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QUEENSLAND RAIL SEMS Procedure – Contractor Safety and Environment Management
MD-12-164 QUEENSLAND RAIL OFFICIAL
Version: 4.0 Updated: 30/11/2018 Policy: Safety Policy & Environment Policy
Contractor Safety and Environment Management
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Table of Contents
1 Purpose 3
1.1 Purpose 3
1.2 Scope 3
1.3 Application 3
2 Requirements of this Procedure 4
2.1 Contractor Safety & Environment Process 4
2.2 Pre Award 5
2.2.1 Evaluation of Safety and Environment Requirements 5
2.2.2 Prepare Sourcing / Tender Documentation 7
2.2.3 Evaluate Proposals / Tender 7
2.2.4 Award 7
2.3 Post Award 8
2.3.1 Pre-Mobilisation 8
2.3.2 Mobilisation 11
2.3.3 Monitor and Manage 11
2.3.4 Close Out Contract / Engagement 12
3 Responsibilities 13
3.1 Who does what? 13
4 Terms and definitions 14
5 Document history 15
6 Appendices 16
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1 Purpose
1.1 Purpose
The purpose of this procedure is to specify the required steps for consistent safety and
environment management of Contractors within Queensland Rail (QR).
1.2 Scope
This procedure applies to all QR Employees involved in the contracting, selection,
management, monitoring and review of contractors and QR Contractors working on QR
premises.
1.3 Application
This process is to be phased in per a series of milestones from 30 November 2018 through
to 30 June 2019 outlined in Appendix Seven – Implementation Milestones.
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2 Requirements of this Procedure
2.1 Contractor Safety & Environment Process P
re A
war
dP
ost
Aw
ard
Evaluation of Safety and Environment
Requirements
Prepare Sourcing /Tender Documents
Evaluate Proposals / Tender
Award
Pre-Mobilisation
Mobilisation
Monitor and Manage
Contract Close Out / Engagement
Approval to engage ContractorsScope of Work and ConsultationContractor CategorisationSafety and Environment PrequalificationContract Risk AssessmentPreliminary Supervision & Assurance Requirements
Contractor Safety and Environment Process
Pre-Commencement Site InspectionDuty Holder CoordinationClarify requirement to Mobilise- Execution Risk Assessment- Contractor Personnel Induction & Competency- Mobile Plant and other equipment assessment- Other required documentation
Queensland Rail Assurance Plan
A summary of requirements aligned with the process is contained in Appendix 6 - Mandatory
Requirements by Contractor Category.
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2.2 Pre Award
2.2.1 Evaluation of Safety and Environment Requirements
Approval to Engage Contractors
Consistent with the QR Contractor Safety Management Principles only those persons
authorised may engage contractors. Functions must maintain a designated list of authorised
people.
Scope of work and Consultation
The Authorised Person must determine the scope of work that needs to be completed by the
contractor. The scope must include a description of the activities to be undertaken, details on
the work location/s and the Health, Safety and Environment Management System or safe
system of work to be used.
If the scope of work has the potential to affect the safety and/or environment of the
workplace or workplace operations, the following will need to be followed:
• Safety Change Management Standard MD-12-219;
• Environmental Planning and Management (EPM) Framework MD-13-320 if the activities
in the scope of work apply.
If the scope of work has the potential to impact on the following, consultation and
communication with the relevant Queensland Rail internal stakeholders (including
stakeholders with local site knowledge) is required to minimise risk and disruption:
• Workplace employees (including volunteer arrangements) - through local Health and
Safety Committees, team meetings, toolbox talks, pre-starts etc.;
• Systems that interface with the scope of the project;
• Stations Operations (Stations Enhancement);
• Interface Agreements;
• Coordination Plans;
• Design Reports;
• CCTV or Security Operations;
• Travelling customers (including customers with disabilities), and nearby communities;
• Special Events and Promotional Events.
Consultation, cooperation and coordination with contractors and suppliers should be
considered throughout the project lifecycle and may vary with each stage of the contract.
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Contractor Categorisation
The Authorised Person, with advice from the Safety Lead or Delegate, must establish the
contractor categorisation based on the scope of work including the type of activities being
undertaken and the location of the proposed activities. To establish the category the
Contractor Categorisation Framework (Appendix 2) must be used.
