HSPOL01 - Selection Management of Contractors Policy V3 by Provide Community

Selection and Management of Contractors Policy

Version: V3

Ratified by: Finance and Investment Committee (FIC)

Date ratified: 25/05/2022

Job Title of author:

Health, Safety, Fire and Security Manager

Reviewed by Committee or Expert Group Property Health and Steering Group

Equality Impact Assessed by:

1. Introduction

This policy defines responsibilities for the duty of managing facilities contractors working on Provide sites and sets out the arrangements for minimising risk.

Provide recognises that the use of contractors is a necessity and that they are employed throughout the organisation. The term ‘contractor’ does not exclusively refer to maintenance or building workers.

Work undertaken for Provide by a contractor must be covered by a civil or commercial contract. It is best practice for health and safety requirements to be incorporated into the contract, and it should be highlighted that health and safety responsibilities are defined in criminal law and cannot be delegated by a contract.

Works contracted out byProvide can range from simple worksuch as window cleaning, office machinery repair or security services to major construction projects to refurbish or maintain premises.

The Health and Safety at Work Act etc. 1974 and its subordinate legislation imposes a duty on Provide and the Contractor to safeguard the health, safety and welfare of those in its employment and those that are not in its employment who may be affected by its activities and undertakings.

2. Purpose

Health and safety roles and responsibilities between clients and contractors are not always clear; this can lead to misunderstandings, misinterpretations and is often a recipe for things to go wrong. It is a condition that all stakeholders co-operate and work together to ensure that health and safety is properly managed and co-ordinated in order to avoid injury or loss.

The purpose of this policy is to clarify the health and safety responsibilities of clients and contractors; and to encourage collaboration in the protection of each other, their workforce and anyone else, e.g. visitors, service users, staff, carers, people living nearby and other members of the public.

3. Definitions

Client: means any person for whom a project is carried out.

Principal Contractor: means the contractor appointed to perform specified duties

Contractor: means any person (including a non-domestic client) who, in the course or furtherance of a business, carries out, manages or controls construction work.

A contractor could be carrying out work in any discipline.

Principal Designer: means the designer appointed to perform specified duties

Designer: means any person (including a client, contractor or other person) who in the course or furtherance of a business

(a) prepares or modifies a design; or

(b) arranges for, or instructs, any person under their control to do so, relating to a structure, or to a product or mechanical or electrical system intended for a particular structure, and a person is deemed to prepare a design where a design is prepared by a person under their control

A Contract: means the agreement between Provide and the Contractor comprising the Order and expressly accepted in writing or verbally by the Authorised Person;

Construction Work: means works on or within Provide premises and may include the following:

• the construction, alteration, conversion, fitting out, commissioning, renovation, repair, upkeep, redecoration or other maintenance (including cleaning which involves the use of water or an abrasive at high pressure, or the use of corrosive or toxic substances), de-commissioning, demolition or dismantling of a structure

• installation, maintenance, servicing, modification and / or repair to plant, equipment and machinery

• provision of specialist services, such as removal of certain goods, finished products and waste

• provision of other services, such as catering and vending machines, cleaning, gardening, office furniture removal or any other service

• the installation, commissioning, maintenance, repair or removal of mechanical, electrical, gas, compressed air, hydraulic, telecommunications, computer or similar services which are normally fixed within or to a structure

Construction Phase: means the period of time beginning when construction work in a project starts and ending when construction work in that project is completed

Construction Phase Plan: means a plan drawn up which must set out the health and safety arrangements and site rules taking account, where necessary, of the industrial activities taking place on the construction site

Project:

means a project which includes or is intended to include construction work and includes all planning, design, management room re-configuration or other work involved in a project until the end of the construction phase

Project Manager: is any individual, within Provide or acting on their behalf (e.g. Estates, Leads ) employing a contractor

Notifiable Project:

is notifiable under The Construction (Design & Management) Regulations 2015 (CDM Regulations) if the construction phase is likely to involve more than 30 days, or 500 person days

Competent person:

Is any individual who is appropriately trained, qualified and experienced to carry out the work required or supervise the work in hand. This term has very specific meanings in property and engineering matters and particularly where CDM Regulations apply. In these circumstances it is likely that only specific personnel will be so qualified.

