Application Pack

The objective of the company policy, as a fundamental part of its Health and Safety management system and in accordance with the Health and Safety At Work Act 1974 is to prevent, insofar as is reasonably practicable during the course of the work or duties being undertaken, any accidental occurrence which may directly or indirectly result in:-

o Injury or occupational ill health to any person
o Damage to or loss of any plant, equipment, property, materials or products.
o Delays in any processes or operations
o Events, Which may otherwise be detrimental to efficiency
o Adverse impact upon the environment

The application and promotion of the policy is the responsibility of AJ Rail & Civil Engineering Ltd Senior Management. Whilst duties and tasks may be delegated the overall responsibility remain that of Senior Management to ensure that AJ Rail & Civil Engineering Ltd complies with all relevant statutory Health and Safety Legislation, Approved Codes of Practice, and Rail Industry Standards.

AJ Rail & Civil Engineering Ltd
o Treats Health and Safety as seriously as other aims.
o Believes that injuries and occupational illness can be prevented.
o Will set and maintain high standards of Health and Safety at all locations.
o Works in accordance with Network Rail’s contract requirements safety

AJ Rail & Civil Engineering Ltd aims to act responsibly to ensure, so far as is reasonably practicable, the health and safety of all persons under its control, regardless of employment status, (referred to as ‘employees’) whilst at work.

AJ Rail & Civil Engineering Ltd will:

o Manage the business responsibly with regard to compliance with all relevant Health and Safety legislative requirements, including the provision of suitable insurance cover with reputable insurers
o Set and Monitor safety objectives.
o Be committed to continual improvement in safety performance.
o Provide and maintain safe systems of work which will minimise risk to health.
o Carry out an assessment of risk for all person whilst at work.
o Provide sufficient resources for the management of health and safety.
o Provide such information, training, and supervision as is necessary to promote the health and safety of its employees.
o Seek the full co-operation of employees and clients in implementing this policy and promoting good safety practices.
o Encourage safe behaviours and commit to re-educating unsafe behaviours.
o Ensure all employees are fit for the work they are required to do.
o Minimise risk of injury or illness created by work activities.
o Ensure that Senior Management actively involve the workforce – including part-time and agency workers – as part of a developing health and safety culture.
o Ensuring that all reported incidents, hazards, or refusals to work are addressed appropriately and reprisals against employees are not tolerated at any level
o Maintain external safety-related certifications, for example, where ISO 45001:2018 is held.

Each employee has a duty to co-operate by:

o Complying with appropriate legal requirements and company health and safety rules.
o Wearing and using the protective clothing and equipment provided.
o Applying good housekeeping to work areas.
o Reporting serious or imminent danger, incidents or hazards which could lead to injury or damage; refusing to work where any employee genuinely feels there is a risk to their own, or other’s Health and Safety, infrastructure or Environment.
o Attending safety training in accordance with AJ Rail & Civil Engineering Ltd requirements.
o Working safely in the interests of themselves and others.

In addition to the basic Health and Safety arrangements outlined in the above policy, special procedures need to be adopted and applied in relation to railway work.

AJ Rail & Civil Engineering Ltd aims to provide defect free goods and services to its customers on time and within budget.

Management is committed to:

o Develop and improve the Quality System
o Continually improve the effectiveness of the Quality System
o The enhancement of customer satisfaction.

The management has a continuing commitment to:

o Ensure that customer needs and expectations are determined and fulfilled with the aim of achieving customer satisfaction
o Communicate throughout AJ Rail & Civil Engineering Ltd the importance of meeting customer needs and legal requirements
o Establish the Quality Policy and its objectives
o Ensure that the management review meetings sets and reviews the quality objectives, and reports on the Internal audit result as a means of monitoring and measuring the process and the effectiveness of the Quality System
o Work with suppliers, customers, and other interested parties to establish and maintain the highest quality standards
o Ensure the availability of resources
o Maintain external quality-related certifications, where these are held

AJ Rail & Civil Engineering Ltd complies with all UK and EU legislation and regulations specifically to its business activities.

The objective of the company policy, in unison with its Health and Safety management system, is to comply with all duties bestowed on AJ Rail & Civil Engineering Ltd in accordance with the Environmental Protection Act 1990.

AJ Rail & Civil Engineering Ltd is committed to achieving environmental best practice throughout its business activities wherever practicable. AJ Rail & Civil Engineering Ltd recognises that economic growth, development and a healthy environment must be closely linked.

Environmental protection and sustainable development are responsibilities that government, business, communities, and individuals should strive towards. Where possible environmental management issues will be integrated with Health and Safety and other operational systems in line with overall business objectives of AJ Rail & Civil Engineering Ltd.