Safety and Environment Prequalification
The authorised person, must request Contractors undertaking work classified as category 1,
2 or 3 in the Contractor Categorisation Framework (Appendix 2) to complete the relevant
Safety and Environment Prequalification questionnaire for evaluation. The Contractor must
submit supporting evidence to the Safety Lead or Delegate who will support the Safety and
Environment Prequalification review and evaluation.
For further guidance refer to Appendix 3 – Safety and Environment Prequalification
Requirements and Appendix 4 – Safety and Environment Prequalification Process.
Contract Risk Assessment
The Authorised Person, with advice from the Safety Lead or Delegate, must complete a
contract specific Safety and Environment Risk Assessment as per the Risk Management
Procedure MD-11-1340 using the Risk Toolkit MD-13-562 prior to finalising the sourcing
instrument (Request for Tender, Request for Quote). The risk assessment must identify all
risks associated with the contract lifecycle, and specific Safety and Environment
requirements in the early planning stages of a contract.
For further guidance refer to Appendix 5 – Contract Safety and Environment Risk
Assessment Guidance.
Preliminary Supervision and Assurance Requirements
For contractors conducting works, including Rail Safety Work on a Queensland Rail site the
Supervision and Assurance Guidelines must be reviewed to assess whether the supervision
and assurance requirements for the scope of work comply with the Queensland Rail Safety
and Environment Management System (SEMS). This will be reviewed by post award to
confirm the supervision and assurance identified is adequate.
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2.2.2 Prepare Sourcing / Tender Documentation
The Authorised Person must ensure that relevant Safety and Environment Evaluation
Criteria is identified and provided to the Procurement representative prior to tender approval.
The Safety and Environment Evaluation Criteria must be reviewed by the Safety Lead or
Delegate to ensure it is adequate taking the contractor categorisation, scope of work
contract Safety and Environment risk assessment into consideration. The Safety Lead or
Delegate must ensure that relevant questions are included in the tender to ensure that
sufficient information is included with the contractor’s bid to allow evaluation of the criteria.
Safety & Environment Contract Terms and Conditions
The Authorised Person with the assistance of the Safety Lead or Delegate must develop and
/or review the proposed safety & environment contract terms and conditions to ensure they
are suitable for the scope of work. Depending upon the proposed contract form there are
different baseline terms and conditions. A generic set of Site Work Conditions have been
prepared for use where proposed contract form does not have baseline terms and
conditions.
Where removal of existing draft terms (including site work conditions) and/or inclusion of
special conditions are required this must be done in consultation with the QR legal
representative.
The Authorised Person must ensure the proposed contract agreement including safety and
environment terms and conditions are issued with the Tender pack.
2.2.3 Evaluate Proposals / Tender
The Authorised Person must engage the Safety Lead or Delegate to evaluate the contractor
responses against the Safety and Environment evaluation criteria and Prequalification
(where included). The Safety Lead or Delegate shall provide a recommendation to the
Authorised Person as to which contractor(s) have met/exceeded the Safety and Environment
evaluation criteria.
2.2.4 Award
The Authorised Person must ensure that the contract contains the necessary Safety and
Environment requirements/specifications to mitigate the risks associated with the work
activity and includes the specific QR policies, standards and procedures that must be
complied with.
The Authorised Person must ensure that any Safety and Environment changes made to the
contract during the contract negotiation are reviewed by the QR legal representative.
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Award decisions must include Authorised Persons and relevant financial delegation of
authority position.
2.3 Post Award
2.3.1 Pre-Mobilisation
Pre-Commencement Site Inspection
Where practicable, the Authorised Person must conduct a pre-commencement site
inspection with the relevant Contractor(s) to consider how the contractor’s work could affect
surrounding work areas, systems, public, adjoining businesses, employees and road / rail
traffic. This process must include key internal stakeholders impacted by work as identified in
section 2.2.1.2 Scope of work. This site inspection serves the purpose of facilitating the
contractor’s site / local knowledge and assisting with context for the following activities of
Duty Holder Coordination and Risk Assessment steps.
Use of technology, i.e. previously taken (but current) video / photography of the site /
locations can be substituted in for an actual site inspection.
Duty Holder Coordination
The Authorised Person must hold a meeting for the relevant Contractor(s) to consult and
coordinate and agree on their respective legal duties in connection with the upcoming work.
The outcomes should be documented in a file note / meeting minutes and actioned in the
respective party’s operational documents for the activities.
It is preferred that steps detailed in stages 2.3.1.1 and 2.3.1.2 are combined in a single
activity.
Clarify Requirements to Mobilise
The Authorised Person must request in writing that the Contractor provide the following
minimum requirements to be met prior to the approval to mobilise stage.
