Project Management Rail Safety Worker Competence

Transcription

1 Discipline: HR Contents Discipline: People, Culture and Development Category: Procedure Project Management Rail Safety Worker Competence HR Applicability ARTC Network Wide Interstate Network Hunter Valley Document Status Version Date Reviewed Prepared by Reviewed by Endorsed Approved 1.0 January 2012 P. Shinnick N. Catterson J. McAuliffe ARTC Worker Competence Steering Committee 2.0 April 2012 P. Shinnick N. Farr J. McAuliffe ARTC Worker Competence Steering Committee 3.0 May 2013 P. Shinnick N. Farr ARTC Worker Competence Steering Committee Amendment Record Version Date Reviewed Clause Description of Amendment 1.0 January April 2012 Amended to reflect network wide policy Safety and Environment Committee Reference to the Rail Safety Act applicable in the relevant state Additional content on dispute resolution, issuing RSW cards or certificates of competence and auditing of document. 3.0 May 2013 Multiple Updated references to rail industry worker cards, details on new procedure owner, new definitions for responsibilities. Document Distribution List Australian Rail Track Corporation Limited 2011 Disclaimer: This document has been prepared by ARTC for internal use and may not be relied on by any other party without ARTC s prior written consent. Use of this document shall be subject to the terms of the relevant contract with ARTC. ARTC and its employees shall have no liability to unauthorised users of the information for any loss, damage, cost or expense incurred or arising by reason of an unauthorised user using or relying upon the information in this document, whether caused by error, negligence, omission or misrepresentation in this document. This document is uncontrolled when printed. Authorised users of this document should visit ARTC s intranet or extranet ( to access the latest version of this document.

2 HR Contents Version Location Date 1.0 ARTC Internet January ARTC Internet April ARTC Internet May 2013 Australian Rail Track Corporation Limited 2011 Disclaimer: This document has been prepared by ARTC for internal use and may not be relied on by any other party without ARTC s prior written consent. Use of this document shall be subject to the terms of the relevant contract with ARTC. ARTC and its employees shall have no liability to unauthorised users of the information for any loss, damage, cost or expense incurred or arising by reason of an unauthorised user using or relying upon the information in this document, whether caused by error, negligence, omission or misrepresentation in this document. This document is uncontrolled when printed. Authorised users of this document should visit ARTC s intranet or extranet ( to access the latest version of this document.

3 HR Contents Contents 1 Introduction Purpose Scope Procedure Owner Responsibilities Reference Documents Definitions Identifying and Determining Competence Project Management Assessment of Competence Evidence of Competence Required Assessment Documentation Tertiary Qualifications Current Resume Record of Relevant Experience Assessment Approval Internal Assessors External Assessors Obligations External Assessors External Assessors Re-certification Dispute Resolution Recording of Competence Capturing AQF qualifications Capturing Non AQF qualifications Issuing RIW Cards or Certificates of Competence Risk Management Register Auditing Auditing of Documents Appendix 1 Project Management Competency Matrix Appendix 2 - Process for a Rail Safety Worker applying for/obtaining a RIW card for the first time Appendix 3 - Process to become an External Assessor Appendix 4 - Assessor Competencies Version 3.0 Date of last revision: May 2013 Page 3 of 17

4 Identifying and Determining Competencies 1 Introduction 1.1 Purpose 1.2 Scope The purpose of this procedure is to ensure that ARTC meets its regulatory obligations and accreditation requirements by having in place a rigorous project management competence assessment and recording procedure. This procedure provides the requirements and description of Rail Safety Worker (RSW) competence for ARTC s project management categories. It includes determining the required competencies, assessments of project management, and method of recording these competencies. The procedure also describes the process for ARTC to approve contractors to assess their own project management staff. This procedure covers all RSW (as defined in section 1.6) who will carry out roles associated with ARTC s project management categories on ARTC s network specific to the roles defined in the matrix (Appendix 1). This includes employees of other organisations engaged by ARTC, contractors, subcontractors and suppliers. Note: In March 2013 ARTC joined with other operators and the Australasian Railway Association to implement the rail industry worker (RIW) program. Consequently, all subsequent references in this procedure to: rail industry worker program includes reference to rail safety worker program; rail industry worker cards include reference to rail safety worker cards; rail industry worker portal includes reference to rail safety worker portal; and includes reference to Procedure Owner The General Manager Technical Standards and Environment is the owner of this procedure. Please direct all enquiries to the ARTC Manager Standards on Responsibilities The General Manager Technical Standards and Environment is responsible for the implementation of this procedure. ARTC managers and contractors are responsible for ensuring the RSW maintains current competencies whilst completing rail safety work for ARTC. This is confirmed: prior to works commencement ARTC contracts and project staff confirming contractors hold RIW cards which contain current competencies for the roles being performed; and at commencement and during works by ensuring contractors have a RIW card in their possession. RSW are responsible for: ensuring their competencies required to complete rail safety work are valid, current and relevant to the work that they undertake; Version 3.0 Date of last revision: May 2013 Page 4 of 17

