Contractor Safety and Environment Management...Visitor Safety and Environment Inductions Procedure MD-12-166. 2.3.1.3.3 Contractor Personnel Competency The Contractor must ensure its

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


MD-12-164 (Version 4.0) QUEENSLAND RAIL OFFICIAL Page 2 of 23

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



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.



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.



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.



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.



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.



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.



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.



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.


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;



• 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.



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.



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.



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

https://queenslandrail.sharepoint.com/ResourceCentre/PolicyRegulation/IMF/Lists/BusinessGlossary/AllItems.aspx



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



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-18-397 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

https://queenslandrail.sharepoint.com/ResourceCentre/PolicyCentre/Pages/Search.aspx?k=MDNumber%3A%22MD-12-20%22






https://queenslandrail.sharepoint.com/ResourceCentre/PolicyCentre/Pages/Search.aspx?k=MDNumber%3A%22MD-12-219








https://queenslandrail.sharepoint.com/ResourceCentre/PolicyCentre/SafetyEnvironment/External%20Partners/MD-17-428.PDF









https://queenslandrail.sharepoint.com/ResourceCentre/PolicyCentre/Pages/Search.aspx?k=MDNumber%3A%22SRD0085%22

https://queenslandrail.sharepoint.com/ResourceCentre/PolicyCentre/Pages/Search.aspx?k=MDNumber%3A%22SRD0085%22



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.



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.



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



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’



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-18-396 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 ✓ ✓ ✓ ✓



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.



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


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.