Railway Contractors Certificate (RCC) Stage 2 - Process Guide Endorsement and Authorisation
Railway Contractors Certificate (RCC) Stage 2 - Process Guide Endorsement and Authorisation Endorsed by: Martin Frobisher, Project Director, PDSW Authorised by: Steve Hooker, National Implementation Manager, PDSW Railway Contractors Certificate - Stage 2 Process Guide – v1.0 Page 1 Issue Record Issue Date 1.0 30 Sep 2014 Comments RCC Process Guide - Stage 2 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 Safety Central. Railway Contractors Certificate - Stage 2 Process Guide – v1.0 Page 2 Contents 1. Document Purpose 2. Planning & Delivering Safe Work Programme a. Background b. Key Principles c. Safe Work Leaders d. Principal Contractors Licence 3. Railway Contractors Certificate a. Overview b. Railway Industry Supplier Qualification Scheme c. Estimated Costs & Timescales d. Requirement Confirmation e. Implementation Timeframe 4. Railway Contractors Certificate – Non Training Services a. Minimum Entry Requirements b. Application Process c. Sample RCC Questionnaire 5. Railway Contractors Certificate – Training Services a. Minimum Entry Requirements b. Application Process c. Sample RCC Questionnaire 6. Queries & Other Links 7. Acronym Glossary 8. FAQs Railway Contractors Certificate - Stage 2 Process Guide – v1.0 Page 3 1. Document Purpose The purpose of this document is to provide more detailed information on the Railway Contractors Certificate (RCC), and provide contractors with the Minimum Entry Requirements and the Application Process. This document will supersede the ‘Railway Contractors Certificate (RCC) Initial Guide’ which has previously been issued, and will also replace it on Safety Central. Railway Contractors Certificate - Stage 2 Process Guide – v1.0 Page 4 2. Planning & Delivering Safe Work Programme 2a. Background i. Network Rail has the vision of “Everyone home safe everyday”. ii. Network Rail aims to create an environment where everyone (NR employees, contractors or subcontractors) wants to act and behave safely and they understand the part they play in keeping themselves and others safe when working on the railway. iii. Safety is a core value and key to our success in delivering a better railway for a better Britain. iv. In this environment there should be no ambiguity, in practice this will mean knowing exactly who has overall accountability for any worksite in terms of both safety and work delivery, irrespective of size and complexity. v. Network Rail are seeking to make a step change in the management of safety on the operational infrastructure. vi. A key element of this is the Planning & Delivering Safe Work (PDSW) programme which will introduce new processes and roles, supported by e-Permitting technology. vii. The new key role being introduced is the Safe Work Leader (SWL). viii. Following Rail Accident Investigation Board (RAIB) investigations of three events involving workers and trains in 2012, some common features were identified. The PDSW programme aims to design and mandate the competence, accountability, responsibility and communication requirements for planning and implementing Safe Systems of Work (SSOW) to mitigate future unsafe events. Railway Contractors Certificate - Stage 2 Process Guide – v1.0 Page 5 2b. Key Principles There are 13 key principles to the PDSW programme, listed below: 1. Safety is in the line. It cannot be delegated. 2. A new competence of Safe Work Leader (SWL) will be created to manage safe delivery of work on a worksite. 3. The line manager is accountable for appointing the SWL, who is responsible for the delivery of work. 4. The SWL will be an employee of Network Rail, a Principal Contractor who holds a Trackside PCL or a Contractor who has gained a RCC. 5. The Safety arrangements will be appropriate for the hazards of the tasks and also the hazards of the work location and environment. 6. A ‘Permit to Work’ system will be introduced. This system will be mandated for all work on or near the line OR affecting the safe operation of the railway. 7. The SWL will be the “performing authority” and will hold the site copy of the ‘Permit to Work’. 8. The ‘Permit to Work’ will contain a visual map of the worksite. The visual maps will always be in a consistent format. This will create a common language for planning and site briefing. 9. On a site where a Principal Contractor has been appointed under the CDM (Construction, Design & Management) Regulations, the responsibility and accountability for Safety and Work will remain with the Principal Contractor. 10. On a site where an RCC holder has been appointed, the responsibility and accountability for Safety and Work will remain with the RCC holder. 11. It is a requirement that Principal Contractors and RCC holders have systems in place to manage task risk, which is relative to the work being undertaken. Network Rail will seek assurance for such systems. 12. Network Rail will arrange the delivery of the training and assessment for all persons who hold SWL competence. 