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RISQS-IndustryMinimumRequirementsRev002
RISQSAuditRequirements
IndustryMinimumRequirements
01/10/15 RISQS-IndustryMinimumRequirementsRev002 2
TableofContents
1.1ManagementStructure.........................................................................................................31.2Health&SafetyCompetentSupport.....................................................................................31.3ManagementofLegalandOtherRequirements....................................................................31.4 CompliancewithCDMRegulations2015........................................................................31.5ManagementSystems...........................................................................................................41.6PolicyControl........................................................................................................................5
2.SafetyRiskManagement...............................................................................................82.1HealthandSafetyRiskControls.............................................................................................82.2ControlofSubstancesHazardoustoHealth...........................................................................82.3ImplementationofRiskControls...........................................................................................82.4PersonalProtectiveEquipment.............................................................................................82.5RefusaltoWorkontheGroundsofHealthandSafety(WorkSafe)........................................92.6WelfareArrangements..........................................................................................................92.7CommunicationandCoordination.........................................................................................9
3.EnvironmentalManagement.......................................................................................103.1EnvironmentalRisk.............................................................................................................10
4.ManagementofAccidentsandIncidents.....................................................................114.1AccidentandIncidentReportingandInvestigation..............................................................114.2EmergencyandContingencyPlanning..................................................................................114.3RestorationofService(BusinessContinuity)........................................................................11
5.SupplyChainManagement..........................................................................................125.1 SupplierandSubcontractorManagement....................................................................12
6.CompetenceManagement..........................................................................................136.1RecruitmentandInduction..................................................................................................136.2On-goingCompetenceManagement...................................................................................13
7.Plant&Equipment......................................................................................................147.1Management,MaintenanceandServicing...........................................................................14
8.HumanResourcesincludingOccupationalHealthManagement...................................158.1OccupationalHealth............................................................................................................15
01/10/15 RISQS-IndustryMinimumRequirementsRev002 3
1. ManagementControl1.1ManagementStructure
Suppliersshallcreateamanagementstructureincluding:
• Evidenceofcurrentorganisationalstructureidentifyingkeymanagerialpostsi.e.health,safety,quality,environmental,technical,etcandtheirresponsibilitiesforworkingwithintherelevantsector.
• Evidencethatroleshavedefinedjobdescriptionsandthatthesearebriefedandacceptedbythepostholder.
• Deputiesoralternativearrangementsareinplaceforkeyroles.• Thattherearesuitablyqualifiedpersonnelfortheservicesprovided.• Iftherearedifferentstructuresonprojectshowthisrelatestotheoverallhierarchy.
1.2Health&SafetyCompetentSupport
Suppliersshallhaveadequate:
• HealthandSafetysupporttomanagetheworkactivitiesidentifiedwithintheirprofile• AsaminimumtheypossessaNEBOSHgeneralcertificateorequivalent.• Thatthecompetentpersonnelaremembersofanappropriateprofessionalinstitutione.g.Instituteof
OccupationalSafetyandHealth;InternationalInstituteofRiskandSafetyManagement.
1.3ManagementofLegalandOtherRequirements
Suppliersshallhaveaccesstoandbeawareoftherequirementsof,andchangestolegislationandstandards:
• SuppliersshallhaveaccesstoandreviewHealth,SafetyandEnvironmentallegislationandstandards.• Suppliersshallhaveaccesstoandreviewrailspecificlegislationandstandardsappropriatetothescope
ofservicesprovidedforeachinfrastructuretheyworkon.
