike 2 2 other 14 2 16 scooter 3 1 1 5 superbike 1 1 taxi 26 5 1 32 City of Westminster Serious 80 6 3 89 bikeUnknown 1 1 car 44 5 2 51 coach 2 2 cycle 2 1 3 goods 2 2 goodsSmall 6 6 goodsUnknown 1 1 hireCycle 1 1 minicab 4 4 motorbike 2 2 other 2 1 3 scooter 3 3 taxi 10 10 Slight 281 24 3 9 317 bikeUnknown 6 1 7 bus 7 7 car 149 16 3 6 174 coach 7 1 8 cycle 15 1 16 goods 1 1 2 goodsSmall 27 2 29 goodsUnknown 1 1 hireCycle 1 1 minicab 4 1 5 moped 4 4 other 10 10 rickshaw 2 2 scooter 5 1 1 7 taxi 42 1 1 44 Croydon Serious 37 5 2 44 car 33 4 2 39 goodsSmall 2 2 moped 1 1 scooter 1 1 superbike 1 1 Slight 185 31 1 15 232 bikeUnknown 4 4 bus 5 1 6 car 136 29 1 13 179 coach 1 1 cycle 2 1 3 goods 1 1 goodsSmall 16 16 moped 3 1 4 other 10 1 11 scooter 3 3 taxi 4 4 Ealing Serious 24 6 2 7 39 bikeUnknown 1 1 bus 1 1 car 17 6 2 6 31 cycle 1 1 2 goodsSmall 2 2 minicab 1 1 other 1 1 Slight 152 35 2 18 207 bikeUnknown 3 1 4 bus 1 1 car 119 26 2 8 155 coach 1 1 2 cycle 1 2 3 goods 1 1 2 goodsLarge 1 1 goodsSmall 12 3 3 18 goodsUnknown 1 1 2 minicab 2 2 moped 2 2 other 7 7 scooter 2 1 3 superbike 1 1 taxi 3 1 4 Enfield Fatal 16 1 2 19 car 13 2 15 goodsSmall 3 3 other 1 1 Serious 29 6 7 42 car 23 6 6 35 goodsSmall 3 1 4 goodsUnknown 1 1 minicab 1 1 taxi 1 1 Slight 160 29 2 20 211 bikeUnknown 1 1 bus 1 1 2 car 128 25 2 16 171 coach 1 1 cycle 2 2 goods 2 1 3 goodsSmall 7 2 2 11 goodsUnknown 2 2 minibus 2 2 minicab 1 1 motorbike 1 1 other 6 1 7 scooter 3 1 4 superbike 1 1 taxi 2 2 Greenwich Serious 25 4 1 30 bikeUnknown 1 1 car 20 3 1 24 cycle 1 1 goodsSmall 1 1 goodsUnknown 1 1 superbike 1 1 taxi 1 1 Slight 138 17 3 158 bikeUnknown 1 1 car 107 16 3 126 coach 1 1 cycle 1 1 goodsSmall 11 11 goodsUnknown 4 1 5 minicab 1 1 other 5 5 scooter 3 3 superbike 1 1 taxi 3 3 Hackney Fatal 3 1 4 car 3 3 cycle 1 1 Serious 63 23 1 3 90 bus 2 2 car 46 18 3 67 goods 1 1 2 goodsLarge 1 1 goodsSmall 4 1 1 6 goodsUnknown 2 1 3 moped 2 2 motorbike 1 1 other 1 1 scooter 1 1 superbike 1 1 taxi 3 3 Slight 158 63 7 15 243 bikeUnknown 1 1 bus 6 1 7 car 114 49 2 11 176 coach 1 1 cycle 7 1 8 goods 1 1 goodsLarge 1 1 goodsSmall 8 3 1 12 minicab 3 1 1 1 6 moped 1 1 other 4 1 1 6 scooter 5 4 1 10 superbike 1 1 taxi 8 3 1 12 Hamersmith & Fulham Fatal 1 1 car 1 1 Serious 21 2 1 1 25 bikeUnknown 2 2 car 12 1 1 14 cycle 1 1 goodsSmall 3 3 minicab 1 1 motorbike 1 1 other 1 1 scooter 1 1 superbike 1 1 Slight 131 23 4 16 174 bikeUnknown 2 1 3 bus 2 1 3 car 93 16 3 11 123 cycle 4 1 5 goods 2 2 goodsSmall 7 1 8 goodsUnknown 3 3 minibus 1 1 minicab 1 1 mobility 1 1 moped 1 1 2 motorbike 1 1 2 other 3 3 scooter 1 1 1 3 superbike 2 1 3 taxi 8 2 1 11 Haringey Serious 48 4 2 5 59 bikeUnknown 1 1 car 36 3 1 4 44 cycle 2 1 3 goodsSmall 1 1 2 moped 1 1 motorbike 4 4 other 1 1 scooter 2 1 3 Slight 191 27 1 24 243 bikeUnknown 5 4 9 bus 1 1 2 car 149 24 1 16 190 coach 2 2 cycle 3 3 goods 1 1 2 goodsSmall 13 2 15 goodsUnknown 3 1 4 minicab 1 1 2 motorbike 1 1 other 2 2 scooter 6 6 taxi 4 1 5 Harrow Serious 17 4 3 24 bus 1 1 car 15 4 2 21 motorbike 1 1 other 1 1 Slight 80 9 1 12 102 bikeUnknown 1 1 bus 1 1 2 car 72 8 1 9 90 goods 1 1 goodsSmall 1 1 2 4 other 2 2 taxi 2 2 Havering Serious 24 5 1 4 34 bus 1 1 car 16 4 1 2 23 goods 1 1 goodsSmall 2 2 4 goodsUnknown 2 2 moped 1 1 other 1 1 scooter 1 1 Slight 64 21 3 7 95 bus 2 1 3 car 44 13 3 6 66 coach 2 2 cycle 1 1 goods 2 1 3 goodsSmall 6 3 9 goodsUnknown 2 1 3 motorbike 1 1 other 3 1 4 scooter 1 1 2 taxi 1 1 Heathrow Slight 3 1 1 5 car 3 1 1 5 Hillingdon Fatal 2 2 car 2 2 Serious 37 8 7 52 car 26 8 7 41 goodsSmall 7 7 goodsUnknown 1 1 motorbike 1 1 scooter 1 1 superbike 1 1 Slight 99 28 17 144 bus 1 1 car 82 21 16 119 coach 1 1 cycle 1 1 goodsSmall 8 5 1 14 motorbike 1 1 other 4 1 5 scooter 1 1 taxi 1 1 Hounslow Serious 29 4 1 2 36 bikeUnknown 2 2 bus 1 1 car 23 4 1 28 goodsSmall 3 3 goodsUnknown 1 1 minicab 1 1 Slight 134 24 2 5 165 bikeUnknown 1 1 2 bus 3 3 car 102 18 1 4 125 coach 1 1 2 cycle 2 2 goods 1 1 goodsSmall 10 1 1 12 minibus 1 1 minicab 3 3 motorbike 3 1 4 other 6 1 7 scooter 1 1 2 taxi 1 1 Islington Serious 37 7 9 53 bikeUnknown 1 1 2 car 23 3 4 30 coach 1 1 cycle 1 2 3 goods 1 1 goodsSmall 5 1 6 goodsUnknown 1 1 2 minibus 1 1 other 1 1 scooter 1 1 2 taxi 3 1 4 Slight 133 19 1 17 170 bikeUnknown 1 1 bus 1 1 car 84 17 1 10 112 cycle 6 3 9 goodsSmall 12 2 14 goodsUnknown 3 3 minibus 1 1 minicab 3 3 moped 4 4 other 2 3 5 scooter 4 4 superbike 1 1 taxi 12 12 Kensington & Chelsea Serious 37 10 2 49 bikeUnknown 1 1 car 24 8 2 34 coach 1 1 cycle 1 1 goodsLarge 1 1 goodsSmall 1 1 other 2 2 scooter 2 2 taxi 4 2 6 Slight 118 14 1 133 bikeUnknown 2 1 3 bus 3 3 car 74 11 85 coach 1 1 cycle 4 4 goods 2 2 goodsSmall 10 10 minibus 1 1 minicab 3 3 moped 1 1 motorbike 2 2 other 4 1 5 scooter 5 1 6 taxi 6 1 7 Kingston-upon-Thames Serious 10 4 2 16 bus 1 1 2 car 8 2 1 11 goodsSmall 2 2 other 1 1 Slight 55 2 5 62 bus 1 1 car 43 2 3 48 goodsSmall 2 2 goodsUnknown 3 3 minibus 1 1 other 1 1 scooter 1 1 2 superbike 1 1 taxi 2 1 3 Lambeth Fatal 6 2 8 car 3 2 5 goodsSmall 2 2 other 1 1 Serious 33 8 3 44 bikeUnknown 2 2 car 23 7 1 31 goodsSmall 2 1 3 goodsUnknown 1 1 moped 1 1 other 2 2 taxi 3 1 4 Slight 262 43 4 15 324 bikeUnknown 2 1 3 bus 3 1 4 car 182 34 3 10 229 coach 1 1 cycle 8 8 goods 1 1 goodsSmall 20 5 2 27 goodsUnknown 3 1 4 minibus 3 3 minicab 2 1 3 mobility 1 1 moped 3 3 motorbike 2 1 3 other 15 15 scooter 2 1 1 4 superbike 1 1 taxi 13 1 14 Lewisham Serious 16 3 1 20 bikeUnknown 1 1 car 11 3 1 15 goodsSmall 2 2 moped 1 1 other 1 1 Slight 171 15 1 9 196 bikeUnknown 4 4 bus 1 1 car 125 15 1 7 148 coach 1 1 cycle 5 5 goodsSmall 15 15 goodsUnknown 2 2 moped 4 4 motorbike 4 1 5 other 6 6 scooter 3 1 4 taxi 1 1 Merton Fatal 1 2 3 car 1 2 3 Serious 11 1 12 car 10 1 11 other 1 1 Slight 82 14 2 1 99 agricultural 1 1 bikeUnknown 2 1 3 bus 2 2 car 62 8 1 71 cycle 1 1 goods 2 2 goodsSmall 8 2 1 11 minicab 1 1 motorbike 1 1 other 2 2 scooter 1 1 taxi 3 3 Newham Fatal 1 1 car 1 1 Serious 17 4 11 32 bikeUnknown 1 1 car 17 3 9 29 goods 1 1 goodsUnknown 1 1 Slight 206 53 2 33 294 bikeUnknown 2 1 3 bus 3 1 4 car 169 45 2 25 241 coach 3 3 cycle 3 1 1 5 goodsSmall 6 3 2 11 goodsUnknown 4 1 5 minicab 1 1 2 mobility 1 1 moped 1 1 other 9 1 10 scooter 1 2 1 4 taxi 4 4 Redbridge Serious 23 5 1 7 36 car 19 4 1 6 30 coach 2 2 goodsSmall 1 1 other 1 1 2 scooter 1 1 Slight 168 34 16 218 bus 2 2 car 146 30 13 189 coach 1 1 cycle 2 1 3 goodsSmall 3 1 4 goodsUnknown 1 2 3 minibus 1 1 minicab 1 1 other 6 1 7 superbike 1 1 taxi 5 1 6 Richmond-upon-Thames Serious 20 3 3 26 car 17 1 18 cycle 1 2 3 goodsSmall 1 1 1 3 scooter 1 1 taxi 1 1 Slight 64 5 1 2 72 bikeUnknown 2 2 bus 2 2 car 39 4 1 1 45 coach 2 2 cycle 4 4 goodsSmall 8 1 9 moped 1 1 motorbike 1 1 2 other 2 2 scooter 2 2 superbike 1 1 Southwark Serious 69 9 6 84 bikeUnknown 3 3 bus 3 3 car 42 9 4 55 cycle 4 2 6 goodsSmall 3 3 hireCycle 2 2 minicab 1 1 moped 1 1 other 6 6 scooter 1 1 taxi 3 3 Slight 240 29 1 14 284 bikeUnknown 2 2 4 bus 3 3 car 160 18 1 4 183 coach 2 1 3 cycle 12 2 14 goods 1 1 goodsSmall 26 6 1 33 goodsUnknown 4 1 5 minibus 1 1 moped 4 1 1 6 motorbike 4 4 other 6 1 7 scooter 7 7 superbike 1 1 1 3 taxi 8 2 10 Sutton Serious 18 2 1 21 car 13 1 14 cycle 1 1 goodsSmall 1 1 2 goodsUnknown 1 1 other 2 1 3 Slight 43 6 2 3 54 bikeUnknown 1 1 car 33 4 3 40 cycle 1 1 goodsSmall 4 2 1 7 moped 1 1 other 4 4 Tower Hamlets Fatal 1 1 car 1 1 Serious 46 14 1 11 72 car 35 10 1 10 56 cycle 2 2 goodsSmall 3 2 1 6 goodsUnknown 1 1 other 3 3 scooter 1 1 taxi 2 1 3 Slight 261 81 11 21 374 bikeUnknown 3 2 5 bus 1 1 car 206 70 8 11 295 coach 1 1 1 3 cycle 4 2 6 goodsLarge 1 1 goodsSmall 14 4 1 2 21 goodsUnknown 1 1 2 hireCycle 1 1 minicab 2 1 3 moped 1 1 motorbike 1 2 3 other 8 2 1 11 scooter 6 1 1 8 superbike 2 2 taxi 9 1 1 11 Waltham Forest Serious 46 8 1 2 57 bus 1 1 car 35 7 1 2 45 coach 1 1 cycle 1 1 goodsSmall 2 2 hireCycle 1 1 minibus 1 1 moped 1 1 motorbike 2 2 other 2 2 Slight 142 32 1 6 181 bikeUnknown 1 1 bus 1 1 car 118 26 1 3 148 coach 1 1 cycle 4 1 5 goods 1 1 goodsSmall 7 2 9 goodsUnknown 1 1 2 minicab 1 1 2 moped 1 1 other 5 1 1 7 superbike 2 2 taxi 1 1 Wandsworth Serious 32 5 5 42 bikeUnknown 3 3 bus 1 1 car 19 3 4 26 cycle 2 2 goodsSmall 2 2 4 minicab 1 1 moped 1 1 motorbike 1 1 other 2 2 taxi 1 1 Slight 181 21 4 4 210 bikeUnknown 5 5 bus 3 3 car 124 14 4 2 144 coach 1 1 cycle 4 4 goods 1 1 goodsLarge 1 1 goodsSmall 16 3 19 goodsUnknown 3 3 minicab 2 2 moped 1 1 motorbike 2 1 3 other 7 1 8 scooter 5 2 1 8 taxi 6 1 7 Grand Total 5712 1059 78 502 7351 TFL spending Question No: 2019/12292 Andrew Boff

Year Company Services Procured Expenditure Income received from external sources to fund Art on the Underground only January 2019 - 31 Newington, Portland, Community engagement £76,064.24 N/A May 2019 Four, Kanda property development Sutton PR Arts Specialist PR £12,500 £10,000 Grayling Crossrail 2 Community £15,233.50 N/A engagement and event planning

2018-19 to Dec 2018 Sutton PR Arts Specialist PR £31,536 £29,228 Newington, Portland, Community engagement £126,567 N/A Four, Kanda property development

Grayling Crossrail 2 Community £21,172.50 N/A engagement and event planning

Grayling Schools engagement £79,219 N/A events 2017-18 Sutton PR, Brunswick PR, Arts Specialist PR £26,053 £31,652 Bolton & Quinn Hardhat Community engagement £6,548 N/A Grayling Crossrail 2 Community £49,134.69 N/A engagement and event planning

Grayling Schools engagement £72,252.63 N/A events 2016-17 Brunswick Arts Specialist PR £24,326 £27,691 Make:Good, Hardhat Community engagement £58,242 N/A Grayling Crossrail 2 Community £31,000 N/A engagement and event planning

2015-16 Brunswick, Bolton & Arts Specialist PR £32,000 £35,720 Quinn Make:Good, Hardhat Community engagement £99,389 N/A 2014-15 Purple PR, Four, Arts Specialist PR £27,276 £90,920 Coleman Getty, Bolton & Quinn

Make:Good Community engagement £66,287 N/A

Jacob Gemma

From: Collis Jill Sent: 14 June 2019 08:12 To: Collis Jill Subject: FW: TfL Restricted: Internal Audit 17 780 trams management of fatigue Attachments: IA 17 780 Trams Management of Fatigue in Tram Operations Limited.pdf

From: Collis Jill Sent: 12 February 2018 12:47 To: 'Simon French'; Nicky Pirrie Subject: TfL Restricted: Internal Audit 17 780 trams management of fatigue

Good afternoon Simon

You may have seen from the papers published in advance of our (TfL’s) Board Safety Sustainability and Human Resources Panel that TfL’s Internal Audit team undertook an audit of FirstGroup’s fatigue management process. A number of recommendations were made where FirstGroup’s arrangements differed from the guidance issued by the Office of Rail and Road. FirstGroup has engaged a fatigue specialist, approved by us, who is reviewing their fatigue management process to address the recommendations made in the audit. A copy of the audit report is attached for your information

Regards

Jill Collis | Director of Health Safety Environment Everyone Home Safe and Healthy Everyday

Tel. email @tube.tfl.gov.uk

1

INTERNAL AUDIT REPORT HSE & Technical

Management of Fatigue in Tram Operations Limited - TOL (IA 17 780)

Rory O’Neill, Director London Trams, Transport for London

15 September 2017

TfL RESTRICTED AND CONFIDENTIAL Fatigue Management in Tram Operations Limited - TOL (IA 17 780)

CONTENTS

INTRODUCTION AND BACKGROUND ...... 3

EXECUTIVE SUMMARY ...... 4

DETAILED FINDINGS ...... 6

APPENDIX 1: MANAGEMENT ACTIONS ...... 15

APPENDIX 2: DISTRIBUTION LIST ...... 18

Audit information

Fieldwork started 13 06 2017 Fieldwork completed 15 06 2017 Auditor Peter Buzzard Audit Manager Mike Shirbon

TfL RESTRICTED AND CONFIDENTIAL Fatigue Management in Tram Operations Limited - TOL (IA 17 780)

INTRODUCTION AND BACKGROUND London Trams is the name given to the tramway linking Croydon town centre with Wimbledon, Beckenham Junction, Elmers End and New Addington. London Trams has been owned by Transport for London (TfL) since July 2008. Tram Operations Limited (TOL), part of FirstGroup plc, is responsible for operating the trams. TOL is based at Therapia Lane Croydon and employs 151 tram drivers as follows:  98 main roster drivers;  20 drivers based permanently on the early roster;  16 drivers based permanently on the late roster; and  17 drivers made up of support staff that are certified to drive trams. These drivers are required to complete one driving roster every 28 days. TOL carried out an audit of its Fatigue Risk Management System (FRMS) in May 2017. The audit was supplemented by completing the FRMS checklist in Appendix F of the ORR guidance – Managing Rail Staff Fatigue. We have highlighted in this audit report where TOL’s own audit has identified similar findings to this one. Objective This audit was requested to provide assurance on the effectiveness of TOL’s fatigue management arrangements. Scope This audit focused on the control environment in relation to the following key risk areas:  Governance.  Education and Training.  Fatigue Risk Assessment.  Fatigue Reporting.  Physical Environment.  Audit and Review. The audit also considered TOL’s Fatigue Risk Management System (FRMS) with respect to the Office of Rail and Road (ORR) guidance – Managing Rail Staff Fatigue. The guidance is aimed at companies and individuals who have responsibility for managing fatigue in railway staff, including those who have control of safety critical work under regulation 25 of the Railways and Other Guided Transport Systems (Safety) Regulations 2006 (ROGS). The guidance gives ‘advice on good practice in managing fatigue associated with work in the rail industry’; it is intended to provide ‘practical advice on what responsible employers should already be doing’.

TfL RESTRICTED AND CONFIDENTIAL Fatigue Management in Tram Operations Limited - TOL (IA 17 780)

EXECUTIVE SUMMARY All the scope areas were examined during the audit.

This audit provides assurance against TOL’s own standards and identifies areas for potential improvement based on ORR guidance.

Areas of Effective Control We identified the following areas of effective control with regard to TOL’s own FRMS:  TOL’s standards and limits on working hours have been effectively communicated;  Variances in hours worked including overtime, exceedances and shift exchanges are being managed in compliance with TOL’s standards and limits;  Employee consultation has taken place on roster changes; and  When booking on, drivers are checked by Control Room staff for signs of fatigue, including effects from prescription and over the counter medications.

Opportunities for Improvement The following findings are areas for potential improvement of TOL’s FRMS with respect to the ORR guidance on Managing Rail Staff Fatigue, which states: ‘Following the guidance is not compulsory and you are free to take other action. But if you do follow the guidance you will normally be doing enough to comply with the law’. Several of these findings align with work already underway following TOL’s own audit of their FRMS and TOL’s completion of the FRMS checklist in Appendix F of the ORR guidance:  Updating the FRMS to detail the roles and responsibilities for those employees involved in managing fatigue and the requirement to review the FRMS when the effectiveness of the arrangements is in doubt;  Formalising the process for determining when to carry out a fatigue risk analysis;  The consideration of ORR’s Good Practice Guidelines – Fatigue Factors, and industry good practice, in addition to applying the HSE Fatigue Risk Index Tool to the roster design;  The consideration of ORR’s Good Practice Guidelines – Fatigue Factors, in addition to numerical limits, in the management of changes to drivers’ hours of work, including shift exchanges;  Reviewing fatigue awareness training for managers and supervisors to ensure it includes factors that increase fatigue and how to recognise fatigue in others;  Analysing, communicating and trending data available from monitoring for fatigue implications and for reviewing the effectiveness of the FRMS;  Documenting the procedures for managing fatigue by the Control Room and supervisors e.g. driver booking on, approving overtime, exceedances, shift exchanges and approving medications:

TfL RESTRICTED AND CONFIDENTIAL Fatigue Management in Tram Operations Limited - TOL (IA 17 780)

 Reviewing Working Time Regulations and industry good practice to determine if late shift workers, particularly those on permanent late shifts, should be classified as night shift workers; and  Formalising the arrangements for including within the FRMS the design of the cab and driving environment, and its associated impact on fatigue risk.

TfL RESTRICTED AND CONFIDENTIAL Fatigue Management in Tram Operations Limited - TOL (IA 17 780)

DETAILED FINDINGS 1.0 Governance 1.1 Ownership and Control of Fatigue Management Arrangements Regulation 25 of ROGS Regulations 2006 - states that “every controller of safety critical work shall have in place arrangements to ensure, so far as is reasonably practicable, that a safety critical worker under his management, supervision or control does not carry out safety critical work in circumstances where he is so fatigued or where he would be liable to become so fatigued that his health or safety or the health or safety of other persons on a transport system could be significantly affected.” SM0003 – Safety Critical Employees – Management of Fatigue - details TOL’s Fatigue Risk Management System. SM0003 is available via TOL’s electronic document control system (XDMS). It is not formally communicated. QP0005 – Document Control - Clause 4.1.3 – states that, as a minimum, documents shall be reviewed every two years. SM0003 was last reviewed in June 2014. SM0003 does not clearly detail the roles and responsibilities for those employees involved in managing fatigue (Management Action 01). Recommendation 6 from TOL’s audit of their FRMS identified that a full review of TOL’s fatigue management arrangements is required. A draft copy of the revised SM0003 was evidenced as detailing roles and responsibilities for those employees involved in managing fatigue (See Management Action 01). SM0003 Clause 2 – details TOL’s fatigue management policy. The policy was evidenced as including Senior Management commitment, allocation of adequate resources and collaboration. This is in accordance with the ORR’s guidance – Managing Rail Staff Fatigue - Section 5.13. 1.2 Fatigue Preventative and Protective Measures ORR’s guidance – Managing Rail Staff Fatigue - Section 6.53 - states that controllers of safety critical work should be aware of factors affecting the onset of fatigue and reduce these as far as is reasonably practicable. TOL’s fatigue control measures are based on TOL’s standards and limits on working hours, breaks, shift exchanges and exceedances (referred to as breaches by TOL). These are recorded in SM0003. Recommendation 1 from TOL’s audit of their FRMS identified that those responsible for making shift exchanges should consider fatigue implications in addition to checking compliance with TOL’s standards and limits. ORR’s Good Practice Guidelines – Fatigue Factors, states that fatigue factors, in addition to numerical limits, should be considered in the management of changes to driver’s hours of work, including shift exchanges (Management Action 04). TOL’s standards and limits are communicated as follows:  Lesson Plan TLP 0005 – Drivers’ Hours - this lesson plan is delivered as part of the driver’s basic training.

TfL RESTRICTED AND CONFIDENTIAL Fatigue Management in Tram Operations Limited - TOL (IA 17 780)

 ALO 0030 – New Employee Induction Checklist – delivered as part of employee induction including TOL’s working hours standards and limits in relation to safety critical work.  Briefing dated 19 May 2017 - reminding drivers of the requirement to be fit for duty when they sign on to work and their responsibilities in relation to fatigue.  Briefing – Safety Critical Work, Fatigue – dated 8 December 2016 - evidenced as being distributed with the drivers’ pay slips. This briefing had also been delivered on a one to one basis by the Operations Manager to approximately 66% of the drivers to date. 1.3 Joint Management / Staff Consultation Arrangements ORR’s guidance – Managing Rail Staff Fatigue - Section 6.68 – states that controllers of safety critical work should consult with safety critical workers and their safety representatives on the arrangements needed to manage fatigue and when standards and limits are to be changed. SM0003 Section 5 – states that TOL will consult with employee representatives when new roster patterns are introduced. An e-mail dated 12 February 2016 was evidenced confirming that ASLEF had been consulted, and their suggestions incorporated, on the latest rosters. 1.4 Monitoring Effectiveness of Control Measures ORR’s guidance – Managing Rail Staff Fatigue – states that controllers of safety critical work should monitor the arrangements for managing fatigue to assess how effectively they are controlling the risks arising from fatigue. This includes actual hours worked, exceedances and overtime levels. Trends from monitoring should be used to improve the FRMS. TOL’s allocation team are responsible for allocating drivers to rosters and reviewing compliance to the standards and limits of actual hours worked. The allocation team were able to evidence that the following data is recorded:  Hours Worked - are recorded on TOL’s Driver Allocation System (DAS). Individual driver’s time sheets are also retained as a hard copy record of what is entered into DAS.  Overtime - is recorded on the overtime sheet which is populated by the Control Room for each shift. This is primarily used for payment purposes.  Exceedances – DAS automatically flags any exceedances to TOL’s standards and limits. Exceedances are also recorded on the variations sheet which is populated by the Control Room. The Control Room log book is used to record any exceedances and is countersigned by the authoriser. Unexplained exceedances in DAS were evidenced as being escalated to the management team for review.  Shift variations – the planned shifts worked by each driver (early or late) are shown on the roster.

