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Management of Contractors
Procedure
Page 2 of 27 Management of Contractors Procedure, Version 1.3, 10/04/17
Version Control Sheet
Version Date Reviewed By Revision Details
1.0 28/08/2015 Louise Newsham Changes to job titles and roles. Reviewed to include recent legislative changes.
1.1 22/03/2016 Louise Newsham Amendments and reworking of procedure to ensure compliance with CDM Regulations 2015 and to cover all types of contractors.
1.2 02/08/2016 Louise Newsham Reworking of procedure so that it is University-wide.
1.3 10/04/2017 Louise Newsham Clarification of construction work and monitoring in Section One.
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Contents
Management of Contractors Procedure Introduction Section 1 - Management of Contractors who undertake construction work
1. Definitions 2. Purpose of procedure 3. Responsibilities 4. Duties 5. Notifiable Projects 6. Awarding of contracts and competence
7. Pre-Construction Information
8. Asbestos Information 9. Health and Safety File 10. Construction Phase plan 11. Mobilisation 12. Monitoring, Performance and Compliance
12.1 Estates and Facilities as the Principal Contractor
12.2 Estates and Facilities as the Client
13. Completion and handover
Section 2 - Management of telecommunications contractors (Richmond roof
and Richmond generator)
1. Definitions 2. Purpose of procedure 3. Responsibilities 4. Access 5. Emergency Procedures
Section 3 Management of all other contractors 1. Definitions 2. Purpose of procedure 3. Responsibilities 4. Phase Approach to Managing Contractors
Appendices Appendix 1 - Criteria for Assessing Competence (Construction Work)
Appendix 2 - Management of Construction Contractors Process Flow
Appendix 3 – Criteria for Assessing Competence (Non-Construction Work)
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Introduction
When the University engages contractors to either provide a service, complete a task or
carry out work on our behalf we have statutory responsibilities to ensure, so far as is
reasonably practicable, the health, safety and wellbeing of those we contract. We also have
statutory responsibilities to ensure our staff and any University users are not endangered by
the service, task or work undertaken by contractors. This procedure provides guidance on
how to manage and control contractors from a health, safety and wellbeing perspective in
relation to services, tasks or works provided.
This procedure is spilt into three sections. Each section outlines the procedure for managing
a specific type of contractor:
Section 1: Contractors who carry out construction work
Section 2: Telecommunications contractors (Richmond roof or Richmond generator)
Section 3: All other contractors
A service, work or a task needs to be completed and a contractor is required
Has the University directly employed the contractor?
The only contractors allowed on site, to carry out work who have not been directly employed by the University are
telecommunications contractors who have cabins on Richmond Roof.
See Section 2 for procedure.
Is the contractor coming to undertake construction work?
YES NO
Contractor is a classed as a construction contractor.
See Section 1 for procedure.
Contractor is not here to undertake any construction work or to work in a
cabin on Richmond roof.See Section 3 for procedure.
NOYES
Construction Work (work) is any work (building, civil engineering or engineered construction) carried out on a building. This includes: - a)The construction, alteration, conversion, fitting out, commissioning, renovation, repair, redecoration or other maintenance (including high pressure water cleaning), de-commissioning, demolition or dismantling of a structure.b)Preparation for an intended structure, including site clearance, exploration, investigation (not survey) and excavation (not archaeological investigations) and the clearance or preparation of the site for use or occupation at its conclusion.c)Assembly or disassembly, on site, of prefabricated elements that formed a structure.d)The removal of a structure, or of any product or waste resulting from demolition or dismantling of a structure.e)Installation, commissioning, maintenance, repair or removal of mechanical, electrical, gas, compressed air, hydraulic, telecommunications, computer or similar services which are normally fixed within or to a structure.
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Section 1 Management of Contractors who undertake construction work
1. Definitions
CDM Regulations are the Construction (Design and Management) Regulations 2015.
They set the health, safety and wellbeing requirements for any construction work
from inception through to the design, undertaking and handover.
Construction Work (work) is any work (building, civil engineering or engineered
construction) carried out on a building. This includes: -
The construction, alteration, conversion, fitting out, commissioning, renovation,
repair, redecoration or other maintenance (including high pressure water
cleaning), de-commissioning, demolition or dismantling of a structure.
Preparation for an intended structure, including site clearance, exploration,
investigation (not survey) and excavation (not archaeological investigations) and
the clearance or preparation of the site for use or occupation at its conclusion.
Assembly or disassembly, on site, of prefabricated elements that formed a
structure.
The removal of a structure, or of any product or waste resulting from demolition
or dismantling of a structure.
Installation, commissioning, maintenance, repair or removal of mechanical,
electrical, gas, compressed air, hydraulic, telecommunications, computer or
similar services which are normally fixed within or to a structure.
Project means planned work that involves construction work. It includes the
planning, design, management and all other work until the end of the construction
phase.
Client is the organisation or individual for whom construction work is carried out.