2.3.1.3.1 Execution Risk Assessment
The contractor must prepare an execution Safety and Environment risk assessment
consistent with the scope of work for the activity for all category 1, 2 and 3 contractors. The
Authorised Person must receive and review this prior to granting approval to mobilise. The
Safety Lead or Delegate should be involved in the review with the Authorised Person.
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2.3.1.3.2 Contractor Personnel Induction
The contractor must request contractor personnel undertake an appropriate Safety and
Environment induction prior to the commencement of work as detailed in the Contractor /
Visitor Safety and Environment Inductions Procedure MD-12-166.
2.3.1.3.3 Contractor Personnel Competency
The Contractor must ensure its Personnel have been provided with the appropriate
information, instruction, training and supervision for the performance of the work. Each
member of the Contractor’s Personnel must be competent, sufficiently experienced, skilled
and qualified to perform the work that person is undertaking.
The Authorised Person must ensure that the Contactor’s personnel:
• Hold relevant competencies aligned with the work scope; and
• For Rail Safety Workers:
Possess valid Certificate of Fitness relevant to their medical requirement as per the
National Standard for Health Assessment of Rail Safety Workers.
Possess a Rail Industry Worker ID (RIW) Card.
2.3.1.3.4 Mobile Plant and Other Equipment Assessment
The Contractor must assess all vehicles (including on-track vehicles), plant, equipment,
power and hand tools and confirm to the Authorised Person they are:
• Appropriate for the type of work being performed;
• Used as per the relevant manufacturer’s specifications;
• Approved, inspected, tested and tagged (if appropriate) in accordance with the
Workplace Health and Safety Law, QR policy and comply with applicable Standards;
• Properly maintained and used as per the manufacturer’s specifications;
• Authorised for use by Queensland Rail using the red authorisation sticker (as
applicable);
• In accordance with items on the SRD0085 On-Site Pre-Use Checklist for Mobile Plant &
Equipment “Wet Hire” Plant (as applicable);
• In accordance with the Height limiters for mobile plant – Contractors procedure (MD-14-
425) for mobile plant working on the QR corridor under live overhead line equipment
(OHLE) (as applicable);
• In compliance with the need to hold a Certification of Engineering Compliance in
accordance with Rolling Stock Compliance, Validation and Certification (MD-10-140) for
all on-track vehicles.
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2.3.1.3.5 Other Required Documentation
The applicable safety and environment documents as required by the contract must be
provided by the Contractor to the Authorised Person for review prior to commencing work,
including but not limited to:
• Details of the management structure for the work including a list of the contractor’s
personnel and roles responsible for the execution of the work;
• Job Safety and Environment Analysis (JSEA) or equivalent (required for construction
work); or Safe Work Method Statements (SWMS) (required for high risk construction
work);
• WHS Management Plan (requirement of a Category 1 Contractor);
• Environmental Management Plan (required where there is significant risk to the
environment);
• Safety Operational Plan for any work that impacts on rail traffic operations on the
Network;
• Traffic Management Plan (required for works on, near or adjacent to a road);
• Assurance Plan (requirement of a Category 1 Contractor).
The contractor must amend any of the documents based on the review by Queensland Rail
prior to commencing work.
Queensland Rail Assurance Plan
The Authorised Person must develop and maintain a contractor safety and environment
Assurance Plan based on the scope of work and risks and/or impacts associated with the
work to assess whether safety and environment duties and requirements are being met
under contract documentation (including specifications and SEMS) which considers but is
not limited to:
• How contractor performance against safety and environment key performance indicators
(KPIs) will be monitored;
• The frequency and level of supervision, audits and inspections to assess whether the
safety and environment duties and requirements of the contractor’s documentation,
legislation, QR documentation (including SEMS) and the contractor’s activities and risks
in the workplace are being met. The Contractor Safety and Environment Inspection form
MD-12-170 can be used to conduct inspections of the workplace;
• A proactive monitoring system which is relevant to the risks and requirements
associated with the work being undertaken and the type of contract in place;
• A reactive monitoring system as a result of occurrences and other reported events that
are of concern;
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• A system to record environmental sustainability information, including information on
eco-efficiencies, full lifecycle impacts of the goods and services, and any information QR
is required to manage under relevant environment legislation.
