1. No category

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