13. Network Rail will always be responsible for the safe operation of the railway and will act to isolate operational risk from work which is taking place. Railway Contractors Certificate - Stage 2 Process Guide – v1.0 Page 6 2c. Safe Work Leaders i. A Safe Work Leader (SWL) is the leading person on a worksite, involved in planning, delivery and hand-back. They will lead the management of operational and task risk within a worksite and ensure the safe delivery of work on site: i-i. On implementation of the ‘SWL’, a ‘Permit to Work’ will be issued to an SWL who is working on or near the line according to the Rule Book definition, as at Dec 2014, whether they be Network Rail or a Principal Contractor who holds a Trackside PCL or a contractor who holds an RCC. i-ii. Anyone, other than Network Rail Staff, outside the above Rule Book definition will not at this stage be issued with a ‘Permit to Work’ or need to appoint an SWL. The exception to this will be if the work they are doing has the potential (however remote) to affect the safe running of the railway or there is possible interface with the public. i-iii. Network Rail staff, who are working outside the Rule Book definition, will be issued with a ‘Permit to Work’ at the appropriate level of SWL competence. i-iv. A ‘Permit to Work’ will demonstrate that a Safe System of Work has been appropriately planned such that all foreseeable Risks and their Controls have been identified and considered. A ‘Permit to Work’ must be Verified and Authorised before it may become "Live" and hence become a valid ‘Permit to Work’. ii. An SWL can either be an employee of: • Network Rail • a Principal Contractor (PC) who holds a Trackside Principal Contractors Licence (PCL) • a Contractor who has gained a Railway Contractors Certificate (RCC) In the case of all 3, an SWL must be employed by that organisation. iii. An individual will be regarded as employed by a Trackside PCL holder or an RCC holder (the "Employer") if they satisfy all of the following criteria: iii-i the Employer is the Sentinel Primary Sponsor; and iii-ii he/she is employed under a contract of employment and is exclusively working for the Employer; and iii-iii he/she is acting on behalf of the Employer and using the Employer's safety management system(s); Where a deviation from the above is required, the Managing Director of the PCL holder or the RCC holder will apply in writing to Network Rail, describing the arrangements for the individual worker concerned. A written decision will be provided on a case by case basis by Keith Miller. Please email keith.miller@networkrail.co.uk with any queries relating to this. Railway Contractors Certificate - Stage 2 Process Guide – v1.0 Page 7 iv. The ongoing competence, training and relevance of Safe Work Leaders will be monitored and checked via the Sentinel Scheme. v. The Rail Safety & Standards Board (RSSB) website now contains two handbooks which provide guidance on how the SWL will work: • Handbook 20 - General duties of a safe work leader (SWL) working outside a possession • Handbook 21 - Safe work leader (SWL) blocking a line vi. The PDSW Team will be producing a ‘Planning & Delivering Safe Work (PDSW) Handbook’ in due course which will provide further details on when an SWL will be required and the different levels of SWL. vii. Infrequent Users of SWLs, are those who would not reasonably be able to employ an SWL in their business to carry out works because that SWL would not practice the competency enough to retain it. The detail will be contained within the ‘PDSW Handbook’ which will be issued in due course, some of which is detailed below: vii-i Infrequent users should arrange to work within a planned worksite in a possession working under the appointed SWL, where this is not possible, the SWL will be provided by Network Rail. vii-ii The Supplier Pre-Qualification Questionnaire (PQQ) will be used to assess whether or not a contractor is classed as an Infrequent User. vii-iii If you are an Infrequent User you are NOT a PCL holder and you are NOT an RCC Holder. Railway Contractors Certificate - Stage 2 Process Guide – v1.0 Page 8 2d. Principal Contractors Licence You should check whether or not you qualify for a Principal Contractors Licence (PCL) before applying for an RCC. The criteria for a PCL is detailed below: i. Any organisation undertaking Principal Contractor (PC) duties where either Network Rail is the client, or the construction work will provide assets intended to form part of Network Rail’s managed infrastructure or property is required for contracts direct must hold a Principal Contractor Licence (PCL). ii. The requirement whereby works must be carried out by a PCL holder is where the works are CDM notifiable. iii. A PCL holder is required to demonstrate compliance with: a. Industry Minimum Requirements Module (including PC questions) b. Sentinel Scheme Rules c. Railway Interface Planning Scheme Rules (RIPS) for Trackside PCL holders d. The 14 additional requirements outlined in NR/L2/INI/CP0070 If you are undertaking works as a Network Rail Principal Contractor Duties and do not have a PCL contact licencesubmission@networkrail.co.uk to commence the process. If you do not qualify for a PCL, yet have a requirement to be a Safe Work Leader, then you may wish to apply for an RCC, see Section 3, 4 & 5 for more details on this, including the minimum entry requirements. Railway Contractors