AJ Rail & Civil Engineering Ltd is aware of Network Rails Company Standard Contract Requirements Environmental, and is committed to the promotion of, and compliance with, environmental best practice.

AJ Rail & Civil Engineering Ltd is committed to:

o Minimising the use of energy, water and other natural resources in operations.
o Minimising waste and identify the best environmental option for disposal.
o Considering the effects our activities may have on the environment; commit to protecting the environment and minimize the environmental impact of aspects of work activities that are environmentally significant.
o Preventing Pollution
o Considering opportunities to make a positive contribution to the environment in all activities
o Reducing the impact of our activities on adjacent businesses and residents and behave as a ‘good neighbour’.
o Encourage active participation from company staff at all levels in improving environmental performance.
o Minimizing the environmental impact, for the life cycle (including disposal), of plant, equipment, and all physical assets.
o Minimise noise nuisance, especially on site where the public or residents may be affected (including night work).
o Setting and Monitoring environmental objectives
o Maintain external Environmental-related certifications, where these are held.
o Continually improving its environmental performance.


The principles detailed above apply to all AJ Rail & Civil Engineering Ltd business activities, including work in the Rail Industry.

AJ Rail & Civil Engineering Ltd will comply with its client’s environmental requirements, and work closely to ensure its impacts are as small as reasonably practicable.

This company will be communicated to all interested parties on request.

This statement sets out the policy of the company in compliance with the current version of Rail Industry Standard RIS-8070-TOM and Company standard NR/L2/OHS/00120 Drugs, alcohol and substance misuse in the workplace in respect of any employee, self-employed person, or contractor under our control. It affects those whose proper performance of their duties is, or may be, impaired or otherwise affected as a result being in an unfit state due to the consumption of alcohol and/or illegal substances (or prescribed drugs in certain circumstances). Client and Infrastructure Manager requirements for all operations will be adhered to at all times. Note: An unfit state refers to an employee being under the influence of drugs and/or alcohol which exceeds the limits set by The Railway Group Standard and European Workplace Drug Testing Society.

Provided that employees referred to above adhere to the provisions contained within this policy, then they will normally be considered to have demonstrated compliance with the conditions of employment or contract insofar as they refer to the use of alcohol and drugs.

All employees referred to above are to be made aware of the contents of this policy and become familiar with the conditions laid down. The company will take all reasonable measures to ensure that those employees are made aware of the contents of this policy and the effect on their continued employment by the company in the event of any breach of this policy. The company will take all reasonable measures to prevent, so far as is reasonably practicable, any breach of duty placed on any person by this policy.

Employees of the company will at all times exercise diligence in monitoring their colleagues and others who from time to time may be under the control of the company and noting and reporting any evidence of alcohol and/or drug abuse.

Should any employee suffer any problems or difficulties in respect of the misuse of drugs and/or alcohol, or should they have reason to believe that a colleague may be experiencing such difficulties, they may approach the signatory of this policy. That person will at all times treat any information provided in complete confidence and will take such measures that are deemed necessary to ensure that the matter may be resolved with the minimum of distress to the person concerned and any others who may be affected.

Where rail operations are undertaken, the standards identified above will be adhered to. It is under these standards that as a condition of employment by the company, no person referred to above shall:

o Report, or endeavour to report, for duty whilst in an unfit state due to the consumption of alcohol or drugs (including any prescribed drugs that may have impair work ability)
o Report, or endeavour to report, for duty whilst in an unfit state due to the previous consumption of alcohol or drugs (including any prescribed drugs that may have impair work ability)
o Be in possession of alcohol or non-prescribed drugs during working hours
o Consume alcohol or non-prescribed drugs during working hours

Employees must subject themselves to medical checks (routine, unannounced (safety critical staff only) or “for cause”) to verify compliance, as per their contract of employment. A refusal to submit to drugs and alcohol testing shall be regarded as a positive (fail) result. The positive result shall be stored on the Sentinel database. This includes leaving site after being informed a drugs and alcohol test is required. Where an employee, contractor (sponsored or safety-critical staff) refuses to submit to a drugs and alcohol test, they shall be immediately suspended from work and the matter shall be investigated.

Refusal or failure to pass any test will be classed as a reason for gross misconduct and may result in instant dismissal.

Failure to maintain the standard set out by this policy will be considered as a reason for gross misconduct and a breach of the Sentinel Scheme Rules; appropriate action will be taken in line with investigation findings.