Safe Systems of Work:

A safe system of work is a formal procedure which results from a risk assessment which identifies a safe method of work to ensure that the hazards are eliminated or the remaining risks are minimised.

Permit to work:

Permit to work systems are reserved for occasions when the potential risk is high, and where at the same time the precautions needed are complicated so requiring written reinforcement. Permits should only be issued by a competent and qualified person. All permits should be time constrained.

PTWs should not be mistaken for a “safe system of work”; rather a safe system of work may require a permit to work system to be adopted as part of its overall systematic control of risk.

Approved Contractors Register:

An Approved Contractors Register (ACR) is used by Provide to hold details of companies that have passed a pre-qualification process to bid for and work on specific types of services or works.

The ACR is managed, updated by the Estates Team and audited by the Health, Safety, Fire and Security Manager.

4. Duties

Group Chief Executive

The Group Chief Executive has overall responsibility for Health and Safety within Provide and that the work of contractors is carried out in accordance with the Health and Safety at Work Act 1974, the Management of Health and Safety at Work Regulations 1999 and associated Regulations, Associated Codes of Practice and Guidance Notes.

Implementation of this Policy will enable Provide and Contractors to work together to ensure compliance with legislation and the safety of employees, patients, clients and visitors.

Group Chief Officers

Group Chief Officers hold specific responsibilitiesand assistin ensuring that this policy is implemented as appropriate.

Project Manager / Estates Lead

The Project Manager / Estates Lead will set up a project team to ensure that they obtain expert advice from all appropriate specialists i.e. Health, Safety, Fire and Security Manager, Estates, Infection Control, IT etc. at the earliest stage possible of the project.

The Project Manager / Estates Lead is responsible for arranging for the production of a written scope of works and the adequacy of the pre-contract information supplied to the prospective contractors. Such information will include hazards that may be present in the area they are working, e.g. Asbestos, hidden services, medical gases etc. prior to producing the written scope of works.

It is also the duty of The Project Manager / Estates lead to ensure that all relevant safety measures are taken, not only to protect the contractors, but all persons who may come into contact with Provide and its undertakings. Provide has a duty to ensure that these work activities do not alter the conditions or impede the provision of a safe place of work for staff, patients and visitors.

In some cases, works will require more than one contractor at a time to be working in the same area or on the same premises. This will require a health and safety file to be produced. It is vital that the parties co-ordinate, co-operate and share relevant information under the statutory requirements of the Construction Design Management Regulations (CDM).

To achieve this, the Project Manager / Estates lead must co-ordinate contractor activities and provide adequate information regarding health and safety issues on the premises. Specifically, in conjunction with the Head of Safety & Resilience, they should undertake a risk assessment of the work and set out suitable control measures in order to manage any significant risk.

It is the duty of the Project Manager / Estates Lead to provide every contractor with information on emergency procedures relevant to the premises, accident and incident reporting procedures and provide details of particular hazards in the area. This may include Control of Substances Hazardous to Health (COSHH) assessments, for example, gases, chemicals or biological hazards.

It is the responsibility of the Project Manager / Estates Lead to ensure site induction of contractors and the records are filed as part of the project documentation which will be kept with the construction phase plan.

Health, Safety, Fire and Security Manager

Health, Safety, Fire and Security Manager will ensure that the Contractor is competent to carry out the works specified. Wherever possible, Provide will utilise certified or accredited Contractors /Organisations from the Approved Contractors Register (ACR).

Permit to Work (PTW) systems may be required for some types of work which will be produced in liaison with the Health, Safety, Fire and Security Manager who is responsible for ensuring that safe systems of work are in place and where necessary permits have been issued, managed and monitored by a competent person along with all necessary insurances, method statements and risk assessments.

Estates

Throughout the contract period Estates will monitor the standard of the Contractor’s work and progress ensuring they are following the agreed programme and abiding by the requirements of the contract as written.

Before any work commences, Estates must contact the Service Manager in charge of the area where the work is to take place, to ascertain whether any precautions need to be taken before and /or during the works period.

