guidance on the safe management of contracts: a contract ......1. take leadership – demonstrate...

Contractor

Client

Guidance on the Safe Management of Contracts:A Contract Lifecycle Approach

International Section of the ISSA for Electricity

c/o BG Energie Textil Elektro Medienerzeugnisse

Gustav-Heinemann-Ufer 130 | 50968 Cologne | Germany

Tel.: +49 221 3778 6007 | Fax: +49 221 3778 196007

Email: [email protected]

www.issa.int/prevention-electricity

ISSA – International Section for ElectricityThe Section was founded in 1970 and is located in Cologne, Germany. The Section´s work is based on the collaboration of more than forty members from twenty countries. Its objective is to promote occupational health and safety in the electricity area as regards the commercial production and distribution of electricity and gas worldwide.The Section encourages international exchange of information and experience

among experts through symposia, workshops, international working groups and trainings on safety and health with regard to crucial issues of occupational safety and health protection in this sector.A further key activity of the Section´s work is the organization of the International Media Festival for Prevention, which takes place every three years in the framework of the World Congress on Safety and Health at Work. The Festival provides a comprehensive over-view of films and multimedia produc-tions from all over the world regarding occupational safety and health.

IVSS 032E

Editor:International Social Security AssociationSection for Electricity, Gas and Waterc/o Berufsgenossenschaft Energie Textil Elektro MedienerzeugnisseGustav-Heinemann-Ufer, 50968 Köln, Germany

All rights reserved. No part of this book may be reprinted or reproduced or utilized in any form or by any electronic, mechanical or other means, now known or hereafter invented, including photocopying and recording, or in any information storage or retrieval system, without permission in writing from the publishers.

Photos: BG ETEM; iStockphoto 59745946/Michael Jung

Peter McCormick, EA Technology, United Kingdom – ChairBernhard Ascherl, Siemens, GermanyPeter Coyle, New ZealandAntonio De Cos Blanco, Fraternidad Muprespa, SpainDieter Häring, ABB, GermanyJens Jühling, ISSA Electricity, GermanyMike Leppard, ENA, United Kingdom

Bernd Merz, ISSA Construction Industry, GermanyJennifer Papantuono, ISSA Electricity, GermanyFrank Pirman, ISSA Mining Industry, GermanyKlaus Renz, ISSA Electricity, GermanyAnsgar Roelofs, RWE, Germany

The ISSA Electricity Section would like to thank all members of the international working group for their active support in establishing this Guidance.

Join the campaign

You are invited to consult the Vision Zero website (www.visionzero.global) for further information and good practice examples and to sign up online to join the global community of Vision Zero Companies.

7 Golden Rules for VISION ZERO

1. Take Leadership – Demonstrate Commitment!2. Identify Hazards – Control Risks!3. Define Targets – Develop Programs!4. Ensure a Safe and Healthy System – Be Well Organized!5. Use Safe and Healthy Machines and Equipment!6. Improve Qualification – Develop Competence!7. Invest in People – Motivate by Participation!

ISSA´s VISION ZERO Strategy

Accidents at work and occupational diseases are neither determined by fate nor unavoidable – they always have causes. By introducing the VISION ZERO strategy at workplaces, these causes can be eliminated and work related accidents, harm and occupational diseases can be prevented. Seven Golden Rules have been developed to establish this strategy successfully at workplaces.

Contributing organisations:CIER, Uruguay

This publication contributes to the international ISSA campaign

5

List of contents Preliminary remarks 7 Purpose 7 Audience 8 Guidance – introduction 10 Scope 11 Types of contracts and range of contracted work 12 Types of relationships 13 Competency 13 Contract Lifecycle 14

1 Project preparation 16 1.1 Projectdefinition 17 1.2 Planning 18 1.3 Tender 19 1.4 Procurement 20

2 Choice of contractor/Check of tender 22 2.1 Pre-qualificationprocess/Tenderprocess 23 2.2 Selectioncriteria/Tendersubmission 24 2.3 Final selection 26

3 Contractual arrangements 27 3.1 Projectdefinition 28 3.2 Guideline for contractors 30 3.3 Coordinating persons 30 3.4 Subcontractors 31 3.5 Risk assessment 31 3.6 Operational plan 32

4 Collective preparation 34 4.1 Guideline for contractors 35 4.2 Coordinating persons 35 4.2.1 ResponsibleContactPerson(RCP)oftheclient/ ResponsibleSupervisor(RS)ofthecontractor 35 4.2.2 Coordinator 36 4.2.3 SpecialSupervisor 38 4.3 Risk assessment 38

List of contents

6 7

Preliminary remarksList of contents

Preliminary remarks

The starting point for this Guidance is the growing tendency among companies toconcentrateontheircorebusinessand,asaresult,tooutsourcemoreandmore operational functions. This leads to the increased utilization of external companies under contract.Contractworknaturallyinfluencesthenormalworkflowandcangiverisetoanadditional and mutual increase in risk.Theprobabilityofaccidents,otherhealthrisksandmaterialdamagemayriseconsiderably.Consequently,safetyconsiderationsandrelatedprecautionswillplayanim-portantroleintheinteractionbetweenaclientandcontractor.Thisrelationshipshouldideallybeapartnershipbasedoncollaborativeworkingtoensureanefficientandtimelydeliveryofthecontract.ThisGuidancethereforecomprisesallrelevantaspectsthatformthebasisforthesafeandsuccessfulperformanceof contract work.

Purpose

Thisdocumentisintendedtoprovidepracticalguidancetoclientsand contractors(includingsubcontractors)intheimplementationofcontractual arrangementsbetweenthevariousparties.TheGuidanceisdesignedto:

nProvideadvicetobothclientandcontractorastheystrivetomeettheirlegalobligationswithrespecttoEuropeanlegislation(pleasenotethatthisdoesnotreplaceyourlegalobligationtoobservenationallaws);

nPlaceequalemphasisontherolesandexpectationsofbothclientand contractor;

nOutlinethemeansforachievingasuccessfulcontractualoutcomeinthemostefficient,costeffectiveandsafemanner;

n IllustratehowthiscanbeachievedthroughaContractLifecyclemodelthatsetsouttherequiredstagescomprisingtheawarding,managementandimplementation of contracts.

4.4 Information and communication management 40 4.5 Appointment of contractor’s workforce 41

5 Management of contract 44 5.1 Protectivemeasures 45 5.2 Safety information 45 5.3 Operational plan 48 5.4 Identificationofworkforce 48

6 Control and sign-off/Completion 51 6.1 Implementationofprotectivemeasures/Implementation of operational plan 52 6.2 Supervisionofmeasures 52 6.3 Incident/accidentmanagement 54 6.4 Contract infractions 55 6.5 Testingandacceptance/Planthandover 56

7 Review 58

8 Process improvement 62

ANNEX

Good practice examples 65List of references 79

8 9

partiesshouldbeassuredthrougheffectiveriskassessment,aswellashealthand safety management. The client also assumes a common law duty of care to allpartiesandisliableforanynegligentactsoromissionsthatmayarisefromemployeeworkactivities.

Thecontractorassumesgeneraldutieswithrespecttohisemployees,subcon-tractors,visitorsandmembersofthegeneralpublic,andhasanobligationtocooperatewithandcoordinateactivitieswiththeclientandsubcontractors.Thecontractorisresponsibleforhispersonalon-siteactions,owesadutyofcaretoallpartiesandissimilarlyliableforanynegligentactsbyhisemployees.

Thesubcontractorassumesgeneraldutieswithrespecttohisemployees,aswellastotheclient,contractor,visitorsandmembersofthegeneralpublic,andhasanobligationtocooperatewithandcoordinateactivitieswiththeclientandcontractor.Thesamelegalobligationsapplyasreferencedabove.

Therelationshipbetweenallofthesevariouspartiesisillustratedbelow:

Preliminary remarksPreliminary remarks

Audience

Thefollowinggeneraldefinitionsareusedtoaddressthevariousparties consideredinthisdocument:

n Theclient(orhostcompany)outsourcesataskorfunction;n Thecontractor(andpersonnel)contractswiththeclienttoprovideaservice(e.g.maintenanceworks);

n Thesubcontractor(andpersonnel)isengagedbythecontractortocarryout,forexample,specialisedorminorancillaryworks.

Theemployer(client)fulfilsgeneraldutieswithrespecttohisemployeesinlinewithestablishedhealthandsafetyobligationsasfollows:

GuidanceonhowtosuccessfullymanagethesedutiesanddevelopaneffectiveworkingrelationshipbetweenmanagersandemployeesissetoutintheISSAElectricitySectiondocument‘GuidancefortheManagementofHealthandSafe-ty Performance’.

Theclientalsohasdutiestonon-employees,includingcontractors,subcon-tractors,visitorsandmembersofthegeneralpublic.Thegeneralsafetyofall

Employer

Workers representatives

n designateworker(s)orinternal/externalservicesn establishagreementsforworkers’representationn document risk assessmentn prioritize risks for normal and emergency situations

n document work and production methodsn choose work and protection equipment (collectiveandpersonal)

n document emergency response plansn train workers

n disseminate info on risks and measures – in-house personnel,subcontractors/collaborators

n establishagreementsforworkers’representationn measure/estimateexposuren maintainhealthsurveillancen investigateandlearnfromincidents/accidentsn enforceOSHrules

OrganiseOSHactivities

EvaluateOSHrisks

Set and implementprotectiveandpreventivemeasures

Informandinvolveworkers

Monitorandcontrol

Fig. 1: Client-contractor relationship

Site Boundary

Visitors

Contractor

Contractor’sEmployees

Subcontractors

Site Owner

Members ofthe General

Public

Client

Employees

10 11


Guidance – introduction

Itisassumedasarequisitethat,inordertoeffectivelyuseandapplythis guidancematerial,companiesmustfirsthaveappropriatesystemsinplaceformanagingtheirlegalobligationswithrespectto:

nCorporategovernance;nCompetition;n Financialmanagement;nProcurement;nHealth,Safety&Environmentalrequirements;nQualitystandards;n Workforce welfare arrangements.

Thedegreeofgovernanceexpectedofanorganisationwillbedependentonthesizeandfunctionofthebusiness.Largercompanieswillhaveresourcesmorereadilyavailableandwillbeexpectedtointroduceandimplementmoredetailedproceduresthanasmallormedium-sizedenterprise(SME)would.Similarly,thenumberandsizeofthecompaniescontractedwilldeterminetheinitiallevelofscrutinyandcontrolrequired.Nevertheless,allorganisationshaveaclearobligationtomanagetheirbusinessaffairsinalegallycompliantandtransparentmanner.Thisincludesworkingwiththirdparties(includingsubcontractors)en- gagedbythebusinessforaspecificpurposeortofulfiladiscreteprojectortask,andinvolvesbothtemporaryandpermanentcontracts.

Fromtheoutset,itmustbedeterminedwhethercontractingoroutsourcingisthecorrectbusinessapproach,ascarryingouttheworkin-housedoesoffergreatercontrolovertheprocessesandoperations.Yet,ifitisdeterminedthatacontrac-tualarrangementwithanexternalcompanyorserviceproviderismoreappro-priate,thentheproceduresandguidanceoutlinedinthisdocumentwillensurethatasuitableapproachisadoptedbytheclient,allowinghimtomanageandworkwithcontractorsinamannerthatisbothalignedto,andsupportsawiderintegratedbusinessmanagementmodel.

This document includes not only the necessary formal arrangements as outlined above,butalsothegoodpracticesthat,whenimplementedtogether,providearobustandconsistentapproachtomanagingtheseissues.Theadoptionofanin-tegratedapproachtobusinessmanagementandperformancebasedonagreedstandardsaddressingcontractual,financial,quality,health,safetyandenviron-

mentalissuesensuresthatnoactivityorfunctioniscarriedoutinisolationfromotherbusinessneeds.Thisapproachshouldbesupportedbycompany-specificstandards,aswellaswithgoodpracticesrecognisedthroughouttheindustryaccompaniedbysuitableauditingandreportingprocedurestoensureoverallcompliancewithbusinessneeds.

Scope

TheintentofthisGuidanceistoprovideadviceonhowtobestmanagetheprocessesandrelationshipsbetweenthevariouspartiestoensureasuccessfuloutcomeforthebenefitofallparties.Contractsshouldbebasedonanequalrelationshipbetweentheclientandcontractorwhilepromotingafairandtrans-parent approach to the task at hand from initial contract award through project completion.Thelevelofdetailrequiredtoensurethiswilldependonthetypeand complexity of the contract.

AContractLifecyclemodelaccompaniedbytestquestionswillbeusedtohigh- light the minimum considerations required at each stage of the process. These willbeillustratedthroughtheuseofgoodpracticeexamples(seeannex)from,and case studies of successful contracts.

Themodelunderscoresthelegalobligationaclientandcontractorhavetoensurethehealth,safetyandwelfareoftheiremployees,contractorsandothersaffectedbytheiractivities,includingmembersofthegeneralpublic.Theseobligationsarefulfilledbyensuringthatallpartiesmanageandmitigatetherisksassociatedwiththeirworkactivitiesbyimplementingsuitableandsufficientriskassessmentprocedures,aswellasbyintroducingappropriatecontrolmeasures. Manyofthehealthandsafetyproblemsassociatedwithcontractworkresultfrom:

nUnsuitableorinsufficientmethodsforselectingcontractors;nPoorplanningandlackofagreementonhowtocarryoutthework/task;nPoorcommunicationaboutwork-relatedormutually-inducedrisks;n Lackofconsiderationgiventonecessaryprecautions;nPoormonitoringorsupervisionoftheworkprocessoroftheindividual

parties.

12 13


Evenafteracontractorhasbeenappointedandtheworkdefined,anumberofissuesorchallenges,allofwhichcanimpactsafety,stillmustbeconsidered,including:

nAnewworkingenvironmentwithunknownhazardsforcontractingpersonnel;nComplexityintheorganisationofwork,rolesandresponsibilities;n Thepresenceofdifferenton-siteactors-clientandcontractor,productionandmaintenancepersonnel,multipleorchainsofcontractorsandsubcon-tractors;

n The introduction of risks to personnel already working regularly at the establishment;

nDifferencesinsafetyculturesbetweentheclientandcontractor;nAlackofunderstandingofon-sitesafetyrulesandinstructions;n Theuseofnon-competentworkersintemporaryemploymentorsubcon- tractingortheuseofsubcontractorpersonnelbeinglessqualifiedthan thecontractor;

n Competition among contractors to reduce costs in order to secure a contract,leadingtopotentialcutsintraining,safetyprecautions,skilllevelsand equipment.