Unannounced, random testing will be undertaken to ensure a minimum of 20% of safety-critical and sponsored staff are tested on a rolling 12-month basis, annually or within and between RISQS audits, whichever is the sooner. Testing shall take place sporadically throughout the 12-month period
In order to comply with this policy and to maintain the stated and accepted standards of the company, those employees referred above should, at all times avoid:

o Consuming alcohol or non-prescribed drugs in the twelve (12) hrs immediately preceding attendance at work
o Consuming alcohol or non-prescribed drugs during meal or other break times
o Consuming alcohol or non-prescribed drugs during working hours
o Consuming alcohol or non-prescribed drugs whilst not in work but “on-call”

In addition, those employees to which this policy applies must ensure that the signatory of this policy is made aware of any over-the-counter or prescribed medication being taken, which may in any way affect their performance at work and the nature of any such medication which it is necessary for them to carry with them during working hours.

This statement sets out the policy of the company for fatigue management; specifically, those activities or tasks identified as ‘safety critical work’, or where fatigue could result in impaired performance and cause an increased operating risk. This includes works carried out by any employees, agency, contractors, or subcontractors under our control, in compliance with Client and Infrastructure Manager requirements, The Railway and other Guided Transport Systems Regulations (ROGS) legislation and the Network Rail standard NR/L2/OHS/003 Fatigue risk management and its modules. The latter requires that staff undertaking safety critical work and/or working on Network Rail managed infrastructure, assets and systems must not be unfit due to fatigue.

A copy of the relevant standards and legislative requirements are held by the signatory of the policy statement in the main offices of AJ Rail Ltd, should a fuller interpretation be required and forms the basis for the following synopsis.

AJ Rail Ltd will take all reasonable measures to ensure that those employees are made aware of the contents of this policy and the effect of their continued employment by the company in the event of any breach of this policy. AJ Rail Ltd will take all reasonable measures to prevent, so far as is reasonably practicable, any breach of duty placed on any person by this policy by scheduling work patterns and monitoring compliance. If appropriate, this will be done in liaison with the client. Employees of AJ Rail Ltd will at all times exercise diligence in monitoring their hours worked, including any other/additional employment working, to ensure overall compliance with the limitations detailed below. The company will, where appropriate, conduct fatigue risk assessment and will not, under any circumstance, roster or plan working hours in excess of those defined within legislation and applicable rail industry standards.

The working hours limits, in conjunction with the defined exceedance criteria as defined within NR/L2/OHS/003 are as follows:

o a minimum of twelve hours rest between shifts;
o no more than thirteen shifts in any fourteen;
o no more than twelve hours per shift;
o no more than 72 hours in 7 rolling days;
o no more 14 hours door to door.

AJ Rail Ltd will not accept any deviation from the above conditions unless emergency conditions prevail, in which case a risk assessment will be carried out to ensure the risks associated with the additional working hours, to those rostered, are suitably mitigated to prevent worker(s) becoming unfit for work through excessive fatigue. No other employment working times should impact on the above to either exceed the limitations or compromise the flexibility of the workforce of AJ Rail Ltd.

In order to comply with this policy and to maintain the stated and accepted standards of AJ Rail Ltd employees should at all times:
o Avoid, wherever possible, other employment working times which could impact on the above to either exceed the limitations or compromise the flexibility of the workforce of the company.
o Notify the signatory of this document should other employment working times impact on the limitations outlined.
o Refer to the signatory of this document should a more detailed review of the legislation and applicable rail industry standards be required to ensure full understanding and compliance.

The Risk Assessment process for exceeding working hours in an emergency situation must be in compliance with rail industry standards including Network Rail standard NR/L2/OHS/003 Fatigue risk management and the ROGS 2006 (Railway & Other Guided Transport Systems) (as amended) regulations. The manager responsible for assessing the exceedance shall obtain sufficient information to reliably identify the class of exceedance (if any), design effective mitigations and allocate actions. Records shall be maintained according to the standard.

Only if fully satisfied that the additional working requirement is necessary and urgent and that workers on site have no objections especially safety ones then confirmation can be given to extend the working pattern to tight constraints, with safety as the overriding factor, and with the intent to relieve staff that have triggered an exceedance at the earliest opportunity. Records of the Risk Assessment review shall be recorded including who has been involved in the discussion, the times etc.

In order to prevent staff suffering fatigue as a result of excessive driving requirements, AJ Rail Ltd will always endeavour to appoint staff who live locally to the work location. Where this is not possible, we will try to limit driving to and from the location of work to 1 hour at each end of the shift.

AJ Rail & Civil Engineering Ltd is an equal opportunity employer and contractor and is committed to encouraging equality and diversity among our workforce and eliminating unlawful discrimination. We aim for our workforce to be truly representative of all sections of society and our customers, and for each employee to feel respected and able to give their best.