TfL RESTRICTED AND CONFIDENTIAL Fatigue Management in Tram Operations Limited - TOL (IA 17 780)

 Shift exchanges - are shown on the variations sheet as MX or DX depending on whether the shift exchange was requested by the employee or the Company.  Absence - is recorded on DAS along with the reason. Absence monitoring is also completed by Human Resources for the purposes of employee support. Recommendation 7 from TOL’s audit of their FRMS identified that an assessment of staff that regularly work overtime should be made to determine if other control measures should be implemented to safeguard against fatigue. TOL should also consider analysing other data available from monitoring for fatigue implications. This analysis should also be used to review and update the FRMS (Management Action 06). Compliance to TOL’s working hours standards and limits is measured as a Key Performance Indicator (KPI). This is reported to the Management Safety Meeting. A review is carried out of randomly selected time sheets for compliance to TOL’s standards and limits (see section 3.5 of this report). 2.0 Education and Training 2.1 Basic Fatigue Awareness ORR’s guidance – Managing Rail Staff Fatigue - Section 5.65 - states that all staff should have a basic awareness of how to recognise fatigue in themselves or others. TOL’s fatigue awareness training for drivers is included in the drivers’ Passenger Service Assessment (PAX) training. This is based on adherence to TOL’s standards and limits on working hours and shift patterns. The Operations Director, Operations Manager, Duty Managers (x5) and Control Room Staff (x15) are all trained as drivers and as such receive the basic fatigue awareness training which was evidenced as including:  Lesson Plan TLP 0005 – Drivers’ Hours – including TOL’s standards and limits on working hours, breaks, shift patterns and rest periods.  DVD “The 21st Century Professional Driver” - is also shown to the drivers.  TFM 0011 - Safety Responsibility Statement - including drivers not being fatigued when reporting for duty and reporting if they become fatigued during duty. This statement is signed by each driver. Training Records are held on XDMS. The records were evidenced as confirming that all those available to drive have passed the Passenger Service Assessment (PAX) training. Formal refresher training is not in place. Refreshment of the fatigue management arrangements is provided by briefings given to remind drivers of the fatigue management arrangements and their responsibilities (as evidenced in section 1.2 of this report).

TfL RESTRICTED AND CONFIDENTIAL Fatigue Management in Tram Operations Limited - TOL (IA 17 780)

2.2 Fatigue Training for Management and Supervisors ORR’s guidance – Managing Rail Staff Fatigue - Section 5.39 – states that where people have responsibilities for managing fatigue, there should be adequate competence management arrangements in place to ensure that they acquire and retain the appropriate fatigue knowledge and skills. This will be particularly important for supervisors and managers of staff carrying out safety critical work, and staff who devise and amend rosters. ORR’s guidance – Managing Rail Staff Fatigue - Section 5.65 – also states that basic awareness of how to recognise fatigue in others is especially important for staff responsible for carrying out fitness for duty checks and for those responsible for ensuring staff remain fit for duty throughout their shifts. Recommendations 1 and 2 from TOL’s audit of their own FRMS identified that not all employees have sufficient knowledge of the factors that increase fatigue (specifically those carrying out briefings and checking compliance when shifts are exchanged). TOL should review their fatigue awareness training for managers and supervisors to ensure it includes factors that increase fatigue and how to recognise fatigue in others (Management Action 05). 2.3 Training in Roster Design ORR’s guidance – Managing Rail Staff Fatigue - Section 6.17 – states that it is vital that staff who devise working patterns receive training in roster design and the implications for fatigue. It could not be evidenced that TOL’s roster designer had received training in minimising fatigue in roster design (See Management Action 05). 3.0 Fatigue Risk Assessment and Managing the Risks ORR’s guidance – Managing Rail Staff Fatigue - Stage 2 – states that controllers of safety critical work should identify, set and adhere to appropriate standards for working hours and working patterns, observing any relevant working time limits that apply. The standards and limits set should take into account recognised national industry good practice guidance applying to railways and other guided transport systems. 3.1 Standards and Limits TOL’s standards and limits for working hours were evidenced as considering:  ORR’s guidance – Managing Rail Staff Fatigue Section 6.20 – detailing the criteria to which numerical limits should be applied.  Limiting overtime with respect to not exceeding the maximum permitted hours without authorisation. 3.2 Controlling Variances and Exceedances ORR’s guidance – Managing Rail Staff Fatigue - Section 5.44 – states that the FRMS should outline in particular the organisational arrangements for controlling overtime, shift exchange, travel time and on-call duties.

TfL RESTRICTED AND CONFIDENTIAL Fatigue Management in Tram Operations Limited - TOL (IA 17 780)

Potential fatigue due to variances, shift exchanges and overtime is controlled with respect to TOL’s standards and limits. The Control Room staff are not trained in recognising other fatigue causal factors or fatigue in others (See Management Action 05). The process by which the Controllers (located within the Control Room) manage variances and exceedances is not documented. This is being reviewed as part of TOL’s full review of their FRMS (Management Action 07). The duty Control Room Manager was interviewed to evidence that the controls relating to TOL’s standards and limits are understood and actioned as follows:  Overtime is checked to be within TOL’s standards and limits and recorded on the overtime sheet. Any variances leading to the need for overtime are recorded on the variance sheet.  Exceedances are authorised by a supervisor or relevant line manager, recorded in the logbook and countersigned by the authoriser. The last exceedance was evidenced in the Control Room logbook as occurring on 26 July 2016 at 18:51. A secondary check for any exceedances is made by the allocations team, see section 1.4 of this report.  Shift exchanges are checked to be within TOL’s standards and limits and recorded on the variations sheet as MX or DX depending on whether it was requested by the employee or the Company respectively. 3.3 Provision of Breaks ORR’s guidance – Managing Rail Staff Fatigue - Section 6.57 – states that controllers of safety critical work should make arrangements for workers to take breaks during periods of duty. Drivers’ breaks are set within the timetabling. This was evidenced on the Duty Cards which detail the timetabling, and associated rest periods, for the routes driven within the roster. Where breaks do not take place at the designated time, or are reduced in length, the Control Room will make mutually agreed adjustments to accommodate additional break time elsewhere in the shift. This is not documented. Section 10 of TOL’s audit of their FRMS recommends that guidelines on driver breaks are devised and agreed (See Management Action 07). SM0003 Clause 10 – Provision of Breaks – details the length and frequency of breaks. The number of occurrences where this clause is not met is not monitored or analysed (See Management Action 06). 3.4 Roster Design ORR’s guidance – Managing Rail Staff Fatigue - Appendix A – states that working patterns should be designed to incorporate good fatigue management principles and recommends that an assessment is carried out on the proposed pattern using a fatigue assessment tool. TOL’s base rosters established in 2016 were evidenced as being analysed using the HSE Fatigue and Risk Index tool. Section 8 of TOL’s audit of their own FRMS identified that rosters are assessed using the HSE Fatigue Index but no formal risk assessment of the roster had been carried out for factors that exacerbate fatigue. ORR’s Good practice guidelines – Fatigue Factors, and industry good

TfL RESTRICTED AND CONFIDENTIAL Fatigue Management in Tram Operations Limited - TOL (IA 17 780)

practice, should be considered in addition to applying the HSE Fatigue Risk Index Tool to the roster design (Management Action 03). 3.5 Time Sheet Review SM0003 - Clause 13 – states that time sheets will be randomly selected to review for compliance to the standards and limits on a periodic basis. This is carried out by the HR Manager and communicated by e-mail, including the details of which drivers were checked. An e-mail dated 22 May 2017 was evidenced as confirming that the time sheets for eight drivers, four controllers and one duty manager had been checked as complying for period 13 2016/17. The 2017/18 Inspections and Tours report - was also evidenced to confirm that this information is communicated to TOL’s Safety Management Review Group on a periodic basis. 3.6 Managing the Fatigue Risk of Actual Hours Worked The recording of actual hours worked, and the controlling of variances and exceedances, is detailed in sections 1.4 and 3.2 of this report. The actual hours worked are controlled with respect to TOL’s standards and limits, other fatigue factors are not considered. A sample of actual hours worked, including variances, is not evaluated using a fatigue risk tool (Management Action 02). 3.7 Consideration of Travelling Time in Fatigue Management ORR’s guidance – Managing Rail Staff Fatigue - Section 8.7 – states that fatigue management systems should include arrangements for assessing and controlling risks from travel time. Driver travel time is considered in the recruitment process by recruiting drivers who live within a 1 hour commute of the depot. This ensures that if a maximum allowable 12 hour shift is worked, combined with 2 hours travelling to and from work, a 10 hour rest period is achieved. Drivers are required to notify TOL of any changes of address, this requirement is included in ALO 0030 – New Employee Induction Checklist. The nature and duration of changes to a driver’s travel time is not fatigue risk assessed (See Management Action 02). 3.8 Managing Changes to Employees Circumstances ORR’s guidance – Managing Rail Staff Fatigue - Section 6.77 – states that safety critical workers should be made aware of the procedures to be followed if they consider that there are circumstances, such as significant life events or medical conditions, which may cause them to either be or become so fatigued that health and safety could be significantly affected. SM0021 – Driver Monitoring – includes details of domestic circumstances. This procedure is applied to drivers at set intervals during their first year of employment. All drivers, including those rostered once a month, are then monitored annually. This process is also implemented following behaviour or performance issues.

TfL RESTRICTED AND CONFIDENTIAL Fatigue Management in Tram Operations Limited - TOL (IA 17 780)

Reporting changes to employee circumstances, with the exception of home address, is not included in ALO 0030 – New Employee Induction Checklist, or TFM 0011 - Safety Responsibility Statement. There is no documented process for drivers to report changes in circumstances (See Management Action 07) or for those changes to be fatigue risk assessed (See Management Action 02). 3.9 Managing the Risk of Fatigue when booking on and off Shifts ORR’s guidance – Managing Rail Staff Fatigue - Sections 5.64 and 5.65 – state that companies should have fitness for duty checking arrangements to ensure that staff reporting for safety critical work are not suffering, or likely to suffer during their shift, from fatigue. This checking should be carried out face to face by staff with awareness in recognising fatigue. The requirement for employees not to book on if fatigued is included in the driver induction and Lesson Plan 5 of their training. This requirement was also included in the briefing – Safety Critical Work, Fatigue – dated 8 December 2016, see section 1.2 of this report. Drivers sign on at the Control Room where the controllers monitor their fitness for work including fatigue. The controllers are not trained in recognising the symptoms of fatigue (See Management Action 05). Control Room staff were interviewed to determine what they would do if a driver appeared unfit for work. It was stated that they would firstly speak to the driver, and if deemed unfit to work they would be signed off as sick, sent home and their roster re-assigned. This process, including review of the reasons for fatigue, how to manage the individual, escalation (if necessary) and ensuring the safety of the individual in returning home is not documented (See Management Action 07). 3.10 The use of Fatigue Risk Assessment Tools ORR’s guidance – Managing Rail Staff Fatigue - Section 5.32 – states that the FRMS should outline how fatigue risk assessments are to be carried out, who should carry them out, and under what circumstances they should be completed, for instance before changes in working patterns, after incidents or reports of concerns about fatigue. TOL has no formal process for determining when a fatigue risk analysis should be carried out. For example FOM 003 – Unauthorised SPAS Event Report - was evidenced as confirming if the working limits had been exceeded but does not consider any other fatigue risk factors. (See Management Action 02). Drivers on late shifts are allocated to tram preparation duties for the later part of their shift. For this reason TOL does not consider drivers working late shifts, either permanently or on rotation, should be considered as night workers and therefore subject to fatigue risk assessment. For comparison purposes LU considers any driver completing 3 rostered hours between 11pm and 6am on a regular basis to be classified as night workers. Working Time Regulations and industry good practice should be reviewed to determine if

TfL RESTRICTED AND CONFIDENTIAL Fatigue Management in Tram Operations Limited - TOL (IA 17 780)

late shift workers, particularly those on permanent late shifts, should be classified as night shift workers (Management Action 08). 3.11 Fatigue Related Medical Fitness for Work ORR’s guidance – Managing Rail Staff Fatigue - Section 6.6 – states that Regulation 24(1) (a) of ROGS requires controllers of safety critical work to ensure that people carrying out such work have been assessed as fit for that work, and Regulation 24(1) (d) requires them to have in place arrangements for monitoring the ongoing fitness of such staff. These fitness assessments and monitoring arrangements should take potential risks from fatigue into account. SM0008 – Fitness Standards (Safety Critical Work) - Clause 3.2 - defines the frequency at which in-service medicals, following the initial medical, are carried out. SM0008 - Appendix A – Medical Standards – details minimum medical fitness requirements for drivers including checks for alerted levels of consciousness and that those drivers with sleep apnea are deemed unfit for duty until treatment is successful. Medicals are completed by Maitland Medical Services. Late shift drivers, particularly permanent late shift drivers, are not considered by TOL as night shift workers and therefore not subject to a medical appropriate for night shift workers (See Management Action 08). ALO0030 – New Employee Induction Checklist – includes reporting the use of prescription and over the counter medicines to the company. Control Room staff were interviewed to determine what they would do if a driver reports they are taking medication. It was stated that the medication is checked against a permitted medications list issued by Maitland Medical Services. If the medication is not on the permitted list the driver is either told not to take the medication or stood down. If a driver is stood down Maitland Medical Services are e-mailed with details of the medication to determine if the driver is fit for duty. The procedure for reporting medications, and the subsequent actions, is not documented (See Management Action 07). 4.0 Fatigue Reporting 4.1 Process for Staff to Report Fatigue Related Issues ORR’s guidance – Managing Rail Staff Fatigue - Sections 5.38 and 5.75 – states that there should be open, easy-to-use channels of communication for reporting any concerns and that a non-punitive reporting system is essential to encourage staff to report fatigue. TOL employees can report concerns using FirstGroup’s confidential reporting system (managed by Ethics Point) or CIRAS. It was evidenced that this is publicised on notice boards around the site. The HR Manager is TOL’s nominated champion in CIRAS. Confidential reports have been received twice on First Group’s system and twice on CIRAS. It was evidenced that only one of these reports, received via CIRAS in 2014, referred to fatigue. This related to fatigue caused by shift rotations and included a response by TOL.

TfL RESTRICTED AND CONFIDENTIAL Fatigue Management in Tram Operations Limited - TOL (IA 17 780)

TOL’s completion of the FRMS checklist in Appendix F of the ORR guidance recognised that employees use more informal routes to report fatigue issues, for example talking to their manager. The procedure for recording and managing these reports is not documented (See Management Action 07). 5.0 Physical Environment TOL advised that TfL provide the rolling stock and as such they consider the design of the cab, and its associated impact on fatigue risk, to be TfL’s responsibility in the first instance. HSE document HSG48 - Reducing Error and Influencing Behaviour - refers to the combined effect of the individual, organisation and the job. There is a risk that in considering these factors in isolation, the collective impact on fatigue may not be identified. The arrangements for including the design of the cab, and its associated impact on fatigue risk, within the FRMS should be formalised (Management Action 09). 6.0 Audit and Review ORR’s guidance – Managing Rail Staff Fatigue - Section 5.84 – states that the FRMS should be a self-correcting process which periodically audits and reviews the effectiveness of the organisation’s existing fatigue policy. The review should include the fatigue related organising, planning, implementing, and measuring processes. TOL carried out an audit of their FRMS in May 2017. This was supplemented by completing the FRMS checklist in Appendix F of the ORR guidance – Managing Rail Staff Fatigue. Where this audit’s findings concur with those from TOL’s audit this is highlighted in this report. QP 0005 – Document Control - Clause 4.1.3 - states that TOL documentation shall be reviewed every 2 years or earlier if part of an incident investigation. The last recorded review of SM0003 was in June 2014. SM0003 does not include a statement to undertake a review of the FRMS when the effectiveness of the arrangements is in doubt (See Management Action 01). TOL Integrated Audit Schedule 2017 - was evidenced as including an audit of TOL’s Safety Management System. Items to be covered in this audit are based on TOL’s Risk Profile and discussions with the Head of Safety. This was evidenced as including compliance to ROGS.

TfL RESTRICTED AND CONFIDENTIAL Fatigue Management in Tram Operations Limited - TOL (IA 17 780)

APPENDIX 1: MANAGEMENT ACTIONS Ref. Description Report Management Action Owner / Paragraph Date 01 SM 0003 – Safety Critical Employees – 1.1 These requirements should be included Sarah Management of Fatigue - does not clearly 6.0 in the revised SM 0003 being developed Branwhite detail the roles and responsibilities for those as part of TOL’s full review of its Fatigue 15 employees involved in managing fatigue, or Risk Management System. December include a statement to undertake a review of 2017 the FRMS when the effectiveness of the arrangements is in doubt. 02 TOL has no formal process for determining 3.6 TOL’s FRMS should outline how fatigue Sarah when a fatigue risk analysis should be carried 3.7 risk assessments are to be carried out, Branwhite out including: 3.8 who should carry them out, and under 15  Post Incident. what circumstances they should be December 3.10 completed.  Sampling actual hours worked. 2017  Risk assessing changes to travel time.  Risk assessing changes to driver’s circumstances. 03 ORR’s Good practice guidelines – Fatigue 3.4 ORR’s Good practice guidelines – Sarah Factors, and industry good practice, are not Fatigue Factors, and industry good Branwhite considered in addition to applying the HSE practice - should be considered in the 15 Fatigue Risk Index Tool to the roster design. roster design. December 2017 04 TOL’s fatigue control measures set limits on 1.2 ORR’s Good practice guidelines – Sarah working hours, breaks, shift exchanges and Fatigue Factors, in addition to numerical Branwhite exceedances. ORR’s Good practice guidelines limits, should be considered in the 15 – Fatigue Factors, in addition to numerical management of changes to driver’s December limits, are not considered in the management of hours of work, including shift exchanges. 2017 changes to driver’s hours of work, including

TfL RESTRICTED AND CONFIDENTIAL Fatigue Management in Tram Operations Limited - TOL (IA 17 780)

shift exchanges. 05 TOL’s fatigue awareness training does not 2.2 TOL’s training should be reviewed to Sarah include: 2.3 ensure that drivers are competent in Branwhite  Personal assessment of fatigue risk. 3.2 recognising fatigue risk in themselves, 15 and that those responsible for  Training for management and supervision December 3.9 authorising overtime, exceedances and on the factors that increase fatigue. 2017 shift exchanges are competent in  Training for Control Room staff in recognising fatigue risk in others. recognising fatigue in drivers when booking on. Training should be provided in  Training in minimising fatigue in the roster minimising fatigue in the roster design. design.

06 Data available from monitoring, for example 1.4 The process to ensure data from Sarah overtime and exceedances, is not analysed, 3.3 monitoring, and other sources, is used to Branwhite communicated, trended or used to review and review and update the FRMS should be 15 update the FRMS. considered. December The number of occasions where breaks are 2017 moved or not taken is not monitored. 07 The following procedures are not formally 3.2 TOL’s FRMS should be reviewed to Sarah documented: 3.3 ensure that the processes for managing Branwhite  The Control Room’s management of 3.8 and reporting fatigue are documented. 15 The procedure for reporting medications, variances, exceedances and changes to 3.9 December breaks. and the subsequent actions should be 2017 3.11  Reporting driver’s changes in documented. circumstances. 4.1  The process when drivers are deemed unfit for work due to fatigue.  The procedure for reporting medications, and the subsequent actions. The procedure for recording and managing

TfL RESTRICTED AND CONFIDENTIAL Fatigue Management in Tram Operations Limited - TOL (IA 17 780)

fatigue reporting by staff.

08 For fatigue risk assessment, and medical 3.10 Working Time Regulations and industry Sarah fitness for work purposes, TOL does not 3.11 good practice should be considered to Branwhite consider late shift workers, particularly those on determine if late shift workers, 15 permanent late shifts, to be night workers. particularly those on permanent late December shifts, should be classified as night shift 2017 workers. 09 TOL does not fatigue risk assess the driving 5.0 The arrangements for including the Sarah environment as they consider the design of the design of the cab, and its associated Branwhite cab, and its associated impact on fatigue risk, impact on fatigue risk, within the FRMS 15 to be TfL’s responsibility. should be formalised. December 2017

TfL RESTRICTED AND CONFIDENTIAL Fatigue Management in Tram Operations Limited - TOL (IA 17 780)

APPENDIX 2: DISTRIBUTION LIST

This report was sent to Rory O’Neill, Director London Trams and copied to:

Jonathan Fox Director of London Rail Leon Daniels Managing Director, Surface Transport Jonathan Morris Head of Commercial Disputes Resolution Howard Carter General Counsel Clive Walker Director Internal Audit Robert Kemp Senior Audit Manager Jill Collis Director of Health, Safety & Environment Gareth Powell Director of Strategy & Contracted Services

TfL RESTRICTED AND CONFIDENTIAL Appendix - 2019/12365

Our vision: Developing our railway together, proudly connecting communities around London.

Our values:

BEING CUSTOMER-FOCUSED BEING “CAN DO”

Being visible and available Being willing and flexible in the face of challenges Being professional and polite Making things happen Providing timely information WORKING Continually improving the way we do things

Showing each other respect TOGETHER Promoting safety in everything we do Building trust by delivering our promises Prioritising personal safety and security Communicating in a straight-forward way Playing our part in running a safe railway

BEING OPEN AND HONEST BEING SAFE

Our focus areas:

Our people

Our railway Our customers

Our community Job Description for Role: Customer Service Ambassador Employee name:

Organisation Post: Customer Service Ambassador UPN Direct Posts Department: Customer Service Number reports Location: Various 20 0 Safety Critical Post/Key Safety Yes Post or Neither Nominated deputy: NA

Job purpose

Customer Service Ambassadors will be responsible for our customers’ travel experience across the LOROL network by:

- Delivering Crowd Control and Dwell Time Improvements - Focusing on Customer Service Standards - Pro-actively engage during Service Disruption - Own and take pride in Platforms and Stations worked at - Mobile (multi location) and Multifunctional

This role ensures that our customers’ well being and safety is a priority during times of overcrowding. Striving to exceed our KPI measures set for stations and train performance whilst ensuring customer expectations are met.

The role requires a confident and outgoing customer-focused individual who is flexible, able to think on their feet and full of initiative. As a key first point of contact for customers you will be the face of LOROL, so you will be approachable, smart and thrive on interacting with customers within a busy and challenging metro environment.

Principal responsibilities

Crowd Control: Fully support the running of a right time railway considering train performance in all duties by 1 facilitating the loading of trains at the platforms, utilising all station systems to best support the customer experience.

Crowd Control: Engage with customers on platforms by keeping them informed, utilising the full length of the 2 platform and supporting passenger loadings across services.

Crowd Control: Support crowd control measures arising from planned local events across the LOROL network, 3 including interchange stations.

Customer Service: Ensure customer comfort and understanding by responding positively to enquiries. Politely and 4 professionally meeting and greeting customers as they arrive at the station.

Customer Service: Maintain right time train performance by safely and efficiently assisting Mobility Impaired 5 Passengers, Visually Impaired Passengers and any other passengers (e.g. ill passengers, organised groups of children).

Customer Service: Ensure the safety and overall travelling experience of customers and other station users, by 6 following the role specific guidelines as laid down in LOROL’s Safety, Quality and Environment standard, for example completing accident and incident forms.

Customer Service: Retrieve items from the track and evacuate passengers from Stranded Trains or premises during 7 disruption events or safety evacuations.

Customer Service: Patrol trains advising customers of the latest service information and assisting with customer 8 loadings as required.

Customer Service: Working with Station management to action improvements to the customer experience in 9 response to relevant customer experience feedback or as identified proactively in your day to day work.

All: Resolve queries within the remit of the role, forwarding all other issues to the appropriate person for resolution 10 in a proactive and timely manner.

Service Disruption: Communicate effectively with and assist customers, and LOROL staff ensuring that they are advised of any delays or cancellations of services. Customer Service Ambassadors to be at the forefront of service 11 disruption management at the station, on the platform, working in partnership with the station team, other LOROL staff and any relevant railway industry stakeholders.

Service Disruption: Provide customer service assistance and information during periods of engineering works which includes compliance to information provision during Rail Replacement Bus Service. This includes visually and 12 verbally within the station environment and/ or Rail Replacement bus stop, proactively working with and alongside all parties involved with managing the replacement services.

Service Disruption: Pro-actively lead in disruption management by ensuring customers are kept informed with 13 accurate information and advised in a timely manner utilising station systems and disruption management tools. Station Ownership: To be fully conversant with the Station Dashboard and actions to be taken to improve station 14 specific results.

Station Ownership: Ensure compliance with, and knowledge of, the KPI regime across all measures supported by 15 the completion of Over to You checks

Station Ownership: Operate the station gate line where appropriate in line with standard operating procedures 16 and ensure the validity of tickets, advising customers of where and how to buy a ticket for travel.

Station Ownership: Undertake the winterisation gritting/ snow clearance process by treating station areas as 17 detailed in each station specific plan when instructed that the forecast highlights a risk.

Station Ownership: Undertake and record all Station Security Searches as defined by the TRANSEC category of your 18 station including lifts/ disabled ramps/ toilets where appropriate and as directed by the Station management Team.

Station Ownership: Actively participate in all training courses as directed and return to the Station identifying ways 19 in which the new knowledge can be valuably used.

Undertake any other task as reasonably requested by LOROL management to further the efficient, safe and 20 customer focussed delivery of the LOROL’s railway.

Key safety responsibilities and safety training requirements

General safety responsibilities

1 Your general safety responsibilities are covered in the Employee Safety Manual. You are responsible for making yourself familiar with the contents of the Employee Safety Manual. If there is anything in the Manual you do not understand, or if you are not clear which parts of the manual apply to you, you must contact your line manager for clarification

All employees must have a basic understanding of fire safety unless their role requires them to have more 2 specialised training. You must successfully complete the fire safety training within three months of your appointment to your position

3 You must receive a safety induction from your manager which includes the following local information: a. Location of safety notice board b. Location of accident book c. First aid arrangements d. Location of fire equipment, including fire alarms and extinguisher

It is your responsibility to make sure you familiarise yourself with these arrangements and that you refresh that knowledge on a regular basis

4 The safety notice board contains much of the information you need. You should check the notice board on a regular basis

Specific safety responsibilities In addition to your general safety responsibilities your role includes the following specific safety responsibilities.

01.01 • PTS Standard

Safety training requirements

• LOROL PTS card holder

Person specification

Education: • Customer Service NVQ or minimum 5 GCSE (Desirable) • Working knowledge of MS Office (Desirable)

Experience: • Proven experience of working in a face to face Customer Service environment (Essential) • Experience of working un-sociable shifts (Desirable) • Proven experience of successfully resolving queries to improve the customer experience. Proven experience of creating and maintaining positive long term relationships with customers and work colleagues. (Essential) • Hazard Identification (Desirable)

Knowledge: • Competent understanding of Health and Safety issues in the workplace locations (Desirable) • Knowledge of Railway Operations (Desirable) • Disability Awareness (Desirable)

Skills and competencies: • Excellent Inter-personal skills (Essential) • Good written and spoken English (Essential) • Basic IT Skills (Essential) • Ability to cope in a crowded environment and manage conflict (Essential) • Problem solving skills (Essential) • Ability to speak additional languages (Desirable) • Ability to work flexibly (Essential) • Proven ability to maintain calm and professional under pressure (Essential)

Preparation and authorisation Prepared by: Date: Authorised by: Date:

Acknowledgements

• The Post holder has received their job description and understands the responsibilities documented • The Post holder has received their Employee Safety Handbook and understands the safety responsibilities documented • The Line Manager has provided the Post holder with an explanation of their safety responsibilities • The Line Manager is satisfied and the Post holder certifies that the safety responsibilities in this document are understood

Signature and date: Signature and date:

Line Manager

Signature and date: Post holder

Nominated Deputy

Name: Name: Name: Name: Post: Post: Post: Post:

Appendix - 2019/12365 Our vision:

Developing our railway together, proudly connecting communities around London. Our values:

BEING CUSTOMER-FOCUSED BEING “CAN DO”

Being visible and available Being willing and flexible in the face of challenges Being professional and polite Making things happen Providing timely information WORKING Continually improving the way we do things

Showing each other respect TOGETHER Promoting safety in everything we do Building trust by delivering our promises Prioritising personal safety and security Communicating in a straight-forward way Playing our part in running a safe railway

BEING OPEN AND HONEST BEING SAFE

Our focus areas:

Our people

Our railway Our customers

Our community

Job Description for Role: Customer Host

Employee name:

1 Organisation Post: Customer Host UPN Direct Posts Department: Customer Services Number reports Location: London Overground Network TBC Nil Safety Critical Post/Key Safety Neither Post or Neither Nominated deputy: N/A

Job purpose

Customer Hosts strive to exceed our customer’s expectations. Ensuring that the Station is clean and welcoming with up to date information on display they are highly visible on the Station. Duties will be performed in a safe manner and in accordance with LOROL’s rules and regulations. Customers Hosts will be in full uniform and be a reassuring presence and a source of information to our customers whilst protecting revenue by selling travel products and remotely monitoring gatelines and where appropriate operating gatelines in a professional and friendly manner. They have pride in their Station and always strive to provide the most pleasant environment possible for our customers.