Managersthereforeneedtobefamiliarwiththeproceduresforworkingwithandmanagingcontractorswithintheirareaofresponsibility,especiallyifacontractorisemployedtoassumehigh-riskactivities.Managersmustalsobeawareofanyimpactacontractor'sworkmayhaveonthehealth,safetyandwelfareoftheirown personnel.

Types of contracts and range of contracted work

Thearrangementsdocumentedbetweenaclientandcontractorwillultimatelydependonthetypeofcontractbeingawardedandthelevelofriskassociatedwiththeactivityorprocess.Turnkeyprojects,plantconstruction,equipment installation,replacementorrefurbishmentwork,regularmaintenanceorroutinecleaning,etc.,allrepresentcontractsdemandingdifferinglevelsofcommitmentandvaryingresourcestomanagetheassociatedrisksfromtheinitialdesignthroughprojectcompletion.Irrespectiveofthelevelofrisk,theclientshouldensurethatallrisksareeffectivelymanagedatalltimes.

Othercontractualarrangementswillberequiredforthosesituationswheresub-contractorsareemployedbyaprincipalcontractoraspartofanoverallcontract.

Types of relationships

Thecontract,itself,shouldstipulatethecategoryandcompetenceoftheperson-neltobeemployed.Thisrequirementmaybemetbypermanentlybasedskilledworkers,temporaryfixed-termcontractors,theuseofexternalserviceproviders,agencypersonnelemployedforaspecificfunctionorshort-termcontractors,temporarilyemployedtocoverforaclient’spersonnelshortage.Thevariouscategorieswillallinfluencethetypeofrelationshipandlevelofinterfacebetweentheclientandcontractor,aswellasthecompetence,supervisionandcontrolrequiredofthepersonnel.Inturn,thisalsoinfluencestheamountofresourcestheclientwillultimatelyhavetocommittomanagethecontract.

Competency

Thecompetenciesrequiredofacontractorwillbeinfluencedbywhethertheclientiscontractingoutforaservicenotrelatedtohismainbusinessfunction or if he is employing a third party to undertake work associated with his principal activity.Thiswillalsodeterminethetypeanddegreeofauthorisationrequired bytheclient,aswellasthesafetyrulesandoperationalproceduresappliedbythecontractor;whichwilleitherbeitsownorthoseoftheclient.

Authorisationandapprovalofacontractorwillultimatelybedeterminedby thelevelofconfidenceinthetrainingandqualificationsheoffers.Atthesametime,hisstatusandequivalenceofcompetenciesacrossdifferingindustries,withinmultinationalcorporationsandeventhroughoutMemberStatesmustbeestablished.

Oncetheworkhascommenced,aclientneedstocollaboratewiththecontractorateverystagetoensuretheirproceduresremainalignedwiththeclient’s requirements.Thisrequireseffectiveon-sitesupport,ongoingevaluationofcontractualcompliance,theuseofassuranceandauditprogrammesandregularperformanceassessments.Thisnotonlydemonstratesmatureandeffectiveleadershiponthepartoftheclient,butgivesevidenceofproactivemonitoring,aswell,whileprovidingguidanceandadvice.

14 15


Contract Lifecycle

Anoverridingconcernshouldbetoensurethatcontractedworkismanaged inthesamemannerandtothesamestandardsasin-houseactivitiesandisalignedtotheoverallaimsandobjectivesofthecompany.

TheContractLifecycle,includingtheprocessitfollowsandtheinteractionbe-tweentheclientandcontractor,isbestillustratedinthediagrambelow.Itdepictsthekeystagestofollow,frominitialcontractplanningthroughcontractcomple-tionandreview:

TheContractLifecyclemodelprovidesabasisforthisGuidance,withitsvariousstagesbeingexpandeduponthroughoutthedocument.Thesectionshereinofferadvice,whilegoodpracticeandcasestudyexamplesareprovidedattheendofthedocument(seeannex)toassistinsuccessfulcontractmanagement.Effec-tivecontrolswillthereforebeneededateachstageofthecontractlifecycleinordertoachievethissuccessinasafe,efficientandtimelymanner.

Policiesandproceduresmustbeinplace,whereapplicable,forallcontrolfunc-tionstobemanagedandimplementedbybothclientandcontractorpersonnel.Thiswillensurethatacooperativeandcollaborativesupportframeworkisestab- lishedandthatinformationissharedbetweenthepartiesthroughoutallstagesofthe contract.

Themodelreflectstherolesandresponsibilitiesofboththeclientandthe contractor,whilethiscolourcodingisusedthroughoutthedocumenttohelpillustratetheirindividualdutiesateachstageofthelifecycle.

Continuingthiscolourscheme,themaintextisalsodividedintotwocolumns(seebelow):

Contractor

Client

30 31

Client Contractor Client Contractor

3. Contractual arrangements3. Contractual arrangements

The contractor nominates the Responsible Supervisor (RS) for his personnel. Depending on the individ- ual circumstances, it might also be necessary to nominate a Coordinator or Special Supervisor.

3.4 Subcontractors

The use of subcontractors should be discussed and agreed upon during the procurement process and ideally included in the contract. Subcon-tractors are usually managed by the principal contractor, but the client’s responsibilities related to health and safety remain the same.

3.5 Risk assessment

The contract contains the require-ment for a thorough risk assessment (Sec. 4.3). With respect to company- specific risks, the client should support the contractor in drawing up a risk assessment make available their specific plant-related risk as-sessment.

planning and proper performance of the work. The contractor has the duty to nominate the Responsible Supervisor (RS). Responsibilities and personal details should be included in the contractual arrangements, if practicable.

3.4 Subcontractors

Depending on his own capacities, the contractor should examine the use of subcontractors and, if deemed necessary, discuss it with the client. Ideally, the use of subcontractors will be regulated in the contract. The principal contractor is responsible for hiring subcontractors and managing their safety. Subcontractors have the duty to comply with the contractor's requirements.

3.5 Risk assessment

The contractor accepts the require-ment for a thorough risk assessment (Sec. 4.3) and cooperates with the client in drawing up risk assess-ments tailored to the project.

3.2 Guideline for contractors

The client must provide the contrac-tor with all necessary information related to the site, required personal protective equipment (PPE), tools, emergency plans, etc. This informa-tion will be summarized in the Guide-line for Contractors (Sec. 4.1).

The overall health and safety management system, including measures to be implemented, should be developed in collaboration with the contractor and suppliers, wherever possible, in order to both promote good practice and help instil a sense of ownership into those organisa-tions.

The Guideline for Contractors should also set out the incident/accident management process.

3.3 Coordinating persons

An essential part of the contract is the clear definition and documenta-tion of the responsibilities assigned to the coordinating persons (Sec. 4.2) involved. The client nominates the Responsible Contact Person (RCP) who knows the premises, the plant facilities and the processes.


If the client has its own Guidelines for Contractors and these form part of the contract, the contractor should review these Guidelines before sign- ing the contract. He must verify that he is capable of complying with the Guidelines.

If the client's Guidelines for Contrac-tors contain stipulations regarding the incident/accident management process, the contractor should familiarize himself with his reporting duties and possible consequences.


An essential part of the contract is the clear definition and documentation of the responsibilities assigned to the coordinating persons (Sec. 4.2) involved. The contractor's Responsi-ble Supervisor (RS) is the authorized person to issue instructions to his personnel. He is responsible for the

16 17

1. Project preparation

1. Project preparation

1. Project

preparation

1.1Projectdefinition

1.3Tender

1.4Procurement

1.2Planning


Prior to initiating the process of selectingandengagingacontractor, thehostcompanymustfirstdeter-mine whether there is a need to outsourcethework,oriftheworkcanactuallybecarriedoutin-house.Irrespectiveofthisdecision,theworkactivitymustbethoroughlyplanned;thisrequiresthatthejobbeclearlydefined,andanypotentialhazardsidentified.

Induecourse,therisksassoci- atedwiththesehazardswillhavetobemetwithcontrolmeasurestoeliminateorreducethelevelofrisk.Themeasuresmayinvolvetheuse of specialised personnel and equipment,andmayincludespecialprocedures where necessary.

Workconductedbythehostcom-panyorthecontractormust: n Meetthestandardssetbylegalrequirements;

n Comply with recognised industry orbranchstandards;

n Represent good industry practices;

n Reduce risk insofar as is reason- ablypracticable.

InlinewiththeoverarchingContractLifecycle,theprojectpreparation

Client Contractor

18 19

1. Project preparation 1. Project preparation

specificjob.Thiswillhelpaddressany increased risks from contract workbyensuringthatappropriateproceduresarefirstinplace. Theseproceduresshouldcoverclearresponsibilitiesoftheclientfor:

n Workingwithcontractors,n Planning,n Communication,n Coordination,n Riskassessment,n Supervision,n Competence,n Managementofchange,n Contractualandfinancial

considerations.

1.3 Tender

Theclientmustmakesuitablearran-gements for conducting a two-stage tenderprocess;thedevelopmentof tenderspecificationsandsubsequent evaluationofsubmittedtenders.

Forcapitalprojects,asopposedtoroutine maintenance or regular ser- viceprovisionprojects,theclientmustensurethatprojectobjectives are realistic and that tenders clearly setoutthescopeofwork,enablingefficientcontractorstodeliverontimeandwithinbudgetwithoutcompro-mising health and safety standards. Healthandsafetyrequirementsmust

processisbasedonaseriesof discretestagesaddressing: n Planning,n Marketassessmentandtenderprocess,

n Evaluationoftendersandprocure-ment.

This will then shape and inform the subsequentcontractaward,contractmanagement,contractcompletionandevaluationstages.

1.2 Planning

Planning is needed to manage the procurement of products and ser- viceswhilehelpingtoensurethebestpossibleoutcomeforthecon-tract.ThisstagedeterminesboththerequirementsandeffectivenessofthesubsequentContractLifecyclestagesbyconsideringtherisksfromtheproductorservicewithrelationto the people affected. This applies throughout the lifetime of the con-tract and the lifecycle of the products employed.

Procedures concerning the use of contractorsshouldthereforebein- cluded within an organisation's health andsafetymanagementsystem,evenbeforeanyconsiderationisgiventoengagingacontractorfora

ClientClient ContractorContractor

20 21

1. Project preparation 1. Project preparation

beintegratedintotheinitialdesignphasetoensuretheyarereflectedintheconstruction,testingandopera-tional stages. This requires a trans-parent commitment for the tender criteriatoreflecta‘valueformoneyovercheapestquote’approach.

1.4 Procurement

The procurement process should seektoprovidevalueformoney,exercise due diligence in meeting healthandsafetyobjectives,and ensure continuous performance improvementscanbeachievedthroughout the contract.

The client should incorporate health and safety design principles into their procurement policies and practices to help eliminate potential hazards during the initial design stage.Designers,manufacturersandsuppliersallhaveanobligationofresponsibilityforensuringthattheirtenderapplications,includingtheequipmentandservicestheyprovideanddelivertotheclient,aresafe forallusers.Safedesign,therefore, requiresthatboththehazardsassociatedwithaproductorservicethroughoutitslifetime,aswellas its past performance and related incidents are considered as part of the decision-making process.

Client Contractor

Onceacontracthasbeenawarded,itisthenagoodpracticetoevaluate the procurement procedure to iden-tify any weaknesses and strengths intheoverallprocess,aswellasto formulate any lessons that can beappliedtootherprocurementactivities.

Client Contractor

Questions

n Is there a need to contract out the work?

n Have suitable plans for the safe and successful execution of the contract (from start to finish) been developed?

n Has the planning process identified all potential hazards?

n Does the health and safety management system include procedures concerning the use of contractors?

n Is a two-stage tender process in place?

n Do submitted tenders repre-sent both value for money and address all the identified health and safety issues?

?

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2. Choice of contractor/ Check of tender

2. Choice of

contractor/Check of

tender

2.2Selection

criteria

2.1Pre-qualification

process

2.1Tender process

2.2Tender

submission

2.3Final

selection

2.1Pre-qualification process

Thepre-qualificationprocessisexpectedtoberigorous;itshouldprovideananalysisofthecontrac-tor’s health and safety statistics as a standard,butalsoconsideranorga-nisation’suseofleadingindicators,the quality of their safety program-mes and the existence of continuous improvementplans.Manyclientsshare common practices during the initial stages of the contract life cycle,relatedtoprocurementandpre-qualification,pre-jobtaskandriskassessment,aswellascontrac-tor training and orientation.

Pre-qualificationquestionnaires canbeusedtoseekinformationon acontractor'shealth,safetyand environmentalperformance,aswellas the extent of their safety manage-ment system. Some of this infor-mationwillbeavailablethroughanationalcontractordatabasesystem,which companies can use to facili-tate the procurement process while demonstrating transparency and accountability.

Companies may also use the ser- vicesofathird-partypre-qualifyingagencytohelpbridgeanygapsinthecontractor'sportfolioofevidence as to their safety management

2.1 Tender process

A contractor participating in the ten-der process must thoroughly check andreviewthetenderwithaspecialfocusontechnicalrequirements,safetyandhealthrequirements,economic conditions and regulatory requirements. The contractor should also check that the tender data is complete and that all information requiredforsubmissionoftheofferisavailable.Additionalitemstobeconsideredbythecontractorinclude:

n Capacity,n Personnel knowledge and skill levels,

n Technicalequipment,n Experiencewithsimilartasks.

Contractors may also use the ser-vicesofathird-partypre-qualifyingagencytohelpbridgeanygapsintheirportfolioofevidenceastotheirsafetymanagementsystem,thereby

Client Contractor

2. Choice of contractor/Check of tender

24 25

Client ContractorClient Contractor

2. Choice of contractor/Check of tender 2. Choice of contractor/Check of tender

system,therebyenhancingtheireligibilitytobidonaproject.Thisapproach helps handle a large partoftheinitialvettingprocessascontractorsmustreceivea‘passinggrade’tobeapprovedforwork.Thisalsoenablesaratingsystemtobedevelopedbasedonacontractor'shealth and safety history along with a record of their documented policies and practices.