Estates and Facilities are the client for all construction work that is undertaken on
behalf of the University. As end users, Faculties and Directorates are only regarded
as ‘clients’ for internal management purposes during the initial briefing and design
stage.
Principal Designer is a designer appointed by the client, to plan, manage, monitor
and coordinate the health and safety in the pre-construction phase of a project
where it involves more than one contractor. They may be an organisation or an
individual and they will have the competence to carry out the role.
Principal Contractor is a contractor appointed by the client, to plan, manage,
monitor and coordinate the health and safety of the construction phase of a project
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where it involves more than one contractor. They may be an organisation or an
individual and they will have the competence to carry out the role.
Designer is an individual or an organisation who as part of their business, prepares or
modifies designs for a building, product or system relating to construction work.
They must be competent to eliminate, reduce or control foreseeable risks that may
arise during the construction and/ or maintenance of a building.
Contractor is an individual or an organisation who undertakes the actual
construction work. They must be competent to plan, manage and monitor the work
under their control.
Sub-contractor is an individual person or an organisation under a contract with a
contractor to provide a service, task or work to the University. A sub-contractor will
be managed by a contractor.
Competence is an individual or an organisation that has the sufficient skills,
knowledge and experience to undertake the task or role that has been assigned to
them. The Criteria for Assessing Competence (Appendix 1) indicates how the
different elements of competence can be fulfilled.
Estates and Facilities Directorate Representative (EFD Representative) is a
nominated person who will have responsibility for the management of the works and
any contractors, designers and/ or consultants employed under the terms of the
project. The may also be known as the Project Manager, or be a part of the project
team.
Health and safety file is to be completed on all projects where there is more than
one contractor. The health and safety file is a document that contains relevant
information needed to ensure health and safety during any subsequent work such as
maintenance, cleaning, refurbishment and demolition. The principal designer will
begin the file and either they or the principal contractor will finish the file and hand
it to the client on completion of the project.
Construction phase plan is a document that must record the health and safety
arrangements for the construction phase of the project, the site rules and any
hazards specific to the project and their control measures.
F10 is an online form to notify the Health and Safety Executive (HSE) about the
commencement of a project involving construction work that will either last longer
than thirty working days with more than twenty workers working simultaneously on
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it at any point or it will exceed five hundred person days. It is the responsibility of
the client to ensure the F10 is completed.
HSE is the health and safety regulatory body, the Health and Safety Executive.
ServiceNow is the online system Estates and Facilities use to log, track, update and
close jobs/ work.
2. Purpose of procedure
All construction work as defined by the CDM Regulations undertaken on the University
estate must be authorised and completed in consultation with Estates and Facilities.
Estates and Facilities recognise that when engaging contractors to undertake construction
work on the University estate, there is a legal obligation as the client to ensure there are
suitable arrangements in place to manage the project. There is also a duty to ensure that
those employed are competent to carry out their role in the project for the safety of
everyone who could be affected by their activities. The contracting organisations have
similar duties to plan, manage, monitor and co-operate on the project.
3. Responsibilities
3.1. Director of Estates and Facilities
The Director of Estates and Facilities has responsibility for:
Overall management of the university estate;
Ensuring sufficient resources are available for the implementation of this procedure.
3.2. Senior Estates and Facilities Management
The senior management in Estates and Facilities are responsible for the day-to-day
management and maintenance of the University estate.
3.3. Client (EFD Representative)
The client, for the purposes of this procedure, will always be the EFD Representative, is
responsible for:
Defining the work that has to be done including the task, the place of work and
associated issues;
Considering the hazards that are likely to be introduced by the work and any risks
arising from our business affecting the contractors;
Liaise with occupants or users of work area about possible impacts and where
appropriate engage them in drawing up a plan for dealing with the impact of the work;
Identifying potential contractors and evaluate their competence to carry out the work
safely;
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Obtaining and providing pre-construction information about the site, the activities, the
work (including any residual risks identified by designers/ specifiers), and safety rules to
enable the contractors to take these into account;
Discussing detailed work plans with the successful contractor and reviewing their risk
assessment and method statement for the work;
Ensuring that health and safety requirements are included in the contract;
Undertaking or reviewing risk assessments for the workplace to determine any new or
changed risk controls to be introduced for the duration of the work and after it is
completed;
Ensuring contractors representatives are met and briefed with essential health, safety
and emergency information;
Signing off the area after works have been completed, ensuring that no hazards remain;
Leading a contract review to ensure that any problems are identified and action taken.
3.4. Principal Designer
The principal designer can be an internal department/ employee or an external consultant/
organisation and must be formally appointed. The principal designer is responsible for:
Planning, managing, monitoring and coordinating health and safety in the pre-
construction phase of a project;
Identifying, eliminating or controlling foreseeable risks with constructing, using and
maintaining the building;
Ensuring any other designers carry out their responsibilities;
Preparing and providing relevant information to other parties e.g. EFD Representative;
Liaising with the principal contractor to help in the planning, management, monitoring
and coordination of the construction phase.