Certificate - Stage 2 Process Guide – v1.0 Page 9 3. Railway Contractors Certificate 3a. Overview i. An RCC is different to a PCL. The requirements of a PCL holder are defined in section 2c of this document and the requirements of an RCC holder are defined in sections 3, 4 & 5. ii. If contractors are required to provide the SWL competence on a worksite, and they don’t currently hold a PCL, nor are eligible to hold a PCL, they must hold a Railway Contractors Certificate (RCC). iii. The RCC will primarily seek to confirm that Safety management processes and planning are adequate for the type and level of work the contractor will be undertaking. iv. Contractors who meet the ‘Infrequent User’ definition, as defined in section 2c of this document, will not need an RCC. v. There will be two types of RCC, which will be issued depending upon which services are provided: • Non-Training Services (See Section 4 of this document) • Training Services (See Section 5 of this document) If both service types are provided by a supplier, then both application processes will need to be followed. vi. The RCC does not have a separate module in the Railway Industry Supplier Qualification Scheme (RISQS). vii. The RCC application process will be managed by the PDSW Team for the first 12 months following the SWL competence go-live date. Thereafter a review will be undertaken and a decision made as to where within Network Rail this should be managed. viii. Section 3d of this document details how to confirm your requirement for an RCC. Railway Contractors Certificate - Stage 2 Process Guide – v1.0 Page 10 3b. Railway Industry Supplier Qualification Scheme i. The Railway Industry Supplier Qualification Scheme (RISQS) is the system by which the rail industry assures itself that the supplier of products and services has a suitable management system to manage the risk to the infrastructure that their activities may import. It is the industry governance body which is fair, open and transparent and is becoming the preferred route for suppliers to engage with their customers in an efficient and effective manner. Further information can be found on the RISQS website. ii. Achilles is currently (September 2014) the supplier which RISQS has chosen to provide the platform and system for holding, co-ordinating, assessing and auditing both Industry and Network Rail Suppliers. Further information can be found on the Achilles website. iii. Registering with RISQS is, by default, one of the minimum entry requirements for an RCC holder. The process for registering can be found on the Achilles website. Railway Contractors Certificate - Stage 2 Process Guide – v1.0 Page 11 3c. Estimated Costs & Timescales involved in gaining an RCC i. Assuming that you are already RISQS registered, the estimated additional costs will depend on any additional annual audit requirements for Industry Minimum Requirements, Sentinel or RIPS: i-i The Achilles website details the number of audit days and fees required for each Module. i-ii Audits are valid for 12 months and will need to be renewed annually. i-iii It is estimated that the process for an existing RISQS registered contractor going through the audit process will take approximately 10 weeks depending on what other existing RISQS modules you are currently audited against. ii. Audit renewals should be planned well in advance to ensure these timescales do not result in expiry and therefore compromising RCC eligibility. Railway Contractors Certificate - Stage 2 Process Guide – v1.0 Page 12 3d. Requirement Confirmation i. If you DO want to progress with the RCC Application Process, please email your completed RCC Questionnaire to RCCQueries@networkrail.co.uk by 10 Oct 2014, with an email subject of “RCC Required”. ii. There are two RCC Questionnaires applicable for Non Training Services and Training Services. They are in Microsoft Excel, and can be found on Safety Central. Samples of these documents are included in Section 4 and Section 5 of this document; please do not attempt to complete these samples. iii. The PDSW Team will then cross check the information provided in the RCC Questionnaire with the information held by RISQS and the Network Rail National Supply Chain team, and will respond to you stating whether your RCC application will be progressed. iv. If you DO NOT want to progress with the RCC Application Process, please email RCCQueries@networkrail.co.uk by 10 Oct 2014, with an email subject of “RCC Not Required”. v. Training is due to commence 20 Oct 2014. communicating training dates with contractors. Railway Contractors Certificate - Stage 2 Process Guide – v1.0 The Training Team are in the process of Page 13 3e. RCC Implementation Timeframe Railway Contractors Certificate - Stage 2 Process Guide – v1.0 Page 14 4. Railway Contractors Certificate – Non Training Services 4a. RCC Minimum Entry Requirements – Non Training Services i. There will be two types of RCC, which will be issued depending upon which services are provided as per Section 3av of this document. This section applies to Non Training Services. ii. Contractors eligible for an RCC will adhere to the Railway Interface Planning Scheme (RIPS) Rules and pass audit. This also has some