AJ Rail & Civil Engineering Ltd will take all reasonable steps to employ, train and promote employees and contractors on the basis of their experience, abilities and qualifications without discrimination to anyone’s race, colour, ethnic origin, nationality, national origin, religion or belief, sex, sexual orientation, gender reassignment, age, marital or civil partnership status or disability.

AJ Rail & Civil Engineering Ltd will take all reasonable steps to provide a work environment in which all employees and contractors are treated with respect and dignity and that is free of harassment. Discrimination against anyone based upon a person’s race, colour, ethnic origin, nationality, national origin, religion or belief, sex, sexual orientation, gender reassignment, age, marital or civil partnership status or disability will not be tolerated.

AJ Rail & Civil Engineering Ltd opposes all forms of discrimination including in relation to pay and benefits, terms and condition of employment, dealing with grievances and discipline, dismissal, redundancy, leave for parents, requests for flexible working, a selection for employment, promotion, training or other developmental opportunities.

AJ Rail & Civil Engineering Ltd will not condone any form of harassment, bullying, victimisation and unlawful discrimination, whether engaged in by employees or by third parties who do business with AJ Rail & Civil Engineering Ltd.

Our commitment to this policy includes training Managers and all employees, including contractors about their rights and responsibilities under this equality policy. Individuals are responsible for conducting themselves to help AJ Rail & Civil Engineering Ltd provide equal opportunities in employment, prevent bullying, harassment, victimization and unlawful discrimination.

AJ Rail & Civil Engineering Ltd will take seriously complaints by employees, customers, suppliers, visitors, the public and any others in the course of work. Employees and contractors have a duty to co-operate with AJ Rail & Civil Engineering Ltd to ensure that this policy is effective in ensuring equal opportunities and in preventing discrimination, harassment or bullying. Action will be taken in accordance with AJ Rail & Civil Engineering Ltd disciplinary procedure against any employee who is found to have committed an act of improper or unlawful discrimination, harassment, bullying or intimidation.

Serious breaches of this equality and dignity at work policy statement will be treated as potential gross misconduct and could render the employee/contractor liable to summary dismissal. Employees and contractors must also bear in mind that they can be held personally liable for any act of unlawful discrimination. Employees and contractors who commit serious acts of harassment may also be guilty of a criminal offence.

You should draw the attention of your immediate line manager to suspected discriminatory acts or practices or harassment. You must not victimise or retaliate against an employee who has made allegations or complaints of discrimination or harassment, or who has provided information about such discrimination or harassment. Such behaviour will be treated as potential gross misconduct in accordance with the Company’s disciplinary procedure.

As an Employer, AJ Rail & Civil Engineering Ltd have a legal obligation under the Modern Slavery Act 2015 to prevent the use of slavery, servitude and forced or compulsory labour and human trafficking and are committed to supporting fundamental human rights in our workforce and supply chain.

The Managing Director takes personal responsibility for preventing modern slavery within the business.

We are committed to acting ethically in all our business dealings and relationships and that our business partners and suppliers also act in a like manner, upholding high standards, with the aim being to stop any opportunities for ‘modern slavery’ occurring within our business or our supply chain.

We will make sure that we address all, and directly prohibit practices known to contribute to the risk of modern slavery; we will, therefore:

o Never use slave labour, illegal child labour or forced labour.

o Ensure that the overall terms of employment are voluntary.

o Ensure we follow all local applicable laws pertaining to minimum age requirements, wages, number of hours worked in a seven day week, overtime and benefits.

o Require that the supplier of any products, materials, or services to AJ Rail & Civil Engineering Ltd comply with the laws regarding human trafficking and slavery in the country or countries of their origin and use.

o Ensure that we maintain awareness of our commitment to preventing modern and how to recognise the signs in the supply chain and how to raise the alarm. All staff can approach management to raise such concerns in confidence, where issues raised can be dealt with appropriately.

All management and staff are required to apply due diligence to spotting the signs of modern slavery, whether in the business or the supply chain to and bring any concerns without delay. Any purchasing, including material or labour sourcing placements or decisions that could increase the risk of modern slavery must be thoroughly analysed to ensure the risk is avoided.

All staff can also report a suspicion or seek advice by contacting the Modern Slavery Helpline confidentially on 08000 121 700. This is open 24 hours a day, 365 days a year.

Should you wish to remain anonymous you can contact Crime stoppers on 0800 555 111.

Always call 999 if there is a crime in action or immediate threat to life.

BRIBERY AND CORRUPTION POLICY STATEMENT

The Bribery Act 2010 came into force on 1 July 2011. It creates various new offences, including an offence which can be committed by commercial companies that fail to prevent persons associated with that company from committing bribery on their behalf. This applies regardless of whether the person works or commits the offence in the UK or any other country in which the company operates. However, it is a full defence for a company if it can prove that despite the bribery occurring, it has adequate procedures in place to prevent those persons associated with it from committing bribery. The company’s procedures must be proportionate to the bribery risks that it faces in relation to the nature, scale and complexity of the company.

