Control of Contractors Procedure

1. Purpose 
2. Scope
3. Definitions
4. Responsibilities
5. Training and competency
6. Procedure   
7. Review  
8. References and links
9. Appendices list
10. Document control

2.1 This procedure is applicable to all staff and contractors working on OBU sites but does not cover the management of contractors associated with projects where ‘ownership’ of an area is managed by the contractor such as large-scale new builds.

2.2 It is recognised that the majority of contractor management occurs within Estates and Campus Services (ECS) and the structure within the Maintenance team (to some extent) reflects this.  Consequently, the naming convention of roles within this procedure, (which applies across OBU) doesn’t necessarily match to ECS. Within ECS the ‘Contract Manager’ role will typically take on the role of ‘Commissioner’ and ‘Host’ as described in this procedure.

2.3 This procedure will assist the University and relevant staff in complying with the requirements of the University’s duties under the Duties under Construction (Design and Management) (CDM) regulation 2015. CDM regulations applies to a range of construction related activity including (but not limited to) alterations repair, upkeep and maintenance.  The aim of this regulation is to:

• sensibly plan the work so the risks involved are managed from start to finish
• have the right people for the right job at the right time
• cooperate and coordinate the work with others
• have the right information about the risks and how they are being managed
• communicate this information effectively to those who need to know
• consult and engage with staff and contractors about risks and how they are being managed.

4.1 Pro Vice Chancellor and Directors of Directorates are responsible for 

• Ensuring that appropriate processes are in place that only competent Hosts, with the appropriate skill sets, are appointed and they are resourced to undertake the role of Host in accordance with these procedures.
• Making their staff aware of this procedure, its requirements and that it is followed where appropriate.

4.2 The Director of Estates and Campus Services (ECS) is responsible for ensuring that:

• A list of those Authorised Persons who can authorise Permits to Work for specific high-risk work is available.
• The structure within ECS meets the broad roles/responsibilities set out in this procedure.

4.3 The Commissioner (those that require a contractor to undertake the work) has the following responsibilities:

• Prior to commencing with the procurement of contracted services, they should be authorised to do so. If in doubt, they should consult their line manager for clarification. All procurement of contracted services must be carried out in accordance with the University’s Financial Regulations. If in doubt guidance can be sought from the University Procurement Team.
• If services are contracted from an outside provider, they are responsible for ensuring health and safety arrangements relating to the work are identified. This includes the need to review the contractor’s RAMS. If unclear of their health and safety management responsibilities, they should seek advice from their line manager before accepting this responsibility.
• Where work does not affect UI then Faculties and Directorates may manage work directly but should ensure this is carried out by a suitably competent person. An example of such work is where a contractor is engaged to service/repair equipment.
• Where the work proposed has/or may have an effect on UI, ECS must be consulted prior to the work being commissioned.  This can be done through raising a ECS Service Desk notice.
• Usually, it is expected that the Commissioner will also act as the Host. However, where the Commissioner is not able or does not believe they are competent to act as Host, they must plan for the appointment of a suitable Host. These arrangements must provide the Host with sufficient time to fulfil the responsibilities of this role. Failure to do so is likely to lead to delays in the work being started. However, it is recognised that at times there will be operational demands and requirements whereby it is not possible to provide sufficient notice to the host. Where this is the case, every effort should be made by the Host to support these requirements. This must not be at the expense of safety.

4.4 The Host has the following responsibilities:

• Reviewing the contractor’s RAMS with specific reference to the work the contractor has been engaged to undertake. This review should also include the risks presented by the contractor’s activities and risks produced by the University or others in the area of which the contractor will need to be aware.
• Ensuring appropriate arrangements are in place for the contractor to sign in and out of site.
• Depending on the hazards of the work and the location, the Host will need to decide the appropriate level of supervision. This may range from meeting the contractor, escorting them to site and ensuring correct set-up to regular visits throughout the course of the job. Where the risk is higher this supervision must include a site-specific walkthrough prior to the job commencing.
• The host holds responsibility for safety management of works being undertaken.
• Should note any changes to the workforce and any accidents.  When finished, review the work and record any lessons. 
• To ensure the appropriate Permits to Work are prepared in accordance with the University’s Permit to Work Procedure.
• To make sure contractors are fully aware of the location in which they are due to work, the specific hazards associated with the area and that any specific inductions (for example to laboratories) are arranged in good time with the appropriate people.
• To ensure where construction or demolition work takes place, a Contractor Controlled Site will be set up in which the Contractor will take full control of the area and prevent uninvited access into it by others.  For all other works appropriate separation via the use of barriers should be implemented.
• When the work is completed by the Contractor, the Host is to check and confirm with the Contractor that the work is completed to the University’s satisfaction and the work area is left safe and serviceable, tested and recommissioned as appropriate.
• If the contractor has removed any waste during the duration of the project the Host should request copies of accompanying waste documentation e.g. waste transfer notes/permit details) and provide this to the University Environment Team.
• Liaise with the building/area users to ensure appropriate scheduling of contractor activities to minimise disruption to normal operations as much as reasonably practicable.

