Testing Railway Safety Critical Workers for Drugs and Alcohol

Rail Industry Standard RIS-8070-TOM Issue One Date December 2016 Critical Workers for Drugs and Alcohol Synopsis This document sets out common requirements for drugs and alcohol testing of staff carrying out safety critical work to be applied by the infrastructure manager and railway undertakings. Copyright in the Railway Group documents is owned by Rail Safety and Standards Board Limited. All rights are hereby reserved. No Railway Group document (in whole or in part) may be reproduced, stored in a retrieval system, or transmitted, in any form or means, without the prior written permission of Rail Safety and Standards Board Limited, or as expressly permitted by law. members are granted copyright licence in accordance with the Constitution Agreement relating to Rail Safety and Standards Board Limited. In circumstances where Rail Safety and Standards Board Limited has granted a particular person or organisation permission to copy extracts from Railway Group documents, Rail Safety and Standards Board Limited accepts no responsibility for, nor any liability in connection with, the use of such extracts, or any claims arising therefrom. This disclaimer applies to all forms of media in which extracts from Railway Group documents may be reproduced. Published by: Copyright 2016 Rail Safety and Standards Board Limited

Rail Industry Standard RIS-8070-TOM Issue One Date December 2016 Critical Workers for Drugs and Alcohol Issue record Issue Date Comments One December 2016 Replaces GERT8070 issue three as it could not be retained as a National Safety Rule and is therefore reclassified as a Rail Industry Standard. Superseded or replaced documents The following Railway Group documents are superseded or replaced, either in whole or in part as indicated: Superseded documents GERT8070, issue three, Critical Workers for Drugs and Alcohol Sections superseded Date when sections are superseded All 04 March 2017 Supply GERT8070 issue three ceases to be in force as of 04 March 2017. The authoritative version of this document is available at www.rssb.co.uk/railway-groupstandards. Enquiries on this document can be forwarded to enquirydesk@rssb.co.uk. Page 2 of 16

Critical Workers for Drugs and Alcohol Rail Industry Standard RIS-8070-TOM Issue One Date December 2016 Contents Section Description Page Part 1 Introduction 4 1.1 Purpose of this document 4 1.2 Application of this document 4 1.3 Health and safety responsibilities 4 1.4 Approval and authorisation of this document 4 Annexes Annex A Content of GERT8070, issue three, Critical Workers for Drugs and Alcohol 5 Definitions 15 References 16 Page 3 of 16

Rail Industry Standard RIS-8070-TOM Issue One Date December 2016 Critical Workers for Drugs and Alcohol Part 1 Introduction 1.1 Purpose of this document 1.1.1 GERT8070 Critical Workers for Drugs and Alcohol, issue three duplicates common requirements (legislation), in particular those set out in: a) Annex II(N) to the Common Safety Methods for assessing conformity (CSM CA), on criteria for assessing conformity with the requirements for obtaining safety authorisations / safety certificates. b) Sections 4.2.1.2.2.1, 4.2.1.2.2.2 of Commission Regulation (EU) 2015/995 of 8 June 2015 amending Decision 2012/757/EU concerning the technical specification for interoperability relating to the operation and traffic management subsystem of the rail system in the European Union (OPE TSI). c) Regulation 27 and 38 of the Transport and Works (T&W) Act 1992. 1.1.2 It is therefore formally redundant as a National Safety Rule, and therefore also as a. As a consequence, it has been withdrawn. 1.1.3 However, GERT8070 provided a basis for the rules concerning requirements on staff executing safety critical tasks, including selection criteria medical fitness and vocational training and certification required by the Schedule 1 to the Railways and Other Guided Transport Systems (Safety) Regulations 2006 (as amended), which substantially reproduces the provisions of Annex II to the Railway Safety Directive 2004/49/EC. 1.1.4 GERT8070 also sets out the industry s agreed prescribed limits of drugs and alcohol in 100 millilitres of breath, blood or urine. GERT8070 has therefore been replaced by this Rail Industry Standard (RIS-8070-TOM) Critical Workers for Drugs and Alcohol, which reproduces the content of GERT8070 in its entirety as Annex A of this document. 1.2 Application of this document 1.2.1 Compliance requirements and dates have not been specified since these will be the subject of internal procedures or contract conditions. 1.2.2 The Standards Manual and RGS Code does not currently provide a formal process for deviating from RISs. However, a member of, having adopted a RIS and wishing to deviate from its requirements, may request a Standards Committee to provide observations and comments on their proposed alternative to the requirement in the RIS. Requests for observations and comments should be submitted to by e-mail to proposals.deviation@rssb.co.uk. When formulating a request, consideration should be given to the advice set out in the Guidance to applicants and members of Standards Committee on deviation applications, available from s website. 1.3 Health and safety responsibilities Users of documents published by are reminded of the need to consider their own responsibilities to ensure health and safety at work and their own duties under health and safety legislation. does not warrant that compliance with all or any documents published by is sufficient in itself to ensure safe systems of work or operation or to satisfy such responsibilities or duties. 1.4 Approval and authorisation of this document 1.4.1 The content of this document was approved by Traffic Operation and Management Standard Committee on 13 September 2016. 1.4.2 This document was authorised by on 07 October 2016. Page 4 of 16