The company and its directors are committed to the prevention of bribery by those employed and associated with it. The company is committed to carrying out business fairly, honestly and openly, with zero-tolerance towards bribery.
This is achieved by:

o carrying out a risk assessment to ascertain the risk of bribery
o instigating procedures proportionate to that risk
o having good internal controls and record-keeping
o securing the commitment of directors, managers and all staff to the prevention and detection of bribery
o developing a culture in which bribery is unacceptable
o undertaking due diligence procedures proportionate to the assessed risk of bribery
o effectively communicating the anti-bribery policy to all staff
o training all staff to recognise bribery so that they can avoid it and be alert to possible instances of bribery
o having clear procedures on what to do should bribery be suspected
o training all staff so that they are aware of what to do should they discover a possible instance of bribery
o monitoring and reviewing the effectiveness of the bribery procedures and updating them as necessary to ensure that they remain effective.


SCOPE

This policy applies to all those employed by and associated with the company.

OFFERING BRIBES

The company expressly prohibits any person employed by or associated with it from offering, promising or giving any financial or other advantage to another person where it is intended that the advantage will bring about improper performance by another person of a relevant function or activity, or that the advantage will reward such improper performance.
The company prohibits any person employed by or associated with it from offering, promising or giving any financial or other advantage to another person where it is believed that the acceptance of the advantage offered, promised or given in itself constitutes the improper performance of a relevant function or activity.

ACCEPTING BRIBES

The company expressly prohibits any person employed by or associated with it from requesting, agreeing to receive or receiving any financial or other advantage with the intention that a relevant function should be performed improperly as a result of the advantage or as a reward for performing the relevant function improperly.
The improper performance of a relevant function in anticipation of receiving financial or other advantage is also prohibited.

BRIBING A PUBLIC OFFICIAL

The company expressly prohibits the bribing of a UK or foreign public official in-order to obtain or retain business or an advantage in the conduct of business.

RELEVANT FUNCTIONS AND ACTIVITIES

Relevant functions and activities are any function of a public nature, any activity connected with the business, any activity performed in the course of a person’s employment and activity performed by or on behalf of a body of persons where the person performing that function or activity is expected to perform it impartially, in good faith, or is in a position of trust by virtue of performing it.

HOSPITALITY AND BUSINESS GIFTS

The Bribery Act 2010 does not seek to prohibit reasonable and proportionate hospitality, advertising, sponsorship and promotional or other similar business expenditure, as it is recognised that this constitutes an established and important part of doing business.
However, hospitality, promotional and similar business expenditure can be used as bribes.
The Company expressly prohibits the giving and receiving of hospitality/business gifts and similar where the intention in doing so is to receive or confer an advantage in return for giving or receiving the hospitality/business gift or similar.
The following procedures should be adopted in relation to hospitality and business gifts.
o All offers of business gifts should be referred to the anti-bribery officer and should only be accepted if clearance has been received from him or her.
o Business gifts should not be made without the permission of the anti-bribery officer.
o A record of all business gifts made and received and the reason for the gift should be retained.
o All hospitality must be proportionate and reasonable and in line with the Company’s hospitality policy. Guidance should be sought from the anti-bribery officer as to whether the planned hospitality is proportionate and reasonable.
o Records should be maintained of all hospitality provided and accepted, including cost and reason for providing or accepting the hospitality.
o Quid pro quo arrangements are expressly prohibited.
o Cash gifts are expressly prohibited.
o The provision or acceptance of entertainment of a sexual nature is expressly prohibited.
o Acceptable hospitality and entertaining may include modest meals with people with whom we do business (such as providing a modest lunch after a meeting) or the occasional provision of or attendance at sporting or cultural events, provided that the intention is to build business relationships rather than to receive or confer an advantage.
o The provision of small promotional gifts, such a diaries, pens or similar, will generally be regarded as acceptable.
o Staff reviewing expense claims should be alert to the provision of hospitality/business gifts that may be construed as a bribe.
o All concerns should be reported.


NEW BUSINESS, CHANGE IN BUSINESS AND CONTRACTS WITH EXTERNAL PARTIES

Where you develop or seek to develop new avenues for business or new contracts, or where the nature of the business changes, you should inform your line manager of this in order that due diligence and a risk assessment of the circumstances can be undertaken.
Where a business relationship with an external party is sought or newly established, or the nature of the relationship is changed, appropriate due diligence must be exercised to ensure that there are no circumstances giving rise to a concern. That external party must also be made aware of this anti-bribery policy.