All Hosts, where they consider it appropriate, can have H&S documentation reviewed. This should be by an appropriately competent person normally within the Estates and Campus Services Directorate or Health and Safety Team. Confirmation of this should be recorded on the appropriate permit or authorisation to work.

During contractor's works, where doubt exists or there is a need to deviate from the RAMS or PTW, the contractor must cease work and refer to his Host before continuing.

4.5 Health and Safety Department is responsible for

• Reviewing RAMS when requested. 
• Providing training to staff in the management of contractors.
• Undertaking periodic spot checks to monitor compliance.
• Respond to significant incidents.
• Lead on external visits by agencies such as the fire service.
• Providing advice on queries raised by the host in relation to works.

6.1 Once appointed, the contractor must supplement any generic risk assessments and method statements with more job and site-specific risk assessments which accurately reflect the work being undertaken. These must be issued to the Host for review/comment prior to the work commencing on site. If the contractor will be producing waste during the project, the Host must request details of the waste carrier’s licence and waste disposal site permits that will be used.

6.2 Prior to arrival on campus, the Host should liaise with the contractor, add the contractor details to the permit to work system and raise the Contractors Authorisation to Work Form.

Some types of work are inherently of a high-risk nature and require an increased level of management. These works will require a ‘Permit to Work’ to be issued prior to the Contractor commencing work. Where isolation is required of mains services such as electrical, IT network, water and gas, requests are to made through ECS Service Desk notice.

6.3 The Host is responsible for reviewing the need for Permits with the contractor in advance and making the appropriate arrangements with the Authorised Person for high-risk work. Permits may only be required for certain elements of works, which may form a small element of the overall works.

Induction

6.4 Prior to or upon their first arrival at the campus, all contractors must undertake OBU’s ‘’Contractors H&S Induction’ which is part of the Authorisation to Work/PTW system.

6.5 Dependent upon the specific location of the work on campus and prior to commencing work, Contractors may be required to undertake additional local inductions or safety briefings that will be delivered by the building/area occupier/manager. This is to ensure that the contractor is fully aware of all of the specific local risks and working arrangements relating to specific areas. These include, but are not limited to:

• Laboratories
• Workshops
• Plant rooms
• Roof spaces and ceiling voids
• Roof or access gantries
• Confined spaces (trenches, ducts, vessels or tanks)

Signing in/out procedure

6.6 The Host is to notify the contractor of the appropriate signing in process for that campus/location for where the area they are due to commence work.

6.7 In the case of a contractor attending site who is different to the one expected, the Host is to confirm the contractor understands the specific RAMS that applies to the work, where a PTW has been raised, this is appropriately amended and the contractor completes the necessary H&S induction.  Where there are any concerns regarding the work proceeding the host should not allow the work to continue.

6.8 An exception to this requirement is where a Contractor is formally handed responsibility of a construction site, under a formal construction contract, the Contractor takes responsibility for the health and safety of all contractors working on that site. As part of this undertaking, the contractor shall run a separate site-based induction and signing in/out procedure, which will refer to the construction site and rules relating to the general University campus.

6.9 Once work has been completed the contractor is to follow the signing out process as communicated by the host.

Supervision

6.10 The Host is responsible for ensuring that the work is suitably supervised. The level of supervision is highly dependent upon the nature of the work being carried out and the assessment of risk of specific operations. Where required, advice and guidance can be sought by the Host from the H&S Department as assurance that the Contractor is ‘suitably supervised’.

6.11 Following completion of the work, the Host is to satisfy themselves that the work has been completed to a satisfactory standard and the area has been rendered in a safe condition and presents no additional on-going hazards.

Term Contractors

6.12 In the case of Term Contractors, any documentation required during tender, including RAMS should be provided and checked as part of the tender exercise and periodically monitored throughout the period of the contract. Spot checks by the Host/Contract Manager are to be carried out on a regular basis on Term Contractors work, the frequency of which is to be decided by the Host/Contract Manager.

6.13 Term Contractors are required to follow this procedure with regards to their own staff and sub-contractors.  Any problems or concerns must be brought to the attention of the Contract Manager/Host.

8.1 Managing Contractors – a guide for employers (HSE)

8.2 Use of Contractors – a Joint Responsibility (INDG368)

8.3 Safe Use of work equipment – Approved Code of Practice and Guidance L22

8.4 Personal Protective equipment at work – Guide on Regulations

8.5 Construction Design and Management Regulations 2015