Principal Contractor Licensing Scheme Standard Gillian Scott, Assurance Manager (PC Licensing) Principal Contractor Licensing Scheme Standard NR/L2/INI/CP0070 NR/L2/INI/CP0070 – Principal Contractor Licensing Standard status: Final wording of Issue 4 agreed Approved by the Standards Board on the 9th April 2014 Briefings to relevant Functions throughout May-14 Standard to be issued 7-Jun-14 Rollout programme to be agreed with all functions by Jun-14 Mandatory Compliance by 7-Dec-14 7-Nov-18

Reasons behind the change Gillian Scott, Assurance Manager (PC Licensing) Reasons behind the change A strategy decision was made by the S&SD Integration Group that the Principal Contractor Licensing (PCL) Scheme should be mandated across all functions or organisations (internal or external) discharging duties as a Principal Contractor (PC) on behalf of Network Rail Consistent approach towards contracted organisations regardless of the function they are working for Feedback from PC’s that there was duplication in NR Core audit and the PCL Standard audit The introduction of the Industry Minimum Requirements (IMR) Module to facilitate a reduction in the number of management systems audits throughout the supply chain 7-Nov-18

What other Standards are affected? Gillian Scott, Assurance Manager (PC Licensing) What other Standards are affected? NR/L3/INI/CP0073 – Licensing Requirements has been withdrawn Any requirements will be contained within the revised NR/L2/INI/CP0070 Principal Contractor Licensing Scheme Standard NR/L2/CPR/302 – Supplier Qualification Core has been withdrawn This has been replaced by the Industry Minimum Requirements (IMR) You as Works Delivery or any contractor that Works Delivery awards works to as a PC. 7-Nov-18

Gillian Scott, Assurance Manager (PC Licensing) Who is affected? All organisations undertaking 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 This includes where Network Rail discharge the duties as a PC The standard is mandatory across all Functions within Network Rail and covers both trackside and non-trackside works On-Track Plant Licence holders formerly known as POL holders This assurance has been removed from the scope and is now governed and assured via the On-track Plant Operations Scheme Rules (POS Scheme) You as Works Delivery or any contractor that Works Delivery awards works to as a PC. 7-Nov-18

Assurance requirements / arrangements Gillian Scott, Assurance Manager (PC Licensing) Assurance requirements / arrangements You as Works Delivery or any contractor that Works Delivery awards works to as a PC. 7-Nov-18

Gillian Scott, Assurance Manager (PC Licensing) The main changes NR/L2/INI/CP0070 – Principal Contractor Licensing Scheme Standard One Level 2 Standard which documents the scheme arrangements, the means by which NR gains assurance that the arrangements are being met and the means by which organisations maintain their licence NR/L2/CPR/302 – Supplier Qualification This standard has been replaced with the Industry minimum Requirements (IMR) The inclusion of a consequence matrix which is to be followed in the event of a breach of the scheme rules; application of the consequences is based on Network Rail’s Principles of Fair Culture The scheme now covers all PC’s working in all Functions and covers “trackside and non-trackside” 7-Nov-18

Network Rail’s requirements Gillian Scott, Assurance Manager (PC Licensing) Network Rail’s requirements Control of works Implementation / use of Network Rail’s specific standards / templates ie. CPP, WPP, Task Briefings etc relevant to the function Temporary Works Capturing Network Rail’s specific requirements around documentation and engineering competency Specialist Advice To capture the specific competencies for Health, Safety, Environmental and Occupational Health Specific Competency Requirements Identifying the key roles within the organisation and demonstrate how the competency is being managed 7-Nov-18

Network Rail’s requirements Gillian Scott, Assurance Manager (PC Licensing) Network Rail’s requirements Co-ordination of On-Track Plant (OTP) Demonstrate the understanding of this high risk activity and the requirements of the POS Scheme Process for the co-operation and co-ordination of OTP including responsibilities and accountabilities Safety Culture Development Behavioural Based Safety Safety Culture Measurement Environmental and Sustainability / Quality Management / Health, Safety and Wellbeing Implementation / use of NR’s specific standards / templates “Environmental Management Plan, Quality Management Plan etc” Incorporating the policy requirements into the works / contractual arrangements 7-Nov-18