FACILITATION PAYMENTS

Facilitation payments are small bribes that are paid to speed up or facilitate government action. Although they are commonplace in some foreign countries, they are regarded as bribes and are illegal under the Bribery Act 2010.
The Company expressly prohibits facilitation payments of any sort.
Any member of staff placed under pressure to make a facilitation payment should refer the matter to the anti-bribery officer immediately.

DONATIONS

The Company expressly prohibits the giving of donations to political parties.
Any charitable donation must be consistent with the Company’s policy on charitable giving and with the knowledge and consent of the anti-bribery officer.
The Company expressly prohibits the making of charitable donations where the purpose of the donation is to secure an advantage. All charitable donations must be made without expectation of reward.

REPORTING CONCERNS

All members of staff have a responsibility to prevent, detect and report all instances of bribery. Staff should therefore be alert to the possibility of bribery.
Anyone who has concerns regarding acts or potential acts of bribery should speak to their line manager in the first instance. If for any reason a person is not able to speak to his or her line manager, he or she should contact the anti-bribery officer.
All reports will be treated with the utmost confidentiality. However, concerns can be reported anonymously to the anti-bribery officer.
Further information about reporting concerns is available in the company’s Grievance policy.

TRAINING AND COMMUNICATION

All staff will receive training on the anti-bribery policy to ensure that they understand both the policy and the procedures that they need to follow in order to comply with it.
A copy of the policy will be included in the Company’s policies.
All staff are expected to familiarise themselves with the anti-bribery policy and to sign a copy of the policy to confirm that they have read and understood it.
Changes to the policy and procedures will be communicated to staff in an appropriate manner.

RESPONSIBLE OFFICER

The commercial and office manager is responsible for monitoring the anti-bribery policy and all questions and concerns should be referred to same.

SANCTIONS

The Company treats breaches of the anti-bribery policy with maximum seriousness and will investigate any potential breach in accordance with the disciplinary policy. The ultimate sanction for a breach of the policy will be summary dismissal for gross misconduct.

Meeting the medical fitness requirements indicates that a person is sufficiently medically fit to look after their own safety when on or near the line and this has to be verified in line with company standard NR/L2/OHS/00124. It shall not be assumed that the person concerned is medically fit to undertake safety critical work or engineering work on or near the line.

Medical assessments are to meet the requirements of company standards NR/L2/OHS/00124. Medical assessments shall only be carried out by or under the supervision of a registered medical practitioner with experience of occupational medicine. Also have an understanding of the hazards of the trackside environment, and how lack of fitness could reduce the effectiveness of safety systems of work intended to control those hazards.

Where a person does not meet all of the medical requirements at a medical assessment, a decision to permit that person to continue to hold a PTS certificate may be taken by a railway group member. The advice of the occupational physician shall be obtained on the likely effects on the ability of that person to look after their own safety when on or near the line and appropriate measures to mitigate those effects.

Management will:

o Document the measures taken to mitigate any adverse effects identified.
o Inform the person concerned and their immediate manager of any restrictions
o Assess and make any necessary changes to their system of work
o Ensure the employees PTS certification is endorsed with the relevant symbol, (red triangle, blue circle) that pertains to their identified limitation.
o Document the processes for ensuring that any restrictions or changed systems of work are communicated to the employee and all relevant personnel, i.e. COSS

The Rail Manager is responsible for maintaining the information on AJ Rail & Civil Engineering Ltd staff database and using the competency management database to produce reports detailing when age related medical re-examinations are due.

The below table details the maximum validity of the medical certificate, relative to the age of the employee.


Age at Date of Medical Assessment and A&D Test = Maximum Validity of Medical
Less than 40 = 10 years
From 40 to 65 = 5 years
65 years and Beyond = Annually


Obesity shall be assessed by the Medical Examiner to determine whether it is likely to limit mobility or be related to any medical abnormality that could increase the risks to safety while working.

The Rail Manager has the responsibility to ensure that he and the employee come to a clear understanding of the identified limitations. This will be documented as an instruction and signed by all appropriate parties to record understanding and acceptance as a declaration.

The employee must report any medical conditions as advised by his/her own GP. It is the responsibility of the employee to communicate his/her limitations to the rest of the working team.

All relevant medical records and documented restrictions will be held on the employee’s personal file, in line with the data protection act.

This statement sets out the policy of AJ Rail & Civil Engineering Ltd, in respect of “Refusal to work on the grounds of Health & Safety” by all employees (or sub-contractors, if appropriate).

A copy of the above referenced document is held by the signatory of the policy statement in the main offices of AJ Rail & Civil Engineering Ltd, should a fuller interpretation be required and forms the basis for the following synopsis.