5 Identifying and Determining Competencies do not undertake work or tasks for which their competency has not been certified; and maintain and make available records of their training and work experience for use in assessing their competency in accordance with this procedure. The assessor is responsible for reviewing the RSW s evidence of competence and issuing an authorising document to both the RSW and to the issuing body. The issuing body is responsible for administering and verifying the RSW s competencies and issuing their RIW card. 1.5 Reference Documents The following documents support this procedure: 1.6 Definitions Rail Safety Worker Competency Management Procedure HR Competency / Communication Protocol for Entering Rail Corridor SP The following terms and acronyms are used within this document: Term or acronym Academic Transcript Act or the Act Assessor Australian Qualifications Framework (AQF) Authorising Document Competency Management System Contractor Functional Categories Functional Category Expert (FCE) Issuing Body Description Is an official comprehensive verifiable copy of a student s record of courses relating to their qualification? Refers to the Rail Safety Act applicable in the relevant state. Person approved to review RSW s evidence of competence and issue authorising documents to both the RSW and issuing body. The national policy for regulated qualifications in Australian education and training. Approval by an assessor of a submitted competency. ARTC s system of capturing the competencies of all rail safety workers to meet the requirements of the relevant state Rail Safety Act. A company or individual engaged by ARTC to undertake a specific project, function or maintenance works in accordance with an agreement (e.g. construction, maintenance, installation, commissioning, consultancy and other specialist types of work). Refers to those roles captured in the project management matrix. The appointed ARTC manager responsible for providing specialist advice on the nominated functional category. Refers to ARTC approved external provider of RSW site Version 3.0 Date of last revision: May 2013 Page 5 of 17

6 Identifying and Determining Competencies Term or acronym Description access card. Project Project Director Project Engineer Project Management Project Manager Project Officer/Technician Rail Safety Work Rail Safety Worker (RSW) Rail Safety Worker Card A task requiring the allocation of resources outside of normal maintenance, operations or contract administration activities. A project has a start and finish date. Alternatively a project can be defined as a temporary organisation that is created for the purpose of delivering one or more business products according to a specified business case. The project director is responsible for balancing the needs of the business, including technical, quality and operational requirements. The project director is a part of the steering committee with the following specific responsibilities: Approving project expenditure within approved budget and delegation and ratifying the selection of the approval authority with ARTC corporate management. Monitoring project finance on behalf of ARTC. Constraining user and supplier excesses. Ensuring that the project gives value for money. Maintaining the project direction in accordance with the objectives (PP-157). The person who is responsible for a significant technical role on the project. The role at times can also perform some duties of a project manager and must hold an engineering degree. The planning, monitoring and control of all aspects of a project and the motivation of all those involved in it to achieve the project objectives on time and to the specified cost, quality and performance (PP-157). The person who is responsible for the planning and monitoring, administration and control of a project works (PP-157). The person who is responsible for planning the project schedule, programming project objectives, identifying deliverables and making supporting plans, usually with defined stages, and with designated resources. Refers to work carried out specific to ARTC s accreditation. Refers to those carrying out RSW under one or more of ARTC s functional categories. Card that electronically captures competencies of those carrying out RSW under one or more of ARTC s Version 3.0 Date of last revision: May 2013 Page 6 of 17

7 Identifying and Determining Competencies Term or acronym Description functional categories. All references to RSW cards in this procedure include reference to rail industry worker (RIW) cards. Registered Training Organisation (RTO) Relevant experience A vocational education and training organisation registered by the Australian Skills Quality Authority (ASQA) to deliver training in accordance with the Australian Qualifications Framework. Any experience presented for assessment needs to be directly related, connected or pertinent to the role. Version 3.0 Date of last revision: May 2013 Page 7 of 17