Network Rail’s requirements Gillian Scott, Assurance Manager (PC Licensing) Network Rail’s requirements Pledge on Construction / Civil Engineering Demonstrate how your organisation will support Network Rail’s commitment to the government pledge; to manage and tackle the causes of occupational health and improve the health and wellbeing of people Product Approval Procurement and use of products and parts that have been approved by NR New Mandatory Requirements Demonstrate mechanism for review and implementation of any new mandatory requirement or, notification of non-compliance Notification of Changes Significant changes within the organisation which may affect the PC arrangements, notification must be advised prior to the change occurring; this includes notification of a change to the person responsible for maintaining the licence arrangements 7-Nov-18

What you need to comply with Gillian Scott, Assurance Manager (PC Licensing) What you need to comply with Trackside Industry Minimum Requirements Module Sentinel Industry Common Induction Sponsor trackside personnel Railway Interface Planning Non-trackside 7-Nov-18

When you need to comply by Gillian Scott, Assurance Manager (PC Licensing) When you need to comply by The IMR, Sentinel and Railway Interface Planning audits need to in place by 31st December 2014 This should be audited on the anniversary of your organisations Achilles annual renewal / update (in line with correspondence issued 6th December 2013) Compliance to the revised standard is mandatory for all current PC’s as previously advised Correspondence and briefing issued (via email)21st Feb 2014 Two variations issued against current standards 7-Nov-18

Gillian Scott, Assurance Manager (PC Licensing) 7-Nov-18

How we will manage ongoing compliance Gillian Scott, Assurance Manager (PC Licensing) How we will manage ongoing compliance All PC’s must maintain IMR, Sentinel and RIP audits (where applicable) Failure notifications / lapse in renewal will be notified to the NR PC Assurance Team Annual provision of F9 Assurance file The PC Assurance Team will email a request (giving 4 wks notice) PC Assurance Team will issue a report following the review of the F9 confirming it’s acceptance / raising any non-conformities 7-Nov-18

How we will manage ongoing compliance Gillian Scott, Assurance Manager (PC Licensing) How we will manage ongoing compliance Audits Planned audits Minimum of 1 F10 notifiable site audit per PC, per year Assurance level to be rated as Low / Medium / High, with follow up audits scheduled dependant upon assurance level achieved (e.g. 3 Months, 6 Months, 12 Months respectively) Multiple site audits on a project to seek assurance throughout the lifecycle of the site work activity Unannounced audits Spot check of a site and/or specific work activity/task Can be either random, as a follow up to previous audit findings or driven by information/ areas of concern 7-Nov-18

Breaches and consequences Gillian Scott, Assurance Manager (PC Licensing) Breaches and consequences The consequence matrix will be followed in the event of a breach to the scheme rules 7-Nov-18

Any further questions? For further information on / queries with: Gillian Scott, Assurance Manager (PC Licensing) Any further questions? For further information on / queries with: NR/L2/INI/CP0070 – Principal Contractor Licensing Scheme Standard contact Gillian Scott via an email to: licencesubmission@networkrail.co.uk Railway Interface Supplier Qualification Scheme (RISQS) or Industry Minimum Requirements Module go to: www.RISQS.org On-track Plant Operations Scheme Rules (POS Scheme) contact Peter Stone: peter.stone@networkrail.co.uk 7-Nov-18

Acronyms PCL – Principal Contractor Licence PC – Principal Contractor Gillian Scott, Assurance Manager (PC Licensing) Acronyms PCL – Principal Contractor Licence PC – Principal Contractor IMR – Industry Minimum requirements RISQS – Rail Industry Supplier Qualification Scheme RIP Scheme – Railway Interface Planning Scheme POS Scheme – On-Track Plant Operations Scheme OTP – On-track Plant 7-Nov-18