Principal responsibilities

1 Ensure your personal safety and that of others at all times

Undertake and record all Station Security Searches as defined by the TRANSEC category of your station 2 including lifts / disabled ramps / toilets where appropriate and as directed by the Station Management Team

3 In the event of a lighting failure report immediately to the operations control centre and assist in the implementation of any Emergency Lighting

Be fully conversant with your stations Crowd Control and Evacuation Plans implementing actions as 4 detailed in these plans when appropriate. The Station Management Team will provide full training and documented refresher training

Ensure that the Station is unlocked and open and that where appropriate TVM’s are unlocked and in 5 operation at the start of service fifteen minutes before the first train

6 Undertake Contractor Site Specific Safety Briefings as instructed by the Station Management Team. The Station Management Team will provide full training and documented refresher training

Where available Monitor local station CCTV reporting any unusual or criminal events to the British 7 Transport Police and the Station Management Team. The Station Management Team will provide full training and documented refresher training where appropriate

8 Comply with the LOROL Accident and Incident reporting process

9 Attend any Fire Precautions training courses and implement learning in the course of your day to day duties

Understand and comply with LOROL’s COSHH regulations and ensure that the correct and approved PPE 10 is available to you according to the COSHH assessments. You are not allowed to purchase any materials unless COSHH assessments are held

2

11 Be fully aware and adhere to LOROL’s Alcohol & Drugs Policy

12 Respect colleagues at the Station by keeping all areas including the ticket office and any mess areas free of clutter and clean and tidy

13 Look after, keep clean and wear any safety shoes issued to you

14 Report any anti-social behaviour at Stations in accordance with LOROL policy and Railway Bylaws

15 Staff may assist customers on the station but when assisting with prams/buggies the staff member must only carry the pram/buggy as the customer must be responsible for carrying the child

16 To fully support the running of a right time railway considering train performance in all duties, including reporting delayed trains and reasons for the delays to the operational control

17 Communicate effectively with and assist customers and other LOROL staff ensuring that they are advised of any delays or cancellations of services updating the Service Update Board half hourly

18 Ensure customer comfort and understanding by responding positively and politely to enquiries

19 Update, remove and replace Station posters as directed by the Station Management Team

20 Monitor and Report any errors or faults on the CIS screens to the customer service information control

21 Where facilities are available make Public Address announcements keeping customers informed with accurate and up to date information

22 Being visible to customers at all times to offer assistance

Adopt a proactive approach to service disruption. Seek information and be informed of what the timescale 23 is for disruption and have knowledge of alternative routes and methods of transport available from your Station. Work with and as requested by any manager of the Station Team whilst on shift

When working outside of the ticket office assist customers to use Ticket Vending Machines (TVM’s) to 24 purchase tickets when necessary

LOROL’s Disabled Persons Protection Policy and assist 25 To have a knowledge and understanding of customers in entering and leaving Trains and the Station where safe to do so

26 Maintaining and displaying leaflets on Stations as instructed by the Station Management Team ordering supplies as the stock reduces

27 Carry out bus liaison duties as required by the Station Management Team

28 Be aware that LOROL is a penalty fare railway understanding Railway byelaws and the National Rail conditions of carriage

29 Report any patterns of individuals or groups travelling without tickets to the Revenue Protection Team

Maintain the TVM’s on your Station by emptying, accounting, recording and accounting as directed by the 30 Station Management Team

31 Adhere to the LOROL Cash Handling responsibilities

3

Sell tickets that are appropriate for the customer and answer any travel enquiries. Ensure that all information and ticket selling is done in an impartial manner as the requirements of the Ticketing 32 Settlement Agreement. Deal with applications for refunds by calculating and referencing ready for authorisation from the Station Management Team

33 When working in the ticket office ensure that both the main ticket office window and the excess fare window are open at all times

34 Where available sell Advance Purchase tickets

35 Ensure that all shift sheets are completed with relevant documentation and placed in a sealed bag, recording seal number separately, with supporting items as detailed in LOROL instructions

36 Have an awareness and understanding of the LOROL Passenger Charter advising customers when appropriate

37 Deliver safe operation of the station gateline where appropriate and use fingertip maintenance to rectify any minor faults

38 Keep the gateline, including the Wide Aisle Gate, closed and in operation at all times unless unsafe to do so

39 Complete a minimum of one KPI audit per shift using any new technology introduced to assist in the timely completion and feedback of information

40 Any faults identified at the Station or on passing trains will be immediately reported by the staff member to adhere to the Station KPI regime.

41 Adhere to the company uniform and presentation standard

42 Actively participate in all training courses as directed and return to the Station identifying ways in which the new knowledge can be valuably used

43 Looking after Company Equipment issued to you or Company Assets

Staff will be encouraged to actively engage with the local community to identify potential projects that 44 would benefit the Station local area and residents and be available if required to visit local schools youth clubs and any other relevant organisation identified by the Station Management Team

45 Staff will be encouraged to support and own any initiatives introduced to improve the Stations ambiance, such as tending to any plants or flowers planted at the Station

46 Adhere to and maintain any Station Rules and local agreements

Undertake the Winterisation gritting process treating station areas as detailed in each station specific plan 47 when instructed that the forecast highlights a risk. Any materials used will be the most practical after a full COSHH assessment and materials will be jointly risk assessed by the Station Management Team and the RMT and TSSA.

48 Ensure that all accountancy instructions, cash regulations and retail sales circulars are updated and adhered to at all times

4

Person specification

Skills and Competencies

Customer Focus Responding effectively by listening to and meeting the needs of all customers; analysing customers’ views/wishes and responding appropriately. Instinctively customer orientated

Drive and Decisiveness Enthusiastic, motivated and focused on achieving results. Having a clear sense of direction, persistent in pursuing goals, maintaining focus despite obstacles and setbacks.

Developing High Performance Planning, prioritise, organising and managing self to ensure results are successfully delivered. Reviewing and then implementing what is learned.

Commercial and Profit Focus Being fully aware that as a commercial organisation London Overground must be profitable. Always balancing the need to provide excellent customer service with the need to reduce waste and resources used as well as maximising both current and future profitability. Making positive contributions to minimise KPI payments.

Managing Change Taking a flexible approach and a positive attitude to change, finding ways to improve work and the business.

Judgement Ability to analyse problems, to develop a clear understanding of the issue and gather relevant information to make informed decisions.

Team Working Working with others to achieve business goals. Recognising the impact of own work on others and the need to support others in achieving their goals.

5

Preparation and authorisation Prepared by: Richard Garland, Head of Stations Date: 01/02/2011 Authorised by: David Wornham, Customer Services Director Date: 01/02/2011

Acknowledgements

• The Post holder has received their job description and understands the responsibilities documented • The Post holder has received their Employee Safety Handbook and understands the safety responsibilities documented • The Line Manager has provided the Post holder with an explanation of their safety responsibilities • The Line Manager is satisfied and the Post holder certifies that the safety responsibilities in this document are understood

Signature and date: Signature and date:

Line Manager

Signature and date: Post holder

Nominated Deputy

Name: Name: Name: Name: Post: Post: Post: Post:

6

Appendix - 2019/12365 Our vision:

Developing our railway together, proudly connecting communities around London. Our values:

BEING CUSTOMER-FOCUSED BEING “CAN DO”

Being visible and available Being willing and flexible in the face of challenges Being professional and polite Making things happen Providing timely information WORKING Continually improving the way we do things

Showing each other respect TOGETHER Promoting safety in everything we do Building trust by delivering our promises Prioritising personal safety and security Communicating in a straight-forward way Playing our part in running a safe railway

BEING OPEN AND HONEST BEING SAFE

Our focus areas:

Our people

Our railway Our customers

Our community

Job Description for Role:

Gateline Assistant

Employee name:

1

Organisation Post: Gateline Assistant UPN Direct Posts Department: Customer Services Number reports Location: London Overground Network TBC Nil

Safety Critical Post/Key Safety Post or Neither Nominated deputy: N/A

Job purpose

Gateline Assistants are customer service ambassadors for LOROL exceeding our customer’s expectations. Ensuring that their Station is clean and welcoming with up to date information on display they are highly visible on the Station operating the gateline. Duties will be performed in a safe manner and in accordance with LOROL’s rules and regulations. Gateline Assistants will be in full uniform and be reassuring presence providing information to our customers in a professional and friendly manner. Gateline Assistants will represent LOROL by being actively involved in local community projects. They have pride in the Station at which they are working and always strive to provide the most pleasant environment possible for our customers.

Principal responsibilities

1 Ensure your personal safety and that of others at all times

Undertake the Winterisation gritting process treating station areas as detailed in each station specific plan 2 when instructed that the forecast highlights a risk. Any materials used will be the most practical after a full COSHH assessment and materials will be jointly risk assessed by the Station Management Team and the RMT and TSSA.

Undertake and record all Station Security Searches as defined by the TRANSEC category of your station 3 including lifts / disabled ramps / toilets where appropriate and as directed by the Station Management Team

4 In the event of a lighting failure report immediately to the operations control centre and assist in the implementation of any Emergency Lighting

Be fully conversant with your stations Crowd Control and Evacuation Plans implementing actions as 5 detailed in these plans when appropriate. The Station Management Team will provide full training and documented refresher training

and that where appropriate TVM’s 6 Ensure that the Station at which you are working is unlocked and open are unlocked and in operation at the start of service fifteen minutes before the first train

7 Undertake Contractor Site Specific Safety Briefings as instructed by the Station Management Team. The Station Management Team will provide full training and documented refresher training

2

Where available monitor local station CCTV reporting any unusual or criminal events to the British 8 Transport Police and the Station Management Team. The Station Management Team will provide full training and documented refresher training where appropriate

9 Comply with the LOROL Accident and Incident reporting process

10 Attend any Fire Precautions training courses and implement learning in the course of your day to day duties

Understand and comply with LOROL’s COSHH regulations and ensure that the correct and approved 11 PPE is available to you according to the COSHH assessments. You are not allowed to purchase any materials unless COSHH assessments are held

12 Be fully aware and adhere to LOROL’s Alcohol & Drugs Policy

13 Adhere to and maintain any Station Rules and local agreements

14 Look after, keep clean and wear any safety shoes issued to you

15 Report any anti-social behaviour at Stations in accordance with LOROL policy and Railway Bylaws

16 Staff may assist customers on the station but when assisting with prams/buggies the staff member must only carry the pram/buggy as the customer must be responsible for carrying the child.

17 To fully support the running of a right time railway considering train performance in all duties, including reporting delayed trains and reasons for the delays to the operational control

18 Assist in loading trains at the platforms. Encourage customers to use the full length of the platform and support the locking of train doors thirty seconds prior to departure

19 Communicate effectively with and assist customers and other LOROL staff ensuring that they are advised of any delays or cancellations of services updating the Service Update Board half hourly.

20 Ensure customer comfort and understanding by responding positively to enquiries. Meet and greet customers onto the station and on and off trains

21 Update, remove and replace Station posters as directed by the Station Management Team

22 Monitor and Report any errors or faults on the CIS screens to the customer service information control

23 Where facilities are available make Public Address announcements keeping customers informed with accurate and up to date information

24 Being visible to customers at all times approaching customers to offer assistance

Adopt a proactive approach to service disruption. Seek information and be informed of what the 25 timescale is for disruption and have knowledge of alternative routes and methods of transport available from your Station. Work with and as requested by any manager of the Station Team whilst on shift

26 When necessary assist Customers to use Ticket Vending Machines (TVM’s) to purchase tickets

of LOROL’s Disabled Persons Protection Policy and assist 27 To have a knowledge and understanding customers in entering and leaving Trains and the Station where safe to do so

28 Maintaining and displaying leaflets on Stations as instructed by the Station Management Team ordering supplies as the stock reduces

29 Carry out bus liaison duties as required by the Station Management Team

30 To understand that LOROL is a penalty fare railway, understand Railway byelaws and the National Rail conditions of carriage

31 Report any patterns of individuals or groups travelling without tickets to the Revenue Protection Team

3

32 Respect colleagues at the Station by keeping all areas including the ticket office and any mess areas free of clutter and clean and tidy

33 Complete a minimum of one KPI audit per shift using any new technology introduced to assist in the timely completion and feedback of information

34 Any faults identified at the Station or on passing trains will be immediately reported by the staff member to adhere to the Station KPI regime.

35 Staff will be encouraged to support and own any initiatives introduced to improve the Stations ambiance, such as tending to any plants or flowers planted at the Station

36 Adhere to the company uniform and presentation standard

37 Actively participate in all training courses as directed and return to the Station identifying ways in which the new knowledge can be valuably used

38 Looking after Company Equipment issued to you or Company Assets 39 Deliver safe operation of the station gateline where appropriate and use fingertip maintenance to rectify any minor faults 40 Keep the gateline, including the Wide Aisle Gate, closed and in operation at all times unless unsafe to do so

4

Person specification

Skills and Competencies

Customer Focus Responding effectively by listening to and meeting the needs of all customers; analysing customers’ views/wishes and responding appropriately. Instinctively customer orientated

Drive and Decisiveness Enthusiastic, motivated and focused on achieving results. Having a clear sense of direction, persistent in pursuing goals, maintaining focus despite obstacles and setbacks.

Developing High Performance Planning, prioritise, organising and managing self to ensure results are successfully delivered. Reviewing and then implementing what is learned.

Commercial and Profit Focus Being fully aware that as a commercial organisation London Overground must be profitable. Always balancing the need to provide excellent customer service with the need to reduce waste and resources used as well as maximising both current and future profitability. Making positive contributions to minimise KPI payments.

Managing Change Taking a flexible approach and a positive attitude to change, finding ways to improve work and the business.

Judgement Ability to analyse problems, to develop a clear understanding of the issue and gather relevant information to make informed decisions.

Team Working Working with others to achieve business goals. Recognising the impact of own work on others and the need to support others in achieving their goals.

5

Preparation and authorisation Prepared by: Julian Moosai, Head of Stations Date: Authorised by: David Wornham, Customer Services Director Date:

Acknowledgements

• The Post holder has received their job description and understands the responsibilities documented • The Post holder has received their Employee Safety Handbook and understands the safety responsibilities documented • The Line Manager has provided the Post holder with an explanation of their safety responsibilities • The Line Manager is satisfied and the Post holder certifies that the safety responsibilities in this document are understood

Signature and date: Signature and date:

Line Manager

Signature and date: Post holder

Nominated Deputy

Name: Name: Name: Name: Post: Post: Post: Post:

6

Appendix - 2019/12365

Appendix - 2019/12365 Our vision:

Developing our railway together, proudly connecting communities around London. Our values:

BEING CUSTOMER-FOCUSED BEING “CAN DO”

Being visible and available Being willing and flexible in the face of challenges Being professional and polite Making things happen Providing timely information WORKING Continually improving the way we do things

Showing each other respect TOGETHER Promoting safety in everything we do Building trust by delivering our promises Prioritising personal safety and security Communicating in a straight-forward way Playing our part in running a safe railway

BEING OPEN AND HONEST BEING SAFE

Our focus areas:

Our people

Our railway Our customers

Our community

Job Description for Role:

Station Assistant Dispatch

Employee name:

Organisation Post: Station Assistant Dispatch UPN Direct Posts Department: Customer Services Number reports Location: London Overground Network TBC Nil Safety Critical Post/Key Safety Safety Critical Post Post or Neither Nominated deputy: N/A

Job purpose

Station Assistant Dispatch staff are customer service ambassadors for LOROL exceeding our customer’s expectations.

They must ensure prompt, safe and effective dispatch to ensure that trains run on time. They must also ensure that the Station is clean and welcoming with up to date information on display whilst being highly visible on the Station. Duties will be performed in a safe manner and in accordance with LOROL’s rules and regulations.

Station Assistant Dispatch staff will be in full uniform and be a reassuring presence providing information to our customers in a professional and friendly manner. Station Assistant Dispatch staff will represent LOROL by being actively involved in local community projects. They have pride in their Station and always strive to provide the most pleasant environment possible for our customers.

Principal responsibilities

1 To fully support the running of a right time railway considering train performance in all duties, including reporting delayed trains and reasons for the delays to the operational control.

2 Assist in loading trains at the platforms. Encourage customers to use the full length of the platform and support the locking of train doors thirty seconds prior to departure.

3 Liaise as required with Conductors, Drivers, Operations staff and control to ensure safe and timely departure of trains.

4 From time-to-time, record arrival / departure times of trains you despatch during disruption, noting any delays and the reasons for the delay.

5 Communicate effectively with and assist customers and other LOROL staff ensuring that they are advised of any delays or cancellations of services updating the Service Update Board half hourly.

6 Ensure customer comfort and understanding by responding positively to enquiries. Meet and greet customers onto the station and on and off trains.

7 Where facilities are available make Public Address announcements keeping customers informed with accurate and up to date information.

Being visible to customers at all times approaching customers to offer assistance. 8

9 To understand that LOROL is a penalty fare railway, understand Railway byelaws and the National Rail conditions of carriage.

10 Undertake the Winterisation gritting and snow clearing process treating station areas as detailed in each station specific plan when instructed that the forecast highlights a risk. Any materials used will be the

most practical after a full COSHH assessment and materials will be jointly risk assessed by the Station Management Team and the RMT and TSSA.

11 Keep the gateline, including the Wide Aisle Gate, closed and in operation at all times unless unsafe to do so.

12 Deliver safe operation of the gateline where appropriate and use fingertip maintenance to rectify any minor faults.

13 Any other duties commensurate with the post

Key safety responsibilities and safety training requirements

General safety responsibilities

1 Your general safety responsibilities are covered in the Employee Safety Manual. You are responsible for making yourself familiar with the contents of the Employee Safety Manual. If there is anything in the Manual you do not understand, or if you are not clear which parts of the manual apply to you, you must contact your line manager for clarification

2 All employees must have a basic understanding of fire safety unless their role requires them to have more specialised training. You must successfully complete the fire safety training within three months of your appointment to your position

3 You must receive a safety induction from your manager which includes the following local information: a. Location of safety notice board b. Location of accident book c. First aid arrangements d. Location of fire equipment, including fire alarms and extinguisher

It is your responsibility to make sure you familiarise yourself with these arrangements and that you refresh that knowledge on a regular basis

4 The safety notice board contains much of the information you need. You should check the notice board on a regular basis

Specific safety responsibilities In addition to your general safety responsibilities your role includes the following specific safety responsibilities.

01.01 • You must ensure that Rule Book modules as detailed in procedure 8.11 of the LOROL safety manual are received and understood by yourself, and any other operating publications are received and understood.

01.02 • You will be assessed as competent to carry out the duties of platform train dispatch. The initial and subsequent examinations will be given by the Train Dispatch Manager and the competence process will lead to the issuing of licences for, Assessment of Competence and Fitness Train Dispatch (SQE 8.3)

01.03 You must be in possession of the following safety publications before taking up your post:

• RSSB Modular Rule Book ( relevant modules) • Network Rail East Anglia Sectional Appendix: (relevant parts) • Network Rail South Sectional Appendix\; (relevant parts)

• LOROL Operating Manual (relevant sections)

Safety training requirements

• You must ensure that you participate in any identified safety and environmental training needs as required.

•

Person specification

Education: Educated to degree level.

Experience:

Customer Focus Responding effectively by listening to and meeting the needs of all customers; analysing customers’ views/wishes and responding appropriately. Instinctively customer orientated.

Managing Change Taking a flexible approach and a positive attitude to change, finding ways to improve work and the business.

Developing High Performance Planning, prioritise, organising and managing self to ensure results are successfully delivered. Reviewing and then implementing what is learned.

Drive and Decisiveness Enthusiastic, motivated and focused on achieving results. Having a clear sense of direction, persistent in pursuing goals, maintaining focus despite obstacles and setbacks.

Knowledge:

Commercial and Profit Focus Being fully aware that as a commercial organisation London Overground must be profitable. Always balancing the need to provide excellent customer service with the need to reduce waste and resources used as well as maximising both current and future profitability. Making positive contributions to minimise KPI payments.

Skills and competencies: Communicating Ability to interact with others both giving and receiving information in a constructive manner, which meets the needs of both parties. Ensures that own views and business, messages are understood while showing respect for others.

Judgement Ability to analyse problems, to develop a clear understanding of the issue and gather relevant information to make informed decisions.

Team Working Working with others to achieve business goals. Recognising the impact of own work on others and the need to support others in achieving their goals.

Preparation and authorisation Prepared by: Bruce Pollard, Commercial Performance Manager Date: 23.03.2015 Authorised Dave Wornham, Customer Services Director Date: 23.03.2015 by:

Acknowledgements

• The Post holder has received their job description and understands the responsibilities documented • The Post holder has received their Employee Safety Handbook and understands the safety responsibilities documented • The Line Manager has provided the Post holder with an explanation of their safety responsibilities • The Line Manager is satisfied and the Post holder certifies that the safety responsibilities in this document are understood

Signature and date: Signature and date:

Line Manager

Signature and date: Post holder

Nominated Deputy

Name: Name: Name: Name: Post: Post: Post: Post:

Appendix - 2019/12365 Our vision:

Developing our railway together, proudly connecting communities around London. Our values:

BEING CUSTOMER-FOCUSED BEING “CAN DO”

Being visible and available Being willing and flexible in the face of challenges Being professional and polite Making things happen Providing timely information WORKING Continually improving the way we do things

Showing each other respect TOGETHER Promoting safety in everything we do Building trust by delivering our promises Prioritising personal safety and security Communicating in a straight-forward way Playing our part in running a safe railway

BEING OPEN AND HONEST BEING SAFE

Our focus areas:

Our people

Our railway Our customers

Our community

Job Description for Role:

Station Assistant GPR

Employee name:

1

Organisation Post: Station Assistant GPR UPN Direct Posts Department: Customer Services Number reports Location: London Overground Network TBC Nil

Safety Critical Post/Key Safety Neither Post or Neither Nominated deputy: N/A

Job purpose

Station Assistants exceed our customer’s expectations. Ensuring that the Station at which they are working is clean and welcoming with up to date information on display they are highly visible on the Station. Duties will be performed in a safe manner and in accordance with LOROL’s rules and regulations. Station Assistants will be in full uniform and be reassuring presence providing information to our customers in a professional and friendly manner. Station Assistants will represent LOROL by being actively involved in local community projects. They have pride in the Station at which they are working and always strive to provide the most pleasant environment possible for our customers. Station Assistant GPR’s will be available to cover any shift within their allocated group of stations.

Principal responsibilities

1 Ensure your personal safety and that of others at all times

Undertake the Winterisation gritting process treating station areas as detailed in each station specific plan 2 when instructed that the forecast highlights a risk. Any materials used will be the most practical after a full COSHH assessment and materials will be jointly risk assessed by the Station Management Team and the RMT and TSSA.

Undertake and record all Station Security Searches as defined by the TRANSEC category of your station 3 including lifts / disabled ramps / toilets where appropriate and as directed by the Station Management Team

4 In the event of a lighting failure report immediately to the operations control centre and assist in the implementation of any Emergency Lighting

Be fully conversant with your stations Crowd Control and Evacuation Plans implementing actions as 5 detailed in these plans when appropriate. The Station Management Team will provide full training and documented refresher training

and that where appropriate TVM’s 6 Ensure that the Station at which you are working is unlocked and open are unlocked and in operation at the start of service fifteen minutes before the first train

7 Undertake Contractor Site Specific Safety Briefings as instructed by the Station Management Team. The Station Management Team will provide full training and documented refresher training

2

Where available monitor local station CCTV reporting any unusual or criminal events to the British 8 Transport Police and the Station Management Team. The Station Management Team will provide full training and documented refresher training where appropriate

9 Comply with the LOROL Accident and Incident reporting process

10 Attend any Fire Precautions training courses and implement learning in the course of your day to day duties

Understand and comply with LOROL’s COSHH regulations and ensure that the correct and approved PPE 11 is available to you according to the COSHH assessments. You are not allowed to purchase any materials unless COSHH assessments are held

12 Be fully aware and adhere to LOROL’s Alcohol & Drugs Policy

13 Adhere to and maintain any Station Rules and local agreements

14 Look after, keep clean and wear any safety shoes issued to you

15 Report any anti-social behaviour at Stations in accordance with LOROL policy and Railway Bylaws

16 Staff may assist customers on the station but when assisting with prams/buggies the staff member must only carry the pram/buggy as the customer must be responsible for carrying the child.

17 To fully support the running of a right time railway considering train performance in all duties, including reporting delayed trains and reasons for the delays to the operational control

18 Assist in loading trains at the platforms. Encourage customers to use the full length of the platform and support the locking of train doors thirty seconds prior to departure

19 Communicate effectively with and assist customers and other LOROL staff ensuring that they are advised of any delays or cancellations of services updating the Service Update Board half hourly.

20 Ensure customer comfort and understanding by responding positively to enquiries. Meet and greet customers onto the station and on and off trains

21 Update, remove and replace Station posters as directed by the Station Management Team

22 Monitor and Report any errors or faults on the CIS screens to the customer service information control

23 Where facilities are available make Public Address announcements keeping customers informed with accurate and up to date information

24 Being visible to customers at all times approaching customers to offer assistance

Adopt a proactive approach to service disruption. Seek information and be informed of what the timescale 25 is for disruption and have knowledge of alternative routes and methods of transport available from your Station. Work with and as requested by any manager of the Station Team whilst on shift

26 When necessary assist Customers to use Ticket Vending Machines (TVM’s) to purchase tickets

of LOROL’s Disabled Persons Protection Policy and assist 27 To have a knowledge and understanding customers in entering and leaving Trains and the Station where safe to do so

28 Maintaining and displaying leaflets on Stations as instructed by the Station Management Team ordering supplies as the stock reduces

29 Carry out bus liaison duties as required by the Station Management Team

3

30 To understand that LOROL is a penalty fare railway, understand Railway byelaws and the National Rail conditions of carriage

31 Report any patterns of individuals or groups travelling without tickets to the Revenue Protection Team

32 Respect colleagues at the Station by keeping all areas including the ticket office and any mess areas free of clutter and clean and tidy

33 Complete a minimum of one KPI audit per shift using any new technology introduced to assist in the timely completion and feedback of information

34 Any faults identified at the Station or on passing trains will be immediately reported by the staff member to adhere to the Station KPI regime.

35 Staff will be encouraged to support and own any initiatives introduced to improve the Stations ambiance, such as tending to any plants or flowers planted at the Station

36 Adhere to the company uniform and presentation standard

37 Actively participate in all training courses as directed and return to the Station identifying ways in which the new knowledge can be valuably used

38 Looking after Company Equipment issued to you or Company Assets

39 Deliver safe operation of the station gateline where appropriate and use fingertip maintenance to rectify any minor faults

40 Keep the gateline, including the Wide Aisle Gate, closed and in operation at all times unless unsafe to do so

4

5

Person specification

Skills and Competencies

Customer Focus Responding effectively by listening to and meeting the needs of all customers; analysing customers’ views/wishes and responding appropriately. Instinctively customer orientated

Drive and Decisiveness Enthusiastic, motivated and focused on achieving results. Having a clear sense of direction, persistent in pursuing goals, maintaining focus despite obstacles and setbacks.

Developing High Performance Planning, prioritise, organising and managing self to ensure results are successfully delivered. Reviewing and then implementing what is learned.

Commercial and Profit Focus Being fully aware that as a commercial organisation London Overground must be profitable. Always balancing the need to provide excellent customer service with the need to reduce waste and resources used as well as maximising both current and future profitability. Making positive contributions to minimise KPI payments.