Critical Workers for Drugs and Alcohol Rail Industry Standard RIS-8070-TOM Issue One Date December 2016 Annex A Content of GERT8070, issue three, Testing Railway Safety Critical Workers for Drugs and Alcohol Page 5 of 16

Critical Workers for Drugs and Alcohol Synopsis This document mandates common requirements for drug and alcohol testing of staff carrying out safety critical work to be applied by the infrastructure manager and railway undertakings This document contains requirements that are amended under the Railway Group Standards Code (Issue Three) as a small scale change. Reference to the amended requirements is made in the Issue record. All other parts of the document are unchanged from the previous issue. Copyright in the s is owned by Rail Safety and Standards Board Limited. All rights are hereby reserved. No (in whole or in part) may be reproduced, stored in a retrieval system, or transmitted, in any form or means, without the prior written permission of Rail Safety and Standards Board Limited, or as expressly permitted by law. Members are granted copyright licence in accordance with the Constitution Agreement relating to Rail Safety and Standards Board Limited. In circumstances where Rail Safety and Standards Board Limited has granted a particular person or organisation permission to copy extracts from Railway Group Standards, Rail Safety and Standards Board Limited accepts no responsibility for, nor any liability in connection with, the use of such extracts, or any claims arising therefrom. This disclaimer applies to all forms of media in which extracts from s may be reproduced. Published by: Block 2 Angel Square 1 Torrens Street London EC1V 1NY Copyright 2012 Rail Safety and Standards Board Limited

Critical Workers for Drugs and Alcohol Issue record Issue Date Comments One October 2003 Original document Two December 2008 Replaces issue one Three Replaces issue two, small scale change amendment addition of 2.4 Advising person appointed as lead investigator of test result (transferred from GE/GN8570) and moving clauses within the document, to follow a logic order. Amended or additional parts and/or sections of revised pages have been marked by a vertical black line in the adjacent margin. Superseded documents The following Railway Group documents are superseded, either in whole or in part as indicated: Superseded documents Sections superseded Date when sections are superseded Issue 2 All 02 March 2013 Supply Issue 2 ceases to be in force and is withdrawn as of 02 March 2013. The authoritative version of this document is available at www.rgsonline.co.uk. Uncontrolled copies of this document can be obtained from Communications,, Block 2, Angel Square, 1 Torrens Street, London EC1V 1NY, telephone 020 3142 5400 or e-mail enquirydesk@rssb.co.uk. Other Standards and associated documents can also be viewed at www.rgsonline.co.uk. Page 2 of 9

Critical Workers for Drugs and Alcohol Contents Section Description Page Part 1 Purpose and Introduction 4 1.1 Purpose 4 1.2 Introduction 4 1.3 Approval and authorisation of this document 5 Part 2 Requirements for infrastructure managers and railway undertakings 6 2.1 For cause drugs and alcohol testing 6 2.2 Laboratories for drugs and alcohol testing 6 2.3 Positive result 6 2.4 Advising person appointed as lead investigator of test result 6 Part 3 Application of this document 7 3.1 Application - infrastructure managers 7 3.2 Application - railway undertakings 7 3.3 Health and safety responsibilities 7 Definitions 8 References 9 Page 3 of 9