3.5. Principal Contractor
The principal contractor can be an internal department/ employee or external consultant/
organisation and must be formally appointed. The principal contractor is responsible for:
Planning, managing, monitoring and coordinating health and safety in the construction
phase of a project;
Liaising with the principal designer;
Preparing the construction phase plan;
Organising cooperation between contractors and coordinating their work;
Ensuring that suitable site inductions are provided;
Ensuring the site is set up suitably with welfare facilities and reasonable steps are taken
to prevent unauthorised access;
Ensuring workers are consulted and engaged in securing their health and safety.
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3.6. Designers
Designers are responsible for:
Preparing or modifying designs to eliminate, reduce or control foreseeable risks that
may arise in construction, use or maintenance of a building;
Providing information to other relevant parties e.g. EFD Representative, contractors.
3.7. Contractors
Contractors are responsible for:
Planning, managing and monitoring the work under their control so it is carried out
without risks to health and safety;
Liaising and cooperating with the EFD Representative and any other contractors;
Complying with the Site Rules;
On single contractor work, preparing the construction phase plan.
3.8. Sub-contractors
Sub-contractors are responsible for:
Adhering to the instructions, risk assessments and safe methods of working agreed with
the contractor.
Liaising and cooperating with the EFD Representative and any other contractors;
Complying with the Site Rules;
4. Duties
Where construction work will be undertaken by a contractor, an EFD Representative will be
named and they will be responsible for ensuring suitable resources, time and arrangements
are in place for the work or project. The EFD Representative (either by themselves or as
part of a project team) will undertake a thorough evaluation of the work or project required
to assess its scale and will appoint, where there is more than one contractor, a principal
contractor and a principal designer. If there is only one contractor required the EFD
Representative will appoint the contractor and a designer (if required).
These roles can be a filled with either internal employees or external contractors, or a
mixture of both based on the competency of the individual or organisation (Appendix 1
Criteria for Assessing Competency).
5. Notifiable Projects
If it is likely that the project will exceed 30 working days and have more than 20 workers
working simultaneously on it at any point or it will exceed 500 person days of work, then the
project is notifiable to the HSE and the EFD Representative will ensure that a F10 is
completed.
For notifiable projects the management of contractors will be broadly influenced by this
procedure. But, the health and safety arrangements will be determined specifically for the
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needs of the project and the detailed arrangements will be agreed between the client,
principal designer and the principal contractor.
6. Awarding of contracts and competence
The awarding of any contracts must comply with Public Procurement Legislation and
University Financial Purchasing Regulations.
Estates and Facilities select contractors based on technical competence, experience and
suitability for the work to be done. No design or construction works shall be awarded
unless the competence criteria has been satisfied (Appendix 1 Criteria for Assessing
Competency).
The University of Bradford has a number of frameworks in place for contractors, designers
and consultants who have already shown certain evidence to prove they meet a defined
standard. The competency criteria can be satisfied by what evidence has been received in
order to join a framework along with work specific information being requested and
assessed during the tendering process before the appointment is made.
The EFD Representative will review the HSE’s notices and prosecution database to
determine if potential contractors have been subject to any formal legal sanction. Having
received a formal sanction does not mean a contractor cannot be appointed, merely that
the EFD Representative must satisfy themselves that the health, safety and wellbeing
requirements they outline will be met if not exceeded.
Any claim that a contractor is a member of a trade, professional body or an approved
contractor scheme is verified directly with the body to ensure the membership is current
and covers the work being offered.
7. Pre-Construction Information
To enable contractors to take account of all issues affecting health and safety under their
control we will provide essential health and safety information. The information will be
relevant to the project, have an appropriate level of detail and will be proportionate to the
risks involved. The information can include but is not limited to:
Any design or specification work already undertaken, any information about risks
which could not be eliminated at the design stage;
Restrictions on the time or location of the work;
Access, parking and road traffic rules;
Information about other people who could be present in the premises, or could be at
risk in the vicinity;
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Any restrictions relating to the storage of goods, materials, skips, site huts or storage
containers;
Rules regarding the storage of waste awaiting collection, and where applicable for
removal of waste from site;
Welfare facilities;
Emergency arrangements (e.g. first aiders, fire detection system, evacuation routes);
Rules about work on the electrical installation and the use of electrical equipment
Requirements for work on the gas system;
Rules requiring the use of specialist personal protective equipment where required;
Any particular hazards within the premises or anticipated hazards from the work
activities;
Restrictions on the introduction of certain high hazard equipment or processes
except where agreed in advance and subject to a permit to work, e.g. radioactive
sources, cartridge tools, hot work, lifting equipment;
Restrictions and rules about the use of hazardous substances or generation of noise;
Rules about work at height including roof work, scaffolds, mobile elevating work
platforms and suspended access equipment when applicable;
Requirements for supervision and quality assurance;
Restrictions or rules on the use of sub-contractors;
Any specific qualifications required for particular parts of the job;
Requirements to report all accidents and incidents to the principal contractor, and if
there is no principal contractor, the EFD Representative.