2.3.2 Mobilisation
Before contractor mobilisation can commence initial mobilisation and are authorised to work
on site, the Authorised Person will perform a Contractor Mobilisation review by completing
the Contractor Authority to Mobilise form MD-18-397. The Safety Lead or Delegate must be
included in the review.
The Authorised person must give active consideration to re-establishing a new Authority to
Mobilise process with the contractor when triggered by the following:
• New or different work scope where the risks are inherently different to the scope that
has previously been assessed;
• 2 years has passed since previous authority for the same scope of work;
• Contractor ownership has changed hands;
• Unsatisfactory performance as identified through process in 2.3.3; or
• Any other reason of the Authorised Person.
2.3.3 Monitor and Manage
The Authorised Person must monitor the safety and environment performance of contractors
during the scope of work by completing the following:
• Implement the Queensland Rail Assurance Plan for the contractor (developed in section
2.3.1.4);
• Conduct regular contract performance reviews which will review the Safety and
Environment performance as provided monthly in the Contractor Safety and
Environment Monthly Report which is due COB on the 3rd working day of each month.
The Safety Lead or Delegate must be included in the execution of the contractor safety and
environment assurance plan which will need to be agreed between the Authorised Person
and the Safety Lead or Delegate.
Queensland Rail employees involved in the monitoring process should be familiar with the
method of work and the risks and the risk control systems (where practicable).
The Authorised Person must act promptly in all instances to rectify non-compliance by the
contractor, using mechanisms such as a ‘Stop Work’ directive. Work must only resume after
appropriate review and approval from the Authorised Person or their delegate.
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If the contractor fails to take effective corrective action on a non-compliance issue, the
Authorised Person must seek advice from a legal representative and exercise appropriate
contractual clauses as subsequently advised.
The Authorised Person must inform the Safety Lead or Delegate of all instances requiring
rectification and the agreed measures taken.
The Safety Lead or Delegate must initiate (when relevant) the Safety and Environment
Communication Alert process (MD-17-428) to inform other parts of the business undertaking
similar activity.
2.3.4 Close Out Contract / Engagement
The Authorised Person must on works completion, conduct a comprehensive safety and
environment close out process and feedback meeting with the contractor. The process must
be documented. Meeting minutes showing the items covered are sufficient. The contractor
or supplier may be involved in the review process, and outcomes from the review shall be
given to all affected parties. The documented record of the close out process must be filed
either with the contractor’s documentation and/or uploaded in the QR Contractor
Management System. The Safety Lead or Delegate must be included in contract close out
process.
The process must address:
• The contractor’s safety and environment performance, including KPIs and statistical
trends, outcomes of audits and inspections, fulfilment of obligations associated with
completing the work including worksite exit management and site remediation;
• Key findings from regular contract performance reviews and the status of any
performance improvement actions;
• Review non-conformances, safety or environment breaches through the provision of
goods and services;
• Evaluate the quality of interaction between QR and the contractor, addressing
communication, support, initiative and cooperation;
• Review audit trends and the cultural and behavioural performance of contractors;
• Identify and incorporate lessons learned, best practices and performance improvement
opportunities into ongoing contractor management processes.
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3 Responsibilities
The following establishes the unique accountabilities and responsibilities of the key internal
stakeholder’s specific to this Procedure.
3.1 Who does what?
Who What
Authorised Person Is accountable and responsible for the implementation of the requirements in this procedure for the contracting arrangements in the pre-award stage that they initiate or are assigned to them by their Line Manager and executes the scope of work at the post award stage. This person may differ from pre-award and post award stages.
Safety Lead or Delegate Is responsible to assist the Authorised Person as requested and/or specified in this procedure.
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4 Terms and definitions
The following key terms and definitions are unique to this Procedure. Please refer to the
Business Glossary for other terms not included in this section.
Term Definition Source
Authorised Person Is the Persons authorised to engage contractors (as determined by the responsible Function).
Construction work Any work carried out in connection with the construction, alteration, conversion, fitting-out, commissioning, renovation, repair, maintenance, refurbishment, demolition, decommissioning or dismantling of a structure.
Work Health and Safety Regulation 2011
Construction project Is a project that involves construction work with a cost of $250,000 or more
Work Health and Safety Regulation 2011
Contractor A contractor is a person conducting a business or undertaking (PCBU) engaged under a written contract (including a formal contract document or a purchase / service order but excluding a contract of employment) by Queensland Rail to conduct work on Queensland Rail sites, provide labour or to provide services in accordance with the scope of work and the terms and conditions of the contract document.