All employees referred to above are to be made aware of the contents of this policy and become familiar with the conditions laid down.

AJ Rail & Civil Engineering Ltd will take all reasonable measures to ensure that those are made aware of the contents of this policy and that it will not affect their continued employment by the company in the event of any invoking of this policy.

AJ Rail & Civil Engineering Ltd will take all reasonable measures to prevent, so far as is reasonably practicable, any invocation placed on any person by this policy by planning safe working conditions and taking all factors into account. Employees of AJ Rail & Civil Engineering Ltd will at all times exercise diligence in monitoring their safe working environment for themselves and other employees in the working area.

It is a condition of employment with the company that all employees shall comply with the following:

o If any situation arises which an employee believes will or has resulted in an unsafe working environment for some or all they must immediately draw it to the attention of their direct line manager so he can investigate and resolve the issue locally, if possible.
o If the situation gives rise to serious or imminent danger, or if line management cannot be immediately contacted, then employees must stop work, retire to a place of safety and report it immediately. Warn others who may be exposed to the same danger of the concerns you have.
o Double check that there are no instructions or information available locally to resolve the issue.
o Do not recommence work until management have been alerted and the situation addressed.
o If the line manager does not support your concerns, or there is any conflict or disagreement, escalate the concern through the line manager or on-call manager chain. The case can be escalated up to and including the Managing Director, will normally make the final decision; application to external sources may be consider, e.g. ACAS.
o Ensure that you are clear in describing what the concerns or issues are.
o Employees must only raise a refusal to work where they have a genuine concern for health, safety, or welfare. Where this is the case, all employees can raise a refusal to work without fear of discrimination. No employee will be subject to any disciplinary action or suffer any detrimental or punitive action, even if the concern is ultimately seen to be unfounded.

Further to the AJ Rail & Civil Engineering Ltd processes for refusal to work on the grounds of health and safety, all staff engaged in the railway infrastructure have a facility for reporting any safety concerns into a central, confidential reporting system, CIRAS (Confidential Incident Reporting & Analysis System)

CIRAS is an alternative way for rail industry staff to report safety concerns that they feel unable to report through company safety channels. It is a completely independent and confidential way to report safety concerns without fear of recrimination.

Reports can be made by Free phone 0800 4 101 101, by writing to Freepost CIRAS, or via the CIRAS Website at www.ciras.org.uk

All welfare and first aid facility related issues must be addressed by the company to ensure that their operators are supported in line with the appropriate legislation defining the facility required and who is to provide them, in line with the attached form.

AJ Rail & Civil Engineering Ltd maintains 1 in 50 staff trained in First Aid at Work. This is monitored by the HR department, who monitor competency and re-training through the training database.

Where individuals are involved in works of a short duration, or transient worksites, first aid boxes will be provided within vehicles. It is essential that the contents of the First aid boxes are monitored and maintained with adequate stock Levels.

If the type of work involves higher than normal risks for staff working on track, a risk assessment will be carried out and a new ratio applied for that specific project.

The Work Package Plan will detail the first aid arrangements on site, although AJ Rail & Civil Engineering Ltd would expect the Principal contractor on any site to provide adequate facilities. This will be reviewed with any contract that requires a presence on site.

Adequacy of First Aid cover is reviewed regularly at management meetings.

Special consideration will be given to availability of first aid for staff working alone.

All accidents or incidents, including near misses and Close Calls, must be reported immediately by telephone to the Rail Manager or the on-call AJ Rail & Civil Engineering Ltd representative if out of office hours. The AJ Rail & Civil Engineering Ltd representative must then inform the Rail Manager at the first possible opportunity. This must be followed up by the completion of an accident/incident form.

This policy will also be adopted with the reporting of events resulting in pollution and or damage to the environment, property and or equipment in accordance with the AJ Rail & Civil Engineering Ltd Environmental policy. Environmental accidents and incidents will be reported to Network Rail via arrangements detailed in the applicable method statement or Work Package Plan.

AJ Rail & Civil Engineering Ltd will ensure that all accidents and incidents affecting their staff working on Rail projects will be fully investigated in accordance with NR/L3/INV/3001. AJ Rail & Civil Engineering Ltd will exchange information and cooperate with clients to ensure accidents and incident investigations are comprehensive and produce practical recommendations.

The Rail Manager will report all accidents and incidents to the Client within 4 working days or to Network Rail within 5 working days for inclusion in the Network Rail SMIS (Safety Management Information Systems) database.

When applicable, the person nominated as responsible for RIDDOR reporting will report events/occurrences to the enforcing authorities (HSE, ORR) in accordance with the RIDDOR regulations and RIS-8047-TOM.