Managing Change Taking a flexible approach and a positive attitude to change, finding ways to improve work and the business.

Judgement Ability to analyse problems, to develop a clear understanding of the issue and gather relevant information to make informed decisions.

Team Working Working with others to achieve business goals. Recognising the impact of own work on others and the need to support others in achieving their goals.

6

Preparation and authorisation Prepared by: Richard Garland, Head of Stations Date: Authorised by: David Wornham, Customer Services Director Date:

Acknowledgements

• The Post holder has received their job description and understands the responsibilities documented • The Post holder has received their Employee Safety Handbook and understands the safety responsibilities documented • The Line Manager has provided the Post holder with an explanation of their safety responsibilities • The Line Manager is satisfied and the Post holder certifies that the safety responsibilities in this document are understood

Signature and date: Signature and date:

Line Manager

Signature and date: Post holder

Nominated Deputy

Name: Name: Name: Name: Post: Post: Post: Post:

7

Appendix - 2019/12365 Our vision:

Developing our railway together, proudly connecting communities around London. Our values:

BEING CUSTOMER-FOCUSED BEING “CAN DO”

Being visible and available Being willing and flexible in the face of challenges Being professional and polite Making things happen Providing timely information WORKING Continually improving the way we do things

Showing each other respect TOGETHER Promoting safety in everything we do Building trust by delivering our promises Prioritising personal safety and security Communicating in a straight-forward way Playing our part in running a safe railway

BEING OPEN AND HONEST BEING SAFE

Our focus areas:

Our people

Our railway Our customers

Our community

Job Description for Role:

Station Assistant

Employee name:

1

Organisation Post: Station Assistant UPN Direct Posts Department: Customer Services Number reports Location: London Overground Network TBC Nil

Safety Critical Post/Key Safety Neither Post or Neither Nominated deputy: N/A

Job purpose

Station Assistants will exceed our customer’s expectations. Ensuring that the Station at which they are working is clean and welcoming with up to date information on display they are highly visible on the Station. Duties will be performed in a safe manner and in accordance with LOROL’s rules and regulations. Station Assistants will be in full uniform and be reassuring presence providing information to our customers in a professional and friendly manner. Station Assistants will represent LOROL by being actively involved in local community projects. They have pride in the Station at which they are working and always strive to provide the most pleasant environment possible for our customers.

Principal responsibilities

1 Ensure your personal safety and that of others at all times

Undertake the Winterisation gritting process treating station areas as detailed in each station specific plan 2 when instructed that the forecast highlights a risk. Any materials used will be the most practical after a full COSHH assessment and materials will be jointly risk assessed by the Station Management Team and the RMT and TSSA.

Undertake and record all Station Security Searches as defined by the TRANSEC category of your station 3 including lifts / disabled ramps / toilets where appropriate and as directed by the Station Management Team

4 In the event of a lighting failure report immediately to the operations control centre and assist in the implementation of any Emergency Lighting

Be fully conversant with your stations Crowd Control and Evacuation Plans implementing actions as 5 detailed in these plans when appropriate. The Station Management Team will provide full training and documented refresher training

and that where appropriate TVM’s 6 Ensure that the Station at which you are working is unlocked and open are unlocked and in operation at the start of service fifteen minutes before the first train

7 Undertake Contractor Site Specific Safety Briefings as instructed by the Station Management Team. The Station Management Team will provide full training and documented refresher training

2

Where available monitor local station CCTV reporting any unusual or criminal events to the British 8 Transport Police and the Station Management Team. The Station Management Team will provide full training and documented refresher training where appropriate

9 Comply with the LOROL Accident and Incident reporting process

10 Attend any Fire Precautions training courses and implement learning in the course of your day to day duties

Understand and comply with LOROL’s COSHH regulations and ensure that the correct and approved 11 PPE is available to you according to the COSHH assessments. You are not allowed to purchase any materials unless COSHH assessments are held

12 Be fully aware and adhere to LOROL’s Alcohol & Drugs Policy

13 Adhere to and maintain any Station Rules and local agreements

14 Look after, keep clean and wear any safety shoes issued to you

15 Report any anti-social behaviour at Stations in accordance with LOROL policy and Railway Bylaws

16 Staff may assist customers on the station but when assisting with prams/buggies the staff member must only carry the pram/buggy as the customer must be responsible for carrying the child.

17 To fully support the running of a right time railway considering train performance in all duties, including reporting delayed trains and reasons for the delays to the operational control

18 Assist in loading trains at the platforms. Encourage customers to use the full length of the platform and support the locking of train doors thirty seconds prior to departure

19 Communicate effectively with and assist customers and other LOROL staff ensuring that they are advised of any delays or cancellations of services updating the Service Update Board half hourly.

20 Ensure customer comfort and understanding by responding positively to enquiries. Meet and greet customers onto the station and on and off trains

21 Update, remove and replace Station posters as directed by the Station Management Team

22 Monitor and Report any errors or faults on the CIS screens to the customer service information control

23 Where facilities are available make Public Address announcements keeping customers informed with accurate and up to date information

24 Being visible to customers at all times approaching customers to offer assistance

Adopt a proactive approach to service disruption. Seek information and be informed of what the 25 timescale is for disruption and have knowledge of alternative routes and methods of transport available from your Station. Work with and as requested by any manager of the Station Team whilst on shift

26 When necessary assist Customers to use Ticket Vending Machines (TVM’s) to purchase tickets

of LOROL’s Disabled Persons Protection Policy and assist 27 To have a knowledge and understanding customers in entering and leaving Trains and the Station where safe to do so

28 Maintaining and displaying leaflets on Stations as instructed by the Station Management Team ordering supplies as the stock reduces

29 Carry out bus liaison duties as required by the Station Management Team

30 To understand that LOROL is a penalty fare railway, understand Railway byelaws and the National Rail conditions of carriage

31 Report any patterns of individuals or groups travelling without tickets to the Revenue Protection Team

3

32 Respect colleagues at the Station by keeping all areas including the ticket office and any mess areas free of clutter and clean and tidy

33 Complete a minimum of one KPI audit per shift using any new technology introduced to assist in the timely completion and feedback of information

34 Any faults identified at the Station or on passing trains will be immediately reported by the staff member to adhere to the Station KPI regime.

35 Staff will be encouraged to support and own any initiatives introduced to improve the Stations ambiance, such as tending to any plants or flowers planted at the Station

36 Adhere to the company uniform and presentation standard

37 Actively participate in all training courses as directed and return to the Station identifying ways in which the new knowledge can be valuably used

38 Looking after Company Equipment issued to you or Company Assets 39 Deliver safe operation of the station gateline where appropriate and use fingertip maintenance to rectify any minor faults 40 Keep the gateline, including the Wide Aisle Gate, closed and in operation at all times unless unsafe to do so

4

Person specification

Skills and Competencies

Customer Focus Responding effectively by listening to and meeting the needs of all customers; analysing customers’ views/wishes and responding appropriately. Instinctively customer orientated

Drive and Decisiveness Enthusiastic, motivated and focused on achieving results. Having a clear sense of direction, persistent in pursuing goals, maintaining focus despite obstacles and setbacks.

Developing High Performance Planning, prioritise, organising and managing self to ensure results are successfully delivered. Reviewing and then implementing what is learned.

Commercial and Profit Focus Being fully aware that as a commercial organisation London Overground must be profitable. Always balancing the need to provide excellent customer service with the need to reduce waste and resources used as well as maximising both current and future profitability. Making positive contributions to minimise KPI payments.

Managing Change Taking a flexible approach and a positive attitude to change, finding ways to improve work and the business.

Judgement Ability to analyse problems, to develop a clear understanding of the issue and gather relevant information to make informed decisions.

Team Working Working with others to achieve business goals. Recognising the impact of own work on others and the need to support others in achieving their goals.

5

Preparation and authorisation Prepared by: Julian Moosai, Head of Stations Date: Authorised by: David Wornham, Customer Services Director Date:

Acknowledgements

• The Post holder has received their job description and understands the responsibilities documented • The Post holder has received their Employee Safety Handbook and understands the safety responsibilities documented • The Line Manager has provided the Post holder with an explanation of their safety responsibilities • The Line Manager is satisfied and the Post holder certifies that the safety responsibilities in this document are understood

Signature and date: Signature and date:

Line Manager

Signature and date: Post holder

Nominated Deputy

Name: Name: Name: Name: Post: Post: Post: Post:

6

Appendix - 2019/12365

Prepared Business Director for by: West Anglia Date: May 2008 Version Job Description Post Job Title: Station Platform Reports To Job Title: Group Station Supervisor Including Manger Train Dispatch

Function: Operations and Function: Operations and Planning Planning

Location: Walthamstow Location: Walthamstow Central Central

Grade: Level 3 Safety Status: Non Safety Critical

1. Purpose of the Job

1.1 To discharge the responsibilities of this post (as detailed below), in a professional manner, whilst providing customer service excellence, maintaining safety and efficiency and continually looking for ways to improve performance

• Deliver the business aims of the Company as appropriate to this post

• Deliver customer service excellence

• Improve our safety and environmental record

• Improve stakeholder satisfaction

2. Key Accountabilities KPI * 2.1 To deliver the objectives of this post, whilst always working within the limits of your authority and in accordance with all appertaining rules, regulations, procedures and instructions 2.2 Promote the beliefs and goals of the Company whilst on duty and travelling to / from work and execute your duties in a manner which is aligned to brand values 2.3 Strictly adhere to the safety requirements as specified in the Safety Responsibility Statement applicable to this post 2.4 To be highly visible for the day to day safe and efficient supervision of NXEA staff and operations, to the required standards of safety, customer service, staff conduct and personal presentation 2.5 Comply with rules and regulations as defined in the Rule Book (Issue 2 and 8) and Appendices for safe station working and train dispatch, including the location specific train dispatch procedure 2.6 As far as possible, ensure that all NXEA train services are dispatched at the booked times and keep delays to a minimum 2.7 Dissemination of information using public address systems and other travel information systems as available at the location 2.8 Participate in personal train dispatch competency assessment and maintain certified competency 2.9 Refer to operating notices / engineering notices with regard to train service alterations, in order to limit disruption as a result of engineering work as far as practicable 2.10 At times of disruption to train services, liaise with SDC and other internal / external interfaces, in order to limit the effects of disruption as far as practicable 2.11 As required assist with the organising and marshalling of replacement rail bus services 2.12 Assist with the servicing of self service ticket issuing systems as appropriate at the location and without compromise to train dispatch duties 2.13 The post holder will work closely with the Team Leader in respect of any retail activity within the group 2.14 In an emergency situation, assist with evacuation procedures as appropriate 2.15 Assist with monitoring CCTV equipment and maintain security vigilance, reporting or acting upon any security threat 2.16 Attend to the needs and requests of our customers in a professional manner, having consideration that the customer is our business and continually looking for ways of enhancing customer service 2.17 Provide assistance to disabled and vulnerable customers in accordance with local policies / instructions 2.18 At times of disruption, liaise with other station staff to limit the effects of disruption as far as practicable As specified by the local manager, undertake station checks as required, reporting any security threats, faults or hazards as appropriate to procedures. Security checks are carried out with regard to local procedures. Health and safety checks are conducted with regard to current standards 2.19 Ensure that public information notices, posters, leaflets and special displays are in date and presentable. Assist with the replacement / updating of such information as required 2.20 Maintain an accurate daily log of any incident, accident or unusual occurrence, obtaining names and addresses of any witnesses, including members of staff. Complete reports / forms as necessary ensuring the Local Manager, Safety Department and other authorised persons as required, are in receipt of such reports / forms 2.21 Ensure you are familiar with all publications and procedures applicable to the safe and efficient discharge of your responsibilities – refer to any additional information below 2.22 Maintain a high standard of personal appearance and cleanliness and wear all uniform provided as intended 2.23 At all times, pro-actively cooperate with other staff and all other internal / external interfaces to meet safety requirements, the needs of our customers and the business objectives of the Company 2.24 Deal with visitors / contractors as appropriate to procedures 2.25 Be familiar with rail products and services and as far as possible, provide assistance to our customers in respect of any inquiry about rail products or services 2.26 Undertake light cleaning duties / litter pick as required, when duties or time permit 2.27 Assist with the ordering / delivery of station consumables as required 2.28 Apply adverse weather arrangements as required 2.29 Undertake any training requirement as appropriate to the post 2.30 Participate in safety / retail briefings and other meetings / briefings as required 2.31 Respond to emergency situations as directed and appropriate to the post 2.32 Use NXEA utilities, consumables, systems and machines in an efficient and economic manner 2.33 Respond to local and other managerial instructions as they affect your work, carrying out other relevant duties as directed by the Local Manager or Area Team Leader 2.34 Report Preparation: 2.34a Accident and incident reports / forms as appropriate to current procedures 2.34b Crime and vandalism reports as required 2.34c Train service delay reports as required 3. Role Dimensions Financial Non-Financial

4. Main Contacts (External/Internal)*

Contacts Frequency Purpose

5. Experience, Knowledge & Qualifications Required

5.1 High standard of personal presentation and professionalism 5.2 Positive attitude towards the Company and its customers

5.3 Pro-active, friendly and open approach when dealing with our customers

5.4 Ability to remain calm under pressure 5.5 Honesty

5.6 Able to organise own working time to maximum potential 5.6 Flexible and willing to adapt to change

5.7 Good standard of English both verbal and written

5.8 Organisational skills 5.9 Good interpersonal skills

5.10 Leadership skills 5.11 The post holder must have a working knowledge of:

5.11a The Passenger’s Charter 5.11b The National Conditions Of Carriage

5.11c Schedule 17

5.11c Hidden 18 5.11d Passenger Timetables And Working Timetables

5.11e Rule Book Issue 2 and 8

5.11f AC Electrified Lines Instructions (Rule Book Section Z) 5.11g Network Rail East Anglia Sectional Appendix (office copy)

5.11h Periodical Operating Notice (office copy)

5.11i Location Specific Train Dispatch Method Statement

5.11j Engineering Notices

5.11k Arrival And Departure Platforming Program At The Location 5.11l Railway Alcohol And Drugs Policy And Procedures

5.11m Fire Prevention 5.11n Company Core Values And Managing Director’s Statement Of Objectives

5.11o Reporting And Recording Accidents And Incidents

5.11p Local Emergency And Evacuation Plan

5.11q Document authorisation as specified by the Local Manager and in compliance with authorisation limits 5.11r The post holder will be required to undergo periodic competency assessment for train dispatch duties 5.11s The post holder will be required to undergo periodic fitness assessment according to age

5.12 The post holder will be required to undertake certain activities at other stations within the group eg: 5.12a Crowd control at special events, football fixtures, other transport operator incidents that affect the business 5.12b Emergency situations

5.12c Accident and incident investigation

5.12d Crime and vandalism 6. Health & Safety Responsibility

6.1 6.2

6.3

7. Authority Authorised By: Functional Director: Operations and Planning Director Date:

I acknowledge receipt of this job description and I confirm that I am fully conversant with its content Post Holders Name: Post Holders Signature: Date:

* Only applicable for Manager Grades and above. Appendix - 2019/12365

Prepared Station Manager by: Date: July 2014 Version 2 Job Description Post Job Title: Customer Service Reports To Job Title: Station Manager Assistant Ticket Office

Function: Retail Function: Retail

Location: All Location: All

Grade: Level 2 Safety Status: Non safety Critical

1. Purpose of the Job 1.1  Deliver the business aims of the Company as appropriate to this post

 Deliver customer service excellence

 Improve our safety and environmental record

 Improve stakeholder satisfaction

2. Key Accountabilities KPI *

2.1 To deliver the objectives of this post, whilst always working within the limits of your authority and in accordance with all appertaining rules, regulations, procedures and instructions 2.2 Promote the beliefs and goals of the Company whilst on duty and travelling to / from work and execute your duties in a manner which is aligned to brand values 2.3 Strictly adhere to the safety requirements as specified in the Safety Responsibility Statement applicable to this post 2.4 Carry out full booking office procedures (including cash regulations and accountancy) on a day to day basis in compliance with retailing regulations as defined by ATOC and the SRA 2.5 Relay information to the relevant retail support function in compliance with SRA requirements for the ABELLIO GREATER ANGLIA Penalty Fares scheme 2.6 Carry out other administrative tasks as required on a day to day basis 2.7 The post holder will work closely with the Team Leader in respect of any retail activity within the group 2.8 In an emergency situation, assist with evacuation procedures as appropriate 2.9 Assist with monitoring CCTV equipment and maintain security vigilance, reporting or acting upon any security threat

2.10 Attend to the needs and requests of our customers in a professional manner, having consideration that the customer is our business and continually looking for ways of enhancing customer service 2.11 Provide assistance to disabled and vulnerable customers in accordance with local policies / instructions 2.12 At times of disruption, liaise with other station staff in order to limit the effects of disruption as far as practicable 2.13 As specified by the local manager, undertake station checks as required, reporting any security threats, faults or hazards as appropriate to procedures. Security checks are carried out with regard to local procedures. Health and safety checks are conducted with regard to current standards 2.14 Ensure that public information notices, posters, leaflets and special displays are in date and presentable. Assist with the replacement / updating of such information as required 2.15 Maintain an accurate daily log of any incident, accident or unusual occurrence, obtaining names and addresses of any witness, including members of staff. Complete reports / forms as necessary ensuring the Local Manager, Safety Department and other authorised persons, are in receipt of such reports / forms 2.16 Ensure you are familiar with all publications and procedures applicable to the safe and efficient discharge of your responsibilities – refer to any additional information below 2.17 Maintain a high standard of personal appearance and cleanliness and wear all uniform provided as intended 2.18 At all times, pro-actively cooperate with other staff and all other internal / external interfaces to meet safety requirements, the needs of our customers and the business objectives of the Company 2.19 Deal with visitors / contractors as appropriate to procedures 2.20 Be familiar with rail products and services and as far as possible, provide assistance to our customers in respect of any enquiry about rail products or services 2.21 Undertake light cleaning duties / litter pick as required, when duties or time permit 2.22 Assist with the ordering / delivery of station consumables as required 2.23 Apply adverse weather arrangements as required 2.24 Undertake any training requirement as appropriate to the post 2.25 Participate in safety / retail briefings and other meetings / briefings as required 2.26 Respond to emergency situations as directed and appropriate to the post 2.27 Use ABELLIO GREATER ANGLIA utilities, consumables, systems and machines in an efficient and economic manner 2.28 Respond to local and other managerial instructions as they affect your work, carrying out other relevant duties as directed by the Local Manger or Team Leader 2.29 Report Preparation: 2.30 Accident and incident reports / forms as appropriate to current procedures 2.31 Crime and vandalism reports as appropriate 3. Role Dimensions Financial Non-Financial

4. Main Contacts (External/Internal)* Contacts Frequency Purpose

5. Experience, Knowledge & Qualifications Required 5.1 The post holder must have a working knowledge of:

5.1a Routing Guide

5.1b Passenger Timetables And Working Timetables 5.1c Engineering Notices

5.1d Retail Manual 1 & 2 5.1e Fares Manuals

5.1f TRIBUTE Manual

5.1g Cash Regulations

5.1h The Impartial Retailing Concept 5.1i ATOC Requirements Relating To The Sale Of Tickets 5.1j The Passenger’s Charter

5.1k The National Conditions Of Carriage 5.1l Schedule 17 5.1m Awareness Of Hidden 18

5.1n Railway Alcohol And Drugs Policy And Procedures 5.1o Fire Prevention

5.1p Company Core Values And Managing Director’s Statement Of Objectives 5.1q Reporting And Recording Accidents And Incidents

5.1r Local Emergency And Evacuation Plan

5.1s Document authorisation as specified by the Local Manager and in compliance with authorisation limits 5.2 High standard of personal presentation and professionalism 5.3 Positive attitude towards the Company and its customers

5.4 Pro-active, friendly and open approach when dealing with our customers 5.5 Ability to remain calm under pressure

5.6 Honesty 5.7 Flexible and willing to adapt to change 5.8 Good standard of English both verbal and written

5.9 Good standard of Arithmetic

5.10 Good interpersonal skills 6. Health & Safety Responsibility

6.1 As stated in Safety Responsibility Statement 6.2 6.3

7. Authority

Authorised / Briefed By: Flavio Lopes, Area Customer Service Manager Signature Date:

I acknowledge receipt of this job description and I confirm that I am fully conversant with its content Post Holders Name: Post Holders Signature: Date:

* Only applicable for Manager Grades and above. Appendix - 2019/12365

Job Title Area Manager - Stations

Reporting to Performance Manager

Hay score / Pay 483 / MMH1 band

Role Scope Responsible for leading and developing teams of staff to deliver world class customer service in London Underground Stations, ensuring that agreed performance targets are met within budget, considering safety, reliability, capacity and commercial performance of the network as well as customer service.

Key Lead, motivate and develop teams of staff to deliver a world class customer service through effective performance management, communication, Accountabilities coaching and development. Overall accountability for the Area scorecard and ensuring continuous improvement.

Responsible for all aspects of Landlord accountabilities for the assigned Area. Lead local engagement activities to increase staff involvement and commitment across the area to meet the challenges of a growing London population.

Accountable for achievement of operational, commercial and financial performance measures, visualising these and delivering the improvement plans to meet future requirements across stations

Responsible for delivery of accurate real time information for our stakeholders, customers and operational staff for the area

Drive and achieve continuous improvement in safety, performance, income, cost optimisation, productivity and environmental standards.

Accountable for achieving financial and commercial targets and efficiencies within the business group and ensuring commercial opportunities are identified and realised.

Accountable for delivering real improvements in customer service, both in terms of journey time and the quality of customer care, across all the key aspects of service that customers value most.

Proactively manage all case management for the Area ensuring resolution at the lowest level possible, ensuring compliance with the relevant policies to minimise risk of disruption to the business.

Responsible for ensuring adequate numbers of appropriately qualified staff are available to deliver excellent performance and mitigate risk of station closures or net loss of revenue. Achieve this through participating in the recruitment of staff and effective competence and coverage management.

Ensure the correct programmes of scheduled inspections are carried out and outputs managed appropriately to ensure risks remain at the lowest levels reasonably practicable across the Area. This document reflects ongoing work and discussions within LU on options for the future of London Underground. It does not represent LU’s final position on the contents, which are subject to ongoing consultation with our trades unions.

v.2 20.03.2014 2

Review and improve ways of working to prevent recurrence of incidents and reduce risk as far as reasonably practical. Regularly review operational plans and controls, ensuring any changes are managed through the company’s change control processes to mitigate against risks and enhance long-term service provision. Respond to major operational incidents to ensure the safety of customers and staff.

Develop effective relationships with a wide range of stakeholders including Trades Unions, Emergency Services, other Train Operating Companies, local Borough staff and passenger groups to drive continuous improvement.

Work flexible hours on a regular basis including unsocial hours and weekends.

Financial Impact Allocated revenue and cost budget and local budget spend decisions for a budgeted contribution of up to 3 million pounds. The jobholder will be responsible for the line management of between 6 and 13 Customer Service Managers.

Key interfaces The jobholder’s main working relationships are with the following:  Station teams and direct reports – to maintain engagement and drive performance, provide support, coaching and guidance  Asset teams – to work collaboratively to ensure assets are fit for purpose.  Stations, Trains and Service Control management teams - to work collaboratively and cross-functionally on projects and upgrades  Station colleagues, administrators train staff and management teams – to ensure the smooth operation of the group, and manage appropriate escalated issues which CSMs have been unable to resolve  Emergency Services, Duty Reliability Managers and Emergency Response Unit – to pass accurate information to and liaise with in the event of major incidents  Emergency services, other parts of LU, TfL, Network Rail, other TOCs and other external suppliers and stakeholders - to minimise the impact to customers of service provision, potential disruptions, upgrade works and emergency activities  Other teams in TfL, including but not limited to Operational Support, Finance, CPD, Human Resources and Occupational Health – to seek advice and guidance before making decisions  British Transport Police – to assist in the prevention and detection of crime  Local authorities – to understand local issues and impact of any proposals.

Knowledge  Knowledge of an operational environment, in particular of station staff working practices and agreements  Knowledge of working in a safety critical environment  Excellent understanding of London Underground’s Customer Service targets and goals  Good knowledge of station assets and landlord responsibilities  A good understanding of employment, health, safety and environment issues  Knowledge and understanding of aspects of equality and diversity.

This document reflects ongoing work and discussions within LU on options for the future of London Underground. It does not represent LU’s final position on the contents, which are subject to ongoing consultation with our trades unions. 3

Skills  Demonstrable influencing skills  Ability to understand performance targets and to translate into the operating environment.  Ability to understand financial reports and to take appropriate decisions (including budgeting and forecasting) based on the information they contain.  Long-term planning and organising to mitigate risks (including financial risks) to the Area performance  Demonstrable commercial acumen to ensure financial targets and efficiencies are achieved and commercial opportunities are identified and realised  Identify the root cause of major service and safety incidents and develop action plans to reduce risk  Ability to lead multiple teams effectively to maximise service provision to customers  Ability to coach and train staff

Experience  Leading a team of people to deliver excellent customer service  Complex people management issues requiring involvement from multiple stakeholders  Working in a busy and dynamic environment  Writing and communicating clearly and effectively with people from different backgrounds and at all levels  Building, coaching and motivating teams in a performance management culture  Consultation and negotiation with Trade Union staff representatives  Leading projects resulting in long-term performance improvements.  Working in a safety critical environment  Proven experience of working within an operational environment  Applying emergency safety procedures to protect the well-being of self, colleagues and customers

HEALTH & SAFETY STATEMENT All employees have a general duty in law to take reasonable care for the health and safety of themselves and of other persons who may be affected by their acts or omissions. All employees must understand and be committed to Transport for London’s Health and Safety Policy statement and TfL’s safety priorities and be aware of their contribution to such priorities. All employees must also be aware of and comply with all current health and safety legislation and other TfL requirements that are relevant to their role.

EQUALITY STATEMENT Transport for London values the diversity which exists in our city, and our aspiration is to reflect this diversity in our workforce. All employees must be aware of and committed to the Equality Policy Statement of Transport for London. All employees must also be aware of and comply with all other TfL requirements associated with Equality and Diversity issues relevant to their role.

CRIME and DISORDER STATEMENT It is a statutory requirement for all departments in TfL to follow Section 17 of the Crime and Disorder Act 1998. Section 17 requires authorities to consider the likely effect on crime and disorder and community safety in all that they do, and take action to prevent crime and disorder, substance misuse, anti-social behaviour and behaviour that adversely affects the environment. TfL has voluntarily been committed to following Section 17 since 2006, but we must all make sure that it is considered in decision making, policies and procedures in the same way that equality and health and safety are.