KPI Key Performance Indicators
PCBU Person conducting a business or undertaking Person. The reference to a PCBU includes the PCBU’s employees and any of their Subcontractors and their employees.
Site work conditions Outline the safety and environment requirements including QR’s Safety and Environment Policies, Rail Safety Regulator requirements and legislative obligations under the Work Health and Safety Act, Transport (Rail Safety) Act and Environmental Protection Act.
Sourcing Instruments Invitation to Tender, Request for Quote
SRA Safety, Risk and Assurance
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5 Document history
Document Information
Current Version 4.0
First Released 05 April 2015
Last Updated 30 November 2018
Review Frequency Biennial
Review Before 15 November 2019
Document Authoriser Chief Executive Officer (CEO)
Functional Owner Safety Discipline Head – Workplace Health & Safety
Document Owner / Approver Safety Discipline Head – Workplace Health & Safety
Content Developer* Senior WHS Advisor – Governance
Review Stakeholders Safety WHS, Safety Citytrain, Safety Network, Safety Travel & Tourism, Assurance & Investigations
Audience All employees, contractors and consultants
Document Amendment History
Version Date Section(s) Amended
Summary of Amendment
4.0 30/11/2018 Whole Document
Updated to detail the requirements in the QR Contractor Safety Management Program.
3.1 21/08/2018 Whole Document
No changes to content required
3.0 08/09/2016 Sect 2 Added consultation requirements to step 3.1 and step 17.2.
Step 15.3 Deleted “Pertaining to Plant/Critical Infrastructure” after Minor Works and added document number for Contractor Safety and Environment Inspection
Realigned persons responsible with relevant steps of process (15.4 and 15.5)
This document contains confidential material relating to the business and financial interests of Queensland Rail. Queensland Rail is to be contacted in accordance with Part 3, Division 3 Section 37 of the Right to Information Act 2009 should any Government Agency receive a Right to Information application for this document. Contents of this document may either be in full or part exempt from disclosure pursuant to the Right to Information Act 2009.
© 2018 Queensland Rail
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6 Appendices
Appendix 1 – Related documents
Queensland Rail documents
Document type Document title
Principle MD-12-20 Workplace Health & Safety
MD-12-22 Environment Management
MD-12-21 Rail Safety
Standard MD-12-162 Procurement, Contract and Contractor Safety and Environment Management
MD-12-483 Contract Management
MD-12-219 Safety Change Management
MD-10-140 Rolling Stock Compliance, Validation and Certification
Strategy / Plan N/A
Specification / Framework MD-13-320 Environmental Planning and Management (EPM)
Procedure MD-11-1340 Risk Management
MD-12-166 Contractor / Visitor Safety and Environment Inductions
MD-10-182 Rail Safety Workers Competence
MD-13-79 Business Rules for Management of Rail Safety Work Contractors
MD-17-425 Height limiters for mobile plant - Contractors
MD-17-428 Safety and Environment Communication Alert Process
Instruction N/A
Guideline MD-18-398 Contractor Supervision and Assurance
Form / Template MD-13-562 Risk Assessment Toolkit
MD-12-170 Contractor Safety and Environment Inspection
MD-18-400 Safety and Environment Prequalification Questionnaire Category 1
MD-18-401 Safety and Environment Prequalification Questionnaire Category 2
MD-18-402 Safety and Environment Prequalification Questionnaire Category 3
MD-18-397 Contractor Approval to Mobilise
MD-18-396 Contractor Safety and Environment 2 Year Assurance
SRD 0085 On-Site Pre-Use Checklist for Mobile Plant & Equipment “Wet Hire” Plant
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Appendix 2 – Contractor Categorisation Framework
CATEGORY 1
Principal Contractor
External construction companies engaged by QR as a Principal Contractor for a construction project; being a project that involves construction work where the cost of the construction work is $250,000 or more.
CATEGORY 2
Medium to High Risk Contractor
Any PCBU engaged by QR to undertake any work on a QR site where they will be working under their own prequalified Safety and Environment Management System or safe system of work in conjunction with the Rail Safety requirements of SEMS (where required) and will not be directly supervised by QR other than to the degree of direct QR supervision required under the Rail Safety requirements of QR’s SEMS.
CATEGORY 3
Low to Medium Risk Contractor
Any PCBU engaged by QR to provide Labour Hire services, or contract for services, where the work is classified as low to medium risk on any QR site, and where the work will be carried out under QR’s SEMS (e.g. Labour hire track worker, services contractor, pest control contractor, cleaning contractor).