8 Assessment of Competence 2 Identifying and Determining Competence As an accredited rail operator under the Act, ARTC has requirements for the following: Competence of RSWs ensuring they have the competence to carry out their work. Recording competence maintaining records of the competence of RSWs. 2.1 Project Management Persons responsible for project management roles that have been defined as RSW will be required to have their project management competencies assessed. The Act requires that competence should be assessed with reference to the Australian Qualifications Framework (AQF), which has requirements for obtaining qualifications through an approved course. It is ARTC s responsibility to record and determine the competencies gained through the AQF, as well as the competencies required for those areas outside the AQF. The project management competencies are set out in discipline specific skills matrices (set out in Appendix 1) which define the qualifications, skills and experience required to carry out project tasks to prescribed levels of competence. ARTC has determined that the project management competencies required are to be made up of: Qualifications or units of competence recognised by the Australian Qualifications Framework (AQF). These include qualifications issued by schools, vocational and educations providers (including TAFE and private registered training organisations), and the higher education sector (including universities). Knowledge. Experience Version 3.0 Date of last revision: May 2013 Page 8 of 17

9 Recording of Competence 3 Assessment of Competence ARTC is required to ensure that each RSW has the competence to carry out that work. This section defines what evidence is required from a RSW to be assessed as competent for the applicable roles identified in the project management competency matrix, and the process for obtaining a RIW card for the applicable project management roles. The flow chart at Appendix 2 shows the steps for applying for/obtaining a RIW card for the first time. 3.1 Evidence of Competence Required. To be assessed as competent in all project management roles the required evidence to be submitted is: tertiary qualifications, current resume, and record of relevant experience. 3.2 Assessment Documentation Tertiary Qualifications For the purposes of showing competence in a multi-subject qualification, a certified copy of an academic transcript from an institution issuing the degree is required as supporting evidence. This is required to verify the attainment of the qualifications that an individual holds. The transcript must include the name of the institution where the qualifications were gained and the date when the qualifications were achieved Current Resume For the purposes of showing competence, a copy of the applicant s current resume is required as supporting evidence to assist in validating their skills, knowledge and experience. Included in the resume should be the following information: Contact information: Include name, address, telephone number and address. Experience and employment summary: list employment (including internships) in reverse chronological order with position title, name and location of employer, and dates of employment by year. Include a summary of accomplishments in each job. Education: educational credentials should be prominent including full degree title (e.g. Master of Project Management not MPM), graduation date and name of institution issuing qualifications. Recognition and Awards: record any formal recognition or awards received that validate skills and experience. References: include 2 to 3 referees/supervisors who can verify work experience and skills. Include the referee s name, title, organisation, address and work number Record of Relevant Experience The applicant is required to demonstrate relevant experience in line with the skills and activities set out in the specific project management RSW role descriptors. The defined skills and activities can be found by clicking on the link at the relevant descriptor located on the competency matrix in Appendix 1. Version 3.0 Date of last revision: May 2013 Page 9 of 17

10 Recording of Competence The record of relevant experience will support the activities in the matrix. Supporting documentation should be attached and include the following: Information on previous project roles undertaken, including their complexity and feedback received from clients on completed projects. Assessments conducted by an external organisation on previous project roles undertaken for this organisation. Training courses undertaken, memberships, and any other documentation that supports competence. An example of a suitable record of relevant experience is provided at the site gement.pdf. 3.3 Assessment Approval An assessor will review the evidence provided by the RSW, and with the assistance of the record of relevant experience, determine whether they are competent in the project management role they have applied for. The assessor will also identify the documentation that the RSW is required to provide for the issue of their card. Depending on the evidence provided the assessor can: 1. Assess them as competent to carry out rail safety work for ARTC. 2. Deem them not yet competent, and advise the ARTC manager and/or the applicant that they do not yet have the minimum required competencies to carry out the work they have applied for. Upon completion of an assessment, the assessor issues an authorising document to progress the applicant s submission. Copies of the authorising document are: kept by the assessor to act as a checking reference, and entered into Onsite to progress the application for a RIW card Internal Assessors ARTC has identified internal SMEs to complete staff competency assessments of the project management functional category. Identifying internal assessors is managed by the project management functional category expert External Assessors ARTC allows contractors to be accredited as authorised external assessors which enable them to assess the competence of their staff to work on ARTC projects. The process involves contractors meeting the requirements of obtaining a RIW card and the assessor criteria at Appendix 4 for their selected project management assessment role. Enquiries or applications to become external assessors are to be submitted to competencies@artc.com.au and are managed by ARTC s project management FCE. When an applicant has been deemed competent to be an external assessor they will be formally advised and issued with a unique external assessor identification. This will be a reference to the individual, be their authorisation to assess, and assure the card issuing body of their assessment verification. ARTC has a list of approved assessors for those contractors requiring a third party to complete competency assessments. These can be located at the competency management page on the ARTC website. The flow chart at Appendix 3 shows the process to become an external assessor. Version 3.0 Date of last revision: May 2013 Page 10 of 17