Followinganalysisofthepre-qualifi-cationquestionnaires,pre-selectioncanbemadeandatenderlistdrawnupbasedonthisinformation.

Theremaybelegalrequirementsthatputrestric- tions on this process.

2.2 Selection criteria

The client should document and use clear criteria for contract selection. Thiswillinclude,butisnotlimitedto:

n The contractor’s approach to healthandsafetybothinplanningandexecution;

n Third-partycertificationofthehealth&safetymanagementsys-tem(ISO45001compliant);

n Records of health and safety policies,riskassessments, method statements and safe work systems;

n Recordsofsafetyperformance,incidentsandregulatory,aswellasenforcementnotices;

n Qualifications,trainingandauthorisations of the contractor's workforce,stipulatinglevelsofcompetency,skills,knowledgeandexperience;

n Employeeinductionandtrainingprocesses;

n Arrangements for managing the standardandqualityofwork,in-cludingtheuseofsubcontractors;

n Insurancecoverage;n Membershipintradeandprofes-sionalorganisations;

n Assessment of the contractor’s previouswork;

n Safetyculturesurveys;n Environmentalperformance.

Thecriteriaemployedcanbesuitablyweightedbasedonrelativeimportance.Thisprovidesanoverallscore to facilitate comparison and selection of tenders from the poten-tial contractors. A preferred con-tractorlistfrompreviousworkthathasbeensafelydeliveredmayalsoassist with this process.

Thoseevaluatingtendersshouldhavethenecessaryskillsandknowledgetodoso.Otherwise,asuitablyqualifiedpersonmayneedtobeengagedtoassistwiththisprocess.

enhancingtheireligibilitytobidonaproject.

2.2 Tender submission

Thetendersubmittedbyacontractormust demonstrate the capacity of his businesstocomplywiththehealthand safety requirements and design criteriaidentified.Acontractormaybeaskedtocompleteapre-qualifi-cation questionnaire used to seek informationonhishealth,safetyandenvironmentalperformance,aswellas the extent of his safety manage-ment system. The contractor and his companymustbecapableoffulfillingthetendercriteria,includingproject/workspecifications,whiledulycom-

pleting them in a timely manner and under fair conditions.

26 27

Client Contractor

2. Choice of contractor/Check of tender

3. Contractual arrangements

3. Contractual

arrange-ments

3.2Guideline for contractors

3.4Subcontractors

3.3Coordinating

persons

3.5Risk

assessment

3.1Project definition

3.6Operational

plan

Questions

n What kind of information on potential contractors is

essential for the work?

n Have the most important criteria for contract selection been identified?

n Are pre-qualification question-naires available?

n Are the persons who evaluate tenders suitably qualified?

n Does your organisation have a list of previously approved con-tractors suitable for the work?

n Where should particular atten-tion be paid when checking a tender?

n Would it be helpful to use the services of a pre-qualifying agency?

n Is it possible to fulfil all the requirements of the tender? Are there any areas that require further work?

?

2.3 Final selection

The client should document and use clear criteria for contract selection.

A good-practice example can be found on page 65 of the annex. ➔

28 29



n Dutytocooperate(thisisalegalrequirement in Germany according to ArbSchG);

n Processes for eliminating or reduc- ing risk to the health and safety ofclient,contractorandsubcon-tractorpersonnel,aswellastomembersofthegeneralpublic;

n Procedures for handling policy and proceduralnon-compliance,includ- ingcontractualterminationprovi-sionsandremovalofthecontractorfromthepreferredcontractorlist;

n Procedure for handling changes to processes,proceduresorcontrols;

n Reportingexpectations(healthandsafetyperformance,sitein-ductionsandtraining,andconsul-tationarrangements);

n Scheduling of and procedures for inspectionsandaudits;

n Communicationbetweentheclientandcontractor;

n Training and competence to carry outwork(includinganyauthorisa-tions);

n ProceduresforensuringSHEqualitystandardsaremaintained;

n Safety culture and human factors approach;

n Personalprotectiveequipment(PPE)requirements;

n Expectationsrelatedtosite cleanliness,barriersandany specialrequirements;

n Requirementsforleavingthesiteat the end of a work period or upon work completion.


Theprojectdefinition(Sec.1.1)adaptedtothespecificcontractrequirements and to the contractor selected is an essential part of the contract.

Itconsiderstimeandresources,potentialhazardsandrisks,commu-nication,competenceandtraining,as well as the impact on others in theworkplace.Itisvitallyimportantthatthejobandtheclient’sneedsareclearlystipulated;thisincludesthejobspecification,allaspectsandcomplexityoftheworktobeunder-taken,thelevelofrisktothework-forceandthemeansbywhichlegalobligationswillbefulfilled.

FromaH&Sperspective,thecontractbetweentheclientandthecontractorshouldinclude:n Clearexpectationsconveyedtocontractorandsubcontractorpersonnel related to managing the worksafely;

n Healthandsafetyrequirements(companypolicies,procedures,equipment maintenance and theon-siteuseofhazardoussub- stances);

n Healthandsafetyrolesand responsibilitiesoftheclient andcontractor(includingtheirmanagementteams);


The contractor has to check and reviewtheprojectdefinitionthorou-ghly.Heandhiscompanymustbeabletofulfilthesespecificationsoftheproject/worksandtocompletethemduly,ontimeandunderfairconditions.

30 31



The contractor nominates the ResponsibleSupervisor(RS)forhispersonnel.Dependingontheindivid- ualcircumstances,itmightalsobenecessary to nominate a Coordinator orSpecialSupervisor.

3.4 Subcontractors

Theuseofsubcontractorsshouldbediscussed and agreed upon during the procurement process and ideally includedinthecontract.Subcon-tractorsareusuallymanagedbytheprincipalcontractor,buttheclient’sresponsibilitiesrelatedtohealthandsafety remain the same.

3.5 Risk assessment

The contract contains the require-ment for a thorough risk assessment (Sec.4.3).Withrespecttocompany- specificrisks,theclientshould support the contractor in drawing up ariskassessmentmakeavailabletheirspecificplant-relatedriskas-sessment.

planning and proper performance of the work. The contractor has the dutytonominatetheResponsibleSupervisor(RS).Responsibilitiesandpersonaldetailsshouldbeincludedinthecontractualarrangements,ifpracticable.

3.4 Subcontractors

Dependingonhisowncapacities,the contractor should examine the useofsubcontractorsand,ifdeemednecessary,discussitwiththeclient.Ideally,theuseofsubcontractorswillberegulatedinthecontract.Theprincipalcontractorisresponsibleforhiringsubcontractorsandmanagingtheirsafety.Subcontractorshavetheduty to comply with the contractor's requirements.

3.5 Risk assessment

The contractor accepts the require-ment for a thorough risk assessment (Sec.4.3)andcooperateswiththeclient in drawing up risk assess-ments tailored to the project.


Theclientmustprovidethecontrac-tor with all necessary information relatedtothesite,requiredpersonalprotectiveequipment(PPE),tools,emergencyplans,etc.Thisinforma-tionwillbesummarizedintheGuide-lineforContractors(Sec.4.1).

Theoverallhealthandsafetyman- agementsystem,includingmeas- urestobeimplemented,shouldbedevelopedincollaborationwiththecontractorandsuppliers,whereverpossible,inordertobothpromotegood practice and help instil a sense of ownership into those organisa-tions.

The Guideline for Contractors should alsosetouttheincident/accidentmanagement process.


An essential part of the contract is thecleardefinitionanddocumenta-tionoftheresponsibilitiesassignedtothecoordinatingpersons(Sec.4.2)involved.TheclientnominatestheResponsibleContactPerson(RCP)whoknowsthepremises,theplant facilities and the processes.


If the client has its own Guidelines for Contractors and these form part ofthecontract,thecontractorshouldreviewtheseGuidelinesbeforesign- ingthecontract.HemustverifythatheiscapableofcomplyingwiththeGuidelines.

If the client's Guidelines for Contrac-tors contain stipulations regarding theincident/accidentmanagementprocess,thecontractorshouldfamiliarize himself with his reporting dutiesandpossibleconsequences.


An essential part of the contract is the cleardefinitionanddocumentationoftheresponsibilitiesassignedtothecoordinatingpersons(Sec.4.2)involved.Thecontractor'sResponsi-bleSupervisor(RS)istheauthorizedperson to issue instructions to his personnel.Heisresponsibleforthe

32 33



3.6 Operational plan

Based on the client’s expectations and the contractor’s specialist expe-rience,thecontractorwillneedtode-velopacontract-specifichealthandsafetyplan;thesocalledoperationalplan(Sec.5.3).Thisplanstipulates how the contractor will manage his occupational health and safety requirements throughout the term of thecontract,includingthesystemsandmethodsthatwillbeemployedtoeffectivelymanagerisks.Theseshouldonceagainbecommensuratewiththelevelofriskandthecom- plexity of the work. The plan should bebasedonthecontractor’sexistinghealth and safety management system and set out how the following issueswillbemanaged:

n Safe work procedures and prac- ticesforthecontract;

n Healthandsafetyinspections;n Healthandsafetyperformancemonitoring;

n Incidentrecordingandinvestiga-tionprocesses;

n Avenuesforconsultingemploy- ees;

n Safety training programmes and supervision;

n Emergencyprocedures.

Theoperationalplanmustbebasedonathoroughriskassessment(Sec.3.6and4.3).

Questions

n Has the project been suffi-ciently defined and agreed?

n Is there a duty to cooperate between client and contractor? Why?

n Has the job been clearly set out (job specification, complexity, level of risk, etc.)?

n Is a common safety culture approach between both part-ners possible?

n Has a Guideline for Contractors been prepared and is its pur-pose clear?

n Have the role of coordinating persons been defined and suitable persons nominated?

n Is any subcontracting work planned?

n Has a risk assessment and operational plan been prepared for the contract?

n Has the project definition been thoroughly checked and reviewed? Can all the specifications be fulfilled?

n Is the benefit of good coop-eration with the client clearly understood?

n Is a common safety culture approach between both partners possible?

n Does the client have a Guide- line for Contractors?

n Has the role of the Responsible Supervisor been defined and a suitable person nominated?

n Are there any plans to use subcontractors? Has this been discussed and agreed with the client?

n Has a risk assessment and operational plan been prepared for the contract?

?3.6 Operational plan

Thecontractormaybecontractuallyrequired to draw up an operational plan(Sec.5.3)stipulatinghowhewill manage his occupational health and safety requirements throughout thetermofthecontract,includingthe systems and methods that will beemployedtoeffectivelymanagerisks. Preparation of this plan must bebasedonathoroughriskassess-ment(Sec.3.6and4.3).

Good-practice examples can be found on page 66 of the annex.➔

34 35

4. Collective preparation

4. Collective

preparation

4.2Coordinating

persons

4.4Information&

communication management

4.5Appointment

of contractor'sworkforce

4.3Risk

assessment

4.1Guideline forcontractors


Theclientprovidesthecontractorwith the Guideline for Contractors.ThisGuidelinedescribesallrelevantinformation and stipulates require-ments concerning the safe perfor-mance of the contract.


4.2.1 Responsible Contact Person (RCP) of the client

The client's RCPisresponsibleforthe orderly processing of the project onbehalfoftheclient.

The RCPmusthaveagoodun-derstandingofthecontractand,depending on the complexity of the contract,mayrequireadvicefromaspecialist.Hisresponsibilitiesincludetheplanning,procurementandexe-


Thecontractorwillreceivetheclient's Guideline for Contractors prior to commencing work.

Thecontractorconfirmsinwritingthathewillfulfiltherequirementsofthe Guideline.


4.2.1 Responsible Supervisor (RS) of the contractor

The contractor's RS is the authorized person to issue instructions to his personnel.Heisresponsiblefortheplanning and proper performance oftheworkandwillbethecontactperson for the client.

In addition to the authority to issue instructionstohisownpersonnel,the RSshouldalsohavetheauthor-

Successfulprojectcommunicationandmanagementrequiresthatqualified andresponsiblecontactpersonsbeappointedandmutuallydocumentedby therespectiveclientandcontractor.

Boththeclientandthecontractormustensurethattheresponsiblepersonsappointedcanfulfiltheirduties,performtheirtasksandpossessthenecessaryauthorizations.

Theresponsiblepersonsshouldhavesufficientknowledgeofthelocallanguage(spokenandwritten)tobeabletounderstandandimplementallsafetyinstructions.Aninterpretermaybenecessary.

Client Contractor


36


37


cution of the contract in any aspect thathasadefinedscope,startingpointandcompletionpoint,regard-less of industry. The RCP is the firstpointofcontactforanyissuesconcerning the contract.

The RCP must coordinate and superviseprojectperformanceandacceptsthefinalresults.Hemustalsoinstructthecontractor'sResponsibleSupervisorabouttherisks,associatedsafetymeasures,company-specificrulesandspecific working conditions at the host com-pany.Thisinstructionshallbedocumented.

The client's RCP is permitted to interveneinmattersrelatedtothecontractoronlyintheeventofimmi-nent danger.

4.2.2 Coordinator

Inanefforttopreventmutuallyendangeringoneanother,aCoor-dinatormustbeappointedwhereemployeesfromdifferentcompanies,company sites or operating units perform work at the same location. The client's RCP may also assume the role of Coordinator.If a different person is appointed as Coordinator,thispersonmaysupport the RCPinthefulfilmentofhisduties,ifnecessary.

Client Contractor

The role of the Coordinator de- scribedinthissectionmustnotbeconfusedwiththespecificrespon-sibilitiesoftheperson responsible for an electrical installation or the nominated person in control of an electrical installation during work activitiesasdefinedby,forexample,EN50110[OperationofElectricalInstallations] when carrying out work on electrical installations and equipment.

The Coordinator has the right to issue instructions to all employees involvedinataskinanefforttopro-mote occupational health and safety. The Coordinatormustintervenewhennecessaryorwheredefinedsafety measures are not implemented/observed,whereoccupational

Client Contractor

Coordinating persons

itytoissueinstructionstosubcon-tractorpersonnel,aswell.TheRS shouldbepresent,oratleastacces-sible,atalltimeswhileworkisbeingperformed.