Any PCBU engaged by QR to provide consultative or advisory services at any QR site where the Consultant or Adviser is required to carry out their work classified as low to medium risk on any QR operational site (outside of a QR office based environment).
Note 1: This category of contractor is treated in the same way as a QR employee for the purposes of day to day supervision and safety management under QR’s SEMS. However, they will also be required to:
- Complete the online Contractor General Induction
- Attend relevant site specific and day of operations inductions (or pre-start briefing), and
- Comply with the Rail Industry Worker (RIW) program requirements, including obtaining a RIW card.
Note 2: If the contractor will be engaging subcontractors they must be classified as a Category 2 contractor.
CATEGORY 4
Low Risk Employee-like Contractor
Any PCBU engaged by QR to provide Labour Hire services where the work is administrative in nature and/or is carried out in an office environment on any QR site (e.g. contracted supervision).
Any PCBU engaged by QR to provide consultative or advisory services at any QR site where the Consultant or Adviser’s work is administrative in nature and is required to be carried out in a QR office based and operational environment (e.g. auditors).
Note 1: This category of contractor individual is treated in the same way as a QR employee for the purposes of day to day supervision and safety management under QR’s SEMS.
Note 2: If access to the office is medium to high risk (e.g. Mayne), the contractor individual must receive the appropriate site specific induction / familiarisation to safely access the office unescorted.
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Appendix 3 – Safety and Environment Prequalification Requirements
1) The Senior Manager Workplace Health & Safety (SRA) shall establish and maintain
a register of Safety and Environment Prequalified contractors.
2) A Safety and Environment Prequalification is valid for 2 years.
3) Safety and Environment Prequalification can be extended based on properly
documented Contract Close Out / Engagement Process (section 2.3.4 of this
procedure) and documented and approved Safety and Environment on Contractor
Safety & Environment 2 Year Assurance MD-18-396.
4) As a matter of course, sourcing instruments should only be issued to contractors who
have already successfully completed Safety and Environment Prequalification.
5) In those circumstances, where sourcing instruments are issued to contractors who
are not Safety and Environment pre-qualified, then the Prequalification assessment
must be completed prior to commencement of any other part of the Sourcing
Evaluation process. Where a Contractor does not pass Safety and Environment
Prequalification, then the balance of the Sourcing Response shall be deemed non-
conforming and shall not be assessed.
6) The Prequalification activities may be waived, and the contractor selection process
may commence if QR records can be sourced showing completed Safety and
Environment Prequalification or documented and approved Safety and Environment
2 Year Assurance Checklist (completed within the last two years) for work of a similar
type and scale; and the new contract is not classified at a higher Safety and
Environment risk level than previously pre-qualified. Category 4 contractors are not
required to undergo Safety and Environment Prequalification.
7) Contractors are exempt from the Safety and Environment Prequalification process:
• During a Safety and Environment emergency response situation;
• In situations where a specialist contractor is required to conduct work at a QR
site at short notice (less than one week) and pre-qualified specialist contractors
are unavailable, under circumstances of immediate Safety and Environment
risk exposure. A Risk Assessment using the Risk Toolkit MD-13-562 must be
completed and accepted prior to commencing work.
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Appendix 4 – Safety and Environment Prequalification Process
Purpose This appendix outlines the process to undertake Category 1, 2 and 3 Safety and Environment Prequalification’s.
Scope and Context The Safety and Environment Prequalification assessments will assess prospective contractor’s ability to execute the current or potential scope(s) of work in accordance with Queensland Rail’s Safety Environment Management System (SEMS) requirements.
Task Action Required Responsibility
1. Issue Safety and Environment Prequalification Toolkit
1.1 Discuss with Safety Lead or Delegate Safety and Environment Prequalification category Authorised Person
1.2 Arrange for Safety and Environment Prequalification Toolkit to be issued to the selected contractors
2. Provided Support to Contractors
2.1 Be available to provide advice to Contractors regarding the Safety and Environment Prequalification process
Safety Lead or Delegate
3. Receive Completed Safety and Environment Prequalification’s
3.1 Review and ensure completed Safety and Environment Prequalification toolkit has been completed and that all supporting documentation is provided
Authorised Person
3.2 Follow up with contractors for missing details
3.3 Send package to Safety Lead or Delegate for evaluation
4. Complete Safety and Environment Evaluation
4.1
Review and complete Safety and Environment Prequalification evaluation. ‘Yes’ responses in the questionnaire must be verified through a review of Safety and Environment program and contractor provided document samples such as policies, risk assessments, work method statements, safe operating procedures and incident or hazard reports and forms
The Safety Lead or Delegate must ensure that the contractor’s key statistics provided in section 2 of the Safety and Environment Prequalification Questionnaire are consistent with QR’s corporate targets
Safety Lead or Delegate
4.2 Follow up with contractors for clarification (as required)
4.3
Provide completed Safety and Environment Prequalification to Authorised Person. To continue with the sourcing process, contractors must:
• Meet all the mandatory criteria on the Safety and Environment Prequalification Questionnaire; and
• Achieve a minimum score of 80% overall on the Safety and Environment Prequalification Questionnaire.