11 Recording of Competence Obligations External Assessors ARTC expects that external project management assessors will: apply ARTC s competency standards and procedures; promptly advise the relevant ARTC FCE where standards cannot be applied and seek resolution; use external assessor delegations in an appropriate way for the intended purposes; create and maintain full and accurate records of project management assessments performed in Onsite; keep up to date with advances and changes in the area of project management expertise, and where appropriate advise the ARTC FCE of any likely impact upon ARTC job tasks; and maintain the integrity and security of ARTC s documents or information. External assessors should be aware that they can be held accountable if they do not perform their duties in accordance with ARTC standards and procedures External Assessors Re-certification Review and re-certification of an external assessor s competency can occur at any time however this shall not exceed three years Dispute Resolution Disputes may arise with contractors when complying with ARTC s competency management system. Further information on dispute resolution can be found in Rail Safety Worker Competency Management Procedure HR Version 3.0 Date of last revision: May 2013 Page 11 of 17

12 Risk Management 4 Recording of Competence The competency management system records the competencies required for each of the roles in the project management matrix. 4.1 Capturing AQF qualifications ARTC will record a RSW s AQF qualifications in the competency management system. This will verify attainment of the qualifications and link them to the relevant project management role they have applied for. 4.2 Capturing Non AQF qualifications Information captured in the record of relevant experience including non AQF qualifications, skills and knowledge that the RSW has gained will be recorded by ARTC in the competency management system and linked to the project management role they have applied for. 4.3 Issuing RIW Cards or Certificates of Competence Upon successful lodgement and verification of competencies, payment of fees and completion of a 100 points identification check the card issuing body generates and despatches a RIW card to contractors. An ARTC certificate of competence is issued to ARTC RSW. These are issued by the relevant People, Culture and Development coordinator. ARTC employees, contractors and external party employees must carry their current certificate of competence or RIW card traceable to their competency records that are appropriate to the reason for their performance of rail safety work. Version 3.0 Date of last revision: May 2013 Page 12 of 17

13 Risk Management 5 Risk Management An essential element in identifying and developing RSW competencies is ensuring systems are in place for the identification and management of all risks. RM-01 details ARTC s Risk Management Procedure, and is to be read in conjunction with this Procedure. 5.1 Register Risks in the implementation of ARTC s competency management system have been identified and recorded in the company s central risk register. It is the responsibility of each division or Alliance to review their risks on a regular basis and within guidelines in ARTC Risk Management Procedure RM-01. The aim is to review existing risks including their controls, identify new or additional risks and ensure changes to risk profiles are reflected in the registers. Project specific risks are managed by the project until it is complete. At this time, the risks shall be reviewed and ongoing risks entered into the appropriate risk register. Further information is contained within the Project Management Procedure PP Auditing ARTC risk & compliance auditors and investigators are responsible for checking competencies of personnel within the rail corridor during their audit process or during any unplanned visits. Employees or contractors performing the role of work site protection officer are responsible for checking employees and contractors on site for validity of RIW cards held by employees and contractors on a worksite. Audits which will focus on the level of compliance with this procedure, compliance to safe working rules and RSW record management. Audits will be conducted on the basis of the status and importance of the rail safety work and associated risk in accordance with ARTC Risk Management Procedure RM Auditing of Documents An ARTC assessor may on any occasion undertake an audit of the supporting information and assessment documentation for a RSW. The assessor may request further information from the RSW with regard to the audit. The RSW shall provide the further information within a reasonable time. Version 3.0 Date of last revision: May 2013 Page 13 of 17

14 Project Director (Path 1) Project Director (Path 2) Senior Project Manager (Path 1) Senior Project Manager (Path 2) Project Manager (Path 1) Project Manager (Path 2) Project Engineer Project Officer/Technician People, Culture and Development Procedure Appendices Appendix 1 Project Management Competency Matrix Project Management Essential Education and Training Tertiary Qualification - Bachelor Degree x x x x Tertiary Qualification - Certificate x Tertiary Qualification - Trade x Current CV x x x x x x x x Record of Relevant Experience x x x x x x x x Essential Relevant Experience 1 YEAR x 2 YEARS 3 YEARS x x 5 YEARS x x 7 YEARS x x 10 YEARS x OTHER Version 3.0 Date of last revision: May 2013 Page 14 of 17

