RISQS Audits

Core Operational Railway Services (CORS)

This protocol is designed to assess the core management system and management process requirements for suppliers of products, works and services. It specifies the requirements for supplier qualification.

It applies to:

a) Network Rail employees contracting a supplier for safety critical works

b) Suppliers who fall under these categories:

1) suppliers who have triggered an audit due to product code selection (Rail Industry Commodity Classification List) and/or have otherwise indicated that they work or intend to work on Network Rail Managed Infrastructure;

2) organisations sponsoring individuals within the Sentinel Scheme;

3) Suppliers prioritised by Network Rail as:

i. principal contractors who may be, or are, working on Network Rail Managed Infrastructure as Principal Contractor;

ii. On-Track Plant Operations Scheme– those Suppliers operating on-track plant only in engineering possessions on Network Rail Managed Infrastructure and Network Rail projects.

iii. suppliers of non-railborne plant (including but not limited to demountable, civil engineering plant, portable transportable and mobile plant).

Construction Design & Management Compliance (CDM)

This protocol is designed to assess the requirements for supplier qualification. 

It applies to:

a) Network Rail employees contracting a supplier for safety critical work

b) Suppliers who undertake activities defined within the Construction Design and Management Regulations 2015.

Sentinel (SEN)

This protocol is designed to assess the requirements for

1. managing fatigue and working hours and

2. demonstrating the means by which compliance with Regulation 25 of the ‘Rail and Other Guided Transport Systems (Safety) Regulations 2006’ is realised.

It applies to:

a) all Network Rail employees involved in the procurement of suppliers, regardless of their role,

b) Suppliers who sponsor staff within the Sentinel Scheme.

Safe (System of) Work Planning (SWP)

This protocol is designed to assess the requirements for supplier qualification.

It applies to:

a) Network Rail employees contracting a supplier for safety critical work

b) Suppliers who plan for the protection of trackside staff in accordance with NR/L2/OHS/019.

Principal Contractor Licensing (PCL)

This protocol is designed to assess a supplier’s management system and compliance with the RISQS Committee and Infrastructure Manager requirements for a Principal Contractors License.

The protocol applies to organisations that hold a Network Rail Principal Contractors License on the anniversary of the License being granted, on a periodic basis and where there are relevant changes to the Organisation’s information within RISQS

On Track Plant (OTP)

This protocol is designed to assess the requirements for supplier qualification.

It applies to:

a) all Network Rail employees involved in the engagement of suppliers, regardless of their role.

b) Suppliers who supply, hire, maintain, overhaul, manufacture or convert on-track plant for use on Network Rail Managed Infrastructure, under the management of a Plant Operations Scheme (POS) supplier.   

Suppliers who wish to be certificated under the On-Track Plant Operations Scheme, please refer to NR/L2/RMVP/0200/P5.

(On Track) Plant Operating Scheme (POS)

This protocol is designed to assess the requirements for supplier qualification.

It applies to:

a) all Network Rail employees involved in the engagement of suppliers, regardless of their role.

b) Suppliers who operate carry out OTP operations on Network Rail's Managed Infrastructure NRMI and Network Rail Projects.

Plant operations using non-OTP are not included in the scope of this module unless working on or near the line (within three metres on a POS controlled site).

Sustainable Rail (SUR)

This protocol is designed to assess a Suppliers arrangements that have been put in place to contribute to a more sustainable railway.

It applies to:

The sustainable rail module is currently optional where it can be required by a Buyer, or  selected by a Supplier to demonstrate their compliance and their contribution to a more sustainable railway.

Auditors and Auditees (i.e., organisation subject to audit) are required to familiarise themselves with the content of the audit and its requirements, prior to the audit commencing.

The protocol is separated into three key sections:

Section 1 of the protocol is designed to assess a supplier’s environmental management system which is required to protect the environment and respond to changing environmental conditions. Where a supplier has an in-date BS EN ISO 14001 certificate from an approved certification body the section does not need to be undertaken to achieve a scoring on the maturity model.

Section 2 of the protocol is designed to assess a supplier’s arrangements that have been put in place to meet the Sustainable Rail Blueprint, the industry wide blueprint for realising sustainable rail.

The Blueprint covers 11 sustainable rail topics across emissions, natural environment, and social sustainability.

Section 3 of the protocol is designed to assess a supplier’s system arrangements that are required for establishing and continuously improving upon the organisation’s science-based targets.

NOTE: Sections and individual questions are not mandatory in this protocol however the absence of any arrangements will have an impact on the maturity scoring model, unless it is clearly demonstratable that the section/question is not applicable.

Road Risk (Road)

This protocol is designed to assess a supplier’s Road Risk Management System and compliance with the RISQS Buyers and Infrastructure Manager requirements for Road Risk. 

The road module is currently optional where it can be required by a Buyer, or  selected by a Supplier to demonstrate their compliance on Road Risk Management. Auditors and Auditees (i.e., organisation subject to audit) are required to familiarise themselves with the content of the audit and its requirements, prior to the audit commencing.

Medical Screening (MED)

This protocol is designed to assess a supplier’s core management system for medical screening services and compliance with the RISQS Committee and Infrastructure Manager requirements for pre-qualification of this module.

The protocol applies to organisations that provide medical screening of candidates who are required to hold track safety competence.

Alcohol & Drug Testing (A&D)

This protocol is designed to assess a supplier’s core management system for drug and alcohol collection services and compliance with the RISQS Committee and Infrastructure Manager requirements for pre-qualification.

The protocol applies to organisations who are undertaking drug and alcohol collections as part of a testing and analysis regime.

Alcohol & Drug Analysis - Laboratory Analysis (LAB)

This protocol is designed to assess a supplier’s core management system for drug and alcohol analysis services (laboratory) and compliance with the RISQS Committee and Infrastructure Manager requirements for pre-qualification.

The protocol applies to organisations who are undertaking drug and alcohol analysis as part of a testing and analysis regime.

Core Non-Operational Railway Services (CNORS)

This protocol is designed to assess a supplier’s core management system and compliance with the RISQS Committee and Infrastructure Manager requirements for pre-qualification.

The protocol applies to organisations whose activities are categorised as high risk (auditable within the RICCL) and intending on delivering services outside the Operational Railway so not to impact on the operational running of the railway. Those delivering services on the Operational Railway please see CORS above.

Non-Trackside Sentinel (NTS)

This protocol is designed to assess a supplier’s management system, and compliance with the RISQS Committee and Infrastructure Manager requirements for Sentinel Non-Trackside Membership.

Unlike trackside sponsors, an audit is not undertaken prior to gaining membership; however, the supplier will enter a pool for random sampling, where if selected, an audit will be generated to check that the organisation is maintaining compliance with this protocol and the Sentinel Scheme Rules.

This module is applicable to suppliers who are selected at random to undertake a Sentinel Non-Trackside Audit.