4.2.2 Coordinator

Inanefforttopreventmutually endangeringoneanother,aCoor-dinatormustbeappointedbytheclient where employees from differ- entcompanies,companysitesoroperating units perform work at the same location.

The role of the Coordinator de- scribedinthissectionmustnotbeconfusedwiththespecificrespon- sibilitiesoftheperson responsible for an electrical installation or the nominated person in control of an

electrical installation during work activitiesasdefinedby,forexample,EN50110[OperationofElectricalInstallations] when carrying out work on electrical installations and equipment.

The client and the contractor should jointlyreviewinadvancethetasksandresponsibilitiesthatwereas- signed to the Coordinator. The duty to support the Coordinator should beimposedonallotherexecutives.

Workforce

Client’s SiteContractor’s Work Area

Responsible Supervisor (RS)

Hazardous Work

Mutual Endanger-

ment

Responsible Contact Person (RCP)

Special Supervisor

Coordinator

4.2.3 Special Supervisor

A Special Supervisormustbeappointedifhazardouswork(e.g.workingwithdangeroussubstances)isbeingperformed.

4.3 Risk assessment

4. Collective preparation4. Collective preparation

38 39

Client ClientContractor Contractor

Withrespecttocompany-specificrisks,theclientshouldsupportthecontractorindrawingupariskassessmentand,specifically,makeavailabletheirplant-re-lated risk assessment.

Contractorsshouldadjusttheirownspecificriskassessmenttotheconditionsanticipated at the client's on-site location.

Boththeclientandcontractorhaveadutytocooperateinordertoensurethesafetyandhealthoftheworkforce.Theymustinformeachotheraboutpossiblerisksassociatedwiththeiractivities.Theclient'sRCPandthecontractor'sRSwilljointlyinitiateathoroughriskassessment,preferablyafteraninitialfieldvisit.Involvementoftheresponsiblepersonsfromtheindividualoperatingunitsis also recommended.

health and safety regulations are disregarded or where persons are endangered.

The Coordinator,himself,shouldbereleasedfromothertasks.Heneeds the authority to shut down the workplaceand(intheworstcase)removepersonnelfromthework-site.Thisdutyshouldbeassignedinwritinginadvanceandreviewedbyallcontractpartners.Thedutytosupport the Coordinatorshouldbeimposedonallotherexecutives.

4.2.3 Special Supervisor

A Special Supervisormustbeappointedifhazardouswork(e.g.workingwithdangeroussubstances)isbeingperformed.

4.3 Risk assessment

There are many different project-related aspects in a client-contractor relation-shipthatarerelevanttothesafetyandhealthofbothpartners'workforces.

Thereisaneedtoconsiderrisksfrom:

n Non-routineactivities;n Unknownenvironments;n Timepressures;n Lackofcommunicationbetweenproductionand

maintenance personnel.

A list of typical operational safety issues may help facilitate the risk assessment:

General aspectsn Access/egressroutesandtrafficmanagement;n Siterulesandworkareaauthorisations;n Safesystemsfortheworktobeperformed;n Safetymessagingandwarningsigns;n PersonalProtectiveEquipment(PPE)andsafety

equipment.

Emergencyarrangementsn Siteemergencyplansandprocedures;n Fireequipmentandevacuationprocedures;n Emergencyfirstaidpersonnel.

Site-specifichazardsn Hazardousanddangeroussubstances;n Workingonelectricalassets;n Mechanicalequipment;n Workingatheightproceduresandequipment;n Healthrisks(noise,dust,vibration);n Specialhazards(asbestos,confinedspaces,biochemical,

radiation);n Environmentalconsiderations(wastemanagement,

emissions/leakageintotheair,groundorwater).


40 41

Client Contractor

InSpain,thereisarecenttrendintheconstructionindustrytousesoftwaresolutions(including3-D modellingsoftware)thathelpstructuretheflowofprojectinformationandfacilitateprojectcoordination betweenvariousparties.ThesoftwareusuallyfeaturesspecialHealthandSafetymodulestoassistboth client and contractor in coordination tasks and in the management and application of documents that are necessarytocarryoutaproject/workinasafemanner.

TheGermanSocialAccidentInsurance(DGUV)1imposesadutyontheclientandthecontractortoalreadycooperatewhenacontractisawarded,meaningadutyalreadyexiststodrawupajointriskassessment.Germany'sCivilCode(BGB)alsocallsfortheexecutionoftheworkbythecontractortobeasindependentaspossible.However,constraintsareimposedhereinpractice.Forinstance,energyandwater,aswellastheprovisionofsocialamenities,willusuallybesuppliedbytheclient.Ifacontractfirmalsohastoaccessoperationalfacilitiesandworkequipment(companyroads,scaffolding,cranes,aerialworkplatforms,etc.),thiswillrequirepointsofcontact("interfaces")betweentheclientandcontractor, callingforincreasedattentionandcarefromtheexecutivesofbothsides.Itmustbemadeclearbytheclient,whofromitssideisauthorizedtograntthecontractoraccesstotheclient'sfacilitiesandtowhatdegree.Especiallyinthecaseoflong-termdeployments(e.g.amaintenanceagreement),uncontrolledaccesstotheclient'sfacilitiesandworkequipmentbyacontractormaybeinvolved. Therulesrequiredheremustbemadeknowntothecoreworkforce(bothemployeeandexecutive personnel)andmonitoredforadherence. Inprinciple,significantlyhigheramountsshouldbeinvestedincommunications(planning,review, coordination),sincethiswillavertmanyproblems(stress,disputes,lossoftime,dropinquality,etc.)duringtheactualexecutionphase.Conversely,thelackof,oraninadequatereviewandcoordinationprocesscouldhavetheworstconsequences,ultimatelyresultinginatotallossorevenasevereaccident.

Client Contractor

4.4 Information and com-munication management

4.4 Information and com-munication management

Communicationisthecornerstoneofthetrouble-freeandsafeexecutionofaplannedproject.Clearrulesarenecessarytoestablishaneffectivelineofcommunicationbetweentheclient’sandthecontractor’spersonnel.Alackofmutualunderstandingcanultimatelyleadtodisorder,materialdamageandaccidents.

Thislistismerelyexemplary,wherebythesite-specificriskassessmentmayemphasizeotherspecifichazards.

The results of the risk assessment are compiled in writing prior to commencing workandaretobeavailableduringexecutionofthework. Ifariskassessmentrevealsthatorganizationalorpersonalmeasuresmustbetakenasaresultofthedeploymentofacontractingfirm,thencorrespondinginstructionsmustbeissued.

Itisrecommendedthattheneedforsupervisorypersonnel,possiblyforeachindividualsub-project,bedefinedintheriskassessment.

The RCP sets up the information and communication management. Heestablishesanadequateflowofinformationbetweenbothpartiesusingavarietyofsuitablecommuni-cation tools.Hisawarenessofchangesintheplantstructure,theprocessesandtheworkforcewillenablehistimelyresponse(interventionandsanction-ing)inclosecoordinationwiththecontractor's RS.

Intheeventofanincident,theRCP initiatestheinvestigationprocess(includingthecontrol/stoppageofworkactivities).

The RCP also organizes the man-agementofinterfaces(client–con-tractor,contractor–contractor,contractor–subcontractor),aswellaschangesintheplant,processesor personnel.

4.5 Appointment of contractor’s workforce

Theclientreviewstheworkforceprovisionedbythecontractor.Thisreviewmaycover:

The RS must support the RCP in setting up the information and com-munication management.The RS has the duty to inform the RCPaboutanyoccurrencethat mightinfluencetheproperperfor-mance of the work or the health and safety of the workforce.

Therefore,reportingofincidentsbythe RS to the RCP is an essential part of the information and communi-cation management.

Ifacontractoremploysasubcon-tractor,hemustobservetherulesandregulationsrelatedtosubcon-tractor management of the contract.

4.5 Appointment of contractor’s workforce

One of the duties of the contractor istoprovidesuitableemployees.Selection criteria include profession-

42 43


42

Client ContractorClient Contractor

n Qualifications,n Trainingandauthorisations,n Levelsofcompetency,n Skills,n Knowledgeandexperience,n Employeeinductionandtraining

processes andn Occupationalhealthcertificates,if

required.

Wherecontractuallyagreedupon,theclientconfirmsthesubcon-tractor(s)chosenbythecontractorfortheworktobeperformed.Theclientmayreservetherighttorejectasubcontractorbasedonanywork-related incident that endangers personnelorproperty.Ifasubcon-tractorisdeployedwhohasnotbeenconfirmedinwritingbytheclient,thelatter may disallow his continuation of the work.

alcompetenceand,ifnecessary,healthcertificatesforspecialworklocations.Specialwork(e.g.workassociated with noise or hazardous substances)maybesubjecttooccu-pational health examinations.

Special permits and training for spe-cifictypesofworkmayberequired,includingbutnotlimitedtoaccessingconfinedspaces,electricalwork,hotwork,energycontrol,theuseofforklifts,workingatheights,etc.

Depending on the contractual arrangements,thecontractormayhaveadutytonamesubcontractorsinwrit- ingpriortocommencingwork,andtoobtainwrittenconfirmationfromtheclient.Ifasubcontractorisdeployed whohasnotbeenconfirmedinwritingbytheclient,thelattermaydisallow his continuation of the work.

Specialgroups(e.g.youngpeopleorexpectantmothers)maybesubjectto restrictions related to working times,workprocesses,physicalburdensorevenworkingbans.

Questions

n Is there a Guideline for Contractors? If so, has it been

handed over to the contractor?

n Does the client have a Guideline for Contractors and has it been handed over? Is it possible to fulfil all the specifications?

?Good-practice examples can be found on page 66 ff. of the annex.➔

n What are the roles and respon-sibilities of the coordinating per-sons? Is their role in delivering the contract clear?

n Have the safety and health risks of the project been identified and discussed with the contractor?

n Have the results of the common risk assessment been recorded?

n Has the potential use of subcontractors been considered?

n What is the most important issue that needs to be managed within the contract?

n How is information managed and communicated between the client and the contractor? Who is responsible for this?

n Have the training and skills qualifications of the contractor personnel been checked?

n Has the use of subcontractors been contractually agreed? If so, has the contractor provided a list of those subcontractors he/she is planning to use?

n Which coordinating persons are key for the contractor and its workforce?

n Have the results of the common risk assessment been record-ed?

n Which risks require special attention?

n What is the most important is-sue that needs to be managed within the contract?

n How is information managed and communicated between the client and the contractor? Who is responsible for this?

n Is incident reporting included as part of the communication arrangements?

n What are the key issues to be considered in the selection and deployment of the contractor’s workforce?

n What needs to be considered when subcontracting?

44 45

Client Contractor

5.3Operational

plan

5. Management of contract


5.1Protectivemeasures

5.2Safety

information


5.1 Protective measures

Protectivemeasuresmustbeimple-mented in accordance with the re-sultsofariskassessment(Sec.4.3).The RCP and the RS work together.

Allmeasuresaretobesetforthinwriting.

Itisessentialtoestablishefficientfirstaidandemergencymanage-ment measures and communicate these to all personnel.

5.2 Safety information

The client's RCP must inform his personnelaboutthecommencementof contractor work.

5.1 Protective measures

Protectivemeasuresmustbeimple- mented in accordance with the results oftheriskassessment(Sec.4.3).The RCP and the RS work together.

Allmeasuresaretobesetforthinwritten form.The contractor maintains these records at the deployment site and mustsubmitthemtotheclientondemand. The contractor remains responsiblefortheaccuracyandadequacy of the risk assessment andforthemeasuresderivedfromitfor the protection of his workers.

Itisessentialtoestablishefficientfirstaidandemergencymanage-ment measures and communicate these to all personnel.Anemergencyplanmustbeestab- lishedthataddressesbothgeneralconditionsaswellasspecificactivi-ties that may present greater risks (e.g.hazardousmaterials,heavylifting,workingatheight,contaminat- edatmospheres,etc.).

5.2 Safety information

Priortocommencingwork,theRS mustinstructhispersonnelaboutthetaskathandandinformthemabout

5.4Identificationof workforce

46 47


5. Management of contract 5. Management of contract

The client's own personnel must receivespecialinstructionifthe contractor's work imposes additional risks,ifnewsafetymeasuresmustbetakenorifaworkprocess changes.Suchinstructionmustbegivenbythedirectsupervisorandmayinvolvethepersoninchargeoftheorder/contractand/ortheCoordinator.Theinstructionmustbedocumented.

theequipmentusedforthejob.Hemustalsoinstructthemonthecontents in the client's Guideline for Contractors,possiblehazardsandtheprotectivemeasuresforeseen.Thisinstructionmustbedocumentedin writing.

If a contractor employs a subcon-tractor,thesubcontractor'sperson-nelmustbeinstructedinthesamemanner as contractor’s personnel. The worker's signature on the special instruction documentation is recommended.

The instruction documentation must besubmittedtotheclientinwriting.

Generalinductionsshouldcoverthefollowingsubjects:

n General remarks n General induction related to the on-sitelocation;

n The client's operating rules and regulations(e.g.site/inspectionrules);

n Responsibilitiesforinduction/instruction;

n Accessrules;n Dutytomaintainsafety;n Coordination(potentialrisksposedbyorimposedonneigh-bouringcompaniesorsites);

n PersonalProtectiveEquipment;n Securitypass&identification;n Dataprivacy;

Ithasprovedadvantageoustosummarizethecontentoftheinductionsinwritinganddistributeit to the contractor's personnel in the form of a safetybooklet.Limitinginitialinductionstothecontractor'sexecutives,alone,withanobligationto pass on the required information to the employ-ees,hasnotprovedsuccessfulinthepast.Ontheonehand,muchoftheinformationislost(refertotheChinesewhispersprinciple)and,ontheother,itcannotbeassuredthatanexecutivewillactuallyprovidehispersonnelwitheffectiveinstructionduring the hectic start-up phase of a contract. This omissioncanleadtomistakes,misunderstandingsand,intheworstcase,accidents.

Inductionsandinstructionshouldbegivenbytheemployee'sdirectsupervisor,oratleastinhispresence(e.g.whenasafetyspecialistinstructscontractorpersonnel).