All Staff

All Provide staff have a duty under Health and Safety legislation to co-operate with their employer in all matters relevant to Health and Safety. Provide employees will need to be aware that contractors are working in their area.

Under the Project Manager, local staff (clinic administrators) will be responsible for ensuring that contractors receive a local induction e.g. location of fire exits, toilets facilities etc.

Staff should ensure that contractors have left the work area clean and tidy, free from debris and rubbish, clear of tools and equipment and all furniture replaced in original positions prior to leaving site, to their satisfaction.

If any member of staff has concerns over the safe system of work / procedures being used by the contractors on the work being carried out, they should bring this to the attention of their line manager, the Project Manager, Estates or Health, Safety, Fire and Security Manager

Any manager who may commission contractors to carry out work on behalf of Provide must advise the Health,Safety, Fire and Security Manager and Estates Team on doing so and adhere to the requirements set out in this policy. Managers are responsible for ensuring that the Project Manager is made aware of any hazards and risks presented by the area in which the works are being undertaken and the relevant safety measures considered as a consequence.

Where a project is being planned, a named Project Manager will be nominated by Provide to take responsibility for ensuring compliance with this policy, the requirements of current Health and Safety legislation and where appropriate, CDM Regulations. The Project Manager is the employee of Provide who has responsibility for all aspects of the project planning and controls (both financial and physical controls).

Contractors

Contractors have a duty to supply a safe place of work to their staff. It is equally the Contractor’s responsibility to obtain relevant health and safety related information from Provide as it is for the Project Manager to inform them. Once this information has been obtained by the Contractor they must then develop safe systems of work relevant to the premises and work activities. The Project Manager should be made aware of the impact of the project on the health and safety and normal systems of work within the area in which work is being carried out.

The Contractor must ensure that work carried out does not compromise the health, safety or welfare of others. For example, Provide staff, patients, visitors or the general public.

It is the Contractor’s responsibility to make their own provisions for first aid. (This includes trained/competent first aiders and equipment.)

Sub-contractor

Sub-Contractors have the same responsibilities as Contractors. The Sub-Contractors may use equipment provided by the contractor and may be working under the supervision of the contractor. Sub-contractors will be part of the approval process by Provide prior to appointment by the Contractor

5. Consultation and Communication

6. Monitoring

This policy has been developed in light of current available information, guidance and legislation, all of which is subject to amendment and review. This policy will, therefore be regularly reviewed for such amendments and where necessary, revised and reissued

7. Contractor Selection

Provide needs to satisfy themselves that contractors are competent to undertake the work safely and effectively. This may involve asking any prospective contractor:

1. What experience they have in this type of work, including skills and qualifications.

2. What their health and safety policies / practices are.

3. Their safe method statements for undertaken work.

4. Their arrangements for training, supervision and consulting the workforce.

5. If they are members of a relevant trade or professional body.

6. Their procedures for selecting any sub-contractors.

7. Evidence of references and recommendations from other organisations.

Provide also needs to ensure any prospective contractor understands the nature and extent of the work required. This may involve explaining Provide’s health and safety arrangements, providing any relevant policies, permit to work systems etc. If any contractor does not have their own Equality Policy, they will be asked to comply with Provide’s

See Appendix A: Contractor Health and Safety Questionnaire/Guidance.

8. Managing Contractors Procedure

The purpose of this policy is to provide information on the way in which both staff and Contractors must work in order to prevent incidents and accidents related to Contractor’s work activities.

The Project Managers and Contractor must follow this procedure, however, it does not remove legal responsibilities placed upon the Contractor and Provide.

Before the Works Commence

Before works / activities commence it is essential that:

1. Adequate information is given to the Contractor regarding risk identification. This will require a formal assessment in most cases.

The assessment must be carried out by the Project Manager / Estates lead and this information is passed on to the Contractor.

The Contractor must forward risk assessments, method statements, equipment maintenance records, certificates of training and certificate of insurance etc prior to works/activities for review by the Head of Safety & Resilience for agreement.