8. Asbestos Information
No works will be undertaken until asbestos information has been requested, a report
received and any recommendations acted upon. The Appointed Person (as defined by the
Estates and Facilities Management of Asbestos Procedure), depending on the scope and
location of the work will make recommendations whether any further measures are
required prior to the works commencing to ensure the area is safe to work in, such as
containment or removal. The remediation work must be completed before the works begin.
9. Health and Safety File
If the work involves more than one contractor, the principal designer must begin a health
and safety file. A health and safety file must be appropriate to the scope and characteristics
of the project and contain health and safety information to be taken into account during any
subsequent project such as maintenance, cleaning, refurbishment or demolition.
The file may be started and completed by the principal designer, or started and then passed
to the principal contractor for completion. The health and safety file must be received by
the EFD Representative on completion of the project.
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10. Construction Phase Plan
A construction phase plan must be completed for all construction work. The plan must
record the arrangements for managing the significant health and safety risks associated with
the construction phase of the work. It is the basis for communicating these arrangements
to all those involved in the construction phase and as such it must be easy to understand,
specific to the project, and appropriate to the risks involved.
For works where there is a principal contractor, the principal contractor will create the
construction phase plan and review it as appropriate throughout the project.
For works where there is only one contractor, who creates and reviews the construction
phase plan will be agreed between the EFD Representative and the contractor.
11. Mobilisation
The client is responsible for ensuring that an adequate mobilisation period is provided
between appointment of a contractor and commencement of work on site. However, the
length of this period will depend on the nature of the works and it is essential that projects
are properly planned and programmed to allow sufficient time for all health and safety
measures and procedures to be put in place prior to starting on site. For simple jobs, a
mobilisation period of a few hours may be sufficient, however for complex multi-trade
projects, several weeks may be necessary.
12. Monitoring, Performance and Compliance
12.1 Estates and Facilities as the Principal Contractor
Where Estates and Facilities assume principal contractor responsibilities all work will be
monitored periodically to: -
Review progress and identify any areas of concern or improvement;
Check quality of workmanship;
Ensure workers are working in a safe and acceptable manner.
The frequency of monitoring will be risk based around the scope and length of the work,
and will be confirmed and documented by the EFD Representative before the work begins
on the Management of Contractors Checklist.
Broadly for high risk works (regardless of duration) or where contractors have a discreet
work site the work area needs to be checked and documented at set-up and throughout the
duration of the work at intervals no greater than fortnightly. If the EFD Representative is
unsure as to the risk level they will consult with Health, Safety and Wellbeing or the
Environmental Manager for guidance.
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A Site Set-Up form or an equivalent document from the contractor is to be used to
document the inspection of the discreet site before works begin. A Site Inspection Checklist
is to be completed for each inspection.
Current versions of forms that enable EFD Representatives to comply with this procedure
are available from the Estates and Facilities webpages (Management of Contractors
webpage).
12.2 Estates and Facilities as the Client
Where Estates and Facilities are the Client, the EFD Representative (and others as
appropriate) will regularly attend meetings with the principal contractor for the duration of
the work. The EFD Representative will undertake site inspections as agreed and
documented in the project documentation before the works begin. The Site Inspection
Checklist can be used if appropriate to the work, it is not relevant to the work being carried
out, the inspection along with any action taken must be recorded and kept with the rest of
the work or project documentation (either on ServiceNow or in the project file). Any
recommendations or concerns must be made immediately to the contractor.
13. Completion and handover
For all projects it is the responsibility of the EFD Representative to accept and approve
completion so as to ensure that the work, site and/ or installation has been completed
satisfactorily and that no safety hazards or potential hazards exist.
If the construction work was undertaken on behalf of an internal client, upon completion of
the work the EFD Representative will arrange a formal handover of the area or building to
the internal client. The formal handover should include:
Walk around to confirm completeness and quality of finish/ installation;
Handover of all keys, security codes etc.;
Confirmation of defects liability period and other contractual issues outstanding;
Issue any required certification e.g. electrical test, emergency lighting, fire alarm, lift
conformity certificates.
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Section 2 Management of telecommunications contractors (Richmond roof or Richmond
generator)
1. Definitions
Telecommunications is the branch of technology concerned with communication over a
distance by cable, telegraph of telephone.
2. Purpose of the procedure
The University has agreements in place with telecommunication organisations that they can
utilise areas of the University estate for their business at any time, these areas include
cabins on the roof of and a generator at the back of Richmond building. These contractors
have not been employed by the University to undertake any work, however the University
still recognises its responsibilities to ensure staff and University users are not adversely
affected by the work the telecommunications contractors undertake.
This procedure sets the University’s approach to managing telecommunication contractors
who require access to the cabins on the roof of or the generator at the back of Richmond
building.