This document reflects ongoing work and discussions within LU on options for the future of London Underground. It does not represent LU’s final position on the contents, which are subject to ongoing consultation with our trades unions. 4

Addendum

Detailed accountabilities are as follows:

 Actively lead and develop staff to maintain high standards of performance, productivity and competence through clear direction, effective communication, coaching, performance management, training, development and relationship management.  Continually develop and manage the performance of staff, including regular documented Performance and Development conversations and following-up on performance concerns.  Give and record feedback using the Competence Management System (CMS). Prepare, implement and review action plans and improvement targets for your direct reports. Ensure your direct reports remain in plan. Take overall accountability for CMS for the Area.  Ensure that all staff comply with best practice, employment law, company policies and procedures and the application of corrective measures when there is non-compliance.  Ensure attendance levels are managed by leading teams to proactively manage absence and hold direct reports accountable for managing absence. Manage the later stages of complex long-term absence cases including referring to LUOH where necessary.  Ensure appropriate resources are available to deliver excellent customer service by authorising planned coverage arrangements and ensuring direct reports and relevant administrators are managing the availability of adequately trained staff. Manage absence and non-availability of direct reports.  Ensure the company’s discipline policy is applied appropriately and engage in the appropriate level of managing conduct issues.  Communicate regularly with all levels of staff to increase staff engagement, as measured by employee surveys.  Use local and company recognition processes to recognise and commend exceptional performance.  Manage, record and where possible resolve later stages of grievances, harassment and bullying locally wherever possible.  Monitor team performance and demonstrate overall accountability for the Area scorecard.  Identify and deliver customer needs through managing performance improvement action plans and projects that encompass commercial opportunities to deliver a world class service.  Actively manage risks and ensure regular inspections and evacuation exercises are held as required to maintain highest standards of safety and loss control including staff familiarisation.  Mitigate risks by routinely reviewing plans and other documents and controls, ensuring that any changes to the organisation or operational processes are assessed under the company's change control processes.  Liaise and ensure that operational staff liaise, as appropriate, with all emergency and security service personnel e.g. London Fire and Emergency Planning Authority, British Transport Police, Office of the Rail Regulator and other external bodies.  Respond to major incidents by allocating roles to staff, authorising and implementing operational procedures and carrying out incident investigation and contributing to recommendations to prevent recurrence.  Review operational plans for special events and industrial action and conduct readiness exercises. Manage refusals to work on the grounds of Health and Safety.  Investigate incidents, write and review follow-up reports. Implement improvements where required.  Deter fraudulent travel and anti-social behaviour where it is safe to do so and report all incidents and threats of anti-social and criminal behaviour.  Manage constructive relationships with the Trades Unions by holding regular Level 1 and Tier 1 meetings as per the Machinery of Consultation and Negotiation and prevailing agreements as well as acting as management representative on Tier 2 or Functional Council meetings as required. Take accountability at these meetings and work collaboratively to directly resolve issues and concerns, manage change, foster relationships and improve the business. This document reflects ongoing work and discussions within LU on options for the future of London Underground. It does not represent LU’s final position on the contents, which are subject to ongoing consultation with our trades unions. 5

 Develop effective customer relations and partnerships by actively fostering contacts with external stakeholder groups such as passenger groups, Train Operating Companies, local Borough staff, councillors, representatives of local businesses, education and other agencies. Respond to customer complaints and claims as necessary.  Agree and control a budget including resource planning, forecasting and operating costs to deliver budgets and ensure investments are supported by suitable business cases.  Role-model the LU values and behaviours in a highly visible way and meet, as a minimum, the criteria for an Established Centurion as outlined in the Skills Framework.  Work flexibly and accept challenges so that other areas may benefit from your skills and expertise where they are needed.  Deputise for your line manager where required.

Decision Making

The following are areas of authority for decision-making:  Performance management and corrective action planning for direct reports  Real-time operational decisions and managing the immediate response to major incidents and emergencies  Managing later stages of attendance, conduct and discipline matters  Availability and deployment of essential resources to maintain required service standards  Service improvement decisions in partnership with Trains, Service Control and Asset Performance teams, as well as with external suppliers and stakeholders  Long-term customer service improvements  Preparation, implementation and review of relevant emergency plans (e.g. incident handling and congestion control)

Jobholder’s command

The Area Manager - Stations is line manager to Customer Service Managers for attendance management, welfare and people management. The Area Manager is accountable for the performance of the Area, including that of frontline Customer Service staff. Competencies

The requirements for the Area Manager - Stations Role are set out in Appendix 1.

Person Specification  A role model of excellent leadership and engagement  Approachable, confident and proactive  A self-starter: highly motivated, able to use their own initiative  Able to lead people through change and uncertainty  Adaptable to change and new technology  Good at managing their own time, working independently, solving problems and knowing when it is appropriate to escalate issues  Able to lead a team and inspire others to deliver excellence  Smart in appearance, reflecting London Underground’s appearance standard  Excellent at collaborating with others to deliver improvements  Able to meet the required standards reflected in London Underground’s policies including those on smoking, alcohol and drugs, attendance at work and Business Ethics  Able to maintain high standards of performance consistently  Able to work across a number of stations and visit each station regularly

This document reflects ongoing work and discussions within LU on options for the future of London Underground. It does not represent LU’s final position on the contents, which are subject to ongoing consultation with our trades unions. Appendix 1: Requirements for Area Manager - Stations

Category Level Required Commercial Thinking C - Deliver Financial Improvements and Cost Efficiencies  Apply understanding of TfL's financial position, budgets and funding streams to inform This is about the ability to view situations from a decisions made commercial perspective. At lower levels there should be  Take action and seek opportunities to improve cost efficiencies within the team and an understanding of the importance of cost and business area efficiencies to TfL, developing to a level where  Ensure cost implication of decisions have been taken into account and reflected in the commercially focused decisions are made budget  Present clear financial rationale for decisions To be competent in your role, you should.....  Encourage and help colleagues / teams to achieve efficiency and cost savings Communication and Influence C – Influence Others

This is about an individual’s ability to engage, persuade,  Communicate concepts and ideas clearly and in a way which seeks to interest and engage convince or influence others (individuals or groups), the audience through their communication style and approach, in  Influence others using strong, well thought through arguments and a number of different order to get them to go along with or to support their techniques agenda. Incorporated into this, is the individual’s ability  Shape discussions and direct others towards useful topics and conclusions  Effectively deal with / overcome challenges from others to understand and anticipate their audience’s position or  Adapt approach to gain commitment response and adapt their message in order to gain their commitment To be competent in your role, you should..... Customer Service Orientation D - Act to make things better for the customer

This is about focusing one’s efforts on providing good  Always keep TfL’s customers in mind when making decisions customer service. At higher levels this involves  Use trends and patterns from customer feedback to inform strategy balancing customers’ needs alongside other priorities /  Involve customers in the design and implementation of solutions and long term plans constraints (e.g. budget, resource).  Make self fully available, especially when customer is going through a critical period (e.g., spends extra time and effort with customer when the customer needs it) To be competent in your role, you should.....  Focus own and their team's effort to meet or exceed the customer’s expectation Managing Business Performance inc Safety C - Ensure High Performance

This is about taking responsibility for business  Set out required standards of performance and objectives for team in the short to medium term This document reflects ongoing work and discussions within LU on options for the future of London Underground. It does not represent LU’s final position on the contents, which are subject to ongoing consultation with our trades unions.

v.2 20.03.2014 7 performance; setting the standards, reviewing  Provide others with clear direction on what needs to be done against standards and performance against these, anticipating issues and objectives responding appropriately to drive and improve business  Regularly review business performance and take action to address consistent / significant performance. performance issues  Anticipate issues that will negatively impact performance and takes responsibility to put To be competent in your role, you should..... plans/resources in place to address these  Lead continuous improvement in business and staff performance within own area Organisation Awareness C – Understand climate and culture

This is about the ability to understand the organisation,  Recognise and take account of organisational climate / culture in planning future activities its customers, stakeholders and critical relationships  Use understanding of other teams to ensure effective performance / delivery within and outside TfL. This includes the ability to  Understand organisational constraints that influence business wide decisions recognise the impact of individuals / groups, interactions  Manage the impact they and / or their team / business area have on the wider organisation and how decisions are made in TfL.  Encourage others to seek and share information across the organisation such that it benefits both the team and TfL (e.g. remove duplication of work) To be competent in your role, you should..... Planning and Organising C - Act in the Short to Medium Term

This is about the ability to establish a course of action  Develop and review comprehensive plans in the short to medium term to meet objectives, for self and/or others, and manage time, resources and taking account of priorities surrounding circumstances to deliver to their objectives.  Effectively utilise available resources to deliver planned milestones and objectives Planning and Organising should be seen in the context  Identify risks, issues and opportunities, taking necessary mitigating action to reduce impact of taking action and not simply thinking about future on delivery of plans / milestones  Establish processes to monitor the progress of projects or business activities actions.  Ensure that plans deliver to time/quality/budget To be competent in your role, you should..... Problem Solving and Decision Making B – Use range of information, identify patterns and make balanced decisions

This is about identifying and interpreting various sources  Identify key patterns / trends and recognise reasons and implications of information/evidence to understand a situation or  Assess the potential wider impact of options problem in order to reach conclusions / make effective  Use a range of relevant information, including qualitative / quantitative data and policies decisions or recommendations. and procedures, to investigate the problem and guide decisions  Develop a range of potential options / solutions, identifying the pro’s and con’s of each To be competent in your role, you should.....  Make balanced and sometimes difficult decisions to effectively address the problem Results Focus C – Improve performance

This is about delivering business / performance results  Make specific changes in own work methods to improve performance e.g. processes, systems This document reflects ongoing work and discussions within LU on options for the future of London Underground. It does not represent LU’s final position on the contents, which are subject to ongoing consultation with our trades unions. 8 in TfL to time/budget/quality. They should be looking for  Identify business improvements and make specific changes within a business area ways to improve performance and add value to TfL.  Use feedback and performance trends to inform target setting To be competent in your role, you should.....  Pre-empt barriers and obstacles to delivery  Ensure systems and processes are in place to deliver business / performance results / strategy to time / budget / quality Safety Awareness D – Address systematic safety risks

This is about taking the safety of customers, employees,  Analyse and address systemic safety risks to staff, customers and the wider suppliers and the public seriously and understanding community own and others’ responsibilities. At higher levels this  Ensure safety rules and regulations are implemented and adhered to involves establishing and promoting a safety culture.  Oversee risk assessments in their area  Promote and share best safety practices To be competent in your role, you should..... Stakeholder Management C – Manage complex / conflicting stakeholder agendas

This is about managing stakeholder relationships in  Establish long term plans / activities for improvements in stakeholder management order to support delivery of objectives. Primary focus is  Take a primary role in handling complex agendas and / or difficult contractual or technical on the activities aligned to stakeholder management situations with stakeholders on behalf of TfL that support managing stakeholder relationships.  Identify and manage the conflicting agendas of multiple internal and external stakeholders  Identify potential stakeholders in alignment of long term strategy To be competent in your role, you should.....  Effectively negotiate complex / long term stakeholder solutions that impact service delivery  Network with appropriate groups to maintain TfL’s profile  Provide a positive, consistent and unified image of their business area at all times Strategic Thinking B - Interpret

This is about the ability to understand, develop and  Understand the organisational strategy and the links to business plans and objectives implement concepts, plans and ideas which are aligned  Translate business priorities to team members, ensuring they understand how others’ to TfL’s long-term plans. This includes developing and contribution supports TfL priorities translating the overarching vision and direction for the  Focus thinking on medium term requirements (objectives, plans, customer requirements) local business area and/or wider organisation and whilst taking into account longer term business plans setting out plans to deliver TfL’s strategy. To be competent in your role, you should..... Team Leadership C – Improve Team Performance

This is about providing strong management and  Provide support to other managers in managing more complex and / or contentious leadership skills of those that have responsibility for performance issues  Champion staff involvement during change or making improvements, seeking their ideas This document reflects ongoing work and discussions within LU on options for the future of London Underground. It does not represent LU’s final position on the contents, which are subject to ongoing consultation with our trades unions. 9 others. The focus is on instilling trust and confidence in and feedback in finding solutions others and improving team, functional or organisational  Maintain a high level of staff engagement and develop a team willing to go the ‘extra mile’ performance. The individual will be expected to lead and pull together with other teams others.  Develop a culture of trust and openness amongst individuals and teams through their actions and decisions To be competent in your role, you should.....  Improve communication channels to further staff engagement

This document reflects ongoing work and discussions within LU on options for the future of London Underground. It does not represent LU’s final position on the contents, which are subject to ongoing consultation with our trades unions. Appendix - 2019/12365

Job Title Area Manager - Stations

Reporting to Performance Manager

Hay score / Pay 483 / MMH1 band

Role Scope Responsible for leading and developing teams of staff to deliver world class customer service in London Underground Stations, ensuring that agreed performance targets are met within budget, considering safety, reliability, capacity and commercial performance of the network as well as customer service.

Key Lead, motivate and develop teams of staff to deliver a world class customer service through effective performance management, communication, Accountabilities coaching and development. Overall accountability for the Area scorecard and ensuring continuous improvement.

Responsible for all aspects of Landlord accountabilities for the assigned Area. Lead local engagement activities to increase staff involvement and commitment across the area to meet the challenges of a growing London population.

Accountable for achievement of operational, commercial and financial performance measures, visualising these and delivering the improvement plans to meet future requirements across stations

Responsible for delivery of accurate real time information for our stakeholders, customers and operational staff for the area

Drive and achieve continuous improvement in safety, performance, income, cost optimisation, productivity and environmental standards.

Accountable for achieving financial and commercial targets and efficiencies within the business group and ensuring commercial opportunities are identified and realised.

Accountable for delivering real improvements in customer service, both in terms of journey time and the quality of customer care, across all the key aspects of service that customers value most.

Proactively manage all case management for the Area ensuring resolution at the lowest level possible, ensuring compliance with the relevant policies to minimise risk of disruption to the business.

Responsible for ensuring adequate numbers of appropriately qualified staff are available to deliver excellent performance and mitigate risk of station closures or net loss of revenue. Achieve this through participating in the recruitment of staff and effective competence and coverage management.

Ensure the correct programmes of scheduled inspections are carried out and outputs managed appropriately to ensure risks remain at the lowest levels reasonably practicable across the Area. This document reflects ongoing work and discussions within LU on options for the future of London Underground. It does not represent LU’s final position on the contents, which are subject to ongoing consultation with our trades unions.

v.2 20.03.2014 2

Review and improve ways of working to prevent recurrence of incidents and reduce risk as far as reasonably practical. Regularly review operational plans and controls, ensuring any changes are managed through the company’s change control processes to mitigate against risks and enhance long-term service provision. Respond to major operational incidents to ensure the safety of customers and staff.

Develop effective relationships with a wide range of stakeholders including Trades Unions, Emergency Services, other Train Operating Companies, local Borough staff and passenger groups to drive continuous improvement.

Work flexible hours on a regular basis including unsocial hours and weekends.

Financial Impact Allocated revenue and cost budget and local budget spend decisions for a budgeted contribution of up to 3 million pounds. The jobholder will be responsible for the line management of between 6 and 13 Customer Service Managers.

Key interfaces The jobholder’s main working relationships are with the following:  Station teams and direct reports – to maintain engagement and drive performance, provide support, coaching and guidance  Asset teams – to work collaboratively to ensure assets are fit for purpose.  Stations, Trains and Service Control management teams - to work collaboratively and cross-functionally on projects and upgrades  Station colleagues, administrators train staff and management teams – to ensure the smooth operation of the group, and manage appropriate escalated issues which CSMs have been unable to resolve  Emergency Services, Duty Reliability Managers and Emergency Response Unit – to pass accurate information to and liaise with in the event of major incidents  Emergency services, other parts of LU, TfL, Network Rail, other TOCs and other external suppliers and stakeholders - to minimise the impact to customers of service provision, potential disruptions, upgrade works and emergency activities  Other teams in TfL, including but not limited to Operational Support, Finance, CPD, Human Resources and Occupational Health – to seek advice and guidance before making decisions  British Transport Police – to assist in the prevention and detection of crime  Local authorities – to understand local issues and impact of any proposals.

Knowledge  Knowledge of an operational environment, in particular of station staff working practices and agreements  Knowledge of working in a safety critical environment  Excellent understanding of London Underground’s Customer Service targets and goals  Good knowledge of station assets and landlord responsibilities  A good understanding of employment, health, safety and environment issues  Knowledge and understanding of aspects of equality and diversity.

This document reflects ongoing work and discussions within LU on options for the future of London Underground. It does not represent LU’s final position on the contents, which are subject to ongoing consultation with our trades unions. 3

Skills  Demonstrable influencing skills  Ability to understand performance targets and to translate into the operating environment.  Ability to understand financial reports and to take appropriate decisions (including budgeting and forecasting) based on the information they contain.  Long-term planning and organising to mitigate risks (including financial risks) to the Area performance  Demonstrable commercial acumen to ensure financial targets and efficiencies are achieved and commercial opportunities are identified and realised  Identify the root cause of major service and safety incidents and develop action plans to reduce risk  Ability to lead multiple teams effectively to maximise service provision to customers  Ability to coach and train staff

Experience  Leading a team of people to deliver excellent customer service  Complex people management issues requiring involvement from multiple stakeholders  Working in a busy and dynamic environment  Writing and communicating clearly and effectively with people from different backgrounds and at all levels  Building, coaching and motivating teams in a performance management culture  Consultation and negotiation with Trade Union staff representatives  Leading projects resulting in long-term performance improvements.  Working in a safety critical environment  Proven experience of working within an operational environment  Applying emergency safety procedures to protect the well-being of self, colleagues and customers

HEALTH & SAFETY STATEMENT All employees have a general duty in law to take reasonable care for the health and safety of themselves and of other persons who may be affected by their acts or omissions. All employees must understand and be committed to Transport for London’s Health and Safety Policy statement and TfL’s safety priorities and be aware of their contribution to such priorities. All employees must also be aware of and comply with all current health and safety legislation and other TfL requirements that are relevant to their role.

EQUALITY STATEMENT Transport for London values the diversity which exists in our city, and our aspiration is to reflect this diversity in our workforce. All employees must be aware of and committed to the Equality Policy Statement of Transport for London. All employees must also be aware of and comply with all other TfL requirements associated with Equality and Diversity issues relevant to their role.

CRIME and DISORDER STATEMENT It is a statutory requirement for all departments in TfL to follow Section 17 of the Crime and Disorder Act 1998. Section 17 requires authorities to consider the likely effect on crime and disorder and community safety in all that they do, and take action to prevent crime and disorder, substance misuse, anti-social behaviour and behaviour that adversely affects the environment. TfL has voluntarily been committed to following Section 17 since 2006, but we must all make sure that it is considered in decision making, policies and procedures in the same way that equality and health and safety are.

This document reflects ongoing work and discussions within LU on options for the future of London Underground. It does not represent LU’s final position on the contents, which are subject to ongoing consultation with our trades unions. 4

Addendum

Detailed accountabilities are as follows:

 Actively lead and develop staff to maintain high standards of performance, productivity and competence through clear direction, effective communication, coaching, performance management, training, development and relationship management.  Continually develop and manage the performance of staff, including regular documented Performance and Development conversations and following-up on performance concerns.  Give and record feedback using the Competence Management System (CMS). Prepare, implement and review action plans and improvement targets for your direct reports. Ensure your direct reports remain in plan. Take overall accountability for CMS for the Area.  Ensure that all staff comply with best practice, employment law, company policies and procedures and the application of corrective measures when there is non-compliance.  Ensure attendance levels are managed by leading teams to proactively manage absence and hold direct reports accountable for managing absence. Manage the later stages of complex long-term absence cases including referring to LUOH where necessary.  Ensure appropriate resources are available to deliver excellent customer service by authorising planned coverage arrangements and ensuring direct reports and relevant administrators are managing the availability of adequately trained staff. Manage absence and non-availability of direct reports.  Ensure the company’s discipline policy is applied appropriately and engage in the appropriate level of managing conduct issues.  Communicate regularly with all levels of staff to increase staff engagement, as measured by employee surveys.  Use local and company recognition processes to recognise and commend exceptional performance.  Manage, record and where possible resolve later stages of grievances, harassment and bullying locally wherever possible.  Monitor team performance and demonstrate overall accountability for the Area scorecard.  Identify and deliver customer needs through managing performance improvement action plans and projects that encompass commercial opportunities to deliver a world class service.  Actively manage risks and ensure regular inspections and evacuation exercises are held as required to maintain highest standards of safety and loss control including staff familiarisation.  Mitigate risks by routinely reviewing plans and other documents and controls, ensuring that any changes to the organisation or operational processes are assessed under the company's change control processes.  Liaise and ensure that operational staff liaise, as appropriate, with all emergency and security service personnel e.g. London Fire and Emergency Planning Authority, British Transport Police, Office of the Rail Regulator and other external bodies.  Respond to major incidents by allocating roles to staff, authorising and implementing operational procedures and carrying out incident investigation and contributing to recommendations to prevent recurrence.  Review operational plans for special events and industrial action and conduct readiness exercises. Manage refusals to work on the grounds of Health and Safety.  Investigate incidents, write and review follow-up reports. Implement improvements where required.  Deter fraudulent travel and anti-social behaviour where it is safe to do so and report all incidents and threats of anti-social and criminal behaviour.  Manage constructive relationships with the Trades Unions by holding regular Level 1 and Tier 1 meetings as per the Machinery of Consultation and Negotiation and prevailing agreements as well as acting as management representative on Tier 2 or Functional Council meetings as required. Take accountability at these meetings and work collaboratively to directly resolve issues and concerns, manage change, foster relationships and improve the business. This document reflects ongoing work and discussions within LU on options for the future of London Underground. It does not represent LU’s final position on the contents, which are subject to ongoing consultation with our trades unions. 5

 Develop effective customer relations and partnerships by actively fostering contacts with external stakeholder groups such as passenger groups, Train Operating Companies, local Borough staff, councillors, representatives of local businesses, education and other agencies. Respond to customer complaints and claims as necessary.  Agree and control a budget including resource planning, forecasting and operating costs to deliver budgets and ensure investments are supported by suitable business cases.  Role-model the LU values and behaviours in a highly visible way and meet, as a minimum, the criteria for an Established Centurion as outlined in the Skills Framework.  Work flexibly and accept challenges so that other areas may benefit from your skills and expertise where they are needed.  Deputise for your line manager where required.

Decision Making

The following are areas of authority for decision-making:  Performance management and corrective action planning for direct reports  Real-time operational decisions and managing the immediate response to major incidents and emergencies  Managing later stages of attendance, conduct and discipline matters  Availability and deployment of essential resources to maintain required service standards  Service improvement decisions in partnership with Trains, Service Control and Asset Performance teams, as well as with external suppliers and stakeholders  Long-term customer service improvements  Preparation, implementation and review of relevant emergency plans (e.g. incident handling and congestion control)

Jobholder’s command

The Area Manager - Stations is line manager to Customer Service Managers for attendance management, welfare and people management. The Area Manager is accountable for the performance of the Area, including that of frontline Customer Service staff. Competencies

The requirements for the Area Manager - Stations Role are set out in Appendix 1.

Person Specification  A role model of excellent leadership and engagement  Approachable, confident and proactive  A self-starter: highly motivated, able to use their own initiative  Able to lead people through change and uncertainty  Adaptable to change and new technology  Good at managing their own time, working independently, solving problems and knowing when it is appropriate to escalate issues  Able to lead a team and inspire others to deliver excellence  Smart in appearance, reflecting London Underground’s appearance standard  Excellent at collaborating with others to deliver improvements  Able to meet the required standards reflected in London Underground’s policies including those on smoking, alcohol and drugs, attendance at work and Business Ethics  Able to maintain high standards of performance consistently  Able to work across a number of stations and visit each station regularly

This document reflects ongoing work and discussions within LU on options for the future of London Underground. It does not represent LU’s final position on the contents, which are subject to ongoing consultation with our trades unions. Appendix 1: Requirements for Area Manager - Stations

Category Level Required Commercial Thinking C - Deliver Financial Improvements and Cost Efficiencies  Apply understanding of TfL's financial position, budgets and funding streams to inform This is about the ability to view situations from a decisions made commercial perspective. At lower levels there should be  Take action and seek opportunities to improve cost efficiencies within the team and an understanding of the importance of cost and business area efficiencies to TfL, developing to a level where  Ensure cost implication of decisions have been taken into account and reflected in the commercially focused decisions are made budget  Present clear financial rationale for decisions To be competent in your role, you should.....  Encourage and help colleagues / teams to achieve efficiency and cost savings Communication and Influence C – Influence Others

This is about an individual’s ability to engage, persuade,  Communicate concepts and ideas clearly and in a way which seeks to interest and engage convince or influence others (individuals or groups), the audience through their communication style and approach, in  Influence others using strong, well thought through arguments and a number of different order to get them to go along with or to support their techniques agenda. Incorporated into this, is the individual’s ability  Shape discussions and direct others towards useful topics and conclusions  Effectively deal with / overcome challenges from others to understand and anticipate their audience’s position or  Adapt approach to gain commitment response and adapt their message in order to gain their commitment To be competent in your role, you should..... Customer Service Orientation D - Act to make things better for the customer

This is about focusing one’s efforts on providing good  Always keep TfL’s customers in mind when making decisions customer service. At higher levels this involves  Use trends and patterns from customer feedback to inform strategy balancing customers’ needs alongside other priorities /  Involve customers in the design and implementation of solutions and long term plans constraints (e.g. budget, resource).  Make self fully available, especially when customer is going through a critical period (e.g., spends extra time and effort with customer when the customer needs it) To be competent in your role, you should.....  Focus own and their team's effort to meet or exceed the customer’s expectation Managing Business Performance inc Safety C - Ensure High Performance

This is about taking responsibility for business  Set out required standards of performance and objectives for team in the short to medium term This document reflects ongoing work and discussions within LU on options for the future of London Underground. It does not represent LU’s final position on the contents, which are subject to ongoing consultation with our trades unions.

v.2 20.03.2014 7 performance; setting the standards, reviewing  Provide others with clear direction on what needs to be done against standards and performance against these, anticipating issues and objectives responding appropriately to drive and improve business  Regularly review business performance and take action to address consistent / significant performance. performance issues  Anticipate issues that will negatively impact performance and takes responsibility to put To be competent in your role, you should..... plans/resources in place to address these  Lead continuous improvement in business and staff performance within own area Organisation Awareness C – Understand climate and culture

This is about the ability to understand the organisation,  Recognise and take account of organisational climate / culture in planning future activities its customers, stakeholders and critical relationships  Use understanding of other teams to ensure effective performance / delivery within and outside TfL. This includes the ability to  Understand organisational constraints that influence business wide decisions recognise the impact of individuals / groups, interactions  Manage the impact they and / or their team / business area have on the wider organisation and how decisions are made in TfL.  Encourage others to seek and share information across the organisation such that it benefits both the team and TfL (e.g. remove duplication of work) To be competent in your role, you should..... Planning and Organising C - Act in the Short to Medium Term

This is about the ability to establish a course of action  Develop and review comprehensive plans in the short to medium term to meet objectives, for self and/or others, and manage time, resources and taking account of priorities surrounding circumstances to deliver to their objectives.  Effectively utilise available resources to deliver planned milestones and objectives Planning and Organising should be seen in the context  Identify risks, issues and opportunities, taking necessary mitigating action to reduce impact of taking action and not simply thinking about future on delivery of plans / milestones  Establish processes to monitor the progress of projects or business activities actions.  Ensure that plans deliver to time/quality/budget To be competent in your role, you should..... Problem Solving and Decision Making B – Use range of information, identify patterns and make balanced decisions

This is about identifying and interpreting various sources  Identify key patterns / trends and recognise reasons and implications of information/evidence to understand a situation or  Assess the potential wider impact of options problem in order to reach conclusions / make effective  Use a range of relevant information, including qualitative / quantitative data and policies decisions or recommendations. and procedures, to investigate the problem and guide decisions  Develop a range of potential options / solutions, identifying the pro’s and con’s of each To be competent in your role, you should.....  Make balanced and sometimes difficult decisions to effectively address the problem Results Focus C – Improve performance

This is about delivering business / performance results  Make specific changes in own work methods to improve performance e.g. processes, systems This document reflects ongoing work and discussions within LU on options for the future of London Underground. It does not represent LU’s final position on the contents, which are subject to ongoing consultation with our trades unions. 8 in TfL to time/budget/quality. They should be looking for  Identify business improvements and make specific changes within a business area ways to improve performance and add value to TfL.  Use feedback and performance trends to inform target setting To be competent in your role, you should.....  Pre-empt barriers and obstacles to delivery  Ensure systems and processes are in place to deliver business / performance results / strategy to time / budget / quality Safety Awareness D – Address systematic safety risks

This is about taking the safety of customers, employees,  Analyse and address systemic safety risks to staff, customers and the wider suppliers and the public seriously and understanding community own and others’ responsibilities. At higher levels this  Ensure safety rules and regulations are implemented and adhered to involves establishing and promoting a safety culture.  Oversee risk assessments in their area  Promote and share best safety practices To be competent in your role, you should..... Stakeholder Management C – Manage complex / conflicting stakeholder agendas

This is about managing stakeholder relationships in  Establish long term plans / activities for improvements in stakeholder management order to support delivery of objectives. Primary focus is  Take a primary role in handling complex agendas and / or difficult contractual or technical on the activities aligned to stakeholder management situations with stakeholders on behalf of TfL that support managing stakeholder relationships.  Identify and manage the conflicting agendas of multiple internal and external stakeholders  Identify potential stakeholders in alignment of long term strategy To be competent in your role, you should.....  Effectively negotiate complex / long term stakeholder solutions that impact service delivery  Network with appropriate groups to maintain TfL’s profile  Provide a positive, consistent and unified image of their business area at all times Strategic Thinking B - Interpret

This is about the ability to understand, develop and  Understand the organisational strategy and the links to business plans and objectives implement concepts, plans and ideas which are aligned  Translate business priorities to team members, ensuring they understand how others’ to TfL’s long-term plans. This includes developing and contribution supports TfL priorities translating the overarching vision and direction for the  Focus thinking on medium term requirements (objectives, plans, customer requirements) local business area and/or wider organisation and whilst taking into account longer term business plans setting out plans to deliver TfL’s strategy. To be competent in your role, you should..... Team Leadership C – Improve Team Performance

This is about providing strong management and  Provide support to other managers in managing more complex and / or contentious leadership skills of those that have responsibility for performance issues  Champion staff involvement during change or making improvements, seeking their ideas This document reflects ongoing work and discussions within LU on options for the future of London Underground. It does not represent LU’s final position on the contents, which are subject to ongoing consultation with our trades unions. 9 others. The focus is on instilling trust and confidence in and feedback in finding solutions others and improving team, functional or organisational  Maintain a high level of staff engagement and develop a team willing to go the ‘extra mile’ performance. The individual will be expected to lead and pull together with other teams others.  Develop a culture of trust and openness amongst individuals and teams through their actions and decisions To be competent in your role, you should.....  Improve communication channels to further staff engagement

This document reflects ongoing work and discussions within LU on options for the future of London Underground. It does not represent LU’s final position on the contents, which are subject to ongoing consultation with our trades unions. Appendix - 2019/12365 Transport for London

Job Description Guidance

Job title

Reporting to (position number)

Hay score / Pay Band

Job Purpose

Key accountabilities

This job description takes account of the primary factors but recognises there may be an number of items required to fulfil the role, but which are not required to be detailed.

