RISQS Audit Requirements · 01/10/15 RISQS - Industry Minimum Requirements Rev 002 5 1.6 Policy Control Suppliers shall demonstrate, to employees and other affected parties, the supplier’s

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


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.


• 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


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).


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.


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.


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):


• 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)


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.


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.


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.


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.


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


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.