Specifically, this means that organisations qualified for undertaking drug and alcohol tests are restricted from testing employees if they are employed by the same legal entity as the tester.

Where any testing organisation requires tests to be performed on internal staff, they are to procure this activity from an independent testing organisation.

As a result, where a supplier is presenting tests as part of an NR/L2/OHS/00120 standard requirement that has been undertaken by the same legal entity, the test will not be valid. Where this test is needed to meet a condition of your RISQS audit and determined to be invalid, a non-conformance shall be raised for failing to meet the requirement.

Therefore, checks for impartiality and independence in the testing process are being performed as part of the associated CORE and Sentinel audit, and in the Drug and Alcohol Collection Module. The changes to the protocols are documented within Appendix A.

NOTE: RISQS are acting as an assurance provider working on behalf of the infrastructure manager Network Rail and the RISQS Buying Community. We do not set these rules. We merely apply them to the audit criteria as instructed. Therefore, we are unable to accept any challenges to this requirement at appeal.  

Appendix A  

RISQS-AP028-CORE Operational Railway 

7.3.2. Alcohol and Drug Arrangements (Safety Critical Only) 

The supplier shall provide evidence that demonstrates arrangements are in place for checking that all workers under its control do not carry out safety critical tasks while under the influence of drugs or alcohol. The arrangements shall include (but are not limited to): 

a) A process for:  

i. maintaining a controlled list of safety critical employees and ensuring they have been briefed on the risk based random testing programme 

ii. appointing an independent drug and alcohol testing organisation to undertake pre-appointment, random (where required) and for-cause testing with impartiality (i.e., the testing/collection organisation shall be a separate legal entity from the audited organisation)

iii. routine, pre-appointment testing—such as pre-employment and following transfer to a post which is designated as safety critical 

iv. carrying out ‘for-cause’ testing through an assured drug and alcohol testing provider—i.e., following accidents, serious incidents or suspected of being unfit through drugs or alcohol

v. implementing actions following a failure of a drug and alcohol test

vi. dealing with appeals against drug and alcohol test results 

vii. retaining test result records in line with the infrastructure manager’s requirements

For safety critical employees that perform works that may impact the operational running of the rail infrastructure:

viii. carrying out a risk-based programme of random testing on a rolling 12-month period ensuring: 

  • it meets the infrastructure manager’s percentage expectation
  • the testing is performed randomly at irregular points within a 12-month period to ensure a random nature to the process

b) Evidence of: 

i. appointing an approved drugs and alcohol testing provider holding the RICCL H.H.5.1 who is independent and provides impartiality from the audited organisation (i.e., a testing/collection organisation that is a separate legal entity)

ii. undertaking testing pre-employment (pre-post appointment) and following an accident/serious incident 

iii. actions have been taken where there has been a positive random test 

For safety critical employees that perform works that may impact the operational running of the rail infrastructure: 

iv. implementation of a risk-based programme of random testing in line with the infrastructure manager’s requirements and the testing has been performed intermittently over a rolling 12-month period to ensure the random nature of the requirement.

 

RISQS-AP029-CORE Operational Railway 

7.3.2. Alcohol and Drug Arrangements (Safety Critical Only) 

a) A process for: 

i. maintaining a controlled list of safety critical employees and ensuring they have undergone a safety critical medical assessment before performing safety critical tasks 

ii. appointing an independent drug and alcohol testing organisation to undertake pre-appointment and for-cause testing with impartiality (i.e., the testing/collection organisation shall be a separate legal entity from the audited organisation) 

iii. routine, pre-appointment testing—such as pre-employment and following transfer to a post which is designated as safety critical 

iv. carrying out ‘for-cause’ testing through an assured drug and alcohol testing provider—i.e., following accidents, serious incidents or suspected of being unfit through drugs or alcohol

v. implementing actions following a failure of a drug and alcohol test

vi. dealing with appeals against drug and alcohol test results

vii. retaining test result records in line with company policies 

b) Evidence of: 

i. appointing an approved drugs and alcohol testing provider holding the RICCL H.H.5.1 who is independent and provides impartiality from the audited organisation (i.e., a testing/collection organisation that is a separate legal entity) 

ii. undertaking testing pre-employment (pre-post appointment) and following an accident/serious incident

iii. actions have been taken where there has been a positive random test. 