Critical Workers for Drugs and Alcohol Part 1 Purpose and Introduction 1.1 Purpose 1.1.1 This document mandates common requirements for drug and alcohol testing of staff carrying out safety critical work to be applied by infrastructure managers and railway undertakings. 1.2 Introduction 1.2.1 Background 1.2.2 Principles 1.2.1.1 To comply with the requirements of the Transport and Works Act 1992 [the 1992 Act], infrastructure managers and railway undertakings must exercise due diligence to ensure that their employees do not carry out safety critical work whilst under the influence of drugs or alcohol. 1.2.1.2 The 1992 Act prescribes the limits for alcohol permissible in blood, breath or urine. Anyone found with more alcohol in their blood, breath or urine could be prosecuted under the 1992 Act. Following medical advice that amounts of alcohol up to the higher limits prescribed in the 1992 Act could still impair performance of safety critical tasks on the railway, significantly lower limits have been mandated by common consent, for infrastructure managers and railway undertakings (required to comply with s). These are detailed in 2.1. 1.2.1.3 The Railways and other Guided Transport Systems (Safety) Regulations 2006 [ROGS] defines tasks which are safety critical, replacing the definition of safety critical work in the Railways (Safety Critical Work) Regulations 1994 with an enlarged and more detailed list. The definition in ROGS has been applied in this. 1.2.2.1 The requirements of this document are based on the following principles, which underlie their arrangements for exercising due diligence under the 1992 Act and controlling risks to the safe operation of the shared railway system arising from the misuse of alcohol and the abuse of drugs: a) Infrastructure managers and railway undertakings have an established drugs and alcohol policy. b) Infrastructure managers and railway undertakings carry out tests, for drugs and alcohol, prior to staff being appointed to a post that is required to perform safety critical tasks. c) Infrastructure managers and railway undertakings carry out regular and systematic monitoring, for drugs and alcohol, on staff performing safety critical tasks. 1.2.3 Related requirements in other documents 1.2.3.1 The following s contain requirements that are relevant to the scope of this document: GE/GN8570 Guidance on the Management of Drugs and Alcohol. 1.2.4 Supporting documents 1.2.4.1 The following Rail Industry Guidance Notes support this Railway Group Standard: GE/GN8570 Guidance on the Management of Drugs and Alcohol. Page 4 of 9

Critical Workers for Drugs and Alcohol 1.3 Approval and authorisation of this document 1.3.1 The content of this document was approved by TOM Standards Committee on 18 September 2012. 1.3.2 This document was authorised by on 29 October 2012. Page 5 of 9

Critical Workers for Drugs and Alcohol Part 2 Requirements for infrastructure managers and railway undertakings 2.1 For cause drugs and alcohol testing 2.1.1 Infrastructure managers and railway undertakings shall undertake for cause drugs and alcohol testing on any member of their staff engaged in safety critical tasks, on receipt of a reasonable request from another infrastructure manager or railway undertaking; where there are reasonable grounds to suspect: a) That the person is under the influence of drugs or alcohol. b) That the safety of the operational railway is at risk. 2.2 Laboratories for drugs and alcohol testing 2.2.1 Infrastructure managers and railway undertakings shall only use laboratories for drugs and alcohol analysis that are: 2.3 Positive result a) UKAS (or European equivalent) accredited to ISO/IEC 17025:2005. b) Subject to blind analysis testing under an external quality assurance scheme. 2.3.1 Infrastructure managers and railway undertakings shall regard a test result for drugs or alcohol, on a member their staff engaged in safety critical tasks, as being positive if it shows: a) The presence of drugs for which there is no legitimate medical need for either their use or the quantity of their use. b) More than 29 milligrams of alcohol in 100 millilitres of blood. Or c) More than 13 micrograms of alcohol in 100 millilitres of breath. Or d) More than 39 milligrams of alcohol in 100 millilitres of urine. 2.4 Advising person appointed as lead investigator of test result 2.4.1 Infrastructure managers and railway undertakings shall inform the person appointed to lead a formal or local investigation of the result of any test for drugs and alcohol applicable to the incident under investigation. Page 6 of 9