3. Responsibilities
3.1 Director of Estates and Facilities
The Director of Estates and Facilities has responsibility for:
Overall management of the university estate;
Ensuring sufficient resources are available for the implementation of this procedure.
3.2 Senior Estates and Facilities Management
The senior management in Estates and Facilities are responsible for the day-to-day
management and maintenance of the University estate.
3.3 Space Management Manager
The Space Management Manager is responsible for:
Liaising with the telecommunication contractors, keeping them updated with any
procedural changes the University makes;
Ensuring this procedure is disseminated to telecommunications contractors for
implementation.
3.4 Security
The University Security Team are responsible for:
Providing access for telecommunication contractors to either the cabins on the roof
of or the generator at the back of Richmond building. Access to Richmond roof will
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only be given if a completed and signed Roof Access Declaration or a Roof Permit is
handed in.
Providing assistance to the telecommunications contractors in the event of an
emergency.
3.5 Telecommunications Contractors
The telecommunications contractors are responsible for:
Planning their work, so if a Roof Permit is required Estates and Facilities are notified
at least five working days in advance so the paperwork can be completed and any
additional documentation can be requested.
Completing a Roof Access Declaration form every time they wish to access the cabins
on the Richmond roof, if their work does not involve hot work or working outside the
cabin.
Ensuring they sign in and out, using an agreed method when coming onto the
University estate. Between 8am and 4pm, Monday to Friday telecommunication
contractors must sign in at Estates and Facilities Reception and then go to Richmond
reception for access to the required area. Out of these hours telecommunication
contractors must go directly to Richmond reception to sign in and for access.
Report all relevant accidents, incidents and faults that require action by the
University.
4. Access
4.1 Richmond Roof
If the telecommunications contractors want to access the Richmond roof either a Roof
Access Declaration or a Roof Permit must be completed. A Roof Access Declaration is a self-
declaration form and is completed by the contractor. The Roof Access Declaration form is
available on the front desk of Estates and Facilities. If the contractor fulfils the following
conditions:
Carrying out routine testing, maintenance, emergency repair or resetting plant
Not working at height outside of the cabin
Not conducting any hot work
If lone working, has an agreed lone working procedure in place
Received training on how to access the cabins Richmond roof
They can complete the Roof Access Declaration, sign it and hand it in to the Security Team,
who will then give them access to the cabins on Richmond roof. If any one of those
conditions is not met, the telecommunications contractor must request a Roof Permit from
either the Space Management Manager or Health, Safety and Wellbeing, and that will take
at least five working days. Roof Permits need to be completed on the Estates and Facilities
ServiceNow and then printed so that they can be signed by the relevant parties. In order for
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the Roof Permit to be issued the telecommunications contractor will need to provide
information on what task they will be undertaking, when, how long it will take and the
control measures they will have in place.
4.2 Richmond Generator
The telecommunications generator which is located at the back of the Richmond building is
in a locked compound. To gain access the telecommunications contractors must attend
either Estates and Facilities Reception (between 8am – 4pm, Monday to Friday) or Security
at Richmond Reception at all other times.
On the spot access to the generator is for routine maintenance, checks or an emergency
only. If a run test is required, prior notice must be given to Estates and Facilities so that
staff and students using the Richmond building can be notified.
5. In the Event of an Emergency
In the event of an emergency telecommunication contractors must notify the Security Team
in the first instance (ext. 01274 238888), who will advise on the next steps. All accidents or
incidents that happen to telecommunications contractors on the University estate that
could be lessened (either in severity or likelihood) by University intervention must be
reported to Estates and Facilities. This can be achieved via the telecommunications
contractors own Accident Form being handed in to Estates and Facilities or Health, Safety
and Wellbeing.
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Section 3 Management of all other contractors
1. Definitions
Estates and Facilities Directorate Representative (EFD Representative) or named
University contact are employees of the University who engages a contractor to carry out a
service, task or work on behalf of the University.
Contractor is a person or an organisation under a contract with the University to provide a
service, task or work. Contractors can include, for example, service or maintenance
operatives, delivery operatives and construction workers, but does not include temporary
contracted office workers involved in office activities.
Sub-contractor is an individual person or an organisation under a contract with a contractor
to provide a service, task or work to the University. A sub-contractor will be managed by a
contractor.
Work the service, task or work that a contractor is employed to undertake at the University
(excludes construction work).
2. Purpose of procedure
This procedure is intended to provide guidance for University employees on how to manage
contractors who come to the University to provide a service, task or to undertake work such
as providing support services like catering or servicing of equipment. This procedure does
not cover management of contractors who undertake construction work (see Section 1) or
who need to access the telecommunications cabins on Richmond roof or the generator at
the back of Richmond building (see Section 2).
3. Responsibilities
3.1 EFD Representative or named University contact
EFD Representatives or named University contact are responsible for:
Knowing and understanding what work is required so that the work can be appropriately
planned.