1.4 CompliancewithCDMRegulations2015
Suppliers shall show compliance with the relevant requirements within the Construction (Design andManagement)Regulations2015:
• IftheOrganisationactsasaClient,itmustdemonstratemechanismsfor:- Appointingotherdutyholders- Ensuringrelevantinformationisprovidedtootherdutyholders- EnsuringthePrincipalDesignerandPrincipalContractorcarryouttheirduties- Allocatingsufficienttimeandresources(includingwelfarearrangements)
• IftheOrganisationactsasaPrincipalDesigner;itmustdemonstratemechanismsfor:- Planning,managing,monitoringandcoordinatinghealthandsafety in thepre-construction
phaseofaprojectincludingthefollowing:§ identifying,eliminatingorcontrollingforeseeablerisks;§ ensuringdesignerscarryouttheirduties;§ preparingandprovidingrelevantinformationtootherdutyholders;§ Liaisingwiththeprincipalcontractortoassistintheplanning,management,monitoring
andcoordinationoftheconstructionphase.
01/10/15 RISQS-IndustryMinimumRequirementsRev002 4
• IftheOrganisationactsasaDesigner,itmustdemonstratemechanisms,whenpreparingormodifyingdesigns,to:
- Eliminate, reduce or control foreseeable risks that may arise during construction and themaintenanceanduseofabuildingonceitisbuilt.
- Provideinformationtoothermembersoftheprojectteamtohelpthemmeettheirduties.
• IftheOrganisationactsasaPrincipalContractor,itmustdemonstratemechanismsfor:- Planning,managing,monitoring and coordinating the constructionphaseof aproject. This
includes:§ Liaisingwiththeclientandprincipaldesigner;§ Preparingtheconstructionphaseplan;§ Ensuringthatadequateresourcesareavailabletosatisfytheworkrequirements;§ Organisingcooperationbetweencontractorsandcoordinatingtheirwork.
- Ensuringsuitablesiteinductionsareprovided- EnsuringSiteSecurity(preventingunauthorizedaccess)- Ensuringworkersareconsultedandengagedinhealthandsafety- Ensuringwelfarefacilitiesareprovided.
• IftheOrganisationactsasaContractor,itmustdemonstratemechanismsfor;- Planning,managingandmonitoringconstructionworkundertheircontrolsothatitiscarried
outwithoutriskstohealthandsafety;- Ensuringthatadequateresourcesareavailabletosatisfytheworkrequirements;- Forprojects involvingmorethanonecontractor,coordinatingtheiractivitieswithothers in
theprojectteam- Forsingle-contractorprojects,preparingaconstructionphaseplan
1.5ManagementSystems
SuppliersshallhaveHealth,SafetyandQualityManagementSystemsinplace:
• PreferablytheOrganisationshouldhaveanISO9001:2008qualitycertificateand/orOHSAS18001:2007certificate and/or an ISO14001:2004 certificate issued by a UKAS (or equivalent) accreditedorganisationinplace.
• Asaminimumadocumentedmanagementsystem,appropriatetothescopeofservices,thatmeetsallthequality,environmentalandsafetyrequirementsdetailedwithinthisdocument
* Themostrecent3rdpartysurveillancereportsshouldbereviewedtoestablishthatnosignificantshortfallswereidentifiedthatcouldimportunacceptablerisktoclientsandthegeneralpublic.
• Whereapplicablethecompanymusthavedocumentedproceduresthatcoverkeyissuesrelatingtothehireout/supply/maintenanceofPossessiononlyRailVehicles.
o Purchaseofnewmachineso Accreditationofmaintenanceplanso Modificationofmachineso Maintenanceprocedureso Annualbraketestprocedureo RCItestprocedure
01/10/15 RISQS-IndustryMinimumRequirementsRev002 5
1.6PolicyControl
Suppliers shall demonstrate, to employees andother affected parties, the supplier’s top levelmanagementcommitment toQuality,Health, Safety andEnvironmental requirements and identify theoverall frameworkwithinwhichthecompanyoperates.
Thesuppliershallhavethefollowingpolicystatements:
• HealthandSafety;• Environmental;• Quality.
Note:Asingleintegratedpolicystatement,incompliancewiththeHealth,SafetyandEnvironmentalrequirementsandQualityobjectives,ispermissiblewherethesupplierhasanintegratedmanagementsystem
• Thepolicies/policyshall:• meetUKlegislativerequirements;• bedatedandcurrent;• beendorsedattoplevelmanagement(i.e.signed-offatDirectorLevel);• coverallareasofthesupplier’sbusiness.
