Issue record Issue Date Comments 1 June 2011 First issue

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2 Issue record Issue Date Comments 1 June 2011 First issue Ref: Compliance This Network Rail standard is mandatory and shall be complied with by Network Rail and its contractors if applicable from 03/09/2011. When this standard is implemented, it is permissible for all projects that have formally completed GRIP Stage 3 (Option Selection) to continue to comply with the issue of any relevant Network Rail standards current when GRIP Stage 3 was completed and not to comply with requirements contained herein, unless stipulated otherwise in the scope of this standard. Reference documentation NR/L2/ERG/003 Management of fatigue and control of working hours for staff undertaking safety critical work NR/L3/CPR/302 Supplier qualification core requirements NR/L3/INF/02226 Corporate records retention schedule NR/SP/ASR/036 Network Rail assurance framework NR/L3/MTC/MG0183 Maintenance Timesheet Process SMF/MG/464 Infrastructure Maintenance Risk Assessment and request for unplanned exceedences e-learning CD Fatigue Management e-learning CD ROM, Disclaimer In issuing this document for its stated purpose, Network Rail makes no warranties, express or implied, that compliance with all or any documents it issues is sufficient on its own to ensure safe systems of work or operation. Users are reminded of their own duties under health and safety legislation. Supply Copies of documents are available electronically, within Network Rail s organisation. Hard copies of this document may be available to Network Rail people on request to the relevant controlled publication distributor. Other organisations may obtain copies of this document from IHS. Tel: Page 2 of 25

3 Contents 1 Purpose 4 2 Scope 4 3 Roles and responsibilities 5 4 Definitions 6 5 Design of working patterns 9 6 Roster Creation 10 7 Exceeding Working Time Limits 12 8 Recording and approval of working hours 14 9 Action when workers are fatigued Review of fatigue, working hours and Exceedances 9 11 Contract Management 20 Table 1 Responsibilities for review of working hours and exceedences 166 Figure 1 Flow chart depicting process for unplanned exceedances 20 Appendix A : Risk assessment for exceedances and short notice shift changes 22 Appendix B: Roster Creation Tool 24 Figure B.1 Roster creation summary view 24 Page 3 of 25

4 1 Purpose This standard defines the requirements for managing fatigue and working hours for Infrastructure Maintenance employees, and those employed under contract by Infrastructure Maintenance, who undertake safety critical work. Its purpose is to reduce the risks to health and safety that are associated with working patterns, shift work and excessive working hours. This standard also demonstrates the means by which Infrastructure Maintenance will comply with Regulation 25 of the Rail and Other Guided Transport Systems (Safety) Regulations The regulation states that: 1. 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 and safety or the health and safety of other persons on a transport system could be significantly affected. 2. The arrangements in paragraph (1) shall be reviewed by the controller of safety critical work where he has reason to doubt the effectiveness of those arrangements. 2 Scope This standard applies to all Infrastructure Maintenance employees who undertake safety critical work, and to those suppliers who undertake safety critical work on Network Rail controlled infrastructure. Specific requirements are set out for line managers or other identified roles who: Have responsibility for the rostering and/or management of staff who undertake safety critical work, and/or Are responsible for arranging, placing, controlling and monitoring of contracts which involve undertaking safety critical work on Network Rail controlled infrastructure..the scope of this standard includes controls for: Working hours Exceedances of working time limits Design and risk assessment of working patterns (including rosters) Management of fatigue Monitoring and review of arrangements for managing fatigue and working hours. The management of fatigue, working hours and exceedances for all employees undertaking safety critical work including:- All Section Managers, Work Delivery Managers, Supervisors and equivalent National Programme posts who undertake safety critical work. All engineers, Programme Managers and technical support employees who undertake safety critical work in the Delivery units. All engineers and technical support employees who undertake safety critical work in the National Programme teams. All other employees who undertake safety critical work not listed above. Page 4 of 25

5 3 Roles and responsibilities Ref: RACI DETAILS Resources Manager Section Works Delivery Manager Line Manager Supervisor On Call Manager Programme Managers Process Task 5.1 A/R 5.2 A/R A/R R 5.3 A/R A/R Section 6 R R R R R R R 9.1 A/R A/R R R 9.8 A/R 10.1 A/R 10.2 A/R A/R I I R R A/R R R Engineers Team Leaders Administrator Section HRSS R I R A/R 11.1 A/R A/R 11.2 C 12.1 R RACI is a means of linking process steps to roles as follows: R Responsible: the individual(s) who perform an activity responsible for action/implementation although usually only one, Rs can be shared A Accountable: the individual who is ultimately accountable including yes/no decision and power of veto only one A can be assigned C Consulted: the individual(s) to be consulted prior to a final decision being made or action taken two-way communication. I Informed: the individual(s) who need to be informed after a decision is made or action is taken one-way communication. Page 5 of 25