Direct Active Fair Accountable Collaborative Transport for London

Financial Impact

Key interfaces

Knowledge

Skills

This job description takes account of the primary factors but recognises there may be an number of items required to fulfil the role, but which are not required to be detailed.

Direct Active Fair Accountable Collaborative Transport for London

Experience

Our 15 competencies are the generic skills, including interpersonal skills and knowledge need to perform well in a role, but not all of these will be applicable. Based on the requirements of the role, please indicate those competencies that are most relevant (6 - 8 max) and the level required ( A-E).

Refer to the Competency Briefing Note for Line Managers for further information and the Competency Framework to determine the competencies and levels to be included.

Building capability Communications and influence

Responsiveness Stakeholder management

Customer service orientation Planning and organisation

Strategic thinking Commercial thinking

Problem solving and decision making Safety awareness

Organisational awareness Managing business performance

Change and innovation Team leadership

Results focus

HEALTH & SAFETY STATEMENT

All employees have a general duty in law to take reasonable care for the health and safety of themselves and of other persons who may be affected by their acts or omissions. All employees must understand and be committed to Transport for London’s Health and Safety Policy statement and the Company’s safety priorities and be aware of their contribution to such priorities. All employees must also be aware of and comply with all current health and safety legislation and other Company requirements that are relevant to their role.

EQUALITY STATEMENT

Transport for London values the diversity which exists in our city, and our aspiration is to reflect this diversity in our workforce. All employees must be aware of and committed to the Equality Policy Statement of Transport for London. All employees must also be aware of and comply with other Company requirements associated with Equality and Diversity issues relevant to their role.

CRIME & DISORDER STATEMENT

It is a statutory requirement for all departments tin TfL to follow Section 17 of the Crime and Disorder Act 1998. Section 17 requires authorities to consider the likely affect on crime and disorder and community safety in all that they do, and take action to prevent crime and disorder, substance misuse, anti-social behaviour and behaviour that adversely affects the environment. Tfl has voluntarily been committed to following Section 17 since 2006, but we must all make sure that it is considered in decision making, policies and procedures in the same way that equality and health and safety are.

This job description takes account of the primary factors but recognises there may be an number of items required to fulfil the role, but which are not required to be detailed.

Direct Active Fair Accountable Collaborative Transport for London

ADDITIONAL INFORMATION AND/OR ADDENDUM

This job description takes account of the primary factors but recognises there may be an number of items required to fulfil the role, but which are not required to be detailed.

Direct Active Fair Accountable Collaborative Appendix - 2019/12365 Transport for London

Job Description Guidance

Job title

Reporting to (position number)

Hay score / Pay Band

Job Purpose

Key accountabilities

This job description takes account of the primary factors but recognises there may be an number of items required to fulfil the role, but which are not required to be detailed.

Direct Active Fair Accountable Collaborative Transport for London

Financial Impact

Key interfaces

Knowledge

Skills

This job description takes account of the primary factors but recognises there may be an number of items required to fulfil the role, but which are not required to be detailed.

Direct Active Fair Accountable Collaborative Transport for London

Experience

Our 15 competencies are the generic skills, including interpersonal skills and knowledge need to perform well in a role, but not all of these will be applicable. Based on the requirements of the role, please indicate those competencies that are most relevant (6 - 8 max) and the level required ( A-E).

Refer to the Competency Briefing Note for Line Managers for further information and the Competency Framework to determine the competencies and levels to be included.

Building capability Communications and influence

Responsiveness Stakeholder management

Customer service orientation Planning and organisation

Strategic thinking Commercial thinking

Problem solving and decision making Safety awareness

Organisational awareness Managing business performance

Change and innovation Team leadership

Results focus

HEALTH & SAFETY STATEMENT

All employees have a general duty in law to take reasonable care for the health and safety of themselves and of other persons who may be affected by their acts or omissions. All employees must understand and be committed to Transport for London’s Health and Safety Policy statement and the Company’s safety priorities and be aware of their contribution to such priorities. All employees must also be aware of and comply with all current health and safety legislation and other Company requirements that are relevant to their role.

EQUALITY STATEMENT

Transport for London values the diversity which exists in our city, and our aspiration is to reflect this diversity in our workforce. All employees must be aware of and committed to the Equality Policy Statement of Transport for London. All employees must also be aware of and comply with other Company requirements associated with Equality and Diversity issues relevant to their role.

CRIME & DISORDER STATEMENT

It is a statutory requirement for all departments tin TfL to follow Section 17 of the Crime and Disorder Act 1998. Section 17 requires authorities to consider the likely affect on crime and disorder and community safety in all that they do, and take action to prevent crime and disorder, substance misuse, anti-social behaviour and behaviour that adversely affects the environment. Tfl has voluntarily been committed to following Section 17 since 2006, but we must all make sure that it is considered in decision making, policies and procedures in the same way that equality and health and safety are.

This job description takes account of the primary factors but recognises there may be an number of items required to fulfil the role, but which are not required to be detailed.

Direct Active Fair Accountable Collaborative Transport for London

ADDITIONAL INFORMATION AND/OR ADDENDUM

This job description takes account of the primary factors but recognises there may be an number of items required to fulfil the role, but which are not required to be detailed.

Direct Active Fair Accountable Collaborative Appendix - 2019/12365 Transport for London

Job Description Guidance

Job title

Reporting to (position number)

Hay score / Pay Band

Job Purpose

Key accountabilities

This job description takes account of the primary factors but recognises there may be an number of items required to fulfil the role, but which are not required to be detailed.

Direct Active Fair Accountable Collaborative Transport for London

Financial Impact

Key interfaces

Knowledge

Skills

This job description takes account of the primary factors but recognises there may be an number of items required to fulfil the role, but which are not required to be detailed.

Direct Active Fair Accountable Collaborative Transport for London

Experience

Our 15 competencies are the generic skills, including interpersonal skills and knowledge need to perform well in a role, but not all of these will be applicable. Based on the requirements of the role, please indicate those competencies that are most relevant (6 - 8 max) and the level required ( A-E).

Refer to the Competency Briefing Note for Line Managers for further information and the Competency Framework to determine the competencies and levels to be included.

Building capability Communications and influence

Responsiveness Stakeholder management

Customer service orientation Planning and organisation

Strategic thinking Commercial thinking

Problem solving and decision making Safety awareness

Organisational awareness Managing business performance

Change and innovation Team leadership

Results focus

HEALTH & SAFETY STATEMENT

All employees have a general duty in law to take reasonable care for the health and safety of themselves and of other persons who may be affected by their acts or omissions. All employees must understand and be committed to Transport for London’s Health and Safety Policy statement and the Company’s safety priorities and be aware of their contribution to such priorities. All employees must also be aware of and comply with all current health and safety legislation and other Company requirements that are relevant to their role.

EQUALITY STATEMENT

Transport for London values the diversity which exists in our city, and our aspiration is to reflect this diversity in our workforce. All employees must be aware of and committed to the Equality Policy Statement of Transport for London. All employees must also be aware of and comply with other Company requirements associated with Equality and Diversity issues relevant to their role.

CRIME & DISORDER STATEMENT

It is a statutory requirement for all departments tin TfL to follow Section 17 of the Crime and Disorder Act 1998. Section 17 requires authorities to consider the likely affect on crime and disorder and community safety in all that they do, and take action to prevent crime and disorder, substance misuse, anti-social behaviour and behaviour that adversely affects the environment. Tfl has voluntarily been committed to following Section 17 since 2006, but we must all make sure that it is considered in decision making, policies and procedures in the same way that equality and health and safety are.

This job description takes account of the primary factors but recognises there may be an number of items required to fulfil the role, but which are not required to be detailed.

Direct Active Fair Accountable Collaborative Transport for London

ADDITIONAL INFORMATION AND/OR ADDENDUM

This job description takes account of the primary factors but recognises there may be an number of items required to fulfil the role, but which are not required to be detailed.

Direct Active Fair Accountable Collaborative Appendix - 2019/12365 Transport for London

Job Description Guidance

Job title Customer Service Manager 2 / 3

Reporting to (position number) Area Manager

Hay score / Pay Band TBA / OMQ3 & 4

Job Purpose

Lead and manage a team to deliver world class service to all London Underground customers. Responsible for the smooth and safe daily operation of the station environment, delivering to agreed performance targets for customer service, safety, reliability, capacity and commercial performance of the network.

CSM2s will work unsociable hours (including nights) and weekends regularly as part of a roster. (Q3 Level 2). CSM3s will work unsociable hours (excluding nights) and weekends regularly as part of a roster. (Q4 Level 1).

NB: CSM2s will normally be rostered at Metro and Local stations. CSM3s will normally work in Local stations. .

Key accountabilities

People management: lead, motivate and develop a team of staff to deliver a world class service through effective performance management, communication, coaching and development. Customer service: ensure the best possible customer experience is delivered (measured through the achievement of key customer service performance indicators), and lead by example through proactively providing assistance to customers. Staff Engagement: lead local activities to build staff involvement and commitment to improve customer service. Deployment: deploy staff effectively at all times to maximise service provision and staff visibility to customers and reduce the risk of station closures and disruption to customers. Performance management: Proactively manage attendance, discipline and conduct issues within your team, ensuring these are resolved early, effectively and without escalation where possible. Manage the performance of your team throughout the year to ensure they continue to demonstrate the required competence. Ticketing: manage the provision of ticketing facilities for customers, ensuring the availability of ticket machines. Proactively identify opportunities to increase commercial revenue. Operational support: responsible for opening and closing stations, facilitating access and managing a combination of assets depending on the station type (including the programme of station and security checks) to ensure the reliability of assets and services to customers. Identify and resolve faults locally wherever possible. Incidents and emergencies: respond to and manage operational incidents in line with London Underground’s rules and procedures to ensure the safety of customers and staff and to restore service as quickly as possible. Liaise effectively with emergency services and other external stakeholders as needed. Safety: manage operational risks by regularly reviewing risk assessments. Investigate incidents and other issues locally, writing and reviewing reports where appropriate and seek to improve ways of working to prevent recurrence. Implement steps to protect revenue by effectively detecting and eliminating fraud.

This job description takes account of the primary factors but recognises there may be an number of items required to fulfil the role, but which are not required to be detailed.

Direct Active Fair Accountable Collaborative Transport for London

Financial Impact

The jobholder does not have any budgetary responsibility but will handle cash and cash-value items following the correct procedures. The jobholder will be responsible for the line management of Customer Service Supervisors and/or Customer Service Assistants.

The jobholder will have responsibility for authorising overtime, and for authorising rewards and recognition payments.

Key interfaces

• Customers: provide help and assistance • Direct reports: engage and drive performance, provide support, coaching and guidance • Tenants, contractors, cleaners and other TfL representatives: ensure appropriate access to the station environment and direct as required. • AM: work to instructions of, and provide support to, the AM to contribute to the smooth operation of the Area • Other LU operational colleagues: work collaboratively to ensure the smooth operation of the station and delivery of a world class service across the network. Ensure the smooth operation of the station, manage problems and deal with issues as they arise [See additional information for other key interfaces]

Knowledge

• Excellent knowledge of the London Underground system, other TfL services, ticketing and travel options • Knowledge of an operational environment, in particular of station staff working practices and agreements • Knowledge of relevant technology to help customers and provide real-time information eg ticket machines and hand-held devices • Excellent understanding of London Underground’s Customer Service targets and goals • Good understanding of local area information including onward transport, amenities and attractions • Commercial and financial awareness of operating issues such as reliability, access, overtime and minor works requests • Knowledge of operating procedures (as found in the relevant Rule Books), relevant policies/procedures and their application to resolve problems, knowledge of station assets and incident response • Knowledge of the requirements for working in a safety critical environment • Knowledge and understanding of equality and diversity requirements, including relevant TfL and wider government policy [See additional information for other knowledge]

Skills

• Excellent customer service skills to deliver a world-class service. • Excellent communication skills including oral and written with the ability to listen effectively and express things clearly and accurately in writing • Excellent influencing skills • Ability to explain London Underground’s customer service targets and goals to team members, drive achievement of them through team performance • Ability to deploy resources effectively to maximise visibility and service provision to customers • Ability to organise and control your own work and that of team members • Ability to plan and organise to mitigate against performance risks [See additional information for other skills]

This job description takes account of the primary factors but recognises there may be an number of items required to fulfil the role, but which are not required to be detailed.

Direct Active Fair Accountable Collaborative Transport for London

Experience

• Managing, coaching and developing a team of people to deliver excellent customer service • Working calmly and confidently in all situations including emergencies • Managing people issues that require liaison with other support functions (eg managing attendance, lateness, grievances and so on) • Leading and working in a busy and dynamic operational environment • Communicating clearly and effectively with people from different backgrounds and at all levels • Working and delivering as part of a team

Our 15 competencies are the generic skills, including interpersonal skills and knowledge need to perform well in a role, but not all of these will be applicable. Based on the requirements of the role, please indicate those competencies that are most relevant (6 - 8 max) and the level required ( A-E).

Refer to the Competency Briefing Note for Line Managers for further information and the Competency Framework to determine the competencies and levels to be included.

Building capability Communications and influence ✔ B

Responsiveness✔ C Stakeholder management ✔ A

Customer service orientation✔ C Planning and organisation ✔ B

Strategic thinking Commercial thinking ✔ A

Problem solving and decision making✔ A Safety awareness ✔ C

Organisational awareness✔ B Managing business performance ✔ A

Change and innovation Team leadership ✔ B

Results focus ✔ B

HEALTH & SAFETY STATEMENT

All employees have a general duty in law to take reasonable care for the health and safety of themselves and of other persons who may be affected by their acts or omissions. All employees must understand and be committed to Transport for London’s Health and Safety Policy statement and the Company’s safety priorities and be aware of their contribution to such priorities. All employees must also be aware of and comply with all current health and safety legislation and other Company requirements that are relevant to their role.

EQUALITY STATEMENT

Transport for London values the diversity which exists in our city, and our aspiration is to reflect this diversity in our workforce. All employees must be aware of and committed to the Equality Policy Statement of Transport for London. All employees must also be aware of and comply with other Company requirements associated with Equality and Diversity issues relevant to their role.

CRIME & DISORDER STATEMENT

It is a statutory requirement for all departments tin TfL to follow Section 17 of the Crime and Disorder Act 1998. Section 17 requires authorities to consider the likely affect on crime and disorder and community safety in all that they do, and take action to prevent crime and disorder, substance misuse, anti-social behaviour and behaviour that adversely affects the environment. Tfl has voluntarily been committed to following Section 17 since 2006, but we must all make sure that it is considered in decision making, policies and procedures in the same way that equality and health and safety are.

This job description takes account of the primary factors but recognises there may be an number of items required to fulfil the role, but which are not required to be detailed.

Direct Active Fair Accountable Collaborative Transport for London

ADDITIONAL INFORMATION AND/OR ADDENDUM

Interfaces (cont) • Cash collection: ensure the correct process is followed in handing cash to collection service staff • Fault report centre: manage the resolution of reported faults • Service Control: report details of incidents and receive real-time information to disseminate to customers and colleagues. • Incident response colleagues and services: communicate and liaise with Emergency Services, Duty Reliability Managers, Emergency Response Unit and others in the event of an incident or emergency • British Transport Police: assist in the prevention and detection of crime • Local community: understand local issues, impacts and the needs of local customers. • Operational Support, Human Resources, Occupational Health and other key people teams: proactively seek advice and guidance before making decisions • Local authorities: understand local issues and the potential impact of any proposals. • Train operators: collaborate to ensure smooth train operations by supporting appropriate train operating procedures (including planned detrainments and persons under train or on track incidents) and performing platform management duties.

Knowledge (cont) • Excellent knowledge of ticketing processes and understanding of how to effectively detect and implement steps to eliminate fraud • A good understanding of relevant organisational structure and key personnel • A good understanding of employment, health, safety and environment issues • Knowledge of HR policies and procedures

Skills (cont) • Ability to carry out relevant cash handling procedures • Ability to keep up to date with changes and initiatives taking place at a team and organisational level • Ability to apply emergency safety procedures to protect the well-being of self, colleagues and customers • Ability to provide coaching and support to colleagues • Ability to demonstrate assurance and competence, including licences for safety critical activities such as section 12, lifts, escalators, group control room and station operation security room. • Multi-lingual (desirable)

This job description takes account of the primary factors but recognises there may be an number of items required to fulfil the role, but which are not required to be detailed.

Direct Active Fair Accountable Collaborative Appendix - 2019/12365 Transport for London

Job Description Guidance

Job title

Reporting to (position number)

Hay score / Pay Band

Job Purpose

Key accountabilities

This job description takes account of the primary factors but recognises there may be an number of items required to fulfil the role, but which are not required to be detailed.

Direct Active Fair Accountable Collaborative Transport for London

Financial Impact

Key interfaces

Knowledge

Skills

This job description takes account of the primary factors but recognises there may be an number of items required to fulfil the role, but which are not required to be detailed.

Direct Active Fair Accountable Collaborative Transport for London

Experience

Our 15 competencies are the generic skills, including interpersonal skills and knowledge need to perform well in a role, but not all of these will be applicable. Based on the requirements of the role, please indicate those competencies that are most relevant (6 - 8 max) and the level required ( A-E).

Refer to the Competency Briefing Note for Line Managers for further information and the Competency Framework to determine the competencies and levels to be included.

Building capability Communications and influence

Responsiveness Stakeholder management

Customer service orientation Planning and organisation

Strategic thinking Commercial thinking

Problem solving and decision making Safety awareness

Organisational awareness Managing business performance

Change and innovation Team leadership

Results focus

HEALTH & SAFETY STATEMENT

All employees have a general duty in law to take reasonable care for the health and safety of themselves and of other persons who may be affected by their acts or omissions. All employees must understand and be committed to Transport for London’s Health and Safety Policy statement and the Company’s safety priorities and be aware of their contribution to such priorities. All employees must also be aware of and comply with all current health and safety legislation and other Company requirements that are relevant to their role.

EQUALITY STATEMENT

Transport for London values the diversity which exists in our city, and our aspiration is to reflect this diversity in our workforce. All employees must be aware of and committed to the Equality Policy Statement of Transport for London. All employees must also be aware of and comply with other Company requirements associated with Equality and Diversity issues relevant to their role.

CRIME & DISORDER STATEMENT

It is a statutory requirement for all departments tin TfL to follow Section 17 of the Crime and Disorder Act 1998. Section 17 requires authorities to consider the likely affect on crime and disorder and community safety in all that they do, and take action to prevent crime and disorder, substance misuse, anti-social behaviour and behaviour that adversely affects the environment. Tfl has voluntarily been committed to following Section 17 since 2006, but we must all make sure that it is considered in decision making, policies and procedures in the same way that equality and health and safety are.

This job description takes account of the primary factors but recognises there may be an number of items required to fulfil the role, but which are not required to be detailed.

Direct Active Fair Accountable Collaborative Transport for London

ADDITIONAL INFORMATION AND/OR ADDENDUM

This job description takes account of the primary factors but recognises there may be an number of items required to fulfil the role, but which are not required to be detailed.

Direct Active Fair Accountable Collaborative Appendix - 2019/12365

Transport for London

Job Description Guidance

Job title

Reporting to (position number)

Hay score / Pay Band

Job Purpose

Key accountabilities

This job description takes account of the primary factors but recognises there may be an number of items required to fulfil the role, but which are not required to be detailed.

Direct Active Fair Accountable Collaborative Transport for London

Financial Impact

Key interfaces

Knowledge

Skills

This job description takes account of the primary factors but recognises there may be an number of items required to fulfil the role, but which are not required to be detailed.

Direct Active Fair Accountable Collaborative Transport for London

Experience

Our 15 competencies are the generic skills, including interpersonal skills and knowledge need to perform well in a role, but not all of these will be applicable. Based on the requirements of the role, please indicate those competencies that are most relevant (6 - 8 max) and the level required ( A-E).

Refer to the Competency Briefing Note for Line Managers for further information and the Competency Framework to determine the competencies and levels to be included.

Building capability Communications and influence

Responsiveness Stakeholder management

Customer service orientation Planning and organisation

Strategic thinking Commercial thinking

Problem solving and decision making Safety awareness

Organisational awareness Managing business performance

Change and innovation Team leadership

Results focus

HEALTH & SAFETY STATEMENT

All employees have a general duty in law to take reasonable care for the health and safety of themselves and of other persons who may be affected by their acts or omissions. All employees must understand and be committed to Transport for London’s Health and Safety Policy statement and the Company’s safety priorities and be aware of their contribution to such priorities. All employees must also be aware of and comply with all current health and safety legislation and other Company requirements that are relevant to their role.

EQUALITY STATEMENT

Transport for London values the diversity which exists in our city, and our aspiration is to reflect this diversity in our workforce. All employees must be aware of and committed to the Equality Policy Statement of Transport for London. All employees must also be aware of and comply with other Company requirements associated with Equality and Diversity issues relevant to their role.

CRIME & DISORDER STATEMENT

It is a statutory requirement for all departments tin TfL to follow Section 17 of the Crime and Disorder Act 1998. Section 17 requires authorities to consider the likely affect on crime and disorder and community safety in all that they do, and take action to prevent crime and disorder, substance misuse, anti-social behaviour and behaviour that adversely affects the environment. Tfl has voluntarily been committed to following Section 17 since 2006, but we must all make sure that it is considered in decision making, policies and procedures in the same way that equality and health and safety are.

This job description takes account of the primary factors but recognises there may be an number of items required to fulfil the role, but which are not required to be detailed.

Direct Active Fair Accountable Collaborative Transport for London

ADDITIONAL INFORMATION AND/OR ADDENDUM

This job description takes account of the primary factors but recognises there may be an number of items required to fulfil the role, but which are not required to be detailed.

Direct Active Fair Accountable Collaborative Appendix - 2019/12366

Id Recurring Priority Road Comments Start Time End Time Sub Category

DATA DRAWN FROM TFL TRAFFIC INFORMATION SYSTEM AND CORRECT BASED ON SEARCH ASSUMPTIONS. OTHER CLOSURES MAY HAVE BEEN WITNESSED IN AREA ASSOCIATED WITH OTHER CATEGORIES OF INCIDENT.

Please note the time of the incident relates to the start and finish time of the TfL operational response. This does not necessarily coincide with the timings of the actual road closures, which may only form part of the operational management of the incident. A number of incidents have been recorded as “recurring” on the system – where this is the case, the entry has been duplicated within the table to reflect the number of times the closures were implemented within the period of reoccurrence.

A group will form up at this location for a demonstration. Currently. Parliament Square is PARLIAMENT SQUARE closed on all approaches, Whitehall is closed 216241 Yes (SW1P,SW1A,SW1H,SE1) at junction with Horse Guards Avenue and 05/06/19 13:00 03/07/19 16:00 Demonstration [A302] Bridge Street is closed at junction with Victoria Embankment. ' ITA TAXI DEMO - Ongoing weekly demos' A group will form up at this location for a demonstration. Currently. Parliament Square is PARLIAMENT SQUARE closed on all approaches, Whitehall is closed 216241 Yes (SW1P,SW1A,SW1H,SE1) at junction with Horse Guards Avenue and 05/06/19 13:00 03/07/19 16:00 Demonstration [A302] Bridge Street is closed at junction with Victoria Embankment. ' ITA TAXI DEMO - Ongoing weekly demos' A group will form up at this location for a demonstration. Currently. Parliament Square is PARLIAMENT SQUARE closed on all approaches, Whitehall is closed 216241 Yes (SW1P,SW1A,SW1H,SE1) at junction with Horse Guards Avenue and 05/06/19 13:00 03/07/19 16:00 Demonstration [A302] Bridge Street is closed at junction with Victoria Embankment. ' ITA TAXI DEMO - Ongoing weekly demos' A group will form up at this location for a demonstration. Currently. Parliament Square is PARLIAMENT SQUARE closed on all approaches, Whitehall is closed 216241 Yes (SW1P,SW1A,SW1H,SE1) at junction with Horse Guards Avenue and 05/06/19 13:00 03/07/19 16:00 Demonstration [A302] Bridge Street is closed at junction with Victoria Embankment. ' ITA TAXI DEMO - Ongoing weekly demos' A group will form up at this location for a demonstration. Currently. Parliament Square is PARLIAMENT SQUARE closed on all approaches, Whitehall is closed 216241 Yes (SW1P,SW1A,SW1H,SE1) at junction with Horse Guards Avenue and 05/06/19 13:00 03/07/19 16:00 Demonstration [A302] Bridge Street is closed at junction with Victoria Embankment. ' ITA TAXI DEMO - Ongoing weekly demos' A group will form up at this location for a demonstration. Currently. Parliament Square is PARLIAMENT SQUARE closed on all approaches, Whitehall is closed 216241 Yes (SW1P,SW1A,SW1H,SE1) at junction with Horse Guards Avenue and 05/06/19 13:00 03/07/19 16:00 Demonstration [A302] Bridge Street is closed at junction with Victoria Embankment. ' ITA TAXI DEMO - Ongoing weekly demos' A group will form up at this location for a demonstration. Currently. Parliament Square is PARLIAMENT SQUARE closed on all approaches, Whitehall is closed 216241 Yes (SW1P,SW1A,SW1H,SE1) at junction with Horse Guards Avenue and 05/06/19 13:00 03/07/19 16:00 Demonstration [A302] Bridge Street is closed at junction with Victoria Embankment. ' ITA TAXI DEMO - Ongoing weekly demos' [A23] WESTMINSTER AREA (All Directions) - Road closures may be implemented due to a demonstration. A large number of protestors will be forming up on Trafalgar Square at 1100 WESTMINSTER AREA - hours. At 1200 hours they will march to 216196 March (Ref: 0126) (SE1) (N) Parliament Square via Whitehall, Horse 04/06/19 08:00 04/06/19 08:17 Demonstration [A23] Guards Avenue, Victoria Embankment, Bridge Street, and Parliament Square. 'Potential protest due to POTUS visit'.