Tendering the work according to University Financial Purchasing Regulations.
Ensuring that the contractor is competent to carry out the specified work.
Ensuring all relevant, proportionate and pertinent information is provided to the
contractor pre-commencement to ensure the work can be properly planned and all risks
are appropriately and sufficiently managed.
Ensuring that suitable and relevant inductions are provided to all contractors who will be
providing the work.
Monitoring the standard of the contractor’s work and the progress made.
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Ensuring all relevant health, safety and wellbeing measures are taken to protect
everyone who may be affected by the contractor’s undertaking.
On completion of the contact, conducting a review to see if any lessons can be learnt.
3.2 Contractors and Sub-contractors
Contractors and sub-contractors have a duty to:
Obtain relevant health, safety and wellbeing related information from the University to
be able to effectively undertake the work they have been employed to do.
Plan, manage and monitor their work to ensure that risks to themselves and those who
may be impacted by their work are eliminated or reduced to an acceptable level as
agreed with the EFD Representative or named University contact.
Ensure they provide a safe work place for their staff and any sub-contractors.
4. Phase Approach to Managing Contractors
To successfully manage contractors and ensure safe working, five phases must be followed.
These phases are:
Plan the work
Select the right contractor
Pre-work commencement
During contract work
Completion and review
Current forms to help the EFD Representative or named University contact to comply with
this procedure are available from Health, Safety and Wellbeing ServiceNow.
4.1 Plan the work
The EFD Representative or named University contact will clearly define the work that is
required. Once the work has been defined the known hazards associated with it can then
be identified and their risks assessed. The scope of the work must be clear so as to ensure
that the right contractor is selected for the work.
4.2 Select the right contractor
The contractor must be selected based on their skills, knowledge and experience of the
work that is required and in line with University Financial Purchasing Regulations. The
health and safety arrangements of the contractor must be reviewed by the EFD
Representative or named University contact before the contractor is appointed.
4.3 Pre-work commencement
Once a contractor has been selected, all relevant and pertinent and information for the
work must be provided by the EFD Representative or named University contact to the
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contractor so that they can effectively and safely design their work. This information will
include the known hazards associated with the work along with other information which
may include but is not limited to:
Restrictions on the time or location for the work
Access, parking and road traffic rules
Information about other people who could be present in the premises, or could be at
risk in the vicinity
Restrictions which will apply to the storage of goods, materials, skips, site huts and
storage containers
Rules regarding the storage of waste awaiting collection, and where applicable for
removal of waste from site
Welfare facilities
Emergency arrangements (e.g. first aiders, fire detection system, evacuation routes)
Rules about work on the electrical installation and the use of electrical equipment
Requirements for work on the gas system
Rules requiring the use of specialist personal protective equipment where required
Any particular hazards within premises
Restrictions on the introduction of certain high hazard equipment or processes except
where agreed in advance and subject to a permit to work, e.g. radioactive sources,
cartridge tools, hot work, lifting equipment
Restrictions and rules about the use of hazardous substances or generation of noise
Rules about work at height including roof work, scaffolds, mobile elevating work
platforms and suspended access equipment when applicable
Requirements for supervision and quality assurance
Restrictions or rules on the use of sub-contractors
Any specific qualifications required for particular parts of the job
Requirements to report all accidents and incidents that happen while undertaking
University work
The contractor will then be expected to use the information provided to complete a work
specific risk assessment for the work to be undertaken.
4.4 During contract work
While the work is ongoing the EFD Representative or named University contact will monitor
the contractor. The frequency and type of monitoring will be agreed during the planning
stage of the work, and will be relevant to the type of work being carried out. All monitoring,
any recommendations made and actions taken must be recorded and kept by the EFD
Representative or named University contact.
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4.5 Completion and review
The performance of the contractor and the quality of the work undertaken must be
reviewed following completion of the work. The review can either be informal or formal,
and any comments, action taken or lessons learnt must be recorded.
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Appendix 1 Criteria for Assessing Competence (Construction Work)
Below is a table outlining the criteria and associated evidence needed to be able to demonstrate a contractor organisation is competent to undertake construction work. An organisation will not need to produce all the evidence listed to satisfy the standard, they just need to show enough to meet the standard taking into account the nature of the work and the risks involved.
Criteria and Function Standard to be achieved How to evidence the standard
Health and safety policy (principal contractor, contractor, principal designer, designer)
Expected to have and implement an appropriate policy, regularly reviewed and signed by Managing Director or equivalent.
A signed, current copy of the organisations policy.
Arrangements (principal contractor, contractor, principal designer, designer)
These should set out the arrangements for health and safety management within the organisation and should be relevant to the nature and scale of the work. They should set out how the organisation will discharge their duties under CDM 2015, and should indicate how these arrangements are communicated to workers.
A clear explanation (policy/ procedure/ guidance) of the arrangements which the organisation has made to put its H&S policy into effect.