• TheHealthandSafetyPolicystatementshallcontainaclearcommitmentto:• safety,insofarasisreasonablypracticable;• providingsufficientresourcesforthemanagementofhealthandsafety;• settingandmonitoringsafetyobjectives;• continualimprovementinsafetyperformance.
• TheEnvironmentalPolicyStatementshallcontainaclearcommitmentto:• preventingpollution;• specificallyprotectingtheenvironment,withreferencetoaspectsofworkactivitiesthatare• environmentallysignificant;• specificallyminimising the environmental impact, for the life cycle; (including disposal), of
plant,equipment,andotherphysicalassetsunderthecontrolofthesupplier;• settingandmonitoringenvironmentalobjectives;• continualimprovementinenvironmentalperformance.
• TheQualityPolicystatementshallcontain:• whetherthesupplieriscertificatedtoanystandards(e.g.ISO9001oranyspecificstandards
forthetypeofproductorservice);• thesettingandmonitoringofqualityobjectives;• acommitmenttoworkwithsuppliersandcustomerstoestablishandmaintainthehighest
qualitystandards;• acommitmenttocontinualimprovementinqualityperformance.
• Thesuppliershallhavearrangementsinplaceformanagingpolicystatements,including:• communicatingthemtoallemployeesoninduction,startingacontractandfollowingpolicy
changes;• communicatingthemtotheirsuppliers(asnecessary)andotherinterestedparties;• reviewingthem(asaminimumannually).
01/10/15 RISQS-IndustryMinimumRequirementsRev002 6
1.7DocumentControl
Suppliers shall havearrangements for the identificationof all documents that require control toensure theeffectivenessofoperations:
• The organisation has a Document Control Procedure that identifies the key documents requiringcontrol.Suchas:
• NationalandInternationalStandards,• RelevantLegislation.• IndustryandContractSpecificDocumentation.• Documentssupportingtheorganisation’sprocesses.
• TheDocumentControlProcedureshouldidentify:• Howdocumentsarereviewedandchangesidentified.• Howdocumentsareissuedandreachtheirpointofuse;inparticularmultisites.• Theprocessforcancelledandsupersededdocumentation.• Archivingandretention.• Howdoesthecompanycontroltheissueofdrawingstospecialistfunctionsandconstruction
functions/organisations?
• Amasterlistofcontrolleddocumentsandtheirstatusismaintained.
• Itshouldbeestablishedthatthere isarobustsysteminplace,whereapplicable,toensurethatthefollowingdocumentationisprovidedforeachmachineandtrailerinuse:
§ EngineeringAcceptance(allpages)andendorsements§ Networkrailproductacceptanceorletterofexemption§ RecordofThoroughExaminations§ Loadradiuscharts(onlyformachinesfittedwithRCI’s)§ Logbook/operatorinspectionreportbook§ Braketestcertificate
o ForMachinespecificdocumentationhastheorganisationnominatedaresponsiblemanager/individual?
1.8Monitoring
Suppliersshallhavearrangementsinplacefortheproactiveandreactivemonitoringoftheirownperformanceandthatoftheirsuppliers.Thearrangementsshallinclude:
• Thatmanagementsystemsareassessedinternallyonaregularbasisbycompetentpersonnel.• Thatadocumentedauditscheduleisprepared.• Thatinternalauditreportsareavailable.• Thatcorrectiveactionsraisedthroughtheinternalauditprocessarereviewedbymanagementandthat
theorganisationhasamanagedprocessforthecontrolofcorrectiveactions.• Obtaining and collating their ownand their supplier’smonitoringdata, e.g. site inspection reports,
audits,accidentfrequencyreports,etc.• Analysing and reviewing performance data and other key performance indicators, including the
identificationoftrends.• Reviewinganddiscussingsuppliers’performancewiththeirsuppliers.• Identifyingandclosingoutcorrectiveactionsandconcessionsinatimelymanner.• Duringtheinspectionprocess,thecompanymustensureon-sitepersonnelareexecutingtheirduties
inasafemanner.• Staffandcontractorsareinpossessionoftheircertificationwhenonsite.• Qualityinspectionsoftheinstallationworkarecarriedout.