Inductionattheworkplace,inparticular,isoftenhandledbytheclient("Becauseheismorefamiliarwiththelocalsituation"),buteventhen,bypeoplewhomaynotbeauthorizedtoissuespecificinstructions(safetyspecialists,gatekeep-ers)orwhomightusecomputersthattolerate(anddocument)eveninaccuratesolutionstoacertain degree.

n Riskassessment;n Fireprotection/permittoworkwithhottools/materials;

n On-siteemergencyandfirstaidmeasures(mustbecommunicat- edtobothclientandcontractorpersonnel,whileeveryonemustbefamiliar with and regularly remind- ed of the emergency controls and procedures),includingfireandemergencyrescueequipment;

n Handlingofhazardoussubstances;n Clearanceandapprovalproce-dures(e.g.workclearances/workpermits/disposalpermits/permitproceduresforhigh-riskactivities);

n Hazardprevention/reportingrules;n FirstAid;n Assemblypointandacoustic

alarms.

Theinstructiongivenmustbede-signed to ensure that all participants will readily recognize the stipulations tobeobserved.Inthiscontext,anycompany-specificdocumentationshouldbemadeavailable.

48 49


Asacompromise,itissuggestedherethat,duringinduction,atleastonecontractorrepresentative,authorized to issue instructions and familiar with theproject,ispresenttomonitortheinstructiongivenbytheclienttohispersonnel(andalsotointerveneiftheinformationconveyedhasnotbeenagreedupon).

5. Management of contract 5. Management of contract

5.4Identificationofwork-force

Theclientprovidesidentitycards/ safetylogbooks(ifapplicable)forand maintains a register of the contractor'sapprovedpersonnel.

Theissuanceof(possiblyphoto)IDcards to contracting personnel has provedsuccessfulinlargercompa-niesandatspecialfacilities,espe-ciallyifthecontractcoversalengthyperiod of time.

5.4Identificationofwork-force

The contractor's personnel wear the identitycardsprovidedbytheclientinavisibleplaceduringtheirworkonthe host’s premises.

Wheresecuritypassesareused,the contractor must ensure that his employeesandallsubcontractorsdeployedbyhimcarrytheirsecu-rity passes on their person prior to entering the plant grounds and at all times while performing their work.

A security pass will contain personal dataandprovideinformationaboutanyoccupational-healthscreenings,qualifications,instructionandtraininginindustrialsafety,aswellasanyauthorizations.

Uponissuanceofthepass,thecontractingfirmisresponsibleforensuring the continued accuracy oftheinformation,itsupdatingasrequiredandthepropertransferto,andsafe-keepingbytheemployeeaccording to the corresponding agreement. Any amendments may bemadeandconfirmedonlybytheclientortherespectivetraininginstitution.

When the contractor's personnel entertheclient'splantgroundsand/ortheworkarea,theymustcheckin. This also applies to employees of small companies.Thecheck-inprocessappliesevenifaplantIDcardhasalreadybeenissued. Contracting personnel check inbyreportingtoadefinedreportingpoint(e.g.asecuritygate)ortoanassigned work area.

The use of differently coloured work clothing is useful in quickly distinguishing betweenclientandcontractorpersonnelwhileon-sitetogether.

5.3 Operational plan

An operational plan that considers the results of the risk assessment andstipulatesprotectivemeasures is crucial for the success of the project. It is the duty of the contractor's RS to draft this plan in cooperation with the client's RCP.

The introduction of security pass schemes (sometimesalsoreferredtoasHealth,SafetyandEnvironmentPassport)canalsocontributetoincreasing occupational health and safety perfor-mance.Appropriatecriteriacanbeestablishedtoensure the necessary health and safety standards areachieved.Asecuritypassisapersonaldocumentthat–inadditiontoprovidingpersonaldata–confirmstherelationtoanemployer,aswell as participation in any screening programme or induction and training courses. A security pass helpsincreasetransparencyandfulfilorganiza-tional and personnel prerequisites related to oc-cupationalsafety;specificallyservingaspersonalevidenceofalloccupational-healthscreeningandoccupational-safety-relevanttraining,instruc-tion and induction. They are especially useful as a means of controlling work-site access for contractors who work for more than one company or industry.

TheIDcards,forexample,authorizecontracting personnel to enter the plantgroundswhileservingasaformofidentification.

50 51

Client Contractor


6. Control and sign-off/Completion

6.2Supervisionof measures

6.4Contract

infractions

6.5Plant

handover

6.3Incident/accident

management

6.1Implementationof operational

plan

6.1Implementationofprotectivemeasures

6. Control

and sign-off/Completion

6.5Testing and acceptance

Questions

n Have the protective measures identified in the risk

assessment been planned and implemented?

n Who is responsible for ensuring the protective measures have been implemented?

n Have the protective measures been recorded and are they re-viewed as the work progresses?

n Does the deployment of the contractor give rise to addition-al risks for the client’s work-force? If so, have the employees of the client been sufficiently informed of these risks?

n What arrangements are in place to ensure the client’s employees can be distinguished from the contractor workforce?

n Have the protective measures identified in the risk assessment been planned and implement-ed?

n Who is responsible for ensuring the protective measures have been implemented?

n Has a first aid and emergency action plan been established?

n Is the operational plan fit for purpose for the contract?

n Who is responsible for instruct-ing the contractor workforce about the risks and protective measures before starting work?

n What are the key risks to be managed throughout the work?

n Does the client prescribe the use of identity cards/securi-ty passes? Do the contractor employees, and subcontractors if employed, use these cards/passes as intended?

n Has a check-in procedure been established for both contractor and subcontractor employees?

?

Good-practice examples can be found on page 69 ff. of the annex.➔

52 53

Client Contractor


6.1 Implementation of protective measures

The client's RCP checks the imple-mentationofprotectivemeasuresbeforeworkiscommenced.

6.2 Supervision of measures

The RCPsupervisestheorderlyprocessingoftheproject.Hemustcoordinateandsuperviseproject

6.1 Implementation of operational plan

The contractor's RS leads the imple-mentationoftheoperationalplan.Hemanages,supervisesandmotivates histeamtoachievetheaimofthecontractinasafemanner.Hecoop- erates and communicates with the client's RCP during the entire pro-cess.

The RSmustensurethatdefinedsafetymeasuresarebeingobservedandthatworkisbeingperformedin accordance with safety rules. All employeeshaveadutytocooperate.Theyhaveadutytoreporttotheirdirectsupervisor,totheresponsibleperson or to the occupational health and safety expert if agreed safety measuresarenotbeingobservedand/orcannotbeobserved.TheRS in cooperation with the RCPand/orthe Coordinatormustthendefinewhether new or adapted safety mea- suresareimmediatelypracticablewithout interrupting the work process.

6.2 Supervision of measures

Thesupervisionofthesafetymea-sures is an important task of the RS. Thesemeasureswillvaryfromdaily


Client Contractor

performancewiththepossiblesup- port of a Coordinator.

Hefollowsaplanofintermittentchecksandassessmentsbasedon the anticipated work progress. Auditingandactivemonitoringisnecessary to ensure compliance with safety and health standards while facilitating regular performance assessment. This could include daily checksandweeklysiteinspections,as well as monthly assessments for long-term contracts.

Meetingswiththecontractorshouldbesetupatreasonableintervalstobothensurethatmeasuresagreeduponareworkingandprovideforenhancementstobemadeastheclient-contractorrelationshipdevel- ops.Anychangesinthetask,envi-ronmentorworkingpracticescanbereviewedanddiscussedwithaddi- tionalprecautionsbeingidentified.

This demonstrates mature and effectiveleadershiponbehalfoftheclient,providesaclearchannelofcommunication and facilitates the ongoingprovisionofguidanceandadvice.Thelocalidentificationandeliminationofdeviationsinnear- real-time requires a high degree ofaccessibilitytocompanysuper-visors.Undernocircumstancesshouldinstructionsbeissuedbyaclient'srepresentativetoacontract-

checklists and safety talks to a weeklywalk-through,tomonthlyorevenyearlyassessmentsforlong-term or maintenance contracts.

Meetingsshouldbesetupatrea- sonableintervals,bothtoensurethemeasures put in place are working andtoprovidefortheirpossibleen-hancement as the client-contractor relationshipdevelops.

Sufficientsupervision,aswellastheprovisionofadequatetimeandre- sourcesmustbeassured.Mistakesand,inparticular,infringementsofrulesmustbeidentifiedandeliminat- edbeforeunacceptabledamage/lossoccurs.Allsubcontractorsemployedshouldbeadequatelysupervisedwith their work monitored to ensure that the agreed upon standards are maintained.

54 55

Client Contractor

6. Control and sign-off/Completion6. Control and sign-off/Completion

ingpartner'semployee;exception:instruction to discontinue work or to leavetheworksitewithoutdelay.Thequestionastowhoshouldhavethe authority to issue instructions mustbeclarifiedinadvance.Thismustalsobereviewedandcoordi- nated among the contract partners.

Sufficienttimeandresourcesshouldbeallocatedtoworkmonitoring.Goodperformance(goodpractice) shouldalsobeidentifiedandrecog- nized,andshouldbetakeninto account when plans are updated.

6.3 Incident/accident management

An incident is a symptom of some-thinggonewrong.Incidentsmustbereported to the RCP.

Bothresponsiblepersonsmustinvestigatethecausesandthe circumstances. They cooperate infindingsuitablepreventive measures,especiallyifanaccidenthas already occurred.

6.3 Incident/accident management

An incident is a symptom of some-thing gone wrong. The RSisobligedtogiveareporttotheRCP.

Any accident in conjunction with theorder/contractmustbereportedin principle and immediately to the client. This duty to report applies to allsubcontractors,aswell.

Bothresponsiblepersonsmustinvestigatethecausesandthecircumstances. They cooperate in findingsuitablepreventivemea- sures,especiallyifanaccidenthasalready occurred.

Client Contractor

Any infringement of an occupational- safetyregulationbythecontractorshouldbesystematicallyaddressedbytheclient.

Thismayinvolveathree-tier escalation

n Reprimanding the contractor's re- sponsibleperson.Thisreprimandistobedocumentedinwriting.

n Discussing the issue with a repre-sentativeofthecontractor'sman- agement.Thisdiscussion,inclu-dingadefinitionofbindingmeasu-res and the threat of consequen-cesinanycaseofnon-adherence,aretobedocumentedinwriting.

n Terminationforcause,possiblediscontinuationofcompensation/further cooperation.

Any infringement of occupational- safetyandhealthrulesbyasubcon-tractorshouldbeattributedtothecontractorandbeincludedinthecontractor assessment.

6.4 Contract infractions

The contract should include appro-priate procedures addressing the variouslevelsofcontractorinfraction. Aclearprocessshouldbeinplacethatsetsoutthestepstobefollowed intheeventofadispute.Ifabreach

56 57

Client Contractor


Questions

n Has the implementation of the protective measures been

checked? Who is responsible for this?

n What are the most important controlling duties of the RCP?

n What protective control measures must be performed regu-larly or in case of emergency?

n Is the role of the Responsible Supervisor clear when it comes to implementing the operational plan?

n Who is responsible for ensuring the protective measures are implemented and maintained?

n Have appropriate supervision arrangements been estab-lished?

?

ofcontractoccurs,theclientmust takeallnecessarystepstoavoid consequences that could threaten the project.

Disciplinarymeasuresand,inextremecases,suspensionofworkor termination of the contract are possibleoptions.

6.5 Testing and acceptance

The client tests and inspects plant facilities and equipment according to the requirements of the contract.

6.5 Plant handover

The contract work is ideally com-pletedontime,withinbudgetandincompliance with all safety and health regulations. Upon completion of the work,thecontractorhandsovertheplant/equipment,etc.totheclient. Good-practice examples can be found on page 72 ff. of the annex.➔

n Have regular meetings with the contractor been arranged to review the work?

n Who has the authority to issue instructions to the contractor? Is the extent of this authority clear?

n Are arrangements in place to handle infringements by the contractor and how are these handled?

n Have regular meetings with the client been arranged to review the work?

n What actions should be taken in the event of incidents/accidents?

n Are the consequences of contractor infringements clear and are procedures in place to manage this?

n Have sufficient time and resources been allocated to manage the work?


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Client Contractor

7. Review

Theclient’saimisthetargetedfulfil-ment of the contract within the time limitsallottedandcostsbudgeted.Itisnotpossibletoachievethisgoal,however,withoutmaintainingeffec- tivehealthandsafetystandards.

Workflowinterruptions,materialdamage,sporadicincidentsor,intheworstcase,anaccidentareallindicativeofsomethinggonewrong.Analysis of these unanticipated oc-currencesandidentificationoftheircauseswillhelptofindmoreeffec- tivesolutionsforfutureprojects.

Essentialreviewtopicscanbe:n Contractplanning;n Choiceofcontractor;n Trainingandeducation;n Cooperationandcommunication;n Riskassessment;n Protectivemeasures;n Supervisionandmonitoring.

The contractor’s aim is the targeted fulfilmentofthecontractbasedontheeffectivecooperationwiththeclient.Itisnotpossibletoachievethisgoal,however,withoutmaintain- ingeffectivehealthandsafetystan-dards. Unsafe and unhealthy working conditions at the client's site may jeopardize the health of the contrac-tor'sworkforce,thusputtingfulfilmentof the contract at risk.

Workflowinterruptions,material damage,sporadicincidentsor,in theworstcase,anaccidentareallindicativeofsomethinggonewrong.Analysis of these unanticipated occurrencesandidentificationoftheircauses together with the client will helprevealmistakesandshortfallsinthecontractor'sfulfilmentofthecontract.

Essentialreviewtopicscanbe:

Apost-jobevaluationisnecessaryandwillprovefruitfulforboththeclientandcontractor.LessonscanbelearnedateverystageoftheContractLifecycle astohowtofurtherimprovetheeffectivenessoftheprocess.Uponcompletion ofthejobandtheplanthandover,adiligentreviewoftheexperiencegainedduringtheproject–negativeaswellaspositive–isessential.Theresults shouldbedocumentedinwriting.

Stages1–6oftheContractLifecycleandtheirsubheadingsmayserveasaguidelineforthereview.

Theclientandcontractorshouldindividuallyreviewtheprocessfromtheirrespectivepointsofview.Intheend,however,theyshouldcometogethertodiscusstheirfindings.