Competent advice- corporate and construction-related (principal contractor, contractor, principal designer, designer)
The organisation and its workers must have ready access to competent health and safety advice. The advisor must be able to provide general health and safety advice and also (from the same source or elsewhere) advice relating to construction health and safety issues.
Name and competency details of source of advice, e.g. a safety group, trade federation, H&S consultant.
An example from the last 12 months of advice given and the action taken.
Training and information (principal contractor, contractor, principal designer, designer)
Organisation should have and implement training arrangements to ensure workers have the skills and understanding necessary to discharge their duties. There should be a refresher programme, and should run through the organisation from trainees to the Board.
Headline training records.
Evidence of health and safety culture e.g. certificates of attendance, adequate site inductions, sample of toolbox talks.
Details of qualifications and/ or experience of specific corporate post holders for example Board Members, H&S Advisors etc.
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Individual qualifications and experience (principal contractor, contractor, principal designer, designer)
Task knowledge appropriate for tasks to be undertaken (either design or construction process). Health and safety knowledge sufficient to perform task safely. Experience and ability sufficient to perform task, to recognise limitations and identify appropriate actions.
Professionally qualified to chartered level, and/ or membership of relevant construction institution e.g. CIBSE, ICE, IEE, IMechE, IStructE, RIBA.
Validated CPD (through professional membership or further health and safety qualification NEBOSH etc.)
Evidence of work on similar projects with comparable hazards.
Individual qualifications and experience (workers)
Workers are expected to have the appropriate qualifications and experience for the assigned tasks, unless they are under controlled and competent supervision.
Key roles should be named/ identified and details of relevant qualifications and experience provided.
How many workers have a health and safety qualification?
Accident reporting and enforcement, follow up investigation (principal contractor, contractor, principal designer, designer)
Should have records of all RIDDOR for at least last 3 years. Should have a system in place for reviewing all accidents and any action taken. Have records of any enforcement action taken in the last 5 years, and any action taken.
Evidence of how accidents are recorded and investigated.
Records of two accidents and action taken to prevent recurrence.
Has organisation traded under another name or have any sub-contractor had accidents?
Sub-contracting/ consulting procedures (if applicable to principal contractor, contractor, principal designer, designer)
Arrangements in place for appointing, managing and monitoring sub-contractors. Able to demonstrate that sub-contractors have arrangements in place for appointing competent sub-contractors.
How are sub-contractors assessed for competency? Examples of completed sub-contractor assessments.
Evidence showing how organisation requires similar standards of competence assessments from sub-contractors.
Evidence of how sub-contractor performance is monitored.
Hazard elimination and risk control (principal designers/ designers)
Should have and implement arrangements for meeting duties under CDM 2015.
Evidence of co-operation and co-ordination of design work within design team and other designers/ contractors, e.g. meetings and list of attendees, project team notes, actions plans.
Evidence that hazards are eliminated and any remaining risks are reduced through design.
A short summary of how changes to designs will be managed (emphasis on practical measures, not lengthy procedural documentation highlighting generic risk).
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Risk assessment leading to a safe method of work (principal contractor, contractor)
Procedures in place for carrying out risk assessments and for developing and implementing safe systems of work/ method statements (including identification of health issues).
Evidence showing how the organisation will identify significant health and safety risks and how they will be controlled e.g. sample risk assessments/ safe system or work/ method statements.
If less than 5 employees, the organisation will need to describe how the above will be achieved.
Co-operating with others and co-ordinating your work with that of other contractors (principal contractor, contractor, principal designer, designer)
Illustrate how co-operation and co-ordination of work is achieved in practice, and how the workforce is involved in the method statement/ safe system of work/ risk assessment process.
Evidence could include sample risk assessments, procedural arrangements, project team notes etc.
Evidence of how the organisation co-ordinates with others.
Welfare provision (principal contractor only)
Demonstrate how organisation will ensure appropriate welfare facilities will be in place before workers start.
Evidence could include health and safety policy commitment, contracts with welfare facility providers, details of welfare facilities provided on previous projects.
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Appendix 2 Management of Construction Contractors Process Flow
Construction work is required, is a contractor needed to undertake any part of the work?
YES NO
Work designed and undertaken by University staff.
Job logged, updated and closed on ServiceNow, (risk assessment and
relevant paperwork completed and attached to job).
How many contractors will be used?
More than one contractor
Only one contractor
EFD Rep must formally appoint a principal contractor and a principal
designer.
Who is designing the work?
University staffExternal designer
EFD Rep to provide pre construction information and liaise with relevant
university staff to design and plan work.
EFD Rep must check competency of designer and contractor.
Principal contractor to complete Construction Phase Plan
Either EFD Rep or Contractor to complete Construction Phase Plan- must be in place
before work begins.
EFD Rep must check competency of contractor.
EFD Rep to regularly inspect construction work area/ site. Keep a record of all
inspections, any recommendations made and actions taken.
EFD Rep to sign off work and update existing Health and Safety file if
applicable.