01/10/15 RISQS-IndustryMinimumRequirementsRev002 7
1.9DesignManagementandControl
Suppliers shall have adequate controls in place to manage the design process within the Organisation (Ifapplicable):
Suppliersshall:• Provideevidenceofactingasdesignerandco-ordinatingdesigns• Havearrangementsinplaceforco-ordinatingdesignsinrespectofCDMrequirements(e.g.designing
tomeetWorkplaceregs,considerationoffuturemaintenance,coordinationbetweendesigndisciplinesandpassinginformationtosubcontracted&specialistdesignteams).
• Ensuredesigninterfacesarethoroughlyreviewed• Haveadocumentedprocessforsubmissionofdesigns(Includingrevisionstatus,changeprocessetc).• Haveaformalprocesstoshowhowchangesarecommunicatedtotheclientandwhereapplicablesub-
contractors.• Haveaprocessforthird-partyreviewtoensuredesignsarecorrect.• Haveaprocessformanagingmodificationsafterthedesignhasbeenissued.
01/10/15 RISQS-IndustryMinimumRequirementsRev002 8
2. SafetyRiskManagement2.1HealthandSafetyRiskControls
SuppliersshallincorporateHealthandSafetycontrolsintoitsriskmanagementprocess:
• TheproductionofHealthandSafetyRiskAssessmentsisformallydocumentedwithintheorganisation’sManagementSystems.
• Designatedresponsibilityforcompilingandauthorisingtheriskassessments.• Definetheminimumcompetencyforpersonnelauthorisedtocompileriskassessments• Establishassessments thataregeneric to theOrganisation’s scopeofoperationsorunique toeach
particularcontract.• Ensurethatallapplicablesiteissuesareincorporatedintotherelevantriskassessments.• All infrastructure specific risks appropriate to the scope of services should be capturedwithin the
organisation’sriskmanagementprocess.• Riskassessmentsshallbecommunicatedtostaff,clientsandOrganisations/subcontractors.• Recordsofriskassessmentbriefingaretoberetained.• UndertakeperiodicreviewsofriskassessmentsandthetypesofinformationtheOrganisationreceives
thatmayinitiateareviewoftheriskassessments.• Suppliers shall employ programs to reinforce safe behaviour and re-educate un-safe behaviours
(Behaviouralsafety)
2.2ControlofSubstancesHazardoustoHealth
SuppliersshallcomplywiththeControlofSubstancesHazardoustoHealth(COSHH)Regulations:
• SuppliersshallidentifyanysubstancesusedthatmayfallwithinthescopeoftheCOSHHRegulations?• HoldManufacturers’SafetyDatasheetsforallsubstancesused.• UndertakeformalCOSHHassessmentsbasedupontheManufacturersSafetyDatasheets.• BriefCOSHHAssessmentstoallemployees,organizations,subcontractorsandtheclientasapplicable.• RetainrecordsofCOSHHassessmentbriefing
2.3ImplementationofRiskControls
SuppliersshallhavearrangementsforimplementingtheriskmitigationcontrolmeasuresidentifiedthroughtheRiskAssessmentprocess:
• RiskcontrolsaretobeidentifiedwithintheOrganisation’sprocessesandcommunicatedthroughouttheirorganisation.
• Suppliersshallensurethatresponsibilityforimplementationofthesearrangementshasbeenallocatedtocompetentpersons,includingProfessionalHeads.
• Detailhowcontrolmeasuresaremonitored/reviewedonaregularbasisbypersonnelwhounderstandtheworkbeingassessed.