If further clarification and assessment is required of the prospective contractor’s Safety and Environment system knowledge and capability to implement for an upcoming contract, the Safety and Environment Prequalification Questionnaires may be used as a guide and/or a verification audit performed
5. Advise Contractors
5.1 Advise Contractor(s) of results. All contractors not meeting QR’s minimum acceptable standard must be offered feedback
Authorised Person
6. Update Records
6.1 Update Safety and Environment Prequalified Register Safety Lead or Delegate
6.2 Periodically Review Safety and Environment Prequalified Register
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Appendix 5 – Contract Safety and Environment Risk Assessment Guidance
Purpose This appendix outlines guidance on undertaking Safety and Environment risk assessments.
Scope and Context • Use the Risk Toolkit MD-13-562
• The Risk Assessment must include detail in Context tab of the using the Risk Toolkit MD-13-562. This detail should provide a high-level overview of the contract and the scope of the work to be undertaken.
• The Risk Assessment should consider all risks associated with the contract lifecycle i.e.:
risks associated with the sourcing and tendering process; risks associated with the scope of work to be conducted; and risks that would represent an ongoing liability to QR.
• The risk assessment is not an activity-based exercise in the form of a JSA or task / hazard-based risk assessment.
Working Example Scope
• To outsource routine electrical and instrumentation work on QR assets.
• Contractor will provide staff to work on QR controlled site under QR supervision.
Risk
Risk description Cause Consequence Controls / Treatments
There is risk that proponents do not meet the legal requirements to undertake the proposed service resulting in regulatory and safety issues
Not: Electrocution of electrical workers
They do not have or maintain electrical contractor licences
Legal, safety, insurance and warranty risks to the asset
• Current electrical contractor’s licence mandatory evaluation criteria.
• Contract Clause x specifies ‘Annual contract deliverable to provide update copy of contractor licence included in contract’
• Contract Clause x specifies ‘Failure to maintain electrical contractors licence gives right to terminate contract’
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Appendix 6 – Mandatory Requirements by Contractor Category
Legend ✓ Denotes a mandatory requirement # Refer to Notes - Refer to sub stages
Ref Stage Contract Category
Responsibility Notes / Toolkit items 1 2 3 4
2.2 Pre Award
2.2.1 Evaluation of Safety and Environment Requirements - - - - - -
2.2.1.1 Approval to Engage Contractors ✓ ✓ ✓ ✓ Authorised person, supported by Safety Lead or Delegate
2.2.1.2 Scope of work and Consultation ✓ ✓ ✓ ✓
2.2.1.3 Contractor Categorisation ✓ ✓ ✓ ✓ Contractor Categorisation Framework (Appendix 2 of this procedure)
2.2.1.4 Safety and Environment Prequalification ✓# ✓# ✓# Safety Lead or Delegate
MD-18-400 Safety and Environment Prequalification Questionnaire (Category 1)
MD-18-401 Safety and Environment Prequalification Questionnaire (Category 2)
MD-18-402 Safety and Environment Prequalification Questionnaire (Category 3)
MD-18-396 Contractor Safety and Environment 2 Year Assurance Form can be completed for existing contractors in lieu of Safety and Environment Prequalification Questionnaire
2.2.1.5 Contract Risk Assessment ✓ ✓ ✓ ✓ Authorised person, supported by Safety Lead or Delegate
MD-11-1340 Risk Management Procedure
MD-13-562 Risk Assessment Toolkit
2.2.1.6 Preliminary Supervision and Assurance Requirements
✓ ✓ Authorised person, supported by Safety Lead or Delegate
MD-18-398 Contractor Supervision and Assurance Guidelines
0
Prepare Sourcing / Tender Documentation
✓ ✓ ✓ ✓ Procurement, Authorised person, supported by Safety Lead or Delegate
MD-12-167 Purchasing and Supply: Safety & Environment Requirements Procedure