6 4 Definitions For the purposes of this standard, the definitions in NR/L2/ERG/003 apply. The specific definitions relating to the process outlined in this standard are detailed below. Some definitions have been further enhanced to make them more specific to the Maintenance organisation. Exceedance Where hours/days are worked over the working time limits defined in this procedure. Where the working time limit is defined in terms of number of hours/shifts, each shift or hour over the limit will be counted as a separate exceedance (e.g. if one shift were 13.5 hours then an Exceedance of 1.5 hours would be recorded). A planned exceedance occurs when an individual or team are aware prior to commencing a shift that their hours of work will take them beyond the working time limits. This may occur when an individual works more than 13 consecutive shifts, or more than 72 hours in a week, for example. An unplanned exceedance occurs when an individual or team are required to work beyond the working time limits as a result of an unplanned event or incident. This may occur when an individual works more than 12 hours in a shift. NOTE Unplanned exceedances might occur in the following circumstances: when infrastructure faults need to be rectified and to delay would result in degraded working and/or significant operational disruption when work can be completed within two hours and to call out another relieving team would create additional working time issues when work cannot be left incomplete and to do so would result in degraded working and/or significant operational disruption when an unforeseeable event has delayed the start of work and the scope of work cannot be reduced. Line Managers A post that is directly responsible for the management of employees undertaking safety critical work, and for the arrangements in place to manage their fatigue and working hours. This may also include the Network Rail employees responsible for monitoring contractor resources. Controller of Safety Critical Work The Line Manager, Supervisor or Team Leader who is directly responsible for the management or supervision of an employee undertaking safety critical work. Exceptional Circumstances Where working beyond the identified processes and arrangements for managing fatigue are necessary: in order to avoid or reduce risks to the health and safety of persons on the railway in order to avoid or reduce significant disruption to services and it is not reasonably practicable to take alternative steps. NOTE 1 Such circumstances would include: extreme weather equipment failure accident or other serious incident shortage of staff that is unforeseeable (e.g. sudden illness) and which would cause significant operational disruption (e.g. closing a signal box, possession overrun). Page 6 of 25

7 NOTE 2 The following would not be considered acceptable reasons for exceeding identified processes for managing fatigue: the existence of long-standing job vacancies, planned organisational changes, planned training or safety briefings, extended blocks of maintenance work (e.g. blockades) that affect the number of staff undertaking safety critical work. Fatigue A state of perceived weariness resulting from physical or mental exhaustion that can result from prolonged working, heavy workload, insufficient rest and inadequate sleep. Shift work is one cause of fatigue. Fatigue has been identified as a causal factor in incidents and accidents, largely because it can reduce vigilance and alertness, and lead to an increase in the likelihood of error and impaired decision making. Fatigue and Risk Index (FRI) Evaluates the pattern of shifts in a roster to identify risks of fatigue as a result of how the shifts are scheduled, it also accounts for additional factors that can impact fatigue including travelling time, workload, attention and arrangement of rest breaks. NOTE The FRI is available for download from the Health and Safety Executive website via Network Rails fatigue management e-learning programme Hours of Work Actual (not rostered) time spent at work, including overtime, rest days worked, paid travelling/walking time, handover/wash-up time and paid meal/rest breaks. NOTE 1 For staff commencing duty at a remote location (i.e. not at his/her normal place of work (home station)), travelling time is only included if they are required to attend at their normal place of work before or after the turn of duty/shift, and it is only the travelling time after they have attended their home station that should be included in the calculation of hours worked. NOTE 2 Wash up time or handover time incurred by staff is included. Any kind of paid or unpaid absence (e.g. sickness absence, annual leave) is excluded. Nominated Person Any person nominated by the Line Manager who is considered competent to authorise an exceedance. NOTE This is usually the On Call Manager. In locations where a formal arrangement is in place to utilise Control to document risk assessments for authorisation of exceedances, a member of Control staff may be considered as a Nominated Person. On Call Waiting to respond to an emergency call out or answering a query from persons working in the field. The time spent waiting is not considered as work for the purpose of this standard. On call is only considered as work when work is actually undertaken, such as when the individual is managing an incident or supplying information. On Call Manager The nominated person during out of hours or emergency situations who is responsible for controlling and authorising Exceedances to the working time limit for staff when the relevant Line Manager is not available. Page 7 of 25