• Suppliershallensurethatwheremethodstatementsareproduced,riskassessmentsareincorporatedorreferenced.
2.4PersonalProtectiveEquipment
Suppliersshallhavearrangementsfortheissuing,checkingandmonitoringofPersonalProtectiveEquipment(PPE)(includingFallArrestandFallPreventionEquipmentifapplicable):
01/10/15 RISQS-IndustryMinimumRequirementsRev002 9
• Issueatinductionandfollowinglossordamage.• PPEistobeprovidedfreeofchargetoownemployees.• ThesuppliershallhavearrangementsformonitoringuseofPPE.• DetailthePPErequiredwhereapplicableintheriskassessmentprocesses• EnsurethatsubcontractorsworkingonassociatedprojectshavesuitablecontrolsinplaceforPPE.• ComplieswithLOLERandPUWERasappropriate.
2.5RefusaltoWorkontheGroundsofHealthandSafety(WorkSafe)
SuppliersshallhavearrangementsformanagingrefusaltoworkonthegroundsofHealthandsafety(WorkSafe):
• SuppliersshallhaveadocumentedPolicy• RecordsofbriefingofthePolicyshallberetained• Policyshallincludeacascadeprocedureintheeventofconflict/disagreement• ThePolicyshalldetailthatemployeesarenotpenalisedforrefusingtoworkongroundsofHealthand
Safety
2.6WelfareArrangements
Suppliersshallhavearrangementsforensuringthatadequatewelfarefacilitiesareprovidedforpersonnelundertheircontrol:
• WheretheWelfareisnotprovideddirectlythesuppliershallconfirmthatsuitablewelfareisavailableandkeeprecordsofanychecksmade.
2.7CommunicationandCoordination
SuppliersshallhavearrangementsinplaceforIdentifyingandseekingco-operationfromotherswhotheirworksaffectorwhoseworkmayaffectthemandadequatelyco-operatingwiththemtoenableeachpartytodischargetheirdutiesunderCDM2007,theMHSAWRegsandanyotherrelevantstatutoryduty.Inparticular,theseshallidentifyhowthesupplierengageswiththewiderconstructionteamtocoordinatedeliveryoftheirserviceinawaywhich,sofarasreasonablypracticable,ensuresthehealthandsafetyofthosecarryingouttheworkandthosewhoareaffectedbythework.
• Suppliersshallhaveprocesses inplaceforthecontrolled issueofMethodStatements,RAMS,WorkPackagePlansandTaskBriefingstostaffandtheirsuppliers(asapplicable).
• suppliersshallhaveaprocessforthevalidationandcheckingoftheirsuppliersMethodStatements,RAMS,WorkPackagePlansandTaskbriefings(asapplicable)
01/10/15 RISQS-IndustryMinimumRequirementsRev002 10
3. EnvironmentalManagement3.1EnvironmentalRisk
SuppliersshallreviewEnvironmentalAspectsandImpacts(i.e.Environmentalriskassessments)appropriatetothescopeofitsactivities:
• Suppliersshallidentifycontrolstomanageenvironmentallegislativerequirementsappropriatetothescopeofit’sactivities
• Ensure that competent and authorised personnel assess the Environmental Aspects and Impactsassociatedwiththescopeofitsworks.
• FormallydocumentEnvironmentalRiskManagementProcesseswithintheorganisation’sManagementSystems.
• Suppliers shall ensure issues such as environmental noise and restrictions on working hours aremanaged.
• Detail the responsibility and competency for compiling and authorising environmental riskassessments.
• Establishassessments thataregeneric to theOrganisation’s scopeofoperationsorunique toeachparticularcontract.
• Communicateenvironmentalriskassessmentstostaff,clientsandtheOrganisations’subcontractors.• Recordsofbriefingareretained.• SuppliersshallverifythatstaffhaveappropriateknowledgeofEnvironmentalissues• Definemechanismforperiodicreviewsofenvironmentalriskassessmentsandthetypesofinformation
theorganisationreceivesthatmayinitiateareviewoftheriskassessments.