Contractors who work on any Provide site should be made aware of hazards identified within the assessment. In some cases additional policies and procedures will need to be issued to contractors. These will cover areas of high risk including but not limited to:

1. Asbestos

2. Medical Gases

3. Electrics

4. Steam pipes

5. Pressurised systems

6. Infection Control

7. Working at height

8. Confined spaces

9. Hot work

Some works will require a Permit to Work (PTW) and activities requiring the permit must be fully risk assessed before the permit is issued. See Appendix C for list of activities requiring PTWs.

Before the Contractors are employed, adequate checks must be undertaken to ensure that the Contractors are competent to carry out works or activities in relation to Health and Safety requirements throughout Provide.

The Project Manager / Estates lead must ensure that the Contractor is given a copy of this procedure and related policy before work commences.

Security

The Project Manager / Estates lead must ensure relevant security procedures are enforced. Consultation with the organisation’s Accredited Security Management Specialist (ASMS) will be sought as part of this process. This will require informing the Contractors of their access routes throughout the site, information regarding

confidentiality and high-risk areas. It is imperative that identification is worn and is visible at all times.

Emergency Planning

The Project Manager / Estates lead must inform the Contractor of the emergency planning arrangements, for Example, Fire Procedures. This will include the relevant phone numbers:

The Project Manager / Estates lead must show the Contractors and their employees on arrival at the work site, the following basic fire safety measures:

1. The closest fire escape

2. The location, type and method of the nearest fire-fighting appliance

3. The location of the nearest fire alarms and method of activation

4. The tone of the fire alarm and what to do on activation

Contractors are responsible for the provision of suitable and sufficient fire-fighting equipment appropriate to the work involved and must obey alarm signals whilst on Provide premises. Smoking is prohibited in all areas on Provide sites and contract staff are required to comply with this. Hot work is strictly controlled by a PTW.

Welfare Arrangements

Washrooms may be made available to use by Contractors, or Sub-Contractors, as defined by the Project Manager / Estates lead or other suitable persons. The conditions for the use of such facilities are that they are used only during the time specified by Provide. The Contractor or Sub-Contractor should be suitably dressed and observe normal standards of hygiene when using restaurant facilities.

Contractors Requirements

Contractors have a duty to work safely and manage the safety of their staff. The work activities must not, so far as is reasonably practicable, effect the Health, Safety and Welfare of anyone who come into contact with them or their activities.

Before Works Commence

On large contracts it is the responsibility of the contractor to appoint a supervisor, competent in the field, who must receive direct instruction from the Project Manager / Estates lead and feed this information back to his/her staff.

If a PTW is required, the Contractors will not begin works of any kind without the permit being issued and the necessary control measures being in place first. The issuing of a permit will be either by the Health, Safety, Fire and Security Manager or by the Principal Contractor by prior approval by the Health, Safety, Fire and Security Manager

Suitable Staff Allocation by

Contractors

Contractors may only employ persons aged 18 or over.

Due to the nature of the work undertaken at Provide, all contract personnel must be suitable to work on the site. Contractors may come into contact with members of the public, staff and patients. Some of these patients are vulnerable due to physical or

mental disabilities. For this reason, any contractor who may be in close contact with these people may have to have undergone the relevant clearances

Accident/Incident Reporting

The Contractor must report all accidents and near misses to the Project Manager / Estates lead or to the Health, Safety, Fire and Security Manager as soon as is reasonably possible. Contractors will fill in all relevant incident report forms. They may wish to also report using their own system. If an accident/incident requires a RIDDOR report and follow up investigation, it is essential that this is carried out jointly by the Health, Safety, Fire and Security Manager and the Contractor in accordance with the Provide Incident Reporting Policy and relevant Health and Safety Legislation. If the injured party is taken straight to hospital from Provide site then Provide will also file a RIDDOR report.

Occupied premises

Where the premises are occupied, the Contractor or Sub-Contractor must ensure that all works carried out in such a manner as to cause minimum disruption to daily business.

Delivery, Unloading and Hoisting of Materials

The Contractor or Sub-Contractor is responsible for the delivery, unloading, hoisting and storage of all their own materials. At no time should these works impede or make dangerous, normal access to areas outside the immediate vicinity of the works.