8 Period of Duty A shift or period of work activity that consists wholly or partly of safety critical work, including overtime and meal or rest breaks. Roster/Working Pattern A schedule showing turns of duty or leave of individuals or groups. Safety Critical Work The term Safety Critical Work, as defined by the Railways (Safety Critical Work) Regulations, includes work which has the most potential to lead to significant adverse effect on the safe operation of the railway system. This includes work which may affect the operation or safety of inter-working on Network Rail s controlled infrastructure. Applicability to Managers and Supervisors relates to those posts which have a direct management or supervisory role. Shift Any scheduled or unscheduled period of time at work with a discrete start and end time. This may be rostered. Travelling Time A period of time directly from rest location to place of work including a return journey, irrespective of terms of payment or modes of transport. Rostered Week For payroll and rostering purposes a standard working week means a calendar week from 00:01 hours on a Friday until 24:00 hours the following Thursday. Roster Creation Tool A tool to support the Delivery Units in developing and recording their rosters and work patterns Infrastructure Maintenance Risk assessments Risk assessments undertaken for planned and un-planned exceedances Page 8 of 25

9 5 Requirements for managing fatigue and excessive working hours 5.1 All Line Managers shall manage fatigue and excessive hours together with keeping a record of hours worked for all employees undertaking safety critical tasks. This shall include on call hours. 5.2 All Section Managers, Work Delivery Managers, Supervisors and equivalent National Programme posts who undertake safety critical tasks shall complete a timesheet which shall be submitted to Human Resources Shared Services. This shall include on call hours. 5.3 All Engineers, Programme Managers and technical support employees who undertake safety critical tasks in the Delivery units shall provide a record of hours worked to their Infrastructure Maintenance Engineer (IME). This shall include on call hours. 5.4 All engineers and technical support employees who undertake safety critical tasks in the National Programme teams shall provide a record of hours worked to their line manager. This shall include on call hours. 5.5 All other employees who undertake safety critical tasks not listed above shall keep a record of their hours worked. This shall include on call hours. NOTE Refer to table 1 in section 13 for details of the review process for fatigue and excessive working hours. 6 Working time limits The following working time limits shall apply to staff undertaking safety critical work: No more than twelve hours to be worked per period of duty/shift No more than seventy two hours to be worked in any seven day period A minimum of twelve hours rest between booking off from a period of duty/shift to booking on for the next period of duty/shift No more than thirteen periods of duty to be worked in any fourteen day period NOTE 1 Refer to 10.2 and 10.3 for the management of planned and unplanned exceedances NOTE 2 These are maximum limits, and on their own they are not sufficient to control all of the risks from fatigue. They form part of a set of fatigue management arrangements in conjunction with other measures such as the risk assessment of base rosters and of actual hours worked. 7 Calculation of hours of work The following criteria shall be used to calculate hours of work: Only the travelling time from the period after an employee has attended their normal place of work shall be included in the calculation of hours worked. (Reference shall be made to commuting time when creating rosters as detailed in 9.1). All absence, whether paid or unpaid (e.g. annual leave, sickness absence), shall be excluded. Work which is not classified as safety critical but which is undertaken by staff during the same shift as safety critical work shall be included in the calculation of hours of work. Page 9 of 25

10 This includes attendance at training or residential courses, or any other official Network Rail business at or away from the normal place of work. For on call staff, the time spent waiting for a call-out shall not be considered as work for the purposes of this standard. On call shall only be considered as work when safety critical work is actually undertaken, such as when the individual is managing an incident or supplying information. 8 Design of working patterns 8.1 Rosters and working patterns shall be developed in accordance with the working time limits defined within this standard. The Roster Creation Tool shall be used to create the roster. 8.2 Any local arrangement for rostering or managing working hours shall remain within the identified working time limits. NOTE A flowchart for the process of managing unplanned exceedences is shown in figure 1. 9 Roster Creation 9.1 Section Managers, Works Delivery Managers and Supervisors are responsible for the creation and risk assessment of rosters for their teams. The following shall be considered in creating the teams rosters: Terms and Conditions Type of work to be undertaken and plans Resource availability including competence Compliance regarding control of excessive working hours for safety critical work, including all working time limits. Commuting time Key risks On Call arrangements for staff Changes from previous shift pattern (Nights/Days) Absence (annual leave/sickness) Medical constraints Feedback from reviews of previous hours worked and work time Exceedances Declaration of second jobs. Engineers and Programme Managers are responsible for overseeing the rostering, hours worked and management of fatigue of their Section Managers and Works Delivery managers, therefore the above requirements shall be considered for management of working hours and fatigue for their team members. Page 10 of 25