01/10/15 RISQS-IndustryMinimumRequirementsRev002 11
4. ManagementofAccidentsandIncidents4.1AccidentandIncidentReportingandInvestigation
Suppliersshallhavearrangementsfortheinvestigatingandreportingofallaccidents,incidents,nearmissesandclosecalls:
• ThesuppliershallhaveunderstandingoftherequirementsofRIDDOR• Suppliers shall have a nominated person for the statutory reporting of accidents and incidents as
identifiedinRIDDOR.• Suppliersshallmaintainrecordsofaccidents,incidents,nearmissesandclosecalls.• Suppliershallretainevidencethatithascommunicatedtheaccidentreportingprocesstoitsworkforce
andwhereapplicablesub-contractors.• Thesuppliershallensurethatithasadocumentedprocessforundertakinglocalinvestigations.
• Including: competentpeopleareundertakingthe investigation;alloperativesareawareofthe investigativeprocess;amechanismfor feeding intotheClients formalenquiryprocess;thatarrangementsareinplacetoassistandproviderecordstoenforcementagencies(Police,EnvironmentAgency,HSE).
• SuppliershallproduceandanalyseAccidentandIncidentStatistics.• Suppliers should produce annual reports detailing Accidents, Incidents andDangerousOccurrences
Statisticsandmakethesereportsavailable.
4.2EmergencyandContingencyPlanning
Suppliers shall have arrangements in place for responding to emergencies while undertaking work on railInfrastructure.Thesearrangementsshallinclude:
• Thepreparationanddistributionofemergencyresponseplanstoitsownpersonnelandsuppliersandotheraffectedparties.
• Productionanddistributionofanemergencycontactlist.• Provisionofequipmentforuseintheeventofanemergency.• Provisionofcompetentpersonnele.g.firstaidstaff• Briefingworkersontheplansandtestingtheeffectivenessofsuchplans.• Interfacingwith,andassisting,PrincipalContractors,InfrastructureManagers,RegulatoryAuthorities,
andtheemergencyservices,etc.• Reviewandrevisionoftheplans,particularlyafteranaccident/incidentoranemergency.
*wheretheemergencyandcontingencyplanningistheresponsibilityofanotherpartyitshouldbeestablishedthatthesuppliercommunicatesandreviewsapplicablearrangements
4.3RestorationofService(BusinessContinuity)
Suppliers shall have arrangements for the preparation and implementation of a business continuitymanagementprocess,whichensuresthataneffective,coordinatedprogrammecanbeputintoplace
• SuppliersshallshowthatBusinessContinuitybeenaddressedwithinthebusinessusingaformalplanorcorporateprocess.
• Business Continuity arrangements shall include a phased recovery plan with key recovery stagesidentified.
• Suppliersshallallocateresponsibilitytoaseniorpersonwithinthebusinessforbusinesscontinuity• Suppliersshallensurethatcommandandcontrolstructureidentifiedinallkeyareasofthebusinessto
ensure that the programme is implemented quickly to ensure minimal disruption to production /service.
• Suppliersshallacommunicationsperson(ForBusinessContinuityissues)todealwithmedia,internalcommunicationandotherinterestedpartiesincludingcustomerbasewhereapplicable.