pre-requisites: ii-i Register with RISQS and hold the relevant Product Codes ii-ii Complete the Industry Minimum Requirements (IMR) and pass audit. ii-iii Adhere to the Sentinel Scheme Rules and pass audit ii-iv Adhere to the Network Rail Code of Conduct (link available by 31 Dec 2014) iii. RCC holders can only Safe Work Lead for work they are specifically contracted by Network Rail to do. iv. An RCC holder must be the Employer (see section 2c) of the SWL. v. There will be no additional audit costs, other than those associated with obtaining RIPS. vi. RCCs will not feature on the RISQS website. Where an RCC is applicable, they will be issued on a contract by contract basis when the minimum entry requirements are met. vii. Non-RCC holders shall not be excluded from the tender processes, so tendering can commence at any stage of the RCC application process, however all minimum entry requirements MUST be in place before you can commence work as an RCC holder providing the SWL competence. Railway Contractors Certificate - Stage 2 Process Guide – v1.0 Page 15 4b. RCC Application Process – Non Training Services Railway Contractors Certificate - Stage 2 Process Guide – v1.0 Page 16 4c. Sample RCC Questionnaire - Non Training Services Railway Contractors Certificate - Stage 2 Process Guide – v1.0 Page 17 Railway Contractors Certificate - Stage 2 Process Guide – v1.0 Page 18 5. Railway Contractors Certificate – Training Services 5a. RCC Minimum Entry Requirements – Training Services i. There will be two types of RCC, which will be issued depending upon which services are provided as per Section 3av of this document. This section applies to Training Services. ii. Companies providing Training Services will be eligible for an RCC as long as they meet the criteria in section 5av below and the training provision requires them to appoint an SWL. iii. If companies provide both Training and Non Training Services, then suppliers must complete both application processes as detailed in Section 4 and Section 5 of this document. iv. It is recognised that companies providing Training Services do not receive contracts direct from Network Rail and that the activities involved are routine / repetitive. v. Training Companies will NOT be required to be a RIPS member, however they will be required to: v-i Register with RISQS and hold the relevant Product Codes; and v-ii Complete the Industry Minimum Requirements (IMR) and pass audit; and v-iii Adhere to the Sentinel Scheme Rules and pass audit; and v-iv Adhere to the Network Rail Code of Conduct; and v-v Pass RTAS (Railway Training Accreditation Scheme) annual inspection. vi. Network Rail (PDSW Team) will provide companies who offer Training Services with an annual RCC for the use of trainers who hold SWL competence for training purposes only. vii. There will be an annual review, of the usage, any incidents and any issues arising, prior to awarding the next years’ annual RCC. viii. RCCs will not feature on the Railway Industry Supplier Qualification Scheme (RISQS) website. Railway Contractors Certificate - Stage 2 Process Guide – v1.0 Page 19 5b. RCC Application Process – Training Services Railway Contractors Certificate - Stage 2 Process Guide – v1.0 Page 20 5c. Sample RCC Questionnaire - Training Services Railway Contractors Certificate - Stage 2 Process Guide – v1.0 Page 21 6. Queries & Other Links i. Queries relating to the RCC, email RCCQueries@networkrail.co.uk ii. Queries relating to the PDSW Programme, SWL or Training email SafeWork@networkrail.co.uk iii. Further information on PDSW and SWL FAQs can be found on Safety Central Railway Contractors Certificate - Stage 2 Process Guide – v1.0 Page 22 7. Acronym Glossary Acronym Full Name CDM Construction (Design & Management) Regulations 2007 IMR Industry Minimum Requirements PC Principal Contractor PCL PDSW Principal Contractors Licence Planning & Delivering Safe Work POS On-Track Plant Operations Scheme PQQ Pre-Qualification Questionnaire PTW Permit to Work RAIB Rail Accident Investigation Board RCC Railway Contractors Certificate RIPS Railway Interface Planning Scheme RISQS Railway Industry Supplier Qualification Scheme RSSB Rail Safety & Standards Board RTAS Railway Training Accreditation Scheme SWL Safe Work Leader SSOW Safe System of Work Railway Contractors Certificate - Stage 2 Process Guide – v1.0 Page 23 8. FAQs # Question Answer 1 How do Track Visitor Permits (TVPs) work with this? Will they still be allowed? Yes, there will be no change to TVPs, except that the SWL rather than the COSS must accept the TVP. 2 Is the RCC only for companies contracted by Network Rail? Yes it is. If you usually work for a Principal Contactor, the Principal Contractor will provide the Safe Work Leader (SWL). If you want to work as an SWL, rather than work under another SWL, then you will need to apply for an RCC. 3 If we sub-contract work, can our sub-contractor’s get an RCC, so they can provide SWL competence to supervise their own work? An SWL will either be an employee of: • Network Rail • a Principal Contractor (PC) who holds a Principal Contractors Licence (PCL) • a Contractor who has gained a Railway Contractors Certificate (RCC) In the case of all 3, the SWL must be employed by that