7. Review

3.Contractual

arrangements

4.Collective

preparation

5.Management

of contract

6.Control

andsign-off/ Completion

2.Choice

ofcontractor/ Check of tender

1.Project

preparation

7. Review

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Client Contractor

7. Review

Attheend,theclientdecides whether he will cooperate with the contractor in future contracts ornot.Heupdateshispreferred contractor list accordingly.

Questions

n Have arrangements for a review of the work been

established with the contractor?

n What are the essential issues to consider in the contract review?

n Have the results of the contrac-tor assessment been discussed with the contractor?

n Have arrangements for a review of the work been established with the client?

n What are the essential issues to consider in the contract review?

n Have any incidents or un-planned events that occurred during the contract been analysed?

n Have potential improvements for further contracts been discussed with the client?

?

A good-practice example can be found on page 75 ff. of the annex.➔

7. Review

Client Contractor

Theclientshouldassesstheoverallperformance of the contractor. A generalreviewoftheoverallprojectwillprovidethecontractoranoppor-tunity to offer concrete proposals towardsimprovingperformanceandavoidingshortfallsinthefuture.

Thecontractorsaresubjectedtoanassessment. Included here should bethesubcontractorscommissionedbythecontractor.Thisunderscoresthecontractor’sresponsibilityinselectingsubcontractors.

The result of the assessment shouldbediscussedwithandmadeavailabletothecontractor.Onemajor aim of the assessment is the furtherdevelopmentofpartnership- basedcooperation.

If the work order was executed in linewiththespecificationswhilesafeguarding the safety and health of all employees and keeping materialassetsintact,thisqualifies thethird-partyfirmforpossible follow-up orders.

n Checkoftender;n Competenceofworkforce;n Trainingandeducation;n Cooperationandcommunication;n Riskassessment;n Protectivemeasures;n Supervision.

Areviewoftheprojectprovidesthecontractor an opportunity to identify potentialforimprovementinhis management and organisation of future projects.

The contractor should also inform theclientaboutanypotentialforimprovementheidentifiedwhile working for the client.

Joint consultation at the conclusion ofaprojectprovidesinvaluableinformation to each of the contract partnersandestablishesabasis for the success of further project collaborations.

Inadditiontoevaluatingitsperformanceuponconclusionofacontract,thecontractedenterpriseshould also determine whether or not the order wasexecutedinatrouble-freemanner.Particu-larlyinviewoffutureorders,itisimportanttoknowtowhatextentplanning,organizationandexecutionmayfollowasimilarcourse,orwhethermodificationsarenecessary.Usingthisknowl-edge,itshouldbedeterminedwhetherornotitwaspossibletoguaranteethesafetyandhealthof all personnel at all times.

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Client Contractor

The client uses the results of the re-view(Sec.7)torevisetheContract Lifecycleandtoadapt/improvetheoverallprocess.

Deviationswilloccurinevitablyduringaproject,evenwiththemostmeticulous planning. But they also providevaluableinsightsforthefuture. They can impact all phases of aprojectbutareparticularlyimpor-tantwhentheyrevealweaknessesinone'sownbiddingprocessorintheselection of a contractor.

The contractor uses the results of the review(Sec.7)torevisehispartofthe Contract Lifecycleandtoadapt/improvehisstrategy,resources,structure and contract management.

Deviationswilloccurinevitablyduringaproject,evenwiththemostmeticu-lousplanning.Buttheyalsoprovidevaluableinsightsforthefuture.Theycanimpactallphasesofaprojectbutbecomeparticularlyimportantwhentheyrevealweaknessesinvettinganoffer.

Questions

n Has the experience and learning gained from the

performance of the contract been recorded for use in future projects?

n Are there any steps of the Contract Lifecycle that could be improved based on the results of the review?

n Has the experience and learning gained from the performance of the contract been recorded for use in future projects?

n Are there any steps of the Contract Lifecycle that could be improved based on the results of the review?

?

Good-practice examples can be found on page 76 ff. of the annex.➔

8. Process improvement


Client

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Annex

Annex

2. Choice of contractor

List of references (8, 9) Part of the learning legacy from an Olympics construction project included publishedguidanceontheapproachtoassessingandsecuringcontractorstoworkontheproject.Aprequalificationprocessexploredtheabilityoftheorgani-sationtoproviderelevantserviceswhilstmeetingtherequiredstandardsduringdesign and construction. In turn the main contractor also had to ensure that the standardwasmetbysupportingandassistingsub-suppliersandsubcontractorswithin their supply chain.Prequalificationensuredthattherequiredcompetencies,systemsandresourceswereinplaceifappointed.Documentationwassubmittedbypotentialcontrac-torssettingouttheir:

n Health&safetypolicy;n Environmentalpolicy;n Organisationalarrangementssettingoutthemanagementcommitment, planning,controlmeasures,monitoringandroutestocontinualimprovement;

n Evidenceofmembershipofcontractormanagementschemes,andcompliancewithindustrycodesofpractice;

n DetailsofH,SandEperformanceoverthelastfiveyears;n Evidenceofnearmissreporting,workerengagement,safetyculture,occupa-tionalhealthservicesandemployeecompetenceandtrainingschemes;

n Procurementarrangements;n ArrangementsforbenchmarkingandverificationofH,SandEperformance.

Theaboveaspectsweresetatalevelappropriatetothenature,scaleand impactoftheactivities,productsandservicesthatwererequired.Theyalsohadtobesupportedbyseniorlevelcommitmentandsignoffwithintheorganisation.Contractorswereexpectedtobecommittedtocontinualimprovementand comply with all legal requirements. Policies and procedures were requested to bedocumented,implemented,andcommunicatedtoallpersonsworkingon behalfoftheorganisation,andberegularlyupdatedandapprovedatseniorlevel.

Good practice examples

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Annex Annex

inequipmentandpersonnelfromanassurancethatforwardplanningintraining,equipmentandpersonnelresourcewouldprovideagreaterreturnduetotheavailabilityoflongertermcontracts.Thesearrangementsalsoledtoamore stableworkforcewithalowerturnoverrate,enablingagreaterfocusonhealthandsafety,qualityandreliabilityissues.Thecommitmentfrombothsideswasmadeatseniorlevelandbasedonsharedgoalsandstrategies.Awell-managedapproachatworkinglevelthenensuredthateffectivemanagementcontrolswereinplacetoensureanyissuescouldbeeffectivelyresolved,andthattheprocesscontinuedtothefulltermofthecontract,whichistheriskofenteringintosuchlong-termpartnershipsthatdonotmeetexpectations.Thiswassupportedbyaregularcontractreviewprocess.Thisrequiredcooperationatalllevelsbetweenthepartiesandtheongoingprovisionofinformation,trainingandconsultationtoensureanybreachoftheagreementandworkingarrangementswereprevented.

List of references (19)ContractorshavebeenemployedformanyyearsintheGermanoilandgasindustrytocarryoutmajorrepairsandprovidespecialservices.Overtime,itbe-came clear that the risk of a work-related accident was particularly pronounced forcontractedpersonnelwhenevertheyworkedatacompanyforlessthansixmonthsanddidnotyethaveadequateexperienceintheoilandgasindustry.Therespectivecompanyundertookaninitiativetoraiseawarenessofthisissueamongthecontractingmanagersandpersonnel,aswellasthroughouttheclient'scompanyitself.Variousmeasuresweretakentothisend:"New"per-sonnelmustbeaccompaniedbyanexperiencedcolleaguewhileperformingtheirworktasks.Thecontractormustalsoinformtheclientastothenumberofpersonnel,theirqualificationsandinstructionsgiven,aswellasanyspecific, activity-relatedtrainingprovided.Thisinformationmustbesubmittedinwritingandinatimelymannerpriortocommencingwork.Thestatusof"newemployee"isretainedfor6months,beingannotatedinasafetypassportcarriedbyeachemployeeandindicatedbyanappropriatestickerontheirhelmet.Atthesametime,informativesessionswereconductedformanagersandpersonnelto discusssafetyproblemsassociatedwiththedeploymentofinexperiencedem-ployeesandpresentrelatedmeasuresintroducedbythecompany.The initiativedevelopedandimplementedherehasatwofoldeffect.Ontheonehand,itobligatesthecontractingcompany’smanagementtofocusintentlyonthistopicwhile,ontheother,itsensitizestheclient'spersonneltopayparticularattentiontotheir"new"contractorcolleagues.


3. Contractual arrangements

List of references (21)Allworkcontractswiththerespectivecompanycontainanobligationforthecontractor to comply with statutory occupational health and safety regulations. However,companyaccidentstatisticsshowthatthereferencingoflegalrequire-mentsforoccupationalsafety,alone,isneithersufficientnordoesitinspirethedesired attention.Forthisreason,thecompanyhasintroducedso-called"Additionalconditions foroccupationalsafety"witheveryorder,inwhichallobligationsaredefinedandmadecontractuallybinding.Thefocushere,forinstance,isontheanalysisofresults from work-related accidents. A compilation of fall-related accidents led to theintroductionofageneralobligationtowearPPEagainstfallsfromaheight,ifsuchariskexists(e.g.workingonaerialplatforms).Inthismanner,attentionisdrawntoimportantpointsinadvance,withthesebeinguniformlydescribedandpresentedtothecontractorascontractuallybinding.Onthisbasis,thefulfilmentofanyadditionaloccupationalsafetyobligationsbecomesmandatoryoncethecontractisexecuted.Theseobligationsapplybothtocontractorsandsubcontractors.

List of references (17)Because,fromtheclient’sperspective,aclearseparationofclientandcontractorenergyresources(e.g.electricity,compressedair,etc.)andoperationalfacilitieshasprovenimpracticableinpractice,theclientmadethedecisiontocontractual- lyprohibittheuseofequipmentintroducedbythecontractor.Asanalternative, theclientprovidestheequipment(e.g.PPE).This,then,isstipulatedinthecontract.


AUKenergycompanydevelopedamoreadvancedapproachtocontractor selection through the adoption of opportunities to partner with one or more con-tractorsandsuppliersintheformofan‘AllianceWorkingprogramme’,rather thanusingtraditionalsupplychainrelationships.Thebenefitsprovedtobemoreeffectivelongertermrelationships,andvaluetoallpartnersthroughtheexpec-tationofacloserandmoreefficientwayofworkingthatincreasedthelevelofconfidenceandcommitmentintheprojects.Itsupportedcontractorinvestment


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Annex Annex

ticesandemphasizestheimportanceofcollaborationintheirmutualeffortstoimproveprojectsafety.ASafetyCharterhasbeenintroducedatcompanysiteswherebothclientandcontractorsign-ontopursuethesafetystandardsagreeduponbyandexpectedofallpersonnel.TheCharterisprominentlypostedatallsitelocationsandhasultimatelyledtomuchgreatersenseofjointownershipbyallparties.This,inturn,hashelpedpromotethesharingofinnovationandbestpracticeinitiatives.Itisalsoaccompaniedbya‘ClearBrightLine’,whichplainlydefinestheprincipleseachpersonmuststrivetowardandhelpstoensurethatallpersonnelaremadeawareoftheirrelatedobligations.Theintentionisalsotoprecludetheclientfrom‘overstepping’itsboundariesbyassumingcontractorobligations.Thisislikelytocauseconfusionovertimeandwillultimatelyprovedetrimentaltosafety.Atthesametime,theclientmustbefullyawareofitslegalobligationsandresponsibilitiesrelatedtoworkingwiththecontractor,whilebeingcarefultonot‘under-manage’thecontract.


List of references (11)Asignificantsewerageinfrastructureimprovementprojectidentifiedtheneedtopromotethebenefitsofinductiontoaworkforcecomprisedofequalnumbersofdirectlyemployedandcontractorpersonnel;thiswasintendedtohelpremoveanydistinctionorbarriersbetweenthetwosetsofworkers.Aninvestmentinpersonnelirrespectiveofthecompanyprovidedthenecessaryhealthandsafetymanagementrequired,whilstdemonstratingacommitmentandvaluetoallemployees.The induction process required the construction and use of a dedicated facility thatprovidedarangeofintroductionstotheprojectincludingclassroomteach- ing,actedoutsafetyscenarios,generalandsitespecifictoursandawarenessvisits,availableoccupationalhealthservices,andtheprovisionofbrandedPPEand equipment. A sense of ownership was instilled though adapting the protec-tiveequipmenttothespecificneedsofbothrolesandindividuals.Employeeswereprovidedwithdedicatedchangingareasandpersonalstoragelockers, welfareandcateringfacilitiesandrestareas.Theinitiativebenefitedfrom supportfromallofthecontractpartnersandledtoacollectiveownership,and inturnhelpedintegratetheworkersbothbetweendifferentcontractorsand betweenthecontractorsandtheclient.


List of references (4)Withintheelectricalindustry,anumberofcontractingcompanieshavedevel- opedcloseworkingrelationshipswiththeirrespectiveclients.Thishasprovenmutuallybeneficialforbothcontractorsandclients,andhasledtoagreater levelofpreparednessforfuturecontracts.Bydevelopinglong-termrelationshipsbetweentheclientandcontractorforspecificworkactivities,aconduciveenvi-ronmentforintroducingbestpracticeinitiativesandinnovationswillalreadyexistwhen synergistic opportunities arise. This promotes a more consistent approach tositeset-upandworkingmethodology,aswellastooccupationalhealthandsafety management. Contractor commitment is demonstrated through an allo-cationofsufficientresourcesacrossarangeofskillsanddisciplines,therebygeneratingconfidenceonthepartoftheclient.A health and safety forum is held quarterly with the participation of all senior- levelmanagersfrombothorganisations.Thegoaloftheforumistoensureacommitmenttohealthandsafetyvalueswhilemaintainingasharedvisionformanaginghealthandsafetyperformance,andforimprovingonthatperformanceyearafteryear.Theforumthereforeencompassesareviewoflessonslearnedaswellasforthcomingareasoffocus,therebyensuringthatissuesaread- dressedatthedecision-makinglevelsofbothcompanies.Eachorganisationbriefstheotherontheirrespectiveriskassessments,andsharesinformation onthehazardsandrisksidentified.Thiscollaborativeapproachensuresanenhancedlevelofriskassessmentaswellasasaferworksiteforallpersonnel.Italsoleadstoimprovedqualityperformancewithacommitmenttoachievethehighest standards from the start. Inaddition,theclienthostsacross-contractorsafetyforumtofacilitatethecom-municatingofinnovations,bestpracticesandlessonslearnedalongtheirsupplychain,aswellastoensurethatadriveforcontinualimprovementismutuallysharedthroughouttheindustry.Casestudiesareusedtoreviewincidentsinmoredetail,toconveylearningpointstohelppreventfutureaccidentsandtoprovidelinkstotoolsforimprovinghumanperformance.Theseareaccompaniedbydiscussiontopics,suchasdevelopmentsinaccident,nearmissandhazardreportingsystems,ormeasurestoimprovecontractoraccesstohost-companydatasystems,policiesandprocedures.