Westminster Area (SW1A/SW1P) (All Directions) - The annual Al Quds march will be taking place today between 15:00 and 20:00.commencing from Marsham Street and travelling to Whitehall via Horseferry Road, 214484 A302 (SW1P,SW1A) Millbank, Abingdon Street, St Margaret Street, 02/06/19 14:09 02/06/19 19:59 March/Procession Parliament Square and Parliament Street. The march will be facilitated by the Police with holds and road closures. Whitehall will be closed northbound between 14:00 and 18:00. 'Al Qds March' [A302] Parliament Square (All Directions) - A PARLIAMENT SQUARE group will form up at this location march to 216172 (SW1A,SW1P,SE1,SW1H) Trafalgar Square via Whitehall for a 01/06/19 11:00 01/06/19 16:02 Demonstration [A302] demonstration. 'ALABAMA ABORTION BAN PROTEST'

[A302] Parliament Square (All Directions) - A PARLIAMENT SQUARE group will form up at this location and then 216170 (SW1A,SW1P,SE1,SW1H) 30/05/19 09:00 30/05/19 11:36 Demonstration march via the footway to Trafalgar Square for a [A302] demonstration. 'BIAFRA PROTEST MARCH'

PARLIAMENT SQUARE [A302] Parliament Square (SW1P) (All 215895 (SW1A,SW1P,SE1,SW1H) Directions) - A demonstration to take place at 29/05/19 11:00 29/05/19 16:26 Demonstration [A302] this location. 'A demonstration by the ITA' PARLIAMENT SQUARE [A3212] Parliament Square (All Directions) - 216123 (SW1A,SW1P,SE1,SW1H) There s a demonstration taking place at this 28/05/19 18:34 28/05/19 19:07 Demonstration [A302] location. 'Motorcycle demo' Parliament Square (All Directions) - A group is due to form up from 11:00 on Malet Street before marching to Parliament Square via Gower Street, Bloomsbury Street, Shaftesbury PARLIAMENT SQUARE Avenue, Charing Cross Road, St Martins 215257 (SW1A,SW1P,SE1,SW1H) 24/05/19 11:00 24/05/19 16:01 Demonstration Place, Kings Charles II Roundabout, Whitehall [A302] and Parliament Street. MPS will be facilitating the event with closures and temporary traffic holds where required. 'Global Strike for Climate' [A302] Parliament Square (All Directions) - Closed between approximately 13:00 and PARLIAMENT SQUARE 16:00 during a demonstration. Whitehall was 215401 (SW1A,SW1P,SE1,SW1H) closed southbound at the junction with Horse 22/05/19 12:00 22/05/19 16:09 Demonstration [A302] Guards Avenue and Bridge Street was closed at the junction with Victoria Embankment. ' ITA taxi demonstration' WESTMINSTER AREA (All Directions) - A group will form up by Green Park and Stratton Street from 14:00hrs.They will then march to Parliament Square from approx. 14:30hrs via WESTMINSTER AREA - Piccadilly, St James St,Pall Mall, Cockspur 214884 March (Ref: 0126) (SE1) (N) Street, Trafalgar Square and Whitehall. The 18/05/19 14:00 18/05/19 18:39 Demonstration [A23] march will be facilitated by the Police with traffic holds and temporary road closures. The cycle lane on Parliament Square will be closed between 14:00-20:00hrs to facilitate a stage. 'TAMIL PROTEST' [A4] Trafalgar Square (All Directions) - Whitehall (Northbound) at the junction of Downing Street, demonstrators are blocking 215401 Yes [A4] Trafalgar Square the carriageway.Traffic is queuing northbound 18/05/19 10:00 25/05/19 15:15 Demonstration on Whitehall from Parliament Square. Weekly Demos - 'YELLOW JACKET MARCH & RALLY' [A4] Trafalgar Square (All Directions) - Whitehall (Northbound) at the junction of Downing Street, demonstrators are blocking 215401 Yes [A4] Trafalgar Square the carriageway.Traffic is queuing northbound 18/05/19 10:00 25/05/19 15:15 Demonstration on Whitehall from Parliament Square. Weekly Demos - 'YELLOW JACKET MARCH & RALLY' [A4] Trafalgar Square (All Directions) - Whitehall (Northbound) at the junction of Downing Street, demonstrators are blocking 215401 Yes [A4] Trafalgar Square the carriageway.Traffic is queuing northbound 18/05/19 10:00 25/05/19 15:15 Demonstration on Whitehall from Parliament Square. Weekly Demos - 'YELLOW JACKET MARCH & RALLY' [A4] Trafalgar Square (All Directions) - Whitehall (Northbound) at the junction of Downing Street, demonstrators are blocking 215401 Yes [A4] Trafalgar Square the carriageway.Traffic is queuing northbound 18/05/19 10:00 25/05/19 15:15 Demonstration on Whitehall from Parliament Square. Weekly Demos - 'YELLOW JACKET MARCH & RALLY' [A4] Trafalgar Square (All Directions) - Whitehall (Northbound) at the junction of Downing Street, demonstrators are blocking 215401 Yes [A4] Trafalgar Square the carriageway.Traffic is queuing northbound 18/05/19 10:00 25/05/19 15:15 Demonstration on Whitehall from Parliament Square. Weekly Demos - 'YELLOW JACKET MARCH & RALLY' [A4] Trafalgar Square (All Directions) - Whitehall (Northbound) at the junction of Downing Street, demonstrators are blocking 215401 Yes [A4] Trafalgar Square the carriageway.Traffic is queuing northbound 18/05/19 10:00 25/05/19 15:15 Demonstration on Whitehall from Parliament Square. Weekly Demos - 'YELLOW JACKET MARCH & RALLY' [A4] Trafalgar Square (All Directions) - Whitehall (Northbound) at the junction of Downing Street, demonstrators are blocking 215401 Yes [A4] Trafalgar Square the carriageway.Traffic is queuing northbound 18/05/19 10:00 25/05/19 15:15 Demonstration on Whitehall from Parliament Square. Weekly Demos - 'YELLOW JACKET MARCH & RALLY' [A4] Trafalgar Square (All Directions) - Whitehall (Northbound) at the junction of Downing Street, demonstrators are blocking 215401 Yes [A4] Trafalgar Square the carriageway.Traffic is queuing northbound 18/05/19 10:00 25/05/19 15:15 Demonstration on Whitehall from Parliament Square. Weekly Demos - 'YELLOW JACKET MARCH & RALLY' [A4] Trafalgar Square (All Directions) - Whitehall (Northbound) at the junction of Downing Street, demonstrators are blocking 215401 Yes [A4] Trafalgar Square the carriageway.Traffic is queuing northbound 18/05/19 10:00 25/05/19 15:15 Demonstration on Whitehall from Parliament Square. Weekly Demos - 'YELLOW JACKET MARCH & RALLY' [A4] Trafalgar Square (All Directions) - Whitehall (Northbound) at the junction of Downing Street, demonstrators are blocking 215401 Yes [A4] Trafalgar Square the carriageway.Traffic is queuing northbound 18/05/19 10:00 25/05/19 15:15 Demonstration on Whitehall from Parliament Square. Weekly Demos - 'YELLOW JACKET MARCH & RALLY' [A4] Trafalgar Square (All Directions) - Whitehall (Northbound) at the junction of Downing Street, demonstrators are blocking 215401 Yes [A4] Trafalgar Square the carriageway.Traffic is queuing northbound 18/05/19 10:00 25/05/19 15:15 Demonstration on Whitehall from Parliament Square. Weekly Demos - 'YELLOW JACKET MARCH & RALLY' [A302] Parliament Square (SW1P) (All PARLIAMENT SQUARE Directions) - A group will form up at this 214876 (SW1A,SW1P,SE1,SW1H) 17/05/19 11:00 17/05/19 12:02 Demonstration location for a demonstration. 'CLIMATE [A302] STRIKE PROTEST' PARLIAMENT SQUARE [A302] Parliament Square (SW1P) (All 214609 (SW1A,SW1P,SE1,SW1H) Directions) - A group will form up at this 15/05/19 12:15 15/05/19 16:42 Demonstration [A302] location for a demonstration. 'TAXI DEMO' [A23] WESTMINSTER AREA (All Directions) - A group will form up on Park Lane from 12:00 WESTMINSTER AREA - and then at 12:30 will march to Parliament 214503 March (Ref: 0126) (SE1) (N) Square via Piccadilly, St James Street, Pall 12/05/19 11:00 12/05/19 15:39 March/Procession [A23] Mall, Cockspur Street, Trafalgar Square and Whitehall. 'EXTINCTION REBELLION: INTERNATIONAL MOTHERS DAY MARCH' [A302] Parliament Square (SW1P/SW1A) (All Directions) - A group will form up from 13:00 at Great Smith Street and at 14:00 will march to Parliament Square for a rally via Victoria PARLIAMENT SQUARE Street, Artillery Row, Horseferry Road, 214005 (SW1A,SW1P,SE1,SW1H) Millbank, Abingdon Street and St Margaret 11/05/19 12:30 11/05/19 17:25 Demonstration [A302] Street. Additionally, [A302] Westminster Bridge (Both Directions), between approximately 15:00 and 15:30, short-holds to traffic to allow participants to cross the bridge. 'March For Life ' WESTMINSTER AREA (All Directions) - A group will form up at Portland Place from 12:00hrs. They will then march to Richmond Terrace, Regent Street, Piccadilly Circus, Haymarket, Trafalgar Square and Whitehall. WESTMINSTER AREA - Whitehall itself is closed in both directions 214279 March (Ref: 0128) (SW1A) between Parliament Square and Horse Guards 11/05/19 11:30 11/05/19 17:31 Demonstration (N) [A400] Avenue.Traffic is slow moving around the closures with westbound delays on delays on Westminster Bridge and Northbound on Lambeth Palace Road.' PALESTINE SOLIDARITY CAMPAIGN MARCH & DEMONSTRATION' [A302] Parliament Square (All Directions) - A PARLIAMENT SQUARE group will form up at this location for a 214870 (SW1A,SW1P,SE1,SW1H) 11/05/19 11:00 11/05/19 17:10 Demonstration demonstration. 'YELLOW JACKET MARCH & [A302] RALLY -' [A302] Parliament Square (SW1P/SW1A) (All PARLIAMENT SQUARE Directions) - A Group will form up at this 214869 (SW1A,SW1P,SE1,SW1H) 10/05/19 11:00 10/05/19 14:14 Demonstration location for a demonstration. 'STUDENT [A302] CLIMATE CHANGE PROTEST ' [A4] Trafalgar Square (All Directions) - A group will form up at this location and march to Great TRAFALGAR SQUARE College Street as part of a remembrance event 214441 09/05/19 12:00 09/05/19 16:13 March/Procession (SW1A,SW1Y,WC2N) [A4] via Whitehall and Parliament Square. 'IMMORTAL REGIMENT PARADE- Remembrance of Soviet Veterans of WWII' [A3212] Parliament Square (All Directions) - A demonstration is taking place with road PARLIAMENT SQUARE closures in place of Parliament Square and all 213965 08/05/19 13:00 08/05/19 16:56 Demonstration (SW1A,SW1P) [A302] approaches. One lane southbound is being maintained southbound on Whitehall. 'ITA TAXI DEMO' [A4] Trafalgar Square (All Directions) - A group will gather at this location for a demonstration. TRAFALGAR SQUARE 213958 Whitehall was closed northbound from 04/05/19 11:00 04/05/19 17:18 Demonstration (SW1A,SW1Y,WC2N) [A4] Parliament Square. 'YELLOW JACKET MARCH & RALLY' [A302] Parliament Square (SW1P) (All PARLIAMENT SQUARE Directions) - A group will for up at this location 213956 03/05/19 11:00 03/05/19 14:07 Demonstration (SW1A,SW1P) [A302] for a demonstration. 'STUDENT CLIMATE CHANGE PROTEST ' [A3212] Parliament Square (All Directions) - A PARLIAMENT SQUARE group will form up at this location for a 214284 01/05/19 14:30 01/05/19 19:53 Demonstration (SW1A,SW1P) [A302] demonstration. 'YOUTH STRIKE 4 CLIMATE CHANGE:' [A302] Parliament Square (SW1P/SW1A) (All PARLIAMENT SQUARE Directions) - A demonstration will form up at 214423 01/05/19 13:31 01/05/19 14:54 Demonstration (SW1A,SW1P) [A302] this location. 'A Gurkha Rights demonstration' [A4] Trafalgar Square (All Directions) - A group will form up at this location for a demonstration. Traffic from Westminster Bridge was held, TRAFALGAR SQUARE 213949 causing tailbacks onto the bridge. Traffic onto 27/04/19 11:00 27/04/19 16:28 Demonstration (SW1A,SW1Y,WC2N) [A4] Parliament Square from Whitehall was also temporarily held. 'YELLOW JACKET MARCH & RALLY' [A302] Parliament Square (SW1P/SW1A) (All Directions) - A group will form up at this PARLIAMENT SQUARE 213948 location for a demonstration and then march 27/04/19 10:00 27/04/19 16:12 Demonstration (SW1A,SW1P) [A302] via the footway to Hyde Park Gardens. 'SRI LANKEN SOLIDARITY MARCH '

Parliament Square (All Directions) - A group PARLIAMENT SQUARE 213640 will form up at this location for a demonstration. 26/04/19 11:00 26/04/19 13:16 Demonstration (SW1A,SW1P) [A302] 'Student Climate Change Protest'

[A302] Parliament Square (All Directions) - A PARLIAMENT SQUARE group will form up at this location for a 213190 19/04/19 11:00 19/04/19 12:44 Demonstration (SW1A,SW1P) [A302] demonstration. 'STUDENT CLIMATE CHANGE PROTEST' [A3212] Parliament Square (SW1P) (All Directions) - A group will form up on Pall Mall and march to Parliament Square and back via PARLIAMENT SQUARE 213544 Whitehall. It is anticipated that the group will 19/04/19 10:40 19/04/19 10:41 March/Procession (SW1A,SW1P) [A302] remain on footways throughout with no anticipated carriageway impact. 'NORTHERN IRELAND VETERANS PROTEST ' [A3212] Whitehall (All Directions) - A group will form up at this location for a demonstration. 213184 [A3212] Whitehall Traffic were diverted due to a demonstration at 17/04/19 12:00 17/04/19 16:29 Demonstration Parliament Square. 'ANTI KNIFE CRIME SHUT DOWN PROTEST' [A3211] PARLIAMENT SQUARE AREA (All PARLIAMENT SQUARE Directions) - Parliament Square has been 212713 AREA - Event (Ref: 0180) closed due to a demonstration on the square. 15/04/19 09:00 29/04/19 05:58 Demonstration (SW1A) (N) [A3211] 'Extinction Rebellion: International Rebellion' This was a daily demonstration [A302] Parliament Square (SW1P) (All PARLIAMENT SQUARE Directions) - A group will form up at this 212079 AREA - Event (Ref: 0180) location for a demonstration. Currently. 06/04/19 13:00 06/04/19 19:07 Demonstration (SW1A) (N) [A3211] Parliament Square was closed on all approaches. 'The 'Yellow Vest'' Westminster Area (All Directions) - A group will form up at this location for a demonstration. The demonstration headed southbound on 06/04/19 11:00 06/04/19 17:08 Demonstration Whitehall towards Parliament Square. ''Yellow Vest' [A400] WESTMINSTER AREA (All Directions) - A group will form up within the Whitehall area WESTMINSTER AREA - for a demonstration. The group then moved 212139 March (Ref: 0128) (SW1A) 30/03/19 10:30 30/03/19 15:31 Demonstration from Whitehall onto Parliament Square. There (N) [A400] were queues building on all approaches/inputs into the square. ''Yellow Vest' demonstration'

[A400] WESTMINSTER AREA (All Directions) - WESTMINSTER AREA - A group will form up within the Westminster 212138 March (Ref: 0128) (SW1A) 29/03/19 12:00 29/03/19 13:01 Demonstration Area for a demonstration. 'Youth Climate (N) [A400] Strike' [A3212] Chelsea Embankment (All Directions) and Grosvenor Road - The march is complete CHELSEA EMBANKMENT and protestors have joined the ongoing 212264 (SW1W,SW3,SW1V,SW1A, demonstrations within Parliament Square. 29/03/19 13:15 29/03/19 14:59 Demonstration SW1P,SW11) [A3212] 'Leave Means Leave March'

[A302] Parliament Square (All Directions) - Various demonstrations. Expect large numbers of stationary vehicles on the square and approaches during protests on Monday 18 PARLIAMENT SQUARE March between approximately 1130hrs and 211404 18/03/19 11:30 18/03/19 13:20 Demonstration (SW1P,SW1A) [A302] 1900hrs and again on both Wednesday 20 and Friday 22 March between approximately 1130hrs and 1600hrs. 'A demonstration by the ITA'

[A400] WESTMINSTER AREA (All Directions) - A group will form up on Parliament Square for WESTMINSTER AREA - a demonstration. Road closures or traffic holds 210602 March (Ref: 0128) (SW1A) may be implemented if required. 'Youth 15/03/19 11:00 15/03/19 15:58 Demonstration (N) [A400] Climate Change Protest'

[A3212] Abingdon Street (Both Directions) between Parliament Square and Great College Street - Demonstrations are taking place on ABINGDON STREET 211118 College Green. The footway is restricted 12/03/19 19:08 14/03/19 22:43 Demonstration (SW1P) [A3212] when Parliament is debating and voting in the House of Commons.

PARLIAMENT SQUARE Parliament Square (All Directions) - A group 212556 (SW1P,SW1H,SW1A) will gather at this location for a demonstration.' 12/04/19 06:45 12/04/19 16:37 Demonstration [A302] Motorcycle Demo' [A302] Parliament Square (All Directions) - Demonstrations will take place between 1300 PARLIAMENT SQUARE and 1600hrs on Wednesday 13th and Friday 210860 (SW1P,SW1H,SW1A) 11/03/19 11:00 13/03/19 10:47 Demonstration 15th March. 'A demonstration by the ITA' [A302]

[A302] Parliament Square (SW1) (All Directions) - Expect large numbers of stationary vehicles on Parliament Square and PARLIAMENT SQUARE approaches between approximately 1130hrs 210384 (SW1P,SW1H,SW1A) and 1900hrs Monday 4 and between 1130hrs 04/03/19 11:30 08/03/19 16:30 Demonstration [A302] and 1630hrs on both Wednesday 6 and Friday 8 March during demonstrations. 'A demonstration by the ITA '

[A302] Parliament Square (SW1) (All Directions) - Expect higher numbers of vehicles on the square and approaches on Monday, PARLIAMENT SQUARE Wednesday and Friday, each week, between 209156 (SW1H,SW1P,SW1A) approximately 1130hrs and 1630hrs each day, 13/02/19 11:30 13/02/19 14:26 Demonstration [A302] during an on-going protest. ITA taxi demonstrations

[A23] WESTMINSTER AREA (All Directions) - WESTMINSTER AREA - A group will form up in the Parliament Square 204454 March (Ref: 0126) (SE1) (N) 11/12/18 17:00 11/12/18 20:57 Demonstration area for a demonstration. 'VOTE DOWN [A23] MAY'S DEAL (ANTI-BREXIT PROTEST' [A23] WESTMINSTER AREA (All Directions) - WESTMINSTER AREA - Whitehall is closed in both directions between 203019 March (Ref: 0177) (SE1) (N) Parliament Square and Trafalgar Square due 17/11/18 11:00 17/11/18 17:10 Demonstration [A23] to a planned demonstration. ' NATIONAL UNITY ANTI FACISM & RACISM MARCH ' Westminster Area - The Loyal Orange Order March (All Directions) - A group will form up on Westminster Area - The Ponsonby Place and at 1430hrs proceed to St 202936 Loyal Orange Order March - 10/11/18 14:30 10/11/18 16:34 Parade/Celebration James's Square via Millbank, Parliament (SW1A) (N) [A400] Square, Whitehall, Trafalgar Square, Cockspur Street, and Pall Mall. WESTMINSTER AREA (All Directions) March - A large group will form up on Park Lane southbound and at 1300hrs march to Parliament Square via Hyde Park Corner, WESTMINSTER AREA - Piccadilly, St James's Street. Pall Mall, 200963 March (Ref: 0126) (SE1) (N) Trafalgar Square and Whitehall. The march will 20/10/18 11:20 20/10/18 19:12 March/Procession [A23] be facilitated with road closures along the route and its approaches. 'March for a People's Vote'