11 9.2 Rosters shall be developed in accordance with good practice roster design to minimise the build-up of fatigue. NOTE Good practice roster design includes the following: Restricting the number of consecutive night or early morning shifts to reduce fatigue build-up Providing adequate rest between shifts and between blocks of shifts to allow fatigue to dissipate, particularly for night shifts. It is recommended that 48 hours rest be provided following a block of nights. Utilising forward rotating shift patterns (earlies to lates to nights) where practicable Planning spare duties so workers have advance notice of start times Providing breaks where there are no natural breaks in work activity Considering the impact of travelling time and workload when scheduling shifts longer than 8- hours. 9.3 All rosters shall be risk assessed using the Fatigue and Risk Index (FRI) prior to implementation to evaluate whether the pattern of shifts places staff at risk of fatigue. Compliance with the identified working time limits does not constitute a risk assessment. (Reference shall be made to the Fatigue Management e-learning CD ROM). Appendix B shows two screenshots of the Roster Creation Tool. Figure B.1 shows the summary screen and illustrates how the roster is matched to the future work plan. Figure B.2 shows an individual roster. Key parameters such as total hours rostered and number of weekend shifts. Where the change in base rosters indicates an increase in FRI the roster shall be reviewed to understand the reasons and effective controls put in place for the management of fatigue. 9.4 Where rosters are amended in response to short-notice changes to work requirements or staffing availability, such as to cover unplanned staff shortages or sickness, these amendments shall be made in accordance with good practice roster design to minimise the build-up of fatigue (refer to Appendix A for guidance). 9.5 Where resource shortages extend beyond a four-week period, the actual hours worked shall be reviewed and control measures shall be put into place to manage identified fatigue risks. NOTE This may include amendment of the roster in accordance with available resources, the addition of contingent labour or a more even reallocation of overtime to avoid individuals becoming at greater risk of fatigue as a result of prolonged working in excess of the base roster. 9.6 Where resource shortages have been or are likely to be prolonged beyond a 3- month period, the roster shall be amended in accordance with the revised staffing profile, and this shall be risk assessed. 9.7 Where employees are persistently working in excess of a base roster to cover resource deficits, the initial risk assessment of that roster becomes no longer applicable as the cumulative risk posed by the additional hours worked is not being assessed. A new roster shall be devised to better reflect the available resources and action shall be taken to address the resourcing deficit as soon as possible to reduce Page 11 of 25

12 the impact on the remaining employees, particularly where the resource deficit is prolonged. 9.8 Any working time exceedances which have been planned into the rosters shall be authorised in accordance with Authorised exceedances shall be recorded by the Line Manager in accordance with A copy of the FRI risk assessment and risk controls implemented for each roster shall be maintained for audit purposes, in accordance with the requirements of NR/L3/INF/02226 Corporate Records Retention. 10 Exceeding Working Time Limits 10.1 Working time limits shall be exceeded only in infrequent and exceptional circumstances. Every working time limit exceedance shall be risk assessed and authorised by the Line Manager using SMF/MG/ Authorising Working Time Exceedances Planned Before authorising the exceedance, the Line Manager shall: Consider the risks involved to confirm that the exceedance does not result in unacceptable risk to the individual or the safety of the railway Consider the alternative options available Identify mitigation measures to address the fatigue risks associated with the exceedance. These might include: alteration of the roster to provide suffient rest days for staff who have exceeded provision of additional resources alteration/scaling down of scheduled works reallocation of staff to priority work tasks additional supervision on site additional in-shift breaks on site Where the Line Manager determines that an exceedance can be authorised, he/she shall make a record of the authorisation using the relevant form (SMF/MG/464), documenting the additional mitigation measures to be implemented as appropriate The Line Manager shall take steps to relieve staff who have worked in excess of the working time limits as soon as possible and enable them to take adequate rest Authorising Working Time Exceedances Unplanned Where an exceedance is unplanned or incurred out of hours, the On-Call Manager or other Nominated Person previously identified by the Line Manager shall be contacted to provide authorisation Line Managers and / or On Call Managers shall have access to the Infrastructure Maintenance risk assessment ( Appendix A Risk Assessment Guide) Page 12 of 25

13 and request for unplanned exceedances form (SMF/MG/464) so reference can be made when unplanned exceedances occur Team Leaders or other persons requesting the exceedance shall: consider the risks involved to confirm the exceedance does not result in unacceptable risk to the individual or the safety of the railway consider alternative options available identify mitigation measures to address the fatigue risks associated with the exceedance. These might include: alteration of the roster to provide suffient rest days for staff who have exceeded provision of additional resources alteration/scaling down of scheduled works reallocation of staff to priority work tasks additional supervision on site additional in-shift breaks on site. The following shall not be considered acceptable reasons for exceeding identified processes for managing fatigue: the existence of long-standing job vacancies, planned organisational changes, planned training or safety briefings, extended blocks of maintenance work (e.g. blockades) that affect the number of staff undertaking safety critical work. Exceedances shall not be granted for work that can be completed at another time without disruption or a need to exceed the working time limits Parts 1 and 2 of form SMF/MG/464, shall be completed prior to an exceedance being incurred, including documentation of any mitigation measures to be implemented. This shall be completed by the On Call Manager or Nominated Person The exceedance shall only be granted if the On-Call Manager or Nominated Person is satisfied with the risk assessment and the mitigation measures to be put in place and has authorised the exceedence. If the exceedance is not granted safety of the line arrangements shall be put in place as required. The exceedance authorisation document shall then be sent to the Line Manager Where they have not been directly involved in the exceedance authorisation, Line Managers shall sign exceedance authorisation form SMF/MG/464 on the next working day, confirming their review of the exceedance. Page 13 of 25