 

4.3 Alcohol and Drugs Management RISQS-AP-002 

The supplier shall provide evidence that demonstrates arrangements are in place for checking that all Sentinel Sponsored Individuals under its control do not access the rail infrastructure (e.g., NWR, TfL) while under the influence of alcohol or drugs. The arrangements shall include: 

a) A process for:

i. appointing an independent drug and alcohol testing organisation to undertake pre-appointment, random and for-cause testing with impartiality (i.e., the testing/collection organisation shall be a separate legal entity from the audited organisation)

ii. routine, pre-appointment testing—such as pre-employment and following transfer to a post that requires sponsorship on Sentinel

iii. accessing and updating arrangements to Sentinel databases for changes to status of sponsored ‘Sentinel’ employees

iv. carrying out a risk-based programme of random testing on all Sentinel Sponsored employees over a rolling 12-month period (percentage in line with the infrastructure manager’s requirement)

v. carrying out ‘for-cause’ testing through an assured drug and alcohol testing provider holding the RICCL H.H.5.1 (ensuing a request is made at the earliest opportunity following accidents, serious incidents or suspected of being unfit through drugs or alcohol)

vi. establishing a for-cause contract with an organisation who can ensure a test can be conducted by a qualified collection supplier within 2 hours of a request being made (4 hours within designated remote areas)

vii. implementing actions following a failure of a drugs and alcohol test

viii. dealing with appeals against drug and alcohol test results

ix. retaining records (6 years as a minimum)

x. providing confirmation that individuals are fit to work prior to booking on for duty.

b) Evidence of:

i. appointing an approved drugs and alcohol testing provider holding the RICCL H.H.5.1 who is independent and provides impartiality from the audited organisation (i.e., a testing/collection organisation that is a separate legal entity)

ii. holding a valid for-cause contract which meets the requirements detailed within section 4.3 a) v

iii. initial drug and alcohol screening of new sponsors being undertaken and recording the results on sentinel

iv. a risk-based programme of random testing in line with the infrastructure manager’s requirements (ensuring the testing has been performed sporadically over a rolling 12-month period to ensure the random expectation of the requirement)

v. actions have been taken where there has been a positive random test.

 

Drug and Alcohol Testing Module RISQS-AP-007

2.2 Integrity of Collection Officers and the Collection Process

The supplier shall provide evidence which demonstrates the organisation has arrangements in place to ensure the integrity of its collection officers and the collection process. The arrangements shall include: 

a) A process for:

i. obtaining and recording references prior to employment/contracting with an individual

ii. issuing of a contract or terms of employment for all Collection Officers to be used

iii. supervision and monitoring of all collection officers

iv. carrying out a programme of random testing on the Organisations Collection Officers, ensuring it meets at least 20% of the total number utilised (the total number shall include contracted Collection Officers used within the last 12 months)

v. providing collection officers with a means to identify themselves

i. ensuring independence and impartiality is maintained throughout the collection process (i.e., only providing NR/L2/OHS/00120 compliance tests on independent legal entities)

b) Evidence of:

i. providing (and acknowledging receipt of) identification cards that contain:

  • company name
  • name of the officer
  • identification photo
  • telephone contact number 

ii. meeting the random screening requirements for Collection Officers

iii. (where subcontracted Collection Officers are being used) contracting them through an approved supplier identified by the relevant infrastructure manager (i.e., a supplier on Network Rail’s Licensed Drug and Alcohol testing register or LU approved company). 

For any queries, please contact info@risqs.org.