Anotherindustryexampleistheopportunityaffordedacontractortodevelopitsowntrainingprogramwithintheclient’strainingfacilities,andtoprovidetrade- specifictechnicaltrainingtoallparticipatingteams.Thiscombinedprogramhelps contracting personnel gain a deeper understanding of client work prac-


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Annex Annex

topicsrelatedtooccupationalsafetyatregularintervalswithintheirassignedgroups. The LPS-spectrum can range from the examination of safety issue and the con-sideration of a key work process to the critical analysis of risk. Safety coaches provideanairofauthenticityinthistaskbecausethey,themselves,areworkingcolleagues. Regularity ensures that occupational safety is and remains a daily topic.Asafetycoachissupportedandsupervisedbyamentor,whois,inturn,commonly the coach’s line manager. Coaching is planned together with the mentorandcarriedoutonaweeklybasis.Theresultsofthecoachingsessionare recorded on a recently introduced team card. Team cards are anonymous-lyevaluatedbytheOSHdepartmentandsubsequentlymadeavailabletoallpersonnel.

List of references (28)Duringtheproductionprocess,employeesofasugarmanufacturingcompanymustmovearoundtheoverallplantfacility.Thispresentedaproblemduring anevacuation,however,indeterminingwhetherallemployeeswereaccountedforattherespectiveassemblypoints.Furthermore,theabsenceofoneem-ployeerevealedthathislastwork-locationcouldnotbedeterminedbeyondareasonabledoubt.Asasolutiontothisproblem:Allemployeesarenowissuedpersonallycodedcardswithwhichtoregisterthemselvesviaacardreaderatarespectiveassemblypoint.Uponregistration,theemployee’snameisdeletedfromtheevacuationlist.Thecardalsoservesanaccess-controlfunction,inthatanemployee'saccessontoandsubsequentdeparturefromthecompany’spremisesarerecorded.Thesys-temhasalsobeenexpandedsothatemployeesmustnowloginwhenentering,andoutwhenexitingthevariousplantzones.Thismeansthatinformationastothewhereaboutsofanemployeeisimmediatelyavailableintheeventofanevacuation.

List of references (29)Company-internalemergencytelephonenumbersmustbereadilyavailableintheeventofawork-relatedaccident.Anin-housesurveyrevealed,however,thatmanyemployeesandcontractorshadnoknowledgeoftheseimportantnumbers.Forthisreason,therespectiveemergencynumbersarenowlabelleddirectlyonthesafetyhelmets,guaranteeingtheirimmediateavailabilityifneeded.Helmetsmustalwaysbewornwheninthecompany’sproductionfacilities.Therefore,ayellowstickerlistingthemostimportantemergencynumbersisgluedintoevery


Whilstinductionisonlyoneaspectoftheeffectivetreatmentandmanagementofpersonnel,theinvestmentatthebeginningoftheprocesssetthetonefortheexpectations of workers and the professionalism required for the project. It also demonstratedtheclient’scommitmenttothehealth,safetyandwelfareofallemployees.Inthiswaytheclientwasabletocreateaconstructionenvironmentthathadnotbeenexperiencedbyworkersbefore,andindoingsosetanewbenchmarkfortheindustry.

List of references (27)Inconjunctionwithamajorconversionprojectusinginternalemployeesaswellasanadditional800employeesfrom100contractors,allcontractorswereissuedinitialinstructionsbymeansofamultilingualfilm.Thefilmcommunicatedthesafetyregulationsinashort,conciseandeasily understandablemanner.Amultilingualcontrolsheetwasthenusedtoensurethatthefilmcontenthadbeencomprehended.Moreover,additionalclient- personnelweredeployedattheconversionsiteduringtheprojecttomonitorcompliance with safety regulations.Atthesametime,theoverallprovisionofmedicalcarewasenhanced,withtheambulancestationbeingmannedaroundtheclock.Signswerepostedinthelocallanguage,aswellasinEnglish.

List of references (17)Toimproveitsownorganisationwithrespecttotheuseofcontractors,achemi-calcompanyestablishedaso-calledsafetyroomtoserveasacentralpointofcontact for its contractors. Required instruction is disseminated and induction is providedatthislocation.Anadjoiningtrainingroomhasfacilitiesforfilmstobeshownandpresentationstobegiven,amongotheruses.Thesafetyroomalsoservesasthemeetingplaceforclientpersonneltoconducttheirbriefingsandmeetings.Ultimately,therehasbeenatremendousimprovementincontractorcoordina-tionsincethesafetyroomwasopened.Thenumberof"abnormalities/defects"attributedtocontractingcompanieshasalsobeensignificantlyreducedandthefrequencyofgross,work-relatedsafetyviolationsisinsteadydecline.

List of references (20)TheLPS(LossPreventionSystem)initiatedbyacompanyoperatinginternation- allyprovidesfor,amongotheroptions,selectpersonneltobetrainedassafety coaches. These safety coaches are tasked with addressing and discussing


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Inthismanner,abigpictureoftheoverallworkplacetakesshapesduringthemeetingandinthepresenceofallparticipants.Possibleinfluencesandpotentialhazardsareimmediatelyrecognizable,sothatthenecessaryprecautionscanbetakenwithmeasuresbeinginitiateddirectly.

List of references (22)Duringtheplantshutdowneachwinter,personnelfromseveralcontractingcom-panies work together with the client's own personnel to process special orders. Upto250additionalpersonscanbeontheplantsiteatanyonetime–posingagreat challenge to occupational safety.Inordertocoordinatethecontractorsandtheirpersonnel,andtoensureasafe,accident-freeworkingenvironment,asafetycentrewasestablishedtoserveasapoint of contact for all related enquiries and permits. The director of occupational healthandsafety,aswellastheentireplantmanagementteamareinvolved intheinitiative.Itsaim,inthecontextofcoordinatingclientandcontractorper-sonnelduringmajorrepairworkinveryconfinedareas,istoguaranteethatthisworkcanbecarriedoutsafely.Atthesametime,itprovidesformanagement oftheoveralladministrativeprocess(e.g.permitsandworkapprovals)from acentralizedlocation.ThesafetycentreisopenMondaytoFridayfrom7a.m. to6p.m.andmannedbyamemberofthemanagementteam(department orplantmanager).Inaddition,thesafetycentrefacilitatesthecoordinationof instructionsissuedtoallcompaniesandthereviewofriskassessments,aswellasthedistributionofhelmetstickers.Experienceovertimehasproventhatthisconceptworks.Improvementsin theinformationsharedamongallpartiesinvolved,accompaniedbyagrowing awarenessofand,consequently,acceptanceoftheclient'ssafetyrules,the preventionofuncoordinatedworkactivitiesandtheavailabilityofcompetentcontactpersonnelareparticularlyappreciatedbythecontractors.

List of references (2)Asamanagingcontractoronecompany’sreputationwaspartlydeterminedby itsapproachtomanaginglargenumbersofsubcontractors.Contractorinduc-tionswerecarriedoutonsitebyaclientmanageralthoughtheshorttermandtransientnatureofthetasksandthesectormeantthat,whilstmanysubcontrac-torstaffwereinducted,onlyalimitednumberwerepresentonoperationalsitesatanyonetime.Thismeanttheinductionsneededtobeshortandfocused,butwell-structuredandsupplementedbynoticeboardinformationandweeklytoolboxtalks.


safetyhelmetwornbyallemployees,contractorsandvisitors.Inaddition,boththeinternalandmobilephonenumbersforthefirstaidfacilityarelisted,aswellastheextensionstocallintheeventoffire.Thisfacilitatesbothfastandeffectivecoordination and communication when it’s needed the most.

List of references (31)Aninformationcentrewasdevelopedtoserveasacentralpointofcontactandinformationdisseminationforbothcontractorsandemployees,aswellasforallothers accessing or not familiar with the construction site.Location,responsibilityandpriorityplansarereadilyvisibleandfacilitatethesmoothflowofinformation.Inaddition,theinformationcentrealsoservesas anassemblypointintheeventofimminentdanger,afirstaidstationandthe locationforaccessingemergencyfire-fightingequipment.Uponarrivalattheconstructionsite,contractorsareinformedabouttheproceduresandpointsofcontactforinitialregistrationattheinformationcentre.Afterregisteringbytelephone,specificinstructionsareissuedbyaresponsibleperson.Theinfor-mationcentreisthuscapableofprovidingareal-timeoverviewofthepersonneldeployed.Thiscentralizedorientationresultsinsignificanttimeandcostsavings.Mandatorycontactinformation,signsandnoticesarealsoavailableatalltimes.


List of references (25)Repairworkonlarge-scaleequipmentsuchasexcavatorsandspreaders requires a high degree of work-process planning and coordination. The most diverseactivitiesareoftencarriedoutsimultaneouslyonlarge-scaleequipmentatmultiplelocations.Alackofawarenessabouttheseparallelworkinitiatives,however,caninvokeconsiderablerisks.Inanefforttoreducetheserisks,anideawasconceivedtovisuallysupportthecoordinationofworkinggroupsonconstructionsitesandduringthebasicrepairoflargeequipment.Accordingtothenewvisualizationconcept,supervisorsfromeachparticipatingcompanyandworkinggroupmeetdaily,priortostartingwork,tomarktheirindividualworkareasonamagneticboard.Therespectivelarge-scaleequipmentisdepictedontheboardfromallsignificantperspectives.Supervisorsusecolouredmagnetsassignedtoeachworkinggrouptoidentifytheir working location for that particular day.


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caninfluencethatofcontractingpersonnel.Workinggroupsweretaskedwithimplementingthe‘TargetZeroGoldenRules’,withthesebeingreviewedandthefocusadaptedtoemphasisetask-specificinitiatives,asrequired,dependingonpriorities set and issues encountered.Therewardandrecognitionscheme,‘Gateway’,providescontractorswithanopportunitytoshowcasetheirinnovativeandinspirationalprograms.Deliverycontractswereassessedagainsttheclient’sTargetZeropillarsofLeadership,Health&SafetyDesign,Communication,OccupationalHealth,Safetyand PerformanceManagement.ThisledtotheawardofFoundation,Commenda-tionorInspirationstatus.Allgoodpracticesidentifiedduringtheseassessmentswerethensharedproject-wideviaInspirationBulletins,whileperformance-basedawardswereusedasamechanismtoincentivise,measure,recogniseand celebratehealthandsafetyexcellenceachieved.Tier1contractorswereempoweredtodeveloptheirownprocessesandsystemswithwhichtomeetclientobjectives.Theclientfocussedonengagingcontrac-tors,thusenablingthemtodeveloptheirowngoodpracticesanddrivetheirownperformancewhileallowingthemtousetheirowncompanyprocesses,wherepractical.

7. Review

List of references (9) Organisationscanmakeuseofthepreviousexperienceofothercompanieswhoarewillingtosharegoodpractice,knowledgeandinnovationonhealthandsafety management through working with contractors. Following completion of amajorsuccessfulUKconstructionproject,a‘LearningLegacy’websiteandinitiativewasdevelopedtohelpsharelessonsonhealthandsafetymanage-ment,environmentalmanagement,sustainability,procurement,projectmanage-ment and engineering issues associated with the use of a contracted workforce. Accesswasprovidedtocasestudiesandprocedureshighlightingthebenefitofusingleadinghealthandsafetyindicatorsthatmeasurethestepstakenbycontractorstocreatesafeandhealthyworkingenvironments.Thiswasshowntobeanimprovementonsimplyanalysingtraditionallaggingindicatorssuchasaccidentfrequencyrates.Thiswasparticularlyusefulwhenemployinganumberof contractors working across multiple disciplines on one project.A‘PerformanceAssuranceFramework’enabledcontractorperformanceto becomparedwhichencouragedcontractorstoachievethehighestpossible

Good practice examplesGood practice examples

Thecompany’sattainmentofexternalverificationdemonstratedtheircommit-menttoensuringthenecessarysafetyandqualityprocesseswereinplace, andhelpedemphasisethesafetycultureandlevelofawarenessoftheclientinthe minds of the contractors. The company also expected contractors looking for continuity of work to show a commitment and willingness to comply with this proactiveapproachtohealthandsafetyirrespectiveoftheeconomicclimate andtheavailabilityofwork.Subcontractorswereencouragedtopromotesuggestionsforimprovedworking;ononeprojectthisincludedasupervisorormanagerfromeachsubcontractortaking turns to conduct a daily safety inspection on the entire site. This led to allsubcontractorsworkingtogethermorecloselyandgivingmoreconsiderationtotheoperationsofothertrades.Subcontractorsarenowmuchmoreopenandprepared to speak to other companies’ personnel if they see them working un- safely,ortocommunicatewitheachotherwhentheynoticepotentialproblems in their own or others’ work areas. Amorningsafetymeetingofallthecontractorswasalsocombinedwiththedailyinspectionsystem,againintegratingtheworkofdifferentcontractorsworkingonthesameproject.Inturnthishasimprovedthecompanies’relationshipwiththeclient,increasingthepotentialforbeingacceptedontotheclientapprovedtenderlistandforattractingnewbusinessopportunities.