14 Line Managers shall take steps to release employees who have worked in excess of the working time limits as soon as practicable to enable them to take adequate rest before their next period of duty Line Managers shall take steps to mitigate against further exceedances occurring. These mitigating measures might include: alteration of the roster to provide adequate rest days for staff who have exceeded provision of additional resources alteration/scaling down of scheduled works reallocation of staff to priority work tasks additional supervision on site additional in-shift breaks on site Reporting and Monitoring Fatigue Working Hours and Exceedances Completed exceedance authorisation forms shall be forwarded to the Section Administrator or other role nominated by the Line Manager for recording Line Managers shall monitor exceedances involving their staff and take action where practicable to address recurring causes A review of exceedance data, including a review of the causes, should be included as part of the period management review process to enable proactive management of working time exceedances The actual hours worked shall be monitored against the identified working time limits on a period basis. This includes any period of overtime (whether planned or unplanned) and any period where non-safety critical work is undertaken. NOTE This may include retrospective analysis with the FRI of individuals who have worked a high number of hours as a means of informing future decisions about allocation of overtime or coverage due to the level of risk imposed. This may also include analysis of time sheets for evidence of actual hours worked, as measured against the identified working time limits Line Managers shall retain records of all exceedances incurred and the signed authority to support them, in accordance with the requirements of NR/L3/INF/02226 Corporate Records Retention Schedule On-call time shall be monitored on a period basis. This shall include time spent responding to call-outs both via telephone and in person. NOTE Where there is a high level of call-out activity identified over a prolonged period which regularly affects the ability of employees to obtain sufficient rest between duties, consideration should be given to reviewing the on-call arrangements for that location. 11 Recording and approval of working hours 11.1 General The recording and approval of working hours for direct staff and supervisors shall be in accordance with NR/L3/MTC/MG0183 Maintenance timesheet process. The recording of working hours for all Section Managers/Works Delivery Managers, all engineers and technical support employees in the Delivery Units and all other employees who undertake safety critical tasks not listed shall be undertaken by the relevant Engineer or Programme Manager and reviewed as described in section 10.4 Page 14 of 25

15 11.2 Working Hours reporting Human Resources Shared Services (HRSS) shall produce the following reports: a record of all time worked/not worked from submitted timesheets covering all maintenance employees up to and including Section Managers/Works Delivery Managers weekly an exceedances working hours report each period. NOTE 1 HRSS reports are sent to the IMDM / Section Managers / Works Delivery Managers and are avialble via local HR. 12 Action when workers are fatigued 12.1 Line Managers shall have arrangements in place that prevent employees from carrying out or continuing to carry out safety critical work activities where there is reason to believe they are unfit due to fatigue The reason for the employee s fatigue shall be established so far as is reasonably practicable so as to prevent future occurrence In the event of an employee being unfit due to fatigue, appropriate control measures shall be applied before the individual commences or recommences safety critical work activities. NOTE 1 Guidance for managers on identifying and managing employees who are fatigued is contained within Network Rail s fatigue management e-learning programme. NOTE 2 Arrangements are set out within the Company Safety management System for Managers seeking guidance on the effects of medication and for medical conditions, which may contribute to an individuals performance due to fatigue. Page 15 of 25

16 13 Review of fatigue, working hours and Exceedances Working hours and exceedences shall be reviewed in accordance with table 1. Table 1 Responsibilities for review of fatigue, working hours and exceedences Post Review Action Section Managers/Works Delivery Manager A weekly review at the time of approval of the employees timesheets including a review of the hours worked, number of night shifts and planned /unplanned exceedances shall be undertaken. The review shall include a sample check of the risk controls submitted for any exceedances. A period review of the HRSS report on working hour exceedances to identify trends shall be undertaken. A period review of the hours worked and the impact of fatigue to identify trends shall be undertaken Identify improvements in rostering and work planning to reduce further exceedances. Identify improvements in fatigue management rostering and work planning to reduce further exceedances. Where a trend is identified discussion may be required with the relevant staff member to understand the root cause of the exceedances and further actions required. (such as resource redistribution, additional training or personal or work related concerns - Please refer to inputs to Roster creation. Page 16 of 25