2.2.3 Evaluate Proposals / Tender ✓ ✓ ✓ ✓
2.2.4 Award ✓ ✓ ✓ ✓
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Legend ✓ Denotes a mandatory requirement # Refer to Notes - Refer to sub stages
Ref Stage Contract Category Responsibility
Notes / Toolkit items 1 2 3 4
2.3 Post Award
2.3.1 Pre-Mobilisation - - - - - -
2.3.1.1 Pre-Commencement Site Inspection ✓ ✓ ✓ Authorised person, supported by Safety Lead or Delegate
2.3.1.2 Duty Holder Coordination ✓ ✓ ✓ ✓
2.3.1.3 Clarify Requirements to Mobilise - - - - -
2.3.1.3.1 Execution Risk Assessment ✓ ✓ ✓ Contractor
0
Contractor Personnel Induction
✓ ✓ ✓ ✓ MD-12-166 Contractor / Visitor Safety and Environment Inductions
2.3.1.3.3 Contractor Personnel Competency ✓ ✓ ✓ MD-10-182 Rail Safety Workers Competence
MD-13-79 Business Rules for Management of Rail Safety Work Contractors
2.3.1.3.4 Mobile Plant and Other Equipment Assessment
✓ ✓ # MD-17-425 Height limiters for mobile plant – Contractors
SRD 0085 On-Site Pre-Use Checklist for Mobile Plant & Equipment “Wet Hire” Plant
0
Other Required Documentation ✓ ✓ ✓ #
# Complete as required.
2.3.1.4 Queensland Rail Assurance Plan ✓ ✓ ✓ Authorised person, supported by Safety Lead or Delegate
2.3.2 Mobilisation ✓ ✓ ✓ #
MD-18-397 Contractor Authority to Mobilise
# Complete as required
2.3.3 Monitor and Manage ✓ ✓ ✓ ✓ MD-18-398 Contractor Supervision and Assurance Guideline
MD-18-399 Contractor Safety and Environment Monthly Report
2.3.4 Close Out Contract / Engagement ✓ ✓ # # Complete as required.
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Appendix 7 – Implementation Milestones
Pre
Aw
ard
Po
st A
war
d
Evaluation of Safety and Environment
Requirements
Prepare Sourcing /Tender Documents
Evaluate Proposals / Tender
Award
Pre-Mobilisation
Mobilisation
Monitor and Manage
Contract Close Out / Engagement
Approval to engage ContractorsScope of Work and ConsultationContractor CategorisationSafety and Environment PrequalificationContract Risk AssessmentPreliminary Supervision & Assurance Requirements
Contractor Safety and Environment Process
Pre-Commencement Site InspectionDuty Holder CoordinationClarify requirement to Mobilise- Execution Risk Assessment- Contractor Personnel Induction & Competency- Mobile Plant and other equipment assessment- Other required documentation
Queensland Rail Assurance Plan
Milestone 1 – All new contracting engagement initiated after 30/11/2018.• Need to follow the full process.
Milestone 2 – Current arrangements where the tender document is not approved to go to market before 14/12/2018.• Complete Contract Safety and Environment Risk Assessment.• Revised Site Work Conditions and Safety and Environment pre-qualification to be
included with tender.• Comply with the balance of Contractor Safety and Envirnment Management process
from evaluate tender step.
*Prequalification will not be retrospectively applied
Milestone 3 – Current arrangements where the tender has closed, is being evaluated and has been shortlisted but not awarded before 21/12/2018.• Consider and decide whether the Revised Site Work Conditions can be included in
contract agreement (without compromising schedule).• Comply with the balance of Contractor Safety and Environment Management Process
from post award phase.
Milestone 4 – Current arrangements where the tender is awarded and the Contractor is mobilised after 21/01/2019.• Comply with the balance of Contractor Safety and Environment Management Process
from Post Award.
Milestone 5 – Safety & Environment Monthly Report from 5/02/2019• Existing contractors need to commence provision of monthly Safety and Environment
Reporting by COB 3rd business day each month.
Milestone 6 – Induction Compliance Date by 30/06/2019.• Existing contractors and current workforce and engagements that trigger milestones 3
& 4 have a grace period until 30/06/2019 to comply with new requirements.• New engagements that trigger Milestones 1 & 2 need to comply at mobilisation.