Process Document Final Version 2006

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<ul><li><p>7/30/2019 Process Document Final Version 2006</p><p> 1/59</p><p>University of Otago</p><p>Compliant Contractor Process Documentation</p><p>COMPLIANT CONTRACTOR</p><p>PROCEDURE DOCUMENT</p><p>Dec 2006 1</p></li><li><p>7/30/2019 Process Document Final Version 2006</p><p> 2/59</p><p>University of Otago</p><p>Compliant Contractor Process Documentation</p><p>SECTION 1: POLICY STATEMENT.............. .............. ............... .............. .............. ............. ...... ..... ...... ...3</p><p>1.1 AIM.........................................................................................................................................................4</p><p>1.2 COMPLIANT CONTRACTORS POLICY DOCUMENT...................................................................................5</p><p>SECTION 2: LEGAL REQUIREMENTS...................................................................................................8</p><p>HSE AMENDMENT 2002...........................................................................................................................10</p><p>SECTION 25:...............................................................................................................................................10</p><p>IF THERE OCCURS ANY SERIOUS HARM OR ACCIDENT, THE EMPLOYER, SELF-</p><p>EMPLOYED PERSON OR PRINCIPAL CONCERNED MUST, -.......................................................10</p><p>(A)AS SOON AS POSSIBLE AFTER THE OCCURRENCE BECOMES KNOWN TO THE</p><p>EMPLOYER, SELF-EMPLOYED PERSON OR PRINCIPAL, NOTIFY THE DEPARTMENT OF</p><p>LABOUR OF THE OCCURRENCE AND................................................................................................10</p><p>(B) WITHIN 7 DAYS AFTER THE OCCURRENCE GIVE THE DEPARTMENT WRITTENNOTICE, IN THE PRESCRIBED MANNER...........................................................................................10</p><p>SECTION 3: TYPES OF CONTRACTS...................................................................................................11</p><p>3.1 MAJORPROJECTCONTRACTS. .............................................................................................................11</p><p>3.2 REGULARCONTRACTORS......................................................................................................................13</p><p>3.3 COMPLIANT CONTRACTORPROCESS ....................................................................................................13</p><p>3.4.1 CONTRACTORTYPE.........................................................................................................................14</p><p>3.5 CONTRACTOR........................................................................................................................................18</p><p>3.6 SELF EMPLOYED CONTRACTOR............................................................................................................19</p><p>3.7 Material, Goods Supply and Delivery Contractors and Site Visitors.. ..........................................20</p><p>SECTION 5: UNIVERSITY CONTRACTOR INDUCTION..................................................................24</p><p>SECTION 6: IDENTIFICATION CARDS................................................................................................24</p><p>SECTION 7: COMPLIANT CONTRACTOR AUDITING.....................................................................25</p><p>APPENDIX 3: CONTRACTOR TYPE ASSESSMENT FORM.............................................................37</p><p>COMPLIANT CONTRACTORMONITORING CHECKLIST................................................................................39</p><p>Appendix 4 : Self Employed Contractor Letter......................................................................................42</p><p>CONSULTANT LETTER.................................................................................................................................44</p><p>RE: CONTRACTORHEALTHANDSAFETY CONTROL................................................................................44</p><p>CONSULTANT CONTRACTOR......................................................................................................................45</p><p>COMPANY : .....................................................................................................................................45</p><p>ADDRESS: ............................................................................................................................45</p><p>CONTACTPERSON : ..........................................................................................................................45WORKPHONE : CELL PHONE: .........................................................................................................45TYPEOF WORKUNDERTAKEN: .....................................................................45</p><p>TRAININGAND/OREXPERTISETOUNDERTAKEWORK(FOREACHEMPLOYEE)</p><p>....................................................................................................................................................................45</p><p>SAFETY PRECAUTIONS/HAZARDMANAGEMENT:</p><p>....................................................................................................................................................................45</p><p>SIGNED BY : DATE: .........................................................................................................................45</p><p>POSITION: ......................................................................................................................................46</p><p>APPENDIX 4: MATERIALAND GOODS SUPPLY &amp; DELIVERY, AND SITE VISITORLETTER..........................47</p><p>Dec 2006 2</p></li><li><p>7/30/2019 Process Document Final Version 2006</p><p> 3/59</p><p>University of Otago</p><p>Compliant Contractor Process Documentation</p><p>Appendix 4 : Contractor Letter.............................................................................................................48</p><p>APPENDIX PRE-COMPLIANT CONTRACTORLETTER...................................................................................55</p><p>4.3 NON-RESPONSETO INITIAL CONTRACTORLETTER..............................................................................56</p><p>NON-RESPONSETO INITIAL CONTRACTORLETTER...................................................................................57</p><p>4.4 ADDITIONAL INFORMATION REQUEST LETTER.....................................................................................584.5 COMPLIANT CONTRACTORACCEPTANCE LETTER................................................................................59</p><p>APPENDIX 4: CONTRACTORS LETTERS </p><p>APPENDIX 5: ASSESSMENT OF HEALTH&amp;SAFETY Information letters ..</p><p>Section 1: Policy Statement</p><p>The University of Otago recognises its responsibility to establish a clear</p><p>and appropriate standard of Health and Safety performance for its</p><p>contractors. This document outlines the system which is in place to</p><p>ensure that this standard is met. Essentially the system is an</p><p>information swapping exercise so that all parties involved can work</p><p>safely. University of Otago believes that good safety management is</p><p>good business and wishes to deal with contractors who we are</p><p>confident will work for the University in a safe manner.</p><p>As a baseline all compliant contractors must comply with the</p><p>requirements of the Health and Safety in Employment Act 1992 and</p><p>related legislation however the University of Otago wishes to</p><p>encourage all contractors to be committed to effective management of</p><p>Dec 2006 3</p></li><li><p>7/30/2019 Process Document Final Version 2006</p><p> 4/59</p><p>University of Otago</p><p>Compliant Contractor Process Documentation</p><p>Health and Safety. This is seen as a joint responsibility and by the</p><p>application of this procedure it is hoped that there will be an improved</p><p>relationship with contractors.</p><p>1.1 AimThe aims of this procedure are to ensure that there is:</p><p> Clear Expectations placed on contractors</p><p> An even playing field so that contractors who are budgeting for</p><p>safety measures in their tender price are not undercut by</p><p>contractors working in an unsafe manner.</p><p>a system to ensure that this procedure is effective by monitoringcontractor performance</p><p>Dec 2006 4</p></li><li><p>7/30/2019 Process Document Final Version 2006</p><p> 5/59</p><p>University of Otago</p><p>Compliant Contractor Process Documentation</p><p>1.2 Compliant Contractors Policy Document</p><p>Purpose The University of Otago recognises theresponsibility as a Principal to establishclear and appropriate standards ofHealth and Safety performance forcontractors on site. As a principal, theUniversity of Otago has an establishedCompliant Contractor process to ensurethe health and safety of staff, studentsand visitors to the University will not beharmed by contractors, or their sub-contractors while on site. The CompliantContractors process will also minimisethe likelihood of harm to contractors andsubcontractors while on University sites.</p><p>Scope All University of Otago workplaces.</p><p>Associated Documentation</p><p>Legislative Health and Safety in EmploymentAct 1992Health and Safety in Employment</p><p>Amendment Act 2002University Health and Safety PolicyCompliant Contractor ProcessDocumentUniversity Health and SafetyManual</p><p>Additional ACC Partnership Programme</p><p>Dec 2006 5</p><p>COMPLIANT CONTRACTORS</p><p>HEALTH AND SAFETY POLICY</p></li><li><p>7/30/2019 Process Document Final Version 2006</p><p> 6/59</p></li><li><p>7/30/2019 Process Document Final Version 2006</p><p> 7/59</p><p>University of Otago</p><p>Compliant Contractor Process Documentation</p><p>this is met through employeeinduction.</p><p>Dec 2006 7</p></li><li><p>7/30/2019 Process Document Final Version 2006</p><p> 8/59</p></li><li><p>7/30/2019 Process Document Final Version 2006</p><p> 9/59</p><p>University of Otago</p><p>Compliant Contractor Process Documentation</p><p>practical steps to prevent harm to the contractor from the laboratory</p><p>hazards.</p><p>Section 17 -</p><p>Relates to the duties of self-employed, and</p><p>Section 19 </p><p>Relates to the duties of employees. Both sections require the self-</p><p>employed and employees to take all practical steps to ensure that no</p><p>action or inaction of theirs while at work harms them or any other</p><p>person.</p><p>The University of Otago has the 'Duty of Principal' as outlined in</p><p>section 18:</p><p>Section 18:</p><p>Duties of Principals - (1) Every principal shall take all practicable</p><p>steps to ensure that -</p><p>I. No employee of a contractor or subcontractor ; and</p><p>II. If an individual, no contractor or subcontractor, -</p><p>is harmed while doing any work (other than residential) that the</p><p>contractor was engaged to do.</p><p>(2) Subsection (1) of this section shall be read subject to section 2 (2)</p><p>of this Act.