WESTMINSTER AREA (All Directions), March - A group will form on Waterloo Place and will WESTMINSTER AREA - march to Parliament Square via Pall Mall, 200518 March (Ref: 0237) (WC2N) Cockspur Street, Trafalgar Square and 17/10/18 12:00 17/10/18 14:35 March/Procession (N) [B404] Whitehall. The march will be facilitated with road closures along the route and its approaches. 'UCU Student March' WESTMINSTER AREA (All Directions), March - A large group will form up from 1200hrs on Park Lane southbound and at approximately 1300hrs march to Whitehall via Hyde Park WESTMINSTER AREA - Corner, Piccadilly, St James's Street, Pall Mall, 200511 5860 March (Ref: 0126) (SE1) (N) Cockspur Street, and Trafalgar Square. The 13/10/18 10:00 13/10/18 19:30 March/Procession [A23] march will be facilitated with road closures along the route and its approaches. A counter group will also form up at Old Palace Yard and will march to Whitehall via Parliament Square. 'Football Lads Alliance March' [A400] Westminster Area (March Ref 0095) (SW1A) (All Directions) - At 09:00hrs the cycle lane on the south side of Parliament Square will be closed to facilitate the event.A group will form up in Waterloo Place from 12:00hrs and Westminster Area (March at 13:00-13:30hrs will march to Parliament 200103 Ref 0095) (SW1A) (N) 07/10/18 09:00 07/10/18 16:34 Demonstration Square for a rally. The group will travel via Pall [A400] Mall, Cockspur Street, Trafalgar Square and Whitehall. The march will be facilitated with closures and traffic holds along the route and its approaches. 'Wooferendum March and Rally' WESTMINSTER AREA - A group of people marching a loop route from Temple Place via Victoria Embankment, Northumberland WESTMINSTER AREA - Avenue, Whitehall, Cenotaph, Parliament 198666 15/09/18 14:00 15/09/18 16:08 March/Procession Procession (Ref 0082) () (L) Street, Bridge Street, Victoria Embankment and back to Temple Place. The march will be facilitated using short traffic holds. 'Apprentice Boys of Derry' WESTMINSTER AREA (All Directions), March - A large group will form up on Millbank and at approximately 1245hrs march to Hyde Park via Parliament Square, Whitehall, Trafalgar Square, Cockspur Street. Pall Mall, Regent WESTMINSTER AREA - Street St James, Piccadilly, Hyde Park Corner 197250 March (Ref: 0126) (SE1) (N) 25/08/18 12:00 25/08/18 15:40 March/Procession and Park Lane. The march will be facilitated by [A23] road closures along the route and its approaches. A contra-flow will be in operation on the western side of Hyde Park Corner to maintain traffic flow between Knightsbridge and Grosvenor Place. 'Animal Rights March ' CENTRAL LONDON AREA (All Directions) - A large group will form up on Windrush Square in Brixton from 1100hrs. At 1200-1230hrs, they will march to Parliament Square via Brixton Road, Kennington Park Road, Kennington CENTRAL LONDON AREA - Road, Westminster Bridge Road, and 195839 March (Ref: 0133) (SE1) (N) 01/08/18 11:00 01/08/18 19:59 March/Procession Westminster Bridge. they will then hold a rally [A3202] on Parliament Square before returning to Windrush Square via the same route. The march will be facilitated with road closures and holds along the route and its approaches. 'Reparation March' WESTMINSTER AREA - A group formed up on Newport Place and at 1300hrs march to Marsham Street via Charing Cross Road, TRAFALGAR SQUARE 195648 Trafalgar Square, Whitehall, Parliament 24/07/18 12:00 24/07/18 15:36 March/Procession (WC2N) [A4] Square, and Abingdon Street. The group will then return to Newport Place via the same route. 'Justice for Chinatown March' CENTRAL LONDON AREA (All Directions) - A group formed on Temple Place and at 1300hrs march to Whitehall via Victoria Embankment, Northumberland Avenue, Whitehall Place, CENTRAL LONDON AREA - Whitehall. Another group formed up at Old 194286 March (Ref: 0234) (SE1) (N) Palace Yard at 1300hrs and at 1400hrs march 14/07/18 12:47 14/07/18 16:02 March/Procession [A3200] to Whitehall via Millbank and Parliament Square. The marches will be facilitated by road closures along the route and its approaches. 'Welcome Trump March/ Counter Trump March' WESTMINSTER AREA (All Directions) - A group will form up on Pall Mall, St James,s Street and Piccadilly and at 1300hrs will march to Parliament Square via Cockspur Street, WESTMINSTER AREA - Trafalgar Square, and Whitehall. The march 192665 March (Ref: 0231) (SE1) (N) 23/06/18 09:00 23/06/18 18:55 March/Procession will be facilitated by road closures along the [A23] route and its approaches. From approximately 1100hrs, the inside lane on the south side of Parliament Square will be closed. 'Britain for Europe March' WESTMINSTER AREA (All Directions) - March - A group will form up on Whitehall and at 1300hrs march to Marsham Street via WESTMINSTER AREA - Parliament Square, Broad Sanctuary and Great 192180 March (Ref: 0229) (SE1) (N) 16/06/18 12:00 16/06/18 15:26 March/Procession Smith Street. The group will then return to [A23] Richmond Terrace via the same route The march will be facilitated with road closures. 'March for Grenfell' WESTMINSTER AREA (All Directions) - A large group will form up on Park Lane from 1000hrs. At 1330hrs they will march to Millbank WESTMINSTER AREA - via Hyde Park Corner, Piccadilly, St James's 191646 Procession (Ref: 0228) Street, Pall Mall, Cockspur Street, Trafalgar 10/06/18 10:00 10/06/18 21:07 March/Procession (W1K) (N) [B404] Square, Whitehall and Parliament Square. The full route will be closed to facilitate the procession. '100 years since women gained the right to vote' WESTMINSTER AREA (All Directions) - A large group will form up on Trafalgar Square WESTMINSTER AREA - and march to Abingdon Street via Whitehall 191813 March (Ref: 0128) (SW1A) 09/06/18 13:53 09/06/18 22:58 March/Procession and Parliament Square. The march will be (N) [A400] facilitated with road closures. 'Free Tommy Robinson protest' [A3212] Whitehall (SW1A) (All Directions) between Parliament Square and Trafalgar WHITEHALL (SW1A) Square - A march will take place between 191088 26/05/18 12:00 26/05/18 13:05 Demonstration [A3212] Parliament Square and Trafalgar Square via Whitehall, on footways only. 'Stop Farm Attacks & Murders in South Africa' [A4] Trafalgar Square (All Directions) - A group will form up on Trafalgar Square and TRAFALGAR SQUARE 189559 march to Victoria Tower Gardens via Whitehall 09/05/18 13:00 09/05/18 16:04 March/Procession (SW1Y,WC2N,SW1A) [A4] and Parliament Square. 'Victory Day Procession ' CENTRAL LONDON AREA - A demonstration 212415 Y CENTRAL LONDON AREA is expected to take place in the Central London 01/04/19 13:00 29/05/19 17:00 Demonstration Area from 1300hrs. 'Taxi Demos' CENTRAL LONDON AREA - A demonstration 212415 Y CENTRAL LONDON AREA is expected to take place in the Central London 01/04/19 13:00 29/05/19 17:00 Demonstration Area from 1300hrs. 'Taxi Demos' CENTRAL LONDON AREA - A demonstration 212415 Y CENTRAL LONDON AREA is expected to take place in the Central London 01/04/19 13:00 29/05/19 17:00 Demonstration Area from 1300hrs. 'Taxi Demos' CENTRAL LONDON AREA - A demonstration 212415 Y CENTRAL LONDON AREA is expected to take place in the Central London 01/04/19 13:00 29/05/19 17:00 Demonstration Area from 1300hrs. 'Taxi Demos' CENTRAL LONDON AREA - A demonstration 212415 Y CENTRAL LONDON AREA is expected to take place in the Central London 01/04/19 13:00 29/05/19 17:00 Demonstration Area from 1300hrs. 'Taxi Demos' CENTRAL LONDON AREA - A demonstration 212415 Y CENTRAL LONDON AREA is expected to take place in the Central London 01/04/19 13:00 29/05/19 17:00 Demonstration Area from 1300hrs. 'Taxi Demos' CENTRAL LONDON AREA - A demonstration 212415 Y CENTRAL LONDON AREA is expected to take place in the Central London 01/04/19 13:00 29/05/19 17:00 Demonstration Area from 1300hrs. 'Taxi Demos' CENTRAL LONDON AREA - A demonstration 212415 Y CENTRAL LONDON AREA is expected to take place in the Central London 01/04/19 13:00 29/05/19 17:00 Demonstration Area from 1300hrs. 'Taxi Demos' CENTRAL LONDON AREA - A demonstration 212415 Y CENTRAL LONDON AREA is expected to take place in the Central London 01/04/19 13:00 29/05/19 17:00 Demonstration Area from 1300hrs. 'Taxi Demos' CENTRAL LONDON AREA - A demonstration 212415 Y CENTRAL LONDON AREA is expected to take place in the Central London 01/04/19 13:00 29/05/19 17:00 Demonstration Area from 1300hrs. 'Taxi Demos' CENTRAL LONDON AREA - A demonstration 212415 Y CENTRAL LONDON AREA is expected to take place in the Central London 01/04/19 13:00 29/05/19 17:00 Demonstration Area from 1300hrs. 'Taxi Demos' CENTRAL LONDON AREA - A demonstration 212415 Y CENTRAL LONDON AREA is expected to take place in the Central London 01/04/19 13:00 29/05/19 17:00 Demonstration Area from 1300hrs. 'Taxi Demos' CENTRAL LONDON AREA - A demonstration 212415 Y CENTRAL LONDON AREA is expected to take place in the Central London 01/04/19 13:00 29/05/19 17:00 Demonstration Area from 1300hrs. 'Taxi Demos' CENTRAL LONDON AREA - A demonstration 212415 Y CENTRAL LONDON AREA is expected to take place in the Central London 01/04/19 13:00 29/05/19 17:00 Demonstration Area from 1300hrs. 'Taxi Demos' CENTRAL LONDON AREA - A demonstration 212415 Y CENTRAL LONDON AREA is expected to take place in the Central London 01/04/19 13:00 29/05/19 17:00 Demonstration Area from 1300hrs. 'Taxi Demos' CENTRAL LONDON AREA - A demonstration 212415 Y CENTRAL LONDON AREA is expected to take place in the Central London 01/04/19 13:00 29/05/19 17:00 Demonstration Area from 1300hrs. 'Taxi Demos' CENTRAL LONDON AREA - A demonstration 212415 Y CENTRAL LONDON AREA is expected to take place in the Central London 01/04/19 13:00 29/05/19 17:00 Demonstration Area from 1300hrs. 'Taxi Demos' CENTRAL LONDON AREA - A demonstration 212415 Y CENTRAL LONDON AREA is expected to take place in the Central London 01/04/19 13:00 29/05/19 17:00 Demonstration Area from 1300hrs. 'Taxi Demos' CENTRAL LONDON AREA - A demonstration 212415 Y CENTRAL LONDON AREA is expected to take place in the Central London 01/04/19 13:00 29/05/19 17:00 Demonstration Area from 1300hrs. 'Taxi Demos' CENTRAL LONDON AREA - A demonstration 212415 Y CENTRAL LONDON AREA is expected to take place in the Central London 01/04/19 13:00 29/05/19 17:00 Demonstration Area from 1300hrs. 'Taxi Demos' CENTRAL LONDON AREA - A demonstration 212415 Y CENTRAL LONDON AREA is expected to take place in the Central London 01/04/19 13:00 29/05/19 17:00 Demonstration Area from 1300hrs. 'Taxi Demos' CENTRAL LONDON AREA - A demonstration 212415 Y CENTRAL LONDON AREA is expected to take place in the Central London 01/04/19 13:00 29/05/19 17:00 Demonstration Area from 1300hrs. 'Taxi Demos' CENTRAL LONDON AREA - A demonstration 212415 Y CENTRAL LONDON AREA is expected to take place in the Central London 01/04/19 13:00 29/05/19 17:00 Demonstration Area from 1300hrs. 'Taxi Demos' CENTRAL LONDON AREA - A demonstration 212415 Y CENTRAL LONDON AREA is expected to take place in the Central London 01/04/19 13:00 29/05/19 17:00 Demonstration Area from 1300hrs. 'Taxi Demos' CENTRAL LONDON AREA - A demonstration 212415 Y CENTRAL LONDON AREA is expected to take place in the Central London 01/04/19 13:00 29/05/19 17:00 Demonstration Area from 1300hrs. 'Taxi Demos' CENTRAL LONDON AREA - A demonstration 212415 Y CENTRAL LONDON AREA is expected to take place in the Central London 01/04/19 13:00 29/05/19 17:00 Demonstration Area from 1300hrs. 'Taxi Demos' CENTRAL LONDON AREA - A demonstration 212415 Y CENTRAL LONDON AREA is expected to take place in the Central London 01/04/19 13:00 29/05/19 17:00 Demonstration Area from 1300hrs. 'Taxi Demos' CENTRAL LONDON AREA - A demonstration 212415 Y CENTRAL LONDON AREA is expected to take place in the Central London 01/04/19 13:00 29/05/19 17:00 Demonstration Area from 1300hrs. 'Taxi Demos' WESTMINSTER AREA (All Directions), March - A group will form up on Leicester Square and WESTMINSTER AREA - at 1300hrs march to Parliament Square via Pall 187872 March (Ref: 0222) (SW1A) 23/04/18 12:00 23/04/18 13:57 March/Procession Mall East, Trafalgar Square, and Whitehall. (N) [A400] The march will be facilitated with traffic holds. 'Free Dankula Protest' WESTMINSTER AREA (All Directions) - A group will form up at Ponsonby Place will march to St James Square via Millbank, Parliament Square East side, Whitehall, WESTMISTER AREA - Trafalgar Square, Cockspur Street, Pall Mall, 188449 March (Ref: 0018) (SW1A) Waterloo Place, Pall Mall and St James’s 21/04/18 14:30 21/04/18 16:08 March/Procession (N) [A400] Square. It is the intention to control this march as a “Bubble” and just hold traffic while the march passes or to follow the march until traffic is able to pass the march. 'Loyal Orange Institution Brexit Protest' WESTMINSTER AREA (All Directions) - A group will form up on Marble Arch and at WESTMINSTER AREA - 1500hrs march to Parliament Square via 188441 March (Ref: 0221) (W1S) (N) Oxford Street, Regent Street, Piccadilly Circus, 21/04/18 14:00 21/04/18 16:28 March/Procession [A401] Haymarket, Cockspur Street, Trafalgar Square, and Whitehall. The march will be facilitated with traffic holds. 'Kurdish March ' Grosvenor Square (W1K) (All Directions) - A GROSVENOR SQUARE 187866 group will form up at this location and march to 14/04/18 12:00 14/04/18 15:02 March/Procession (W1K) [B310] Parliament Square. 'I Believe Her March' WESTMINSTER AREA (All Directions) - A large group will form up on Old Quebec Street and at 1400hrs march to Parliament Square via Oxford Street, Regent Street, Piccadilly Circus, WESTMINSTER AREA - Haymarket, Cockspur Street, Trafalgar Square, 186172 March (Ref: 0221) (W1S) (N) 31/03/18 13:00 31/03/18 18:00 March/Procession and Whitehall. The march will be facilitated [A401] with traffic holds. 'Kurdish Afrin Protest March'

WESTMINSTER AREA (All Directions) - A group will form up on Marble Arch and at 1400hr will march to Parliament Square via WESTMINSTER AREA - Oxford Street, Regent Street, Piccadilly Circus, 186169 March (Ref: 0221) (W1S) (N) Haymarket, Cockspur Street, Trafalgar Square, 24/03/18 13:00 24/03/18 16:01 March/Procession [A401] and Whitehall. The march will be facilitated with traffic holds. 'Kurdish march and rally '

WESTMINSTER AREA (All Directions) - A group will form up at Portland Place and march WESTMINSTER AREA - to Parliament Square via Regent Street, 184273 March (Ref: 0177) (SE1) (N) 17/03/18 11:00 17/03/18 16:39 Demonstration Piccadilly Circus. Haymarket, Trafalgar Square [A23] and Whitehall. 'STAND UP TO RACISM MARCH:' CENTRAL LONDON AREA (All Directions) - A large group will form up on Malet Street and at 1300hrs will march to Westminster Central Hall on Storey's Gate via Montague Place, Russell CENTRAL LONDON AREA - Square, Southampton Row, Kingsway, 184759 March (Ref: 0219) (WC2N) 14/03/18 12:00 14/03/18 16:12 March/Procession Aldwych, Strand, Trafalgar Square, Whitehall, (N) [A3211] Parliament Square and Great George Street. The march will be facilitated by road closures on the route and its approaches. 'University College Union March' WESTMINSTER AREA (All Directions), Women's Day March - large group will form up on Millbank (north of Lambeth Bridge) and at 1230hrs march to Trafalgar Square via Parliament Square and Whitehall. The march WESTMINSTER AREA - will be facilitated by road closures on the route 183586 Women's Day March (SE1) 04/03/18 11:30 04/03/18 15:13 March/Procession and its approaches. Closures of Millbank, (N) [A23,A302] Parliament Square, Whitehall and most of Trafalgar Square have been removed with the exception of Pall Mall East that remains in place to facilitate a rally on Trafalgar Square.

WESTMINSTER AREA (All Directions) - A group will form up at Portland Place at 1300hrs. At 1400hrs they will step off to WESTMINSTER AREA - Parliament Square via Langham Place, Regent 182612 March (Ref: 0026) (SW1A) Street, Coventry Street, Haymarket, Pall Mall, 18/02/18 12:49 18/02/18 16:50 March/Procession (N) [A401] Cockspur Street & Whitehall. A rally will then be held until approximately 1600hrs. 'Kurdish Protest March & Rally'

[A302] Parliament Square (All Directions) - A PARLIAMENT SQUARE group will form up at this location and will 180237 20/01/18 13:00 20/01/18 16:08 March/Procession (SW1P,SW1A) [A302] march to Aldwych. 'Indian Dalit Caste Human Rights Protest March ' WESTMINSTER AREA (All Directions) - National Front March and Service - An WESTMINSTER AREA - annual march will depart from Bressenden National Front March and Place to Whitehall Place via Victoria Street, 174688 12/11/17 14:30 12/11/17 14:59 Ceremonial Service (WC2N,SW1A) (N) Broad Sanctuary, Parliament Square, [A400] Parliament Street, Whitehall and Whitehall Place. Traffic will be subject to temporary holds. Westminster Area - The Loyal Orange Order Procession - A group will form up on Ponsonby Place and proceed to St James's Westminster Area - The Square via Millbank, Parliament Square, 174658 Loyal Orange Order March - 11/11/17 14:30 11/11/17 16:36 March/Procession Whitehall, Trafalgar Square, Cockspur Street, (SW1A) (N) [A400] and Pall Mall - March concluded.

WESTMINSTER AREA (All Directions), March - A group will form up on Grosvenor Square from 1200hrs, and at 1315hrs march to Parliament Square via North Audley Street, Oxford Street, Hanover Square, St Georges Street, Conduit Street, New Bond Street, Old Bond Street, WESTMINSTER AREA - Piccadilly, Lower Regent Street, Pall Mall, 174092 March (Ref: 0209) (WC2N) 04/11/17 12:00 04/11/17 18:06 March/Procession Cockspur Street, Trafalgar Square, and (N) [B404] Whitehall. The march will be facilitated by road closures and traffic holds and the march has then been contained to Parliament Square. 'Palestine Solidarity Campaign March'

WESTMINSTER AREA (All Directions) - TA small group will walk from Trafalgar Square to Parliament Square via Whitehall. As the A302 procession progresses, there will be traffic 172855 (SW1P,SW1E,SW1H,SW1A holds in place on all approaches to Trafalgar 23/10/17 17:00 23/10/17 19:46 March/Procession ) Square and Parliament Square, and there will be a southbound closure of Whitehall. Horse Guards Avenue will also be closed. 'Elders Walk Together.'

WESTMINSTER AREA (All Directions) - From 1600hrs there will be a lane restriction on the south side of Parliament Square due to a WESTMINSTER AREA - demonstration. At 1800hrs, a group will march 172216 March (Ref: 0207) (SW1A) from Richmond Terrace to Parliament Square 17/10/17 16:00 17/10/17 20:26 March/Procession (N) [A3211] via Whitehall, Parliament Square, Broad Sanctuary, Great Peter Street, and Millbank. The march will be facilitated by road closures and short traffic holds. ' NUT March and Rally' WESTMINSTER AREA (All Directions), March - A group will form up on Park Lane southbound from 1300hrs, and at 1400hrs march to Westminster Bridge via Hyde Park Corner, WESTMINSTER AREA - Piccadilly, St James's Street, Pall Mall, 171604 March (Ref: 0206) (SE1) (N) 07/10/17 11:30 07/10/17 16:54 March/Procession Cockspur Street, Trafalgar Square, Whitehall, [A23,A302] and Parliament Square. The march will be facilitated by road closures and traffic holds along the route and its approaches. 'Football Lads Alliance March ' WESTMINSTER AREA - There will be a group of people marching a looped route from Temple Place via Victoria Embankment, WESTMINSTER AREA - Northumberland Avenue, Whitehall, Parliament 169212 16/09/17 15:00 16/09/17 17:03 March/Procession Procession (Ref 0082) () (L) Street, Bridge Street, Victoria Embankment and back to Temple Place. The march will be facilitated using short traffic holds. ' Apprentice Boys of Derry. ' Horse Guards Road (SW1A/SW1H) (All Directions) - A group will gather this location HORSE GUARDS ROAD and proceed to Parliament Square via The 170246 16/09/17 11:00 16/09/17 13:25 March/Procession (SW1H,SW1A) [B326] Mall, The Queen Victoria Memorial and Birdcage Walk via the footway. 'Justice for Northern Ireland Veterens March' WESTMINSTER AREA (All Directions), March - A group will form up on Park Lane at 1100hrs and at 1200hrs march to Parliament Square via WESTMINSTER AREA - Hyde Park Corner. Piccadilly, St James's 169012 March (Ref: 0126) (SE1) (N) 09/09/17 11:00 09/09/17 19:01 March/Procession Street, Pall Mall, Trafalgar Square, and [A23] Whitehall. The march will be facilitated with road closures and traffic holds. ' March for Europe ' WESTMINSTER AREA (All Directions) - A WESTMINSTER AREA - group will form up on Trafalgar Square and 168384 March (Ref: 0128) (SW1A) proceed to Parliament Square via Whitehall 02/09/17 13:00 02/09/17 16:04 March/Procession (N) [A400] southbound. The march will be facilitated by short traffic holds. WESTMINSTER AREA (All Directions) - The WESTMINSTER AREA - march is now finished. Traffic is returning to 168383 March (Ref: 0126) (SE1) (N) normal for the time of day. 'Iranian Political 02/09/17 11:00 02/09/17 15:45 March/Procession [A23] Prisoners Killings Protest ' CENTRAL LONDON AREA (All Directions) - A large group will form up on Windrush Square in Brixton from 1100hrs. At 1200-1230hrs, they will march to Parliament Square via Brixton Road, Kennington Park Road, Kennington Road, Westminster Bridge Road, and Westminster Bridge. they will then hold a rally CENTRAL LONDON AREA - on Parliament Square before returning to 165539 March (Ref: 0133) (SE1) (N) 01/08/17 11:00 01/08/17 19:16 March/Procession Windrush Square via the same route. A smaller [A3202] group will deliver a petition to Whitehall facilitated by the Met Police. Met Police will be assisting with the facilitation of the march. There will be a further rally on Windrush Square from 18:00after the group have returned to Brixton but no further road closures are anticipated. 'Reparation March' WESTMINSTER AREA (All Directions) - A large group will form up within Victoria WESTMINSTER AREA - Embankment Gardens and at 1230hrs march 164252 March (Ref: 0195) 16/07/17 12:00 16/07/17 15:12 March/Procession to Parliament Square via Whitehall Place and (SW1A,WC2N) (N) [A400] Whitehall. The march will be faciliated with road closures and traffic holds. 'NUT March' WESTMINSTER AREA (All Directions) - A group will form up outside the BBC on Portland Place and at 1300hrs will march to Parliament Square via Regent Street, Piccadilly Circus, WESTMINSTER AREA - Haymarket, Cockspur Street, Trafalgar Square, 163049 March (Ref: 0124) (SW1A) 01/07/17 11:00 01/07/17 17:16 March/Procession and Whitehall. The march will be facilitated by (N) [A401] road closures and short traffic holds. ' The People's Assembly Anti Austerity march and rally'

WESTMINSTER AREA (All Directions) - A large group will form up from 1100hrs on Exhibition Road and at 1200hrs march to Parliament Square via Kensington Road, Knightsbridge, Hyde Park Corner, Piccadilly, St WESTMINSTER AREA - James's Street, Pall Mall, Cockspur Street, and 156588 March (Ref: 0185) (WC2N) 22/04/17 11:00 22/04/17 14:19 March/Procession Whitehall. The march will be facilitated with (N) [B404] road closures and traffic holds and then the participant will be confined to the green of Parliament Square where they are holding a rally. 'March for Science' WESTMINSTER AREA (All Directions) - A group will form up on Park Lane from 1000hrs, and at 1100hrs will march to Parliament WESTMINSTER AREA - Square via Piccadilly, St James's Street, Pall 153999 March (Ref: 0126) (SE1) (N) Mall, Cockspur Street, and Whitehall. The 25/03/17 10:00 25/03/17 16:53 March/Procession [A23] march will be facilitated with road closures and short traffic holds. 'Unite for Europe march and rally'

WESTMINSTER AREA (All Directions) - A large group will form up on Oxford Street at the junction of Orchard Street, by Selfridge's, at approximately 1130hrs, and at 1230hrs will march to Parliament Square via Regent Street, WESTMINSTER AREA - Piccadilly Circus, Haymarket, Cockspur Street, 153470 March (Ref: 0177) (SE1) (N) Trafalgar Square, and Whitehall. A separate 18/03/17 11:30 18/03/17 16:27 March/Procession [A23] group will also form up on Oxford Street from 1130hrs before marching east and joining the main group at Oxford Circus. The marches will be facilitated with road closures and traffic holds. ' Stand up to racism and Syrian Marches ' WESTMINSTER AREA (All Directions) - A group will form up on Belgrave Square from 1200hrs, and at 1300hrs march to Parliament WESTMINSTER AREA - Square via Halkin Street, Grosvenor Place, 144998 March (Ref: 0163) (SW1X) Hyde Park Corner, Piccadilly, St James's 11/12/16 12:00 11/12/16 16:14 March/Procession (N) [B319] Street, Pall Mall, Cockspur Street, Trafalgar Square, and Whitehall. The march will be facilitated by short traffic holds. 'Defend Democracy in Turkey March and Rally' [A3214] CENTRAL LONDON AREA (All Directions) - A group will form up in Great College St and march to Paternoster Square CENTRAL LONDON AREA - via Abingdon Street, St Margaret's Street, 142382 March (Ref: 0159) (WC2N) 19/11/16 18:15 19/11/16 21:31 Demonstration Parliament Square, Whitehall, Trafalgar (N) [A3214] Square, Strand, Fleet Street and Ludgate Hill. The march will be facilitated with short traffic holds. 'RECLAIM THE NIGHT' [A23] WESTMINSTER AREA (All Directions) - From 1200 Park Lane will be closed southbound to facilitate the form up of a march. WESTMINSTER AREA - At 1300 they will march to Millbank via 141352 March (Ref: 0126) (SE1) (N) Piccadilly, St. James's Street, Pall Mall, 19/11/16 11:00 19/11/16 16:55 Demonstration [A23] Trafalgar Square, Whitehall and Parliament Square. Police will implement traffic holds along the route to facilitate. 'NUS & UCU march' WESTMINSTER AREA (All Directions) - March - A group will form up on Whitehall and march to Great Smith Street via Parliament Square, WESTMINSTER AREA - and Victoria Street. The march will be 142248 March (Ref: 0155) (SW1H) facilitated by short traffic holds and closures 17/11/16 17:10 17/11/16 18:19 March/Procession (N) [A4] along the route and its approaches. 'National Union of Teachers March and Rally '

[A400] WESTMINSTER AREA (All Directions) - An annual march will depart from Bressenden WESTMINSTER AREA - Place to Whitehall Place via Victoria Street, National Front March and Broad Sanctuary, Parliament Square, 141600 13/11/16 14:30 13/11/16 15:06 Ceremonial Service (WC2N,SW1A) (N) Parliament Street, Whitehall and Whitehall [A400] Place. Traffic will be subject to temporary holds. ' NATIONAL FRONT MARCH AND SERVICE ' WESTMINSTER AREA (All Directions) - The march will form up at Morpeth Arms, Ponsonby Place, step-off to Millbank proceed to Parliament Square onto Parliament Street WESTMISTER AREA - then Downing Street. Group will then proceed 141662 March (Ref: 0018) (SW1A) to Parliament Square, onto Cockspur Street 12/11/16 14:50 12/11/16 16:39 Demonstration (N) [A400] and onto Pall Mall. Moving onto Waterloo Place to file past Duke of York's Column. They will then rejoin Pall Mall and enter St. James's Square. ' LOYAL ORANGE INSTITUTION OF ENGLAND' WESTMINSTER AREA - A group will form up at 14:00 in Parliament Square. From 15:00 WESTMINSTER AREA - they will make their way to Piccadilly Circus via 142489 March (Ref: 160) (SW1A) Whitehall, Cockspur Street, Pall Mall, Lower St. 12/11/16 14:00 12/11/16 16:26 Demonstration (N) [A401] James's Street. Police will facilitate with traffic holds as the group pass each junction. 'Kurdish march.' [A23] WESTMINSTER AREA (All Directions) - A group will form up on Park Lane. At 13:00 a WESTMINSTER AREA - march will commence to Parliament Square via 133784 March (Ref: 0126) (SE1) (N) Piccadilly, St James St, Pall mall, Cockspur St 17/09/16 12:00 17/09/16 16:28 Demonstration [A23] and Whitehall. A Rally will be held at Parliament Square. 'REFUGEE SOLIDARITY MARCH AND RALLY ' WESTMINSTER AREA (All Directions) - March - group will form up in Whitehall Gardens and WESTMINSTER AREA - march to Parliament Square via 132961 March (Ref: 0135) (WC2N) 13/08/16 11:00 13/08/16 14:04 March/Procession Northumberland Avenue, Trafalgar Square, (N) [A302] and Whitehall. ' UK Veterans One Voice Protest March' CENTRAL LONDON AREA (All Directions) - A large group will form up on Windrush Square in Briston from 0900hrs. At 1200hrs, they will march to Parliament Square via Brixton Road, CENTRAL LONDON AREA - Kennington Park Road, Kennington Road, 131420 March (Ref: 0133) (SE1) (N) 01/08/16 09:00 01/08/16 19:25 March/Procession Westminster Bridge Road, and Westminster [A3202] Bridge. They will then hold a rally on Parliament Square before returning to Windrush Square via the same route. 'Reparation March' Parliament Square (All Directions) - There will PARLIAMENT SQUARE be a demonstration at this location. There is no 130763 18/07/16 17:30 18/07/16 20:36 March/Procession (SW1P,SW1A) (N) anticipated impact to traffic flow. 'Campaign for Nuclear Disarmament ' WESTMINSTER AREA (All Directions) - A group will form up on Portland Place from 1100hrs, and then at 1200hrs march to WESTMINSTER AREA - Parliament Square via Regent Street, Piccadilly 129994 March (Ref: 0124) (SW1A) Circus, Haymarket, Pall Mall, Trafalgar Square, 16/07/16 10:30 16/07/16 16:15 March/Procession (N) [A401] and Whitehall. The march will be facilitated by the MPS using road closures and traffic holds along the route and its approaches. 'People's Assembly March ' WESTMINSTER AREA (All Directions) - A WESTMINSTER AREA - group will form up near Cleopatra's needle on 130758 March (Ref: 0130) (SW1A) Victoria Embankment and march to Parliament 14/07/16 10:00 14/07/16 14:16 March/Procession (N) [A400] Square via Horse Guards Avenue, and Whitehall. 'Black Lives Matter' Central London area- Black Lives Matter march - A procession took place in Central London, Trafalgar Square, Whitehall at 130666 A4 (W1J,W1B) Downing Street, the northbound carriageway 12/07/16 20:01 12/07/16 23:03 March/Procession was closed at Parliament Square and Lambeth Bridge was also closed.

WESTMINSTER AREA (All Directions) - March WESTMINSTER AREA - - A group will form up on Trafalgar Square and 130160 March (Ref: 0128) (SW1A) march to Parliament Square via Whitehall. 09/07/16 12:00 09/07/16 14:39 March/Procession (N) [A400] Expect delays in the area. 'Rise up for Europe' WESTMINSTER AREA (All Directions) - A group will form up on Portland Place, and then at 1200hrs march to Parliament Square via WESTMINSTER AREA - Regent Street, Piccadilly Circus, Haymarket, 128535 March (Ref: 0124) (SW1A) 05/07/16 10:30 05/07/16 14:36 March/Procession Trafalgar Square, and Whitehall. The march (N) [A401] will be facilitated by the MPS with road closures on the route and its approaches. ' National Union of Teachers' WESTMINSTER AREA (All Directions) - A group will form at 1100hrs on Park Lane WESTMINSTER AREA - southbound, and then at 1200hrs march to 129545 March (Ref: 0126) (SE1) (N) Parliament Square via Hyde Park Corner, 02/07/16 11:00 02/07/16 20:12 March/Procession [A23] Piccadilly, St James's Street, Pall Mall, Trafalgar Square, and Whitehall. 'March to Parliament against Brexit' WESTMINSTER AREA (All Directions) - A group will form up on Hamilton Place and WESTMINSTER AREA - march to Parliament Square from 1300hrs via 126972 March (Ref: 0121) (SW1A) Piccadilly, St James's Street, Pall Mall, 18/06/16 12:15 18/06/16 14:13 March/Procession (N) [A4202] Cockspur Street, Trafalgar Square, and Whitehall. 'Unite March'

WHITEHALL AREA - A group will form up on PARLIAMENT SQUARE Parliament Square and march to Downing 124087 21/05/16 13:00 21/05/16 16:19 March/Procession (SW1A,SW1P,SE1) [A302] Street via Whitehall. 'Traveller Movement March'