01/10/15 RISQS-IndustryMinimumRequirementsRev002 12
5. SupplyChainManagement5.1 SupplierandSubcontractorManagement
Suppliersshallensureeffectivesupplierandsubcontractormanagement:
Suppliersshallcontrolitssupplychainapprovalprocessusingthe• Suppliersshallassessthehistoricalcompetenceofitssupplychainandtheirabilitytomeetdesignated
functionsunderUKLegislation• Suppliersshallidentifytherelevantlicencesandtradeassociationsthatthesupplychainaremembers
ofdependentuponthescopeofserviceofferedandrecordskept.• Suppliersshallhaveaprocessinplaceforensuringinformationisprovidedtopotentialsuppliersand
understoodbythem.• Suppliers, where applicable, have in place processes tomanage sublet work/design packageswith
OrganisationsthatarebasedoverseasandthattheyareabletomeetUKregulatoryrequirements.• Suppliershallhaveanapprovalprocessinplacepriortoplacingacontractforworkswithanapproved
supplychainmember.• Suppliersshallidentifytheminimumlevelsofinsuranceapplicableandrequiredtobeheldbyitssupply
chain.• Suppliersshallundertakesupplychainauditingorusethirdpartysystemsororganisationstoundertake
thisforthem.• Suppliers shall have a process for the recording andmonitoring of any corrective actions raised at
supplychainaudits.• Suppliersshallundertakepostcontractreviewsofsupplychainperformanceandtheresultsofthese
reviewsshouldbecommunicatedthroughthebusiness.• Suppliersshallhaveamechanismtoverifyandensurethatproductsandcomponentsprocuredare
approvedandfitforpurpose.
01/10/15 RISQS-IndustryMinimumRequirementsRev002 13
6. CompetenceManagement6.1RecruitmentandInduction
Suppliersshallhaveapolicyonandarrangementsfortherecruitmentandinductionofemployeesandothersunderitscontrolincludingsub-contractorsandself-employedpersonnel.
Suppliersshallhave:• Suitableprocessandevidenceofimplementation• Recordsofinductionandongoingcommunication.• Suitableinductionprocessandevidenceofimplementation• Aprocessinplacetoassess/verifythatworkerscarryingoutprotectionactivitiescancommunicatein
English(bothwrittenandoral)• Arrangementsforselectingpersonnel(e.g.advertisingselection,interview)(TfLonly)• Processes for communicating the need for workers carrying out safety critical tasks to carry
identification:(induction/toolboxtalks/briefingrecords)(TfL)
6.2On-goingCompetenceManagement
Suppliersshallbeabletodemonstratetheeffectivenessofthecompetencymanagementsystem,including:
• HowtheOrganisationidentifiescompetencerequirementsforparticularactivity.• Evidenceofidentifyingandmeetingstatutorycompetencerequirementsasdistinctfromclient-specific
competencies.• Evidence that current personnel have experience with that work type (for multi-disciplinary
organisations)• HowtheOrganisationrecordswhattrainingorlevelsofcompetencyrequiredfortheposition.• TheOrganisationaprocessforcertificationexpiry/re-trainingeventdates.• Thecapabilitytomeettheprofessionalqualificationrequirementsandreviewandchangesorupdates
foritsactivities.(ifapplicable)• ThattheOrganisationhasameansofidentifyingcertificationexpiry/re-trainingeventdatesandalso
wherenecessarycompetencyassessmenteventsduedates.• HowtheOrganisationidentifiesandmeetsindustry/client-specificcompetence/trainingrequirements
(e.g.SentinelSponsorship)• That the relevant competency standards been documented; these may be drawn from external
organisations.• Wherecompetencystandardshavebeendevelopedinternallythesemustbesignedoffbycompetent
personnel.• Howremoteworkersareadvisedoftheirneedtobere-assessed(ifapplicable)• Ifappraisalsofpersonnelperformanceandpersonaltrainingplansputinplace.• WhetherthecompanyhasdocumentedprocessinplaceforcomplyingwiththeIRSELicensingScheme.
(Signallingonly)• Where IRSE isused that theorganisationhasdocumentedprocedures for themanagementof IRSE
licensingrequirementandifnothowdoesthecompanyensurethecompetenceofsignallingpersonnel• Ensuringthatthecompanyhasaprocess inplaceforthementoringanddevelopmentofpersonnel
deemed“notyetcompetent”• Demonstratingthatcompetencymanagementrecordssupportthemanagementsystempresented.• Demonstratingthatnominatedcompetentpersonnelhavebeenappointedwithresponsibilityforthe
relevantengineeringstreams(e.g.ProfessionalHeads)• Processesforthenominationofkeystaffforprojects• Havingaprocessforthementoring,developmentandre-trainingofpersonnelfollowinganaccidentor
whoareunfamiliarwithanarea.