Critical Workers for Drugs and Alcohol Part 3 Application of this document 3.1 Application - infrastructure managers 3.1.1 Scope 3.1.1.1 The requirements of this document apply to measures that must be commonly applied throughout Network Rail managed infrastructure related to drug and alcohol testing. 3.1.2 Exclusions from scope 3.1.2.1 There are no exclusions from the scope specified in clause 3.1.1 for infrastructure managers. 3.1.3 General compliance date for infrastructure managers 3.1.3.1 This comes into force and is to be complied with from 02 March 2013, except as specified in section 3.1.4. 3.1.4 Exceptions to general compliance date 3.1.4.1 There are no exceptions to the general compliance date specified in 3.1.3 for infrastructure managers. 3.2 Application - railway undertakings 3.2.1 Scope 3.2.1.1 The requirements of this document apply to measures that must be commonly applied throughout Network Rail managed infrastructure related to drug and alcohol testing. 3.2.2 Exclusions from scope 3.2.2.1 There are no exclusions from the scope specified in 3.2.1 for railway undertakings. 3.2.3 General compliance date for railway undertakings 3.2.3.1 This comes into force and is to be complied with from 02 March 2013, except as specified in section 3.2.4. 3.2.4 Exceptions to general compliance date 3.2.4.1 There are no exceptions to the general compliance date specified in 3.2.3 for railway undertakings. 3.3 Health and safety responsibilities 3.3.1 Users of documents published by are reminded of the need to consider their own responsibilities to ensure health and safety at work and their own duties under health and safety legislation. does not warrant that compliance with all or any documents published by is sufficient in itself to ensure safe systems of work or operation or to satisfy such responsibilities or duties. Page 7 of 9

Critical Workers for Drugs and Alcohol Definitions Drug For the purpose of this document, a drug means a controlled drug as defined in the Misuse of Drugs Act 1971 and its subsequent modification orders, or other substance that could affect a person s ability to carry out safety critical tasks safely. The term also includes medication, either prescribed by a medical practitioner or purchased over the counter, which can have similar effects. Member of Staff In the context of this document a member of staff includes: a) An employee of an infrastructure manager or a railway undertaking. b) A contractor to an infrastructure manager or a railway undertaking. c) A member of the staff of a contactor to an infrastructure manager or a railway undertaking. This also includes any person acting on a voluntary basis but fulfilling one of the roles described above. Safety Critical Task As defined in the Railways and Other Guided Transport Systems (Safety) Regulations 2006 [ROGS] Regulation 23. Page 8 of 9

Critical Workers for Drugs and Alcohol References The Catalogue of s gives the current issue number and status of documents published by. This information is also available from www.rgsonline.co.uk. RGSC 01 RGSC 02 s Code The Standards Manual Documents referenced in the text documents GE/GN8570 Guidance on the Management of Drugs and Alcohol Other references Transport and Works Act 1992 (c.42) The Railways and other Guided Transport Systems (Safety) Regulations 2006 (S.I. 599) Other relevant documents ISO/IEC 17025:2005 General requirements for the competence of testing and calibration laboratories Page 9 of 9

Critical Workers for Drugs and Alcohol Rail Industry Standard RIS-8070-TOM Issue One Date December 2016 Definitions Relevant definitions are given in Annex A, and are not reproduced here. Page 15 of 16

Rail Industry Standard RIS-8070-TOM Issue One Date December 2016 Critical Workers for Drugs and Alcohol References The Catalogue of s give the current issue number and status of documents published by. This information is also available from www.rgsonline.co.uk. RGSC 01 RGSC 02 s Code Standards Manual Documents referenced in the text s GERT8070 Critical Workers for Drugs and Alcohol (Ceases to be in force on 04 March 2017) Technical Specifications for Interoperability OPE TSI Other relevant documents Operation and Traffic Management Technical Specification for Interoperability (Commission Regulation (EU) 2015/995) Other references CSM CA Common safety method for assessing conformity with the requirements for obtaining a railway safety authorisation (Commission Regulation (EU) No 1169/2010) / Common safety method for assessing conformity with the requirements for obtaining railway safety certificates (Commission Regulation (EU) No 1158/2010) T&W Act 1992 The Transport and Works Act 1992 Page 16 of 16