</p><p>The case law example Central Cranes Ltd. Vs Department of Labour</p><p>1997 is provided in appendix 1 as an example of section 18</p><p>application.</p><p>Dec 2006 9</p></li><li><p>7/30/2019 Process Document Final Version 2006</p><p> 10/59</p><p>University of Otago</p><p>Compliant Contractor Process Documentation</p><p>HSE Amendment 2002</p><p>Section 25:</p><p>If there occurs any serious harm or accident, the employer, self-employed person or principalconcerned must, -</p><p>(a) as soon as possible after the occurrence becomes known to the employer, self-employedperson or principal, notify the Department of Labour of the occurrence and</p><p>(b) within 7 days after the occurrence give the Department written notice, in the prescribedmanner.</p><p>Dec 2006 10</p></li><li><p>7/30/2019 Process Document Final Version 2006</p><p> 11/59</p></li><li><p>7/30/2019 Process Document Final Version 2006</p><p> 12/59</p><p>University of Otago</p><p>Compliant Contractor Process Documentation</p><p>a part of the process to review contractor performance for future</p><p>reference. Property Services should be consulted should this type of</p><p>contract be required for any department, so that the due processes are</p><p>included. The process for managing major contracts is not included in</p><p>this document.</p><p>Dec 2006 12</p></li><li><p>7/30/2019 Process Document Final Version 2006</p><p> 13/59</p><p>University of Otago</p><p>Compliant Contractor Process Documentation</p><p>3.2 Regular Contractors.</p><p>Minor or on going contracts are where companies are regularly used</p><p>for short-term contracts, continuous contracts for routine work, and</p><p>contracts where the hazards are well-defined and standard control</p><p>measures apply. The University has a significant number of such</p><p>contractors, and this document defines the contractor controls to</p><p>manage these contractors.</p><p>3.3 Compliant Contractor Process</p><p>The Complaint Contractor Process (CCP) is a system where regular</p><p>contractors are assessed for health and safety compliance, and</p><p>provided with an induction session on the University requirements for</p><p>contractors on site. The compliant contractor will then be issued with</p><p>an identification card to be carried on site at all times. Compliant</p><p>contractors will be maintained on a University of Otago database newcontractors can be added at anytime. An auditing system of reviewing</p><p>the continuing compliance of contractors will be implemented, every</p><p>two years and new cards issued.</p><p>The steps involved are:</p><p>1. Identifying the contractor type and requesting relevant health and</p><p>safety information</p><p>2. Assessing the information for contractor compliance either</p><p>satisfactory or further information requested.</p><p>3. Contractor induction completed</p><p>4. Contractor identification supplied</p><p>5. Monitoring and review</p><p>Dec 2006 13</p></li><li><p>7/30/2019 Process Document Final Version 2006</p><p> 14/59</p><p>University of Otago</p><p>Compliant Contractor Process Documentation</p><p>3.4.1 Contractor Type</p><p>The contractual relationships and levels of control vary significantly</p><p>within the University environment. The University has drawn up a list</p><p>of frequently used contractors, and contractor groups have been</p><p>identified with the various health and safety responsibilities defined,</p><p>based on past experience. The University CCP system defines the</p><p>nature and type of contract, the letter indicating the type of contract</p><p>and the requirements for compliance, and the means of assessing a</p><p>contractor. If a contractor does not agree with the contractor</p><p>classification, then this can be reviewed on request.</p><p>The defined contractor groups are:</p><p>Group 1 - CompaniesDescription: Limited liability trading entities</p><p>a. Material and Goods Supplier deliver on siteb. Services (i.e. carry out job work)c. Consultants (employed by an entity)</p><p>University relationship: Order and supply</p><p>Group 2 - Self employedDescription: Non limited liability entities: partnerships, sole traders</p><p>Supply a service (i.e. carry out job work)a. Job Work (order based) charge for materials and labour (set</p><p>hourly rate)b. Labour only (University supplies materials)c. Consultantsd. Specialists</p><p>Dec 2006 14</p></li><li><p>7/30/2019 Process Document Final Version 2006</p><p> 15/59</p><p>University of Otago</p><p>Compliant Contractor Process Documentation</p><p>e. Guest or Visiting Academics</p><p>University relationship: Contract for Services</p><p>Group 3 - Other</p><p>Employment Agency short term (resource shortage situations)VolunteersProctor Students</p><p>Risk Groups:</p><p>High Risk Laboratory work</p><p>Use of hazardous substances</p><p>Construction work</p><p>Any hot work, confined space or height work.</p><p>Boat work</p><p>Diving work</p><p>Fieldwork</p><p>Driving University Vehicles</p><p>Work in any restricted environmentLow Risk Office work</p><p>Lecturing in lecture theatres</p><p>Induction requirements based on contractor type andrisk group:</p><p>Relationshi</p><p>p</p><p>Compliance Level of</p><p>inductionrequirement</p><p>Risk</p><p>Group One-Companies-Material &amp;GoodsDelivery </p><p>Universitypurchaseorder</p><p>Escorted Pamphlet Low</p><p>Dec 2006 15</p></li><li><p>7/30/2019 Process Document Final Version 2006</p><p> 16/59</p><p>University of Otago</p><p>Compliant Co...</p></li></ul>

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