17 Post Review Action Discipline Engineers and Programme Managers A period review of the HRSS report on working hour exceedances to identify trends shall be undertaken for all Section Managers/Works Delivery Managers. The review shall include a sample check of the risk controls submitted for any exceedances. A period review of the HRSS report on excess hours to identify trends in exceedances shall be undertaken for their teams. This shall include a specific review of trends in individuals or teams working more than 60 hours a week A period review of the hours worked and the impact of fatigue to identify trends shall be undertaken Ref: Where a trend is identified discussion may be required with the relevant Line Manager or staff member to understand the root cause of the exceedances and actions required. (such as resource redistribution, additional training or personal or work related concerns) Identify improvements in fatigue management, rostering and work planning to reduce further exceedances. (Please refer to inputs to Roster creation) Page 17 of 25

18 Post Review Action Infrastructure Maintenance Engineer (IME) A period review to identify trends in exceedances shall be undertaken for all Discipline Engineers and Technical Support staff. This shall be based on the hours recorded and submitted to the IME. The review shall include a sample check of the risk controls submitted for any exceedances. A period review of the HRSS report on working hour exceedances to identify trends shall be undertaken for all employees in the Delivery Unit. This shall include a specific review of trends in individuals or teams working more than 60 hours a week. A period review of the hours worked and the impact of fatigue to identify trends shall be undertaken A period review of the arrangements for the effective use of the FRI and Roster Creation Tool Ref: Where a trend is identified discussion may be required with the relevant Line Manager or staff member to understand the root cause of the exceedances and actions required. (such as resource redistribution, additional training or personal or work related concerns) Identify improvements in fatigue management, rostering and work planning to reduce further exceedances. Identify improvements in control measures and actions for the management of fatigue and working hours. Identify improvements in the use of FRI and Roster Creation Tool Page 18 of 25

19 Post Review Action Infrastructure Maintenance Delivery Manager Route Infrastructure Maintenance Director A period review of the HRSS report on working hour exceedances to identify trends in exceedances shall be undertaken for the Delivery Unit. A period review of the hours worked and the impact of fatigue to identify trends shall be undertaken. This shall include a specific review of trends in individuals or teams working more than 60 hours a week The review shall include a sample check of the action plans to control further exceedances. A quarterly review of the trends in fatigue, working hours and exceedances, including trends in individuals or teams working more than 60 hours a week shall be undertaken for all relevant Delivery Units. Ref: Identify improvements in process and control measures. Define further audit and assurance requirements. The review shall include reviewing the summary of the sample checks and action plans developed by the Delivery Units to control further Exceedances and manage fatigue and working hours more effectivly. NOTE The Fatigue and Risk Index can be used restospectivily using actual hours worked by an individual to assess the level of risk involved Review of arrangements for managing fatigue and working hours A review of arrangements for managing the risks of fatigue shall be undertaken by a Line Manager where: There are plans to change the existing working patterns There has been a significant change in circumstances, such as resulting from job redesign, changes to workload or organisational change Fatigue has been identified as a causal factor in an incident investigation which gives reason to doubt the effectiveness of the arrangements Monitoring has shown that standards and limits are being exceeded on a regular basis Long term sickness, a significant number of unfilled job vacancies or industrial action results in frequent exceedances There is a significant incidence of workers being stopped from carrying out safety critical tasks due to being unfit because of fatigue Page 19 of 25

20 There is any other reason to doubt the effectiveness of the arrangements The Fatigue and Risk Index shall also be used as a way of assessing the potential level of fatigue to support the development of the rosters and improving future roster arrangements. Reference should be made to the Fatigue Management e - learning CD ROM The actual hours worked shall be monitored against the identified working time limits on a period basis. This shall include any period of overtime (whether planned or unplanned) and any period where non-safety critical work is undertaken. NOTE This may include retrospective analysis with the FRI of individuals who have worked a high number of hours as a means of informing future decisions about allocation of overtime or coverage due to the level of risk imposed. This may also include analysis of time sheets for evidence of actual hours worked, as measured against the identified working time limits. 14 Contract Management Suppliers to Network Rail of staff undertaking safety critical work shall have arrangements in place for managing fatigue, working hours and exceedances for their employees, in accordance with the requirements of NR/L3/CPR/302 Supplier Qualification Core Requirements. NOTE 1: All suppliers to Network Rail are subject to formal audit arrangements. NOTE 2: The effectiveness of Contractor management arrangements for fatigue and working hours for staff undertaking safety critical work may be subject to monitoring by the Line Manager responsible for the management of the contract. An audit of fatigue management arrangements may be undertaken as part of the Link-up system review. Page 20 of 25