organisation. You can still employ sub-contractors, however they cannot be SWLs. 4 As a Contingent Labour Supplier to NWR will we still be able to apply for an RCC? If you solely provide Contingent Labour, then you will not require an RCC. If you wish to tender for services or works which will require an SWL, you will require an RCC. 5 As the holder of a Principal Contractors Licence, are we eligible for an RCC? If you hold a Trackside PCL, then you will not require an RCC, as you will be hold SWL competence within your PC organisation. If in doubt, please contact your Implementation Manager. If you hold a NON-Trackside PCL, then you may require an RCC, depending upon your organisational need to hold the SWL competence and whether you meet other criteria as detailed earlier within this document. 6 Is the SWL effectively in place of the old Core Planner competence? No, the Planner competence will still exist, and relates to SSOW competencies and we ask that planners hold SSOW as a competence in order to attend the course. Railway Contractors Certificate - Stage 2 Process Guide – v1.0 Page 24 # Question 7 As a training company will we need to apply for an RCC if utilising SWL for training purposes (i.e. training on the track). Answer If you complete training trackside (e.g. PTS where you would normally need a SSOWPs pack) then a Permit to Work (e-Permit) and SWL will be required. If you are not a Trackside PCL holder nor are eligible to hold a Trackside PCL then you will need to apply for an annual RCC for the provision of training services. 8 Our understanding is that anyone who currently employs / primary sponsors personnel with COSS competence will require the SWL competence and will therefore need to apply for the RCC (unless they already hold / are eligible to hold a PCL)? A COSS competence will still exist and be valid in the Dec 2014 Rule Book changes, however unless a COSS is also trained with the appropriate SWL Level Competence then they cannot work as an SWL. How does this apply to specialist contractors (e.g. asbestos & demolition) who work directly for Network Rail but do not hold a PCL and do not actually employ or sponsor their own COSS? If a contractor meets the SWL requirements, yet do not fall within the PCL requirements, then it is highly likely they will need an RCC so they can provide SWLs. 10 We are a company within a company. Our Main Head-Office Branch hold a PCL, but we do not, we are a separate legal entity. Are we still covered by the Head-Office Branch PCL? No, your Main Head-Office company are the holders of the Principal Contractors Licence (PCL), and therefore do not need to apply for an RCC. 11 As a PCL holder, do we need the training? As a Trackside PCL holder you will not be eligible for the RCC, however you will still require training. 9 If the COSS is required to act as an SWL, then training will be required. In the event that a supplier cannot justify training SWLs because their works are infrequently carried out then provided the task risk is minimal, then they may be classed as an ‘Infrequent User’. See section 2c. As you, the sub-branch (who do not hold a separate PCL), are a separate legal entity and registered separately on Achilles, then you will not be covered by the PCL for your Main Head-Office branch. If you meet the requirements for an RCC then you will need to apply for an RCC. Railway Contractors Certificate - Stage 2 Process Guide – v1.0 Page 25 # Question 12 Will the Site Warden competence change? Answer At present a Site Warden is a specific competence who is responsible for making sure that a group of workers do not stray out of a designated safe area. There is still a requirement for a Site Warden in the future, and their competency doesn’t change, however they will report directly to the SWL who having planned the work will brief the Site Warden on the Safe System of Work. 13 I’ve heard that the permits have to be planned at least 7 days in advance of the works – is this still the case? Yes, the permits will have to be planned at least 7 days in advance of the works. 14 Will the COSS competence be removed from the rule book and replaced with SWL? The COSS competence will still exist and be valid in the Dec 2014 Rule Book changes, however unless a COSS is also trained with the appropriate SWL Level Competence then they cannot work as an SWL. If the COSS is required to act as an SWL, then training will be required. However, if work is required to happen within this timescale (i.e. an urgent job), then the new system will have a process that will enable this ‘emergency’ to be dealt with much quicker than usual. Training will provide more detail on this process. If you will work within an existing possession (either NR or Contractor who holds a PCL), then you will work under an existing SWL provided either by Network Rail or the PCL holder. 15 Can a contractor still have COSS staff who do not need the SWL training? Yes, COSS do not necessarily need to have the SWL competence, if they are not required to work as an SWL. However, a Safe Work Leader must have the COSS competence. Railway Contractors Certificate - Stage 2 Process Guide – v1.0 Page 26
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