01/10/15 RISQS-IndustryMinimumRequirementsRev002 14
7. Plant&Equipment7.1Management,MaintenanceandServicing
Suppliersshallensurethatworkequipmentisfitforpurpose.
Suppliersshall:• Haveaprocesstoidentifyeachitemofplantormachinery
o ForsuppliersprovidingOn-trackplant(OTP)thecompanymusthaveanuptodateinventoryofallon-trackplantthatitoperates.
• Arrangementstoensurethatallplant,smallhandtoolsandequipmentareapprovedpriortouse?• Processestoensurethatcalibrationrequirementsarecontrolled(ifapplicable)• Equipmentfromathirdpartyfitforpurpose.• Haveprocessesinplacetoidentifyanddeliverstatutoryandotherinspections/servicemaintenance
(e.g.Vehiclemountedfireextinguishers,LiftingAccessories,LEV).• Ensure that maintenance and service procedures identify quarantine arrangements to ensure
equipmentthatisnotfitforpurposecannotbeused• Liftingequipmentanditsancillary(chains/slings/strops)equipmentareused,withprocessestoensure
theyremainsafe(ifapplicable)• Detail the competence requirements for internal staff involved in maintenance, inspections and
servicingofequipment.• Ensurethatmaintenanceworkplansaresignedbyacompetentperson.• UnderstandtherequirementsofProductandEngineeringAcceptance,Whereapplicable. (supplying
OTP)• Ensuremaintenance/servicechecksheetsareinplaceforallmachines,trailersandattachments,along
withanannualmaintenanceprogrammeindicatingwhennextplannedmaintenanceisdue.• Retain records of completed maintenance/service check sheets for all machines, trailers and
attachments.• Ensurethatarrangementsareinplacefortheimplementationof'Pre-DeliveryInspection'(Fitter)and
'Prestart'checks(Operator)andthattheseareformallyrecorded.• Have,whereapplicable,adocumentedprocessforthereportingofhighrisk/safetyrelateddefects
01/10/15 RISQS-IndustryMinimumRequirementsRev002 15
8. HumanResourcesincludingOccupationalHealthManagement
8.1OccupationalHealth
Suppliersshallhaveprocessestomeetoccupationalhealthsurveillancerequirements
Suppliersshall:• Haveaprocessinplacetoensurethatlong-termhealthissuesareriskassessed.• Document who has been in involved in setting up the occupational health process (employees,
specialistadvice,Unionsorrepresentatives)• Detailhowthepotentialhazardsareidentified.• DetailwhetherthecompanyundertakeAlcoholandDrugsscreeningforpersonnelengagedinSafety
Criticalworks,andshowevidenceofthis.• Managefatigueofitsemployees&contractorsunderitscontrol,andkeeprecords.• Haveprocessesinplacetobringtherisksdowntoaslowasisreasonablypracticable.• Aprocessforunderstandingthemedicalconditionofallemployeesbeforetheystartworkingforthe
Organisation.• Have a process in place for when personnel change roles for reviewing their occupational health
requirementsassessedpriortostarting.• Undertakeaprogrammeofroutinehealthsurveillance• Haveprocessesinplacetoensurethatcontrolmeasuresremainappropriatetoindividual’scondition/
requirements• Have access to occupational health surveillance/ advice, undertaken in-house or by a specialist
provider.• Detailhowoftenistheoccupationalhealthprocessreviewedandrecordevidenceofthisreview.• DetailwhethertheOrganisationmanagestheirsubcontractorsinthisarea,ifapplicable.• Securelystoreitsoccupationalhealthinformationonemployees• GiveemployeeshavetheopportunitytoreviewtheRecordskeptregardingthemifrequested.• Retainrecordsfortheminimumperiodapplicabletothetypeofrecord.