21 Figure 1 Flow chart of process for managing unplanned exceedances Page 21 of 25

22 Appendix A Risk assessment for exceedances and short notice shift changes When additional working time is added to a base roster, such as via overtime or short notice coverage for sickness or absence, or where exceedances are incurred, it can introduce new risks as a result of changing the pattern of work and rest days. The place within the roster that the additional shifts or hours fall can make the difference between one person being ok to take an extra shift or incur an exceedance, and another person not. Where the FRI has only been applied to a base roster, the impact of these additional changes is not always understood when decisions on allocation of overtime, short-notice coverage or on authorising an exceedance are made. The following questions should form part of the risk assessment for allocation of shifts beyond the base roster: Feature Think About Risks Possible Mitigations Quality of rest periods Will the individual have had sufficient rest before working the additional hours? Will the quality of the rest period be affected by factors outside of work? Will the individual s travel arrangements to and from work impact on the rest period? Does the extra working time impact on the next rest period? It is important that individuals have sufficient recovery time between shifts. Ideally sufficient rest must include time to travel home, winddown, have a full 7/8-hour sleep, have at least one meal and come back to work. The quality of the rest may be affected by non-work circumstances such as a new baby, a medical condition, or personal worries that could affect the quality of the rest period? Research shows that travelling time to and from work can contribute to fatigue. For example, commutes of +1 hour have an impact on fatigue, travelling during peak rush hours is more tiring and waiting time for public transport can add significantly to the overall travelling time. Provision of a full rest period before next shift Provide driving assistance if there are long travelling times Consider lodging turns for staff travelling + 2 hrs to a worksite. Shift swap to allow longer rest period Avoid, where reasonably practical, authorising extra hours for staff whose circumstances outside of work may impact on the quality of their rest. Consider travel time when making decisions about allocation of extra hours. Work pattern Will the individual be more at risk from fatigue because of the shifts they have been working prior to the extra hours? Fatigue accumulates over successive work periods. This will be greater if the individual has been working successive nights or successive earlies which start before 07:00. The fatigue that accumulates over successive periods can be dissipated with adequate rest periods between shifts. At least two night s sleep is usually needed to dissipate fatigue associated with successive night shifts. Where reasonably practicable avoid authorising extra hours: which will push individuals to more than 7 consecutive 8- hour nights or 4 consecutive 12-hour nights for individuals who have not had sufficient rest prior to working the extra hours Page 22 of 25

23 Type of shift Nature of work and work environment Individual Does the extra working time complement the other shifts being worked? Does the exceedance or extra shift involve working additional hours on nights or earlies? Is the work particularly mentally demanding (i.e. involving long periods of concentration?) Are there natural breaks or quiet periods during the work period? Are there are unusual conditions such as degraded working or more work activities than normal? Are working conditions very uncomfortable? Is the individual involved new to the role? Does the individual persistently work overtime? Swapping between shift types can introduce additional risk due to difficulties in adjusting to shift changes. Swapping rapidly between long and short shifts (e.g. 6-hour night, 12-hour night, 6-hour night, 12- hour night) or earlies and nights (e.g. day, night, day, night) can cause sleep and body clock disruption. The risks associated with working additional hours or additional shifts varies according to the type of shift. Night shifts present the greatest risk - levels of alertness and performance are at their lowest as we are working at a time normally reserved for sleep. Early shifts, particularly where they start before 07:00, present a risk because of shortened sleep periods. If an individual is going to be working an exceedance or additional shifts then it is important that they have the opportunity for regular breaks, even if they are short in duration, and to refreshment in order to maintain levels of alertness. Very hot or very cold or wet conditions can result in a level of discomfort that results in stress and can increase fatigue levels Work is more effortful and therefore more tiring for those new to the job. Volunteering to work additional hours/shifts can mitigate the impact of fatigue slightly because it is linked with an increase in morale. However, care should be taken with individuals who persistently work overtime as they may not be managing fatigue. Ref: Try to keep extra shifts consistent with adjacent ones to minimise disruption. Avoid patterns of quick changes. Consider the cumulative effect of working very early or night shifts; keep such shifts to a minimum and provide sufficient rest before resuming the next rostered shift. Provide additional breaks where required Make arrangements for refreshments to be provided or accessed. Vary the work being undertaken Where the working conditions are uncomfortable, provide opportunities for the individual to take breaks away from that environment, Have arrangements in place for additional monitoring or additional support from a colleague or supervisor. Avoid, where reasonably practicable, using the same individuals to work overtime. Table A.1 Risk assessment for short notice roster changes and exceedances Page 23 of 25