AJ Rail & Civil Engineering Ltd will carry out its own investigation in line with NR/L3/INV/3001, according to the type of event and publish conclusions, observations and recommendations which will be notified to other staff to avoid similar events and learn from previous experiences.

AJ Rail & Civil Engineering Ltd will promote a no blame culture and promote the reporting of near misses or unsafe practices.

Accident books will be maintained at all sites and completed when an accident occurs. All staff working on client sites and offices will complete local accident books.

All records will be kept for 5 years

Accidents and incidents affecting AJ Rail & Civil Engineering Ltd staff are discussed at management meetings.

This document constitutes a “contract of sponsorship” between you as an individual and AJ Rail & Civil Engineering Ltd as a sponsor of staff within the railway infrastructure. This document has been mandated via Network Rail’s company standard “Sentinel Scheme Rules” to ensure there is an agreement in place regardless of the way you are engaged / paid by the company. It should be noted that this document is not linked to, or an addendum to any contract of employment or engagement that already exists between you and AJ Rail & Civil Engineering Ltd.

Within the Sentinel Scheme Rules documentation Network Rail has detailed that every individual must have a primary sponsor, and can be permitted up to 2 secondary sponsors. This contract details the arrangements in place when you are engaged with AJ Rail & Civil Engineering Ltd as either a Primary or Secondary sponsor. Your status in regards to sponsorship can change, so it is vital that you know at all times who your sponsors are.

When acting as a Primary Sponsor AJ Rail & Civil Engineering Ltd will, regardless of your method of engagement / employment, to fulfilling the role of employer of the individual for the purposes of health and safety, and upon request – sub sponsorship will be permitted.
When acting as a Primary Sponsor, AJ Rail & Civil Engineering Ltd reserves the right to withdraw the above permission for individual workers to be sub-sponsored, or to refuse certain companies from assuming the role of secondary sponsors at any time by giving reasonable notice.
To check on your current sponsor and the status / expiry dates of your competencies, you can utilise the Sentinel website (https://info.railsentinel.co.uk/) and login as a card holder. Mentoring support will provided where necessary to develop your individual competence where required.

Sponsorship is an essential part of working in the rail infrastructure; if you are not sponsored by a company then you are not permitted to undertake work for them. Within the sentinel scheme rules, all PTS and above staff must have a “Primary Sponsor”; this is a company that maintains ultimate responsibility for you in regards of health and safety legislation.

When acting as a Primary Sponsor, AJ Rail & Civil Engineering Ltd will assume responsibility to supply you with all briefing material, to include Rule Book updates, competence specific briefings, changes to the Sentinel Scheme Rules and other rules and standards that apply to your role. These will be via the most appropriate method; personal issue, email / toolbox talk or briefing event. AJ Rail & Civil Engineering Ltd will provide the necessary PPE / RPE and will be responsible for both the arrangement of training / assessment / mentoring and management of your Sentinel card. Furthermore, where any safety critical equipment is required to ensure you can undertake your duties on site, we as your primary sponsor will ensure that you have access to such items.

Up to 2 secondary sponsors will be permitted and must be communicated to your primary sponsor. The primary sponsor will need to update your record on the sentinel database to reflect who you wish to work for. It is in your interest to keep your primary sponsor informed of who you wish to have as secondary sponsors.

Secondary sponsors will need to formally approach your primary sponsor to request to be a secondary sponsor, and a contract will need to be in place between AJ Rail & Civil Engineering Ltd and the secondary sponsor company PRIOR to addition as a secondary sponsor. You SHALL NOT conduct any work for a sub-sponsor until you have confirmation that this contract is in place.

It is also your responsibility to inform your primary sponsor of all work that you undertake for any other sponsors. This is to ensure that you do not breach the Network Rail working hours policy (please refer to the company working hours policy, as per your induction pack).

If you have any accidents / incidents / near misses / close calls you have a duty to report any instances to the sponsor you are working for and your primary sponsor. An investigation may be needed to be undertaken by both parties.

In line with the medical fitness policy provided in the induction pack, you have a duty to communicate any medication or medical fitness issues / change to your health to the Sentinel Coordinator.

If you wish to be De-sponsored at any time, please contact the rail administrator who will confirm de-sponsorship in writing, stating the reason for de-sponsorship in line with the sentinel scheme rules.


AJ Rail & Civil Engineering Ltd will conduct an annual review of your continued suitability to work on the infrastructure taking into account behaviours and performance of safety critical duties and identify development requirements.

By signing below, you accept all statements above, and confirm that you will abide by the requirements herein. If you have any issues, or want further information, please contact the Rail Manager.