15 Appendices Appendix 2 - Process for a Rail Safety Worker applying for/obtaining a RIW card for the first time. 1. Contractor requires a RIW card. 1. Contractor requires ARTC rail safety worker card 2. Contractor refers to competency and assessment criteria on ARTC website 2. Contractor refers to competency and assessment criteria. 3. Contractor uploads to Onsite: a. copies of qualifications and transcripts, 3. Contractor uploads competence documentation to Onsite 5b. Contractor advised to reapply / provide further information b. signed and verified record of relevant experience c. any other supporting evidence d. current resume, and e. verified assessment criteria checklist. 4. Internal assessment of documentation against criteria for task No 4. Assessor reviews documentation against criteria. No 5. After review of paperwork, decision made by assessor, and contractor advised whether further assessment is required. 5. Contractor holds relevant competencies 5b. The assessor deems the contractor not yet competent and advises them that they do not yet have the minimum required competencies to carry out the work that they have applied for. 6. Further assessment or evidence required. Yes Unclear 6. Further assessment or evidence required 6b. Assessor deems contractor competent 6b. After reviewing the gap assessment the assessor will deem whether the contractor is competent or not. The contractor to be informed of the decision. 7. Assessor completes authorising document and uploads it to Onsite. Contractor advised to complete 100 points of identification check. 7. Assessor completes assessment approval form. Contractor proceeds with 100 point identification check Yes 8. Documentation complete 9. Card issued. 8. Documentation complete 9. Card issued Version 3.0 Date of last revision: May 2013 Page 15 of 17

16 Appendices Appendix 3 - Process to become an External Assessor 1. Contractor currently carrying out RSW for ARTC and wanting to become an external assessor 1. Contractor wanting to become an external assessor. 2. Contractor provides: a. copies of qualifications and transcripts 2. Contractor to provide documentation to internal assessor No b. record of relevant experience c. current resume d. external assessor criteria 3. ARTC internal assessor to assess competence. 3. Internal assessment of documentation against criteria 4. After review of application, decision made by internal assessor, and contractor advised whether further assessment is required. 4b. Internal assessor advises the contractor of gap requirements or contractor does not yet have the minimum required competencies to carry out the work they have applied for. 4. Contractor holds relevant competency to become an external assessor No 4b. Assessor informs the contractor of gap requirements or denied the ability to be an external assessor 5. Internal assessor determines further assessment required. Unclear No 5b. After reviewing the gap assessment the internal assessor will deem whether the contractor is competent or not. 6. Internal assessor verifies external assessor assessment approval form and uploads it to Onsite. Yes 5. Further assessment required 5b. Assessor deems consultant competent 7. ARTC forwards external assessor details to issuing body as the point of identification verification and external assessor approved to assess in Onsite system. 6. Assessor verifies assessment approval form and forwards it to the contractor Yes 7. External assessor approved in Onsite system Version 3.0 Date of last revision: May 2013 Page 16 of 17

17 Appendices Appendix 4 - Assessor Competencies The following table summarises the pre-requisite competencies for ARTC and contractor staff assessing project management competencies. ARTC Assessor Competencies Hold formal recognition of competence in the following units. Demonstrate current knowledge of the industry, industry practices, and the job or role against which performance is being assessed. Demonstrate current knowledge and skill in conducting assessments in a range of contexts. Demonstrate the necessary interpersonal and communication skills required in the assessment process. Licencing and registration requirements. Comments TAEASS402B Assess Competence - compulsory for all assessing staff. Other AQF and non-aqf competencies to the level of those being assessed (can be waived at discretion of functional category expert). Relevant work experience in the areas being assessed. If relevant, attendance at professional development/training and education activities focusing on good practice in the relevant industry competencies. If relevant, participation in professional/industry networks. Familiarity with the competency standards in the training package to be used by the candidate as a basis of assessment. Have conducted or reviewed an equivalent assessment in the previous 12 months. Participate in one professional development activity with a group in the previous 12 months. All licences, registrations, competencies current. Version 3.0 Date of last revision: May 2013 Page 17 of 17