24 Appendix B Roster Creation Tool Ref: Figure B.1 Roster creation summary view Page 24 of 25

25 Figure B.2 Individual roster view Page 25 of 25

26 25/05/ Version 1 Standards Briefing Note Ref: Title: Infrastructure Maintenance process for the management of fatigue and control of working hours for employees undertaking safety critical work Publication Compliance Date: 03/09/2011 Standard Owner: Head Of Infrastructure Maintenance Safety & Compliance Non-Compliance rep (NRNC): Infrastructure Maintenance Compliance & Assurance Specialist, Robert Staughton Further information contact: Mark Inwood (mark.inwood@networkrail.co.uk) Tel: Purpose: This standard defines the requirements for managing fatigue and working hours for Infrastructure Maintenance employees, and those employed under contract by Infrastructure Maintenance, who undertake safety critical work. Its purpose is to reduce the risks to health and safety that are associated with working patterns, shift work and excessive working hours. This standard also demonstrates the means by which Network Rail will comply with Regulation 25 of the Rail and Other Guided Transport Systems (Safety) Regulations The regulation states that: 1. 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 and safety or the health and safety of other persons on a transport system could be significantly affected. 2. The arrangements in paragraph (1) shall be reviewed by the controller of safety critical work where he has reason to doubt the effectiveness of those arrangements. Scope: This standard applies to all Infrastructure Maintenance employees who undertake safety critical work, and to those suppliers who undertake safety critical work on Network Rail controlled infrastructure. Specific requirements are set out for line managers or other identified roles who: Have responsibility for the rostering and/or management of staff who undertake safety critical work, and/or Are responsible for arranging, placing, controlling and monitoring of contracts which involve undertaking safety critical work on Network Rail controlled infrastructure. The scope of this standard includes controls for: Working hours Exceedances of working time limits Design and risk assessment of working patterns Management of fatigue Monitoring and review of arrangements for managing fatigue and working hours. The management of fatigue, working hours and exceedances for all employees undertaking safety critical work including:- All Section Managers, Work Delivery Managers, Supervisors and equivalent National Programme posts who undertake safety critical work. All engineers, Programme Managers and technical support employees who undertake safety critical work in the Delivery units. All engineers and technical support employees who undertake safety critical work in the National Programme teams. All other employees who undertake safety critical work not listed above. What s New/ What s Changed and Why: Defines the Infrastructure Maintenance process to achieve compliance with NR/L2/ERG/003 - Management of fatigue: Control of working hours for staff undertaking safety critical work. Combine the requirements of NR/L3ERG/004 Maintenance Control Of Excessive Working Hours and NR/L3/ERG/007 Management And Review Of Working Hours For Safety Critical Staff into one maintenance document. Introduce the use of the Fatigue Management tool. Affected documents: Reference NR/L3ERG/004 ISSUE 1 NR/L3/ERG/007 ISSUE 1 NR/BS/LI/165 ISSUE 2 Impact WITHDRAWN WITHDRAWN WITHDRAWN

27 25/05/ Version 1 Briefing requirements: Where Technical briefing (T) is required, the specific Post title is indicated. These posts have specific responsibilities within this standard and receive briefing as part of the Implementation Programme. For Awareness briefing (A) the Post title is not mandatory. Please see for guidance. Briefing Post Team Function (A-Awareness/ T-Technical) T Route Infrastructure Maintenance Director Route Infrastructure Maintenance T Route Infrastructure Maintenance Manager Route Infrastructure Maintenance T Infrastructure Maintenance Delivery Manager Delivery Unit Infrastructure Maintenance T Infrastructure Maintenance Engineer Delivery Unit Infrastructure Maintenance T Maintenance Engineer Route Infrastructure Maintenance T Section Managers & Supervisor Delivery Unit Infrastructure Maintenance T Programme Manager Delivery Unit Infrastructure Maintenance T Works Delivery Managers & Supervisor Delivery Unit Infrastructure Maintenance T Section Administrator Delivery Unit Infrastructure Maintenance T Section Planner Delivery Unit Infrastructure Maintenance T Section Administrators/Planner Delivery Unit Infrastructure Maintenance T National Programmes Delivery Unit Infrastructure Maintenance T Property Works teams (Devolved Routes) Delivery Unit Infrastructure Maintenance T Affected employees National Programmes Works Delivery Infrastructure Maintenance A Workforce Health Safety & Environment Advisor Route Infrastructure Maintenance A Safety Improvement Manager (Devolved Routes Route Infrastructure Maintenance Only) A Maintenance top team HQ Infrastructure Maintenance A Trades Unions External Briefing Trades Unions A ORR External Briefing Office of Rail Regulator *NOTE: Contractors are responsible for arranging and undertaking their own Technical and Awareness Briefings in accordance with their own processes and procedure