List of references (3)AmajorUKconstructionprojectintroducedseveralstrategicinitiativesto ensurecollaborativeandprogressiveworkingrelationshipswithitscontractors.The‘Front-lineLeadershipProgram’wasdesignedtohelpsupervisorsdeveloptheirleadershipskillsbyintroducingnewwaysofthinkingtoassistthemintheirday-to-dayroleswhile,atthesametime,encouragingfutureprogress.TheSafety,HealthandLeadershipTeam(SHELT)wascomprisedofdirectorsfromboththeclientandtier1contractors(primarycontractorswithoverallpro-jectresponsibilities).Itmetregularlytodiscusshealthandsafetyperformance,toconsideremergingtrendsandincentives,aswellastofindaconsensusforanoverallhealthandsafetyimprovementprogramstrategy.Regularforumsandworkshopswereheldwithcontractorhealthandsafetymanagerstoreviewauditandsurveyresults,andtosharebestpracticeconceptsandideascompiledfromthevariouscontracts.Clientprogramsincludeda’BehaviourInfluencesBehaviour’initiativedesignedtoraisehealthandsafetystandards,achieveestablishedtargetsandgoals,andhelptheclient’sownpersonneltobetterunderstandhowtheirbehaviour

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carriedoutbythecontractoronbehalfofthehostcompanyandjointinitiatives.Theworkfocussedon:

n ContractorForums&ExpertGroupstooverseeprojects;n Sharedtrainingandcompetenceassessment;n Apprenticeshiptrainingrequirements;n Sharedriskassessments;n Siteaudits;n Incidentlearningandcorporatememoryaspects;n Promotionofcasestudiesoncommonindustryrisks,includingtheuseofnewtechnology;

n Companybehaviourandsafetycultureprogrammes;n Managingspecifichigherriskactivities(driving,overheadlinework,tree cutting).

The learning and case studies were collated into an Annual Progress Report andSHEReview,whichisavailableonthePoweringImprovementwebsite.Thisprocessofreviewingtheapproachtoworkingwithcontractors,andlearningfromtheirexpertiseandtheprojectstheyhaveundertaken,providedvaluetothecompanies as clients and enhanced existing relationships with their contractors. In turn this experience will help shape the management of new projects and contracts using the Contract Lifecycle approach.

List of references (24) Therespectivecompanywasabletosignificantlyreducethenumberofacci-dentsitsownanditscontractors’employeeswereinvolvedin,relyingonthecontinuousandsustainedimprovementofitsoccupationalsafetymanagementsystemtogetherwithinnovativeoccupationalsafetyprograms.Inanefforttofindthemosteffectivemeasures,theentirecollaborativeprocesswasbrokendownintoindividualsteps,witheachstepexaminedastoitsinflu- enceonoccupationalsafety.24pointswereidentified,witheachbeinganalysedtodeterminethemeasuresthroughwhichpotentialsuccesscouldmostlikelybeachieved.Fromtheoutset,atiered,multi-yearapproachwasfavoured.Theaimwas,andstillis,totreatcontractoremployeesasiftheyweretheclient'sownemployees,whilefocusingonthedevelopmentofanoccupationalsafetyculturetowardsthelong-termpreventionofaccidents.Thiscomprehensivemanagementapproach

standards.Bestpracticeguideswerepublishedonspecificactivitiesandtheskillsrequired,whilstcontractorhumanandorganisationalinitiativesandwork-forceengagementpracticeswerereviewedtoestablishhowtheyalignedwiththeclient’soverarchinghealthandsafetystrategy.Maturecontractorsalso providedevidenceofdiversitypoliciesandhowworkplacescouldbedesigned tobeinclusiveofallpersons.Byprovidingaccesstothisinformationhelpwasmadeavailabletocompanieslookingtoimprovetheircontractorselectionprocess;thisisimportantas ultimatelytheclientdiscoveredthat‘thelowesthealthandsafetystandards acceptedanddisplayedwillbethehigheststandardsthatcanbeexpectedto beachieved’.


List of references (4) Theprocessofimprovingengagementandworkingwithcontractorsisnot limitedtoreviewsofindividualcontracts,butcanalsodrawonasectorlevelpolicyapproach.TheUKelectricityindustrydevotedanannualthemewithinitsoverarchinghealthandsafetystrategy,PoweringImprovement,tothereview ofcompanyexperienceswithworkingwithcontractors,aswellaslearningfromthecontractorbusinessesthemselves.Thiswasconsideredbothimportant andnecessaryinasectorwherecontractorsformthegreaterpartoftheoverallworkforce.Thiswasalsointendedtobuildontheexistingrelationshipsbetweenallofthestrategypartners,whichisseenasabeaconofexcellenceinraisingawarenessandimprovingstandardsonhealthandsafetyinthesector.Thecontractorfocusyearsoughttoemphasisethepartnershipworkingbe-tweentheelectricitycompaniesandtheircontractors,promotingcollaborationand ensuring procedures were designed to secure the safety of all people who access,operateandworkoncompanyassets.ADeliveryPlansetoutanumberofOutcomesandOutputswhichallstakeholderssignedonto,andwhichcentredonsharingbestpracticeapproachestomanagingthecommonriskswithintheindustry.Thisrequiredthepromotionofimprovedcommunicationsandthe developmentofsafetyalliancesandframeworkswhereappropriate.Anumberofeventswereheldincludingnationalworkshops,contractorpresenta-tionsatcrosscuttingindustryforums,andindividualcompanyworkshops,whichwereheldjointlywithcontractors.Thesehighlightedbothfunctionsthatare


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English references

1) AustralianSafety&CompensationCouncil,GuidanceonOccupationalHealth&SafetyinGovernmentProcurement,2006

2) BritishSafetyCouncil,TransformingtheCultureofWorkplaceHealth&SafetyReport,2010

3) Crossrail,2015Health&SafetyAnnualReport:MovingLondonForward,2015

4) EnergyNetworksAssociation,2015PoweringImprovementAnnual ProgressReport&SHEReview,WorkingwithContractors,2015 (www.poweringimprovement.org)

5) EuropeanAgencyforSafety&HealthatWork,E-Facts62,Safe Maintenance:WorkingwithContractorsandSubcontractors,2012

6) InstitutionofOccupationalHealth&Safety,GlobalBestPracticesin ContractorSafetyIOSHGoodPracticeGuidelines,2014

7) ISSAElectricitySection,GuidancefortheManagementofHealth&SafetyPerformance;SupportingandEmpoweringMiddleLevelManagersintheElectricityIndustry,2015

8) LondonOrganisingCommitteeoftheOlympicGamesandParalympicGames,LearningLegacy:LessonsLearnedfromPlanningandStagingtheLondon2012Games,Health&SafetyInductionforGamesWorkforce,2012

9) LondonOlympicDeliveryAuthority,LearningLegacy:LessonsLearnedfromPlanningandStagingtheLondon2012Games,Health&Safety EnvironmentStandard,2011

10) TheCampbellInstituteNationalSafetyCouncil,BestPracticesin ContractorManagementReport,2015

11) Tideway,ReconnectingLondonwiththeRiverThames:DeliveringaLastingLegacy,2017

12) UKHealth&SafetyExecutive,UsingContractorsaBriefGuide,INDG368,2012

13) UKHealth&SafetyExecutive,ManagingContractorsaGuidefor Employers,HSG159,2011

14)Worksafe,VictoriaAdvisoryServiceAustralia,GuidanceNote:ContractorManagement,2011

Annex

List of referencesGood practice examples

targetedasystematic,sustainableimprovementinoccupationalsafety.Itis particularlyimportanttonotethat,whilethecompanydemandsanemphasis onoccupationalsafetyfromitscontractors,italsoprovidesintensivesupportthroughconcretemeasurestopromotetheachievementofitssafetygoals.Thecontractor'smanagementofoccupationalsafetyprovestremendously successfulwhenthevariousmeasurestakenalongtheindividualstepsare interlinkedandconsistentlyimplemented.Especiallythetransitionfrom "contractor”to"partner”isanessentialculturalstep,butthis,inturn,requires along-termcommitment.Theresultsareultimatelyreflectedindeclining accident-ratestatistics.TheLTIFrateforcontractors,forexample,hasfallen byupto30%andisasingledigitatmanyconstructionsites.

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31) VattenfallEuropeMiningAG,TagebauWelzow-Süd:ZentralerInfo-PunktfürServicepartnerundBeschäftigte,BGRCIFörderpreisbeitrag2015.

Spanish references

32) ComitéColombianodelaCIER–COCIER:Guíaparalagestiónde seguridadysaludeneltrabajodecontratistasysubcontratistasdelsectoreléctrico,Medellín,Colombia:2018.

33) ConfederaciónEspañoladeOrganizacionesEmpresariales:AplicacionesinformáticasdeapoyoempresarialenmateriadePrevencióndeRiesgosLaborales2018,2018.

List of referencesList of references

German references

15) BerufsgenossenschaftHolzundMetall(Hg.):BGI865–Einsatzvon FremdfirmenimRahmenvonWerkverträgen,Mainz:Ausgabe2010.

16) BerufsgenossenschaftRohstoffeundchemischeIndustrie:Fremdfirmen-management–EinLeitfadenfürdiePraxis,Heidelberg:JedermannVerlag,2012.

17) Chem-Trend(Deutschland)GmbH:Safety-RaumfürFremdfirmen- Management,BGRCIFörderpreisbeitrag2013.

18) DeutscheGesetzlicheUnfallversicherunge.V.(Hg.):BeispieleguterPraxisfürKMU,Berlin:2015.

19) ExxonMobilProduction:NeuimBetrieb:SystematischeRisikominimierungbeimFremdfirmeneinsatz,BGRCIFörderpreisbeitrag2009.

20) ExxonMobilProductionDeutschlandGmbH:LossPreventionSystem– Safety-Coach-Konzept,BGRCIFörderpreisbeitrag2015.

21) Gröner,Harald;Roelofs,Ansgar;Hank,Ulrich:AspekteimUmgangmitPartnerfirmenimArbeitsschutz.In:VGBPowerTech,7/2011,S.85-91.

22) OPTERRAZementGmbHWerkWössingen:EinrichtungeinerSicher-heitszentralebeiGroßreparaturen,BGRCIFörderpreisbeitrag2017.

23) RADr.J.Schliephacke(Eisenbahn-Unfallkasse):SicherheitundGesund-heitsschutzorganisieren–EinsatzvonFremdpersonalimUnternehmen,Frankfurta.Main:2006.

24) RWEPowerAG,Hauptverwaltung:SichervoRWEgmitPartnerfirmen,BGRCIFörderpreisbeitrag2013.

25) RWEPowerAG,TagebauHambach:KoordinationvonArbeitsgruppenaufBaustellen,BGRCISonderpreis2014.

26) Schorling,Elke;Petermann,Olaf;Wulff,Kerstin(BerufsgenossenschaftEnergieTextilElektroMedienerzeugnisse):LeitfadenRecht–Arbeitssicher-heitbeiderZusammenarbeitvonBetrieben,Köln:2011.

27) StoraEnsoSachsenGmbH:SicherheitskonzeptbeimGroßumbau,BGRCIFörderpreisbeitrag2013.

28) SüdzuckerAG:MeldeverfahrenamNotfall-Sammelplatz,BGRCIFörder-preisbeitrag2016.

29) SüdzuckerAG,WerkOffstein:SchnelleBereitstellungderwerksinternenNotrufnummern,BGRCISonderpreis2012.

30) UniversitätStuttgart,DezernatVI:RichtliniefürdenEinsatzvonFremd- firmenaufdemGeländederUniversitätStuttgart,Stuttgart:2002.

IVSS 032E

Editor:International Social Security AssociationSection for Electricity, Gas and Waterc/o Berufsgenossenschaft Energie Textil Elektro MedienerzeugnisseGustav-Heinemann-Ufer, 50968 Köln, Germany

All rights reserved. No part of this book may be reprinted or reproduced or utilized in any form or by any electronic, mechanical or other means, now known or hereafter invented, including photocopying and recording, or in any information storage or retrieval system, without permission in writing from the publishers.

Photos: BG ETEM; iStockphoto 59745946/Michael Jung

Peter McCormick, EA Technology, United Kingdom – ChairBernhard Ascherl, Siemens, GermanyPeter Coyle, New ZealandAntonio De Cos Blanco, Fraternidad Muprespa, SpainDieter Häring, ABB, GermanyJens Jühling, ISSA Electricity, GermanyMike Leppard, ENA, United Kingdom

Bernd Merz, ISSA Construction Industry, GermanyJennifer Papantuono, ISSA Electricity, GermanyFrank Pirman, ISSA Mining Industry, GermanyKlaus Renz, ISSA Electricity, GermanyAnsgar Roelofs, RWE, Germany

The ISSA Electricity Section would like to thank all members of the international working group for their active support in establishing this Guidance.

Join the campaign

You are invited to consult the Vision Zero website (www.visionzero.global) for further information and good practice examples and to sign up online to join the global community of Vision Zero Companies.

7 Golden Rules for VISION ZERO

1. Take Leadership – Demonstrate Commitment!2. Identify Hazards – Control Risks!3. Define Targets – Develop Programs!4. Ensure a Safe and Healthy System – Be Well Organized!5. Use Safe and Healthy Machines and Equipment!6. Improve Qualification – Develop Competence!7. Invest in People – Motivate by Participation!

ISSA´s VISION ZERO Strategy

Accidents at work and occupational diseases are neither determined by fate nor unavoidable – they always have causes. By introducing the VISION ZERO strategy at workplaces, these causes can be eliminated and work related accidents, harm and occupational diseases can be prevented. Seven Golden Rules have been developed to establish this strategy successfully at workplaces.

Contributing organisations:CIER, Uruguay

This publication contributes to the international ISSA campaign

Contractor

Client


International Section of the ISSA for Electricity

c/o BG Energie Textil Elektro Medienerzeugnisse

Gustav-Heinemann-Ufer 130 | 50968 Cologne | Germany

Tel.: +49 221 3778 6007 | Fax: +49 221 3778 196007

Email: [email protected]

www.issa.int/prevention-electricity

ISSA – International Section for ElectricityThe Section was founded in 1970 and is located in Cologne, Germany. The Section´s work is based on the collaboration of more than forty members from twenty countries. Its objective is to promote occupational health and safety in the electricity area as regards the commercial production and distribution of electricity and gas worldwide.The Section encourages international exchange of information and experience

among experts through symposia, workshops, international working groups and trainings on safety and health with regard to crucial issues of occupational safety and health protection in this sector.A further key activity of the Section´s work is the organization of the International Media Festival for Prevention, which takes place every three years in the framework of the World Congress on Safety and Health at Work. The Festival provides a comprehensive over-view of films and multimedia produc-tions from all over the world regarding occupational safety and health.

guidance on the safe management of contracts: a contract ......1. take leadership – demonstrate...

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