EFD Rep to facilitate communication between designer and contractor to allow them to design and plan work.
Principal designer to start Health and Safety file for work.
EFD Rep to provide pre construction information to designer and
contractor.
EFD Rep to provide pre construction information to principal designer
and principal contractor.
EFD Rep to provide pre construction information to contractor.
No further action
EFD Rep must check competency of principal designer and principal
contractor.
Work to begin. EFD Rep and other relevant staff to regularly attend meetings relevant to work and to
monitor work.
EFD Rep to sign off work when complete and update and take
ownership of Health and Safety file.
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Appendix 3 Criteria for Assessing Competence (Non-Construction Work)
Below is a table outlining the criteria and associated evidence needed to be able to demonstrate a contractor organisation is competent to undertake a task, service or work at the University. An organisation will not need to produce all the evidence listed to satisfy the standard, they just need to show enough to meet the standard taking into account the nature of the work and the risks involved.
Criteria and Function Standard to be achieved How to evidence the standard
Health and safety policy Expected to have and implement an appropriate policy, regularly reviewed and signed by Managing Director or equivalent.
A signed, current copy of the organisations policy.
Arrangements These should set out the arrangements for health and safety management within the organisation and should be relevant to the nature and scale of the work.
A clear explanation (policy/ procedure/ guidance) of the arrangements which the organisation has made to put its H&S policy into effect.
Competent advice- corporate and specific to nature of business
The organisation and its workers must have ready access to competent health and safety advice. The advisor must be able to provide general health and safety advice and also (from the same source or elsewhere) advice relating to nature of business.
Name and competency details of source of advice, e.g. a safety group, trade federation, H&S consultant.
An example from the last 12 months of advice given and the action taken.
Training and information Organisation should have and implement training arrangements to ensure workers have the skills and understanding necessary to discharge their duties. There should be a refresher programme, and should run through the organisation from trainees to the Board.
Headline training records.
Evidence of health and safety culture e.g. certificates of attendance, employee inductions.
Details of qualifications and/ or experience of specific corporate post holders for example Board Members, H&S Advisors etc.
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Individual qualifications and experience Task knowledge appropriate for tasks to be undertaken. Health and safety knowledge sufficient to perform task safely. Experience and ability sufficient to perform task, to recognise limitations and identify appropriate actions.
Professionally qualified and/ or membership of relevant professional body.
Validated CPD (through professional membership or further health and safety qualification NEBOSH etc.)
Evidence of work on similar projects with comparable hazards.
Individual qualifications and experience Workers are expected to have the appropriate qualifications and experience for the assigned tasks, unless they are under controlled and competent supervision.
Key roles should be named/ identified and details of relevant qualifications and experience provided.
How many workers have a health and safety qualification?
Accident reporting and enforcement, follow up investigation
Should have records of all RIDDOR for at least last 3 years. Should have a system in place for reviewing all accidents and any action taken. Have records of any enforcement action taken in the last 5 years, and any action taken.
Evidence of how accidents are recorded and investigated.
Records of two accidents and action taken to prevent recurrence.
Has organisation traded under another name or have any sub-contractor had accidents?
Sub-contracting/ consulting procedures (if applicable)
Arrangements in place for appointing, managing and monitoring sub-contractors. Able to demonstrate that sub-contractors have arrangements in place for appointing competent sub-contractors.
How are sub-contractors assessed for competency? Examples of completed sub-contractor assessments.
Evidence showing how organisation requires similar standards of competence assessments from sub-contractors.
Evidence of how sub-contractor performance is monitored.
Risk assessment leading to a safe method of work
Procedures in place for carrying out risk assessments and for developing and implementing safe systems of work/ method
Evidence showing how the organisation will identify significant health and safety risks and how they will be controlled e.g. sample
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statements (including identification of health issues).
risk assessments/ safe system or work/ method statements.
If less than 5 employees, the organisation will need to describe how the above will be achieved.
Co-operating with others and co-ordinating your work with that of other contractors (if applicable)
Illustrate how co-operation and co-ordination of work is achieved in practice, and how the workforce is involved in the method statement/ safe system of work/ risk assessment process.
Evidence could include sample risk assessments, procedural arrangements, project team notes etc.
Evidence of how the organisation co-ordinates with others.
Hazard elimination and risk control (specific for construction work contractors only)
Should have and implement arrangements for meeting duties under CDM 2015.
Evidence of co-operation and co-ordination of design work within design team and other designers/ contractors, eg meetings and list of attendees, project team notes, actions plans.
Evidence that hazards are eliminated and any remaining risks are reduced through design.
A short summary of how changes to designs will be managed (emphasis on practical measures, not lengthy procedural documentation highlighting generic risk).
Welfare provision (specific for construction work contractors only)
Demonstrate how organisation will ensure appropriate welfare facilities will be in place before workers start.
Evidence could include health and safety policy commitment, contracts with welfare facility providers, details of welfare facilities provided on previous projects.