Scaffolding and Roof Access Equipment

1. Scaffolds, ladders and other access equipment must be in sound condition and of good construction, adequate for the purpose, properly maintained and in accordance with statutory safety standards and any relevant codes of practice.

2. The use of a ladder in an active service area must involve a member of the contractor’s staff remaining at the base of the ladder to prohibit unauthorised use and access.

3. It is the contractor’s responsibility to obtain handover certificates from the scaffolder, to subsequently inspect the equipment and sign the Log book; which can be held by the contractor.

4. All scaffolding and towers must be maintained in a safe condition. Unattended ladders and ropes must be secured out of the reach of children and other unauthorised persons. At the end of the working day, any hoist motor must be immobilised with the platform at ground level.

Lifting Operations

Work involving lifting operations must be approved by the Health, Safety, Fire and Security Manager prior to commencement.

Electricity

All electrical equipment on site to be used will be in a safe and approved manner in accordance with current Electricity at Work Regulations. All portable electric tools shall operate at 110 volt A.C. from a double wound transformer having a centre tapped earth on 110 volt winding or battery operated tools used. All portable appliances brought onto site must have been tested and be within the validity period. The Project Manager / Estates lead may require records of this testing. 240 volt equipment may only be used and only through Residual Current Devices and prior permission from the Project Manager and/or the Head of Safety & Resilience.

Water Supply

A water supply will generally be made available as designated by the Project Manager or other suitable person. Contractors should restrict themselves to this supply and must ensure that the area is kept free of rubbish. The tap is to be kept fully closed after use. The use of fire hoses and/or fire extinguishers, except in emergencies, is prohibited.

Housekeeping

All Contractors must ensure that rubbish or excess equipment and materials is not allowed to accumulate in the immediate work area, and in no circumstances is material for disposal to be stored outside the working area unless in the Contractor’s, or Sub-Contractor’s own authorised skip. All surplus materials and/or rubbish should be cleared from the site on completion of the contract.

1. Burning of rubbish is prohibited.

2. Excessive dust build up is to be avoided.

3. Suitable dust control screens and mats are to be used where the works area is immediately adjacent to a clinical area.

Control of pollution

Contractors may not deposit any waste, chemicals or any other substances whatever into drains or waste containers unless express permission has been given by the Health, Safety, Fire and Security Manager Arrangements should be made to prevent sand, soil, cement or any other solid materials being washed into drainage or sewage systems. Under no circumstances should hazardous substances be flushed into drainage or sewage systems as a means of disposal.

Personal Protective Equipment

The Contractor is responsible for providing the personal protective equipment for his employees that is necessary for the work in hand. PPE must also comply with the statutory requirements or equivalent guidance appropriate to the circumstances.

Hazardous Substances

Contractors must not bring hazardous substances onto the site without informing the Project Manager / Estates lead. The substance may only be utilised once the appropriate documentation, for example, Material Safety Data Sheets (MSDS) and relevant COSHH assessments have been presented and approved by the Head of Safety & Resilience.

Hazardous Areas

Contractors are not permitted to enter specific hazardous areas, for examples, radiation zones, without the permission from the Project Manager / Estates lead and relevant information, instruction and training has been given.

Mobile Phones

Mobile phones are to be turned off in areas that display the No Mobile Phone Use signs

4. Specific Hazardous Work Activities

Some contractors may be employed by Provide to carry out a specific Hazardous activity, some of which are shown in Appendix C. If the activity in question is not contained within the text of the procedure the Project Manager / Estates lead will liaise with the Health, Safety, Fire and Security Manager for approval and to carry out a relevant risk assessment and a PTW.

Scaffolding will be erected only by competent persons who will carry out the statutory inspections and maintain records of inspections. Contractors must erect suitable scaffolding with guardrails, toe boards and the tower must be fully boarded. This will include The Construction Design and Management Regulations 2015 (CDM

5. Contractors Working in a Security Role

Contractors involved in security roles must ensure that they have received relevant training for the role. They should also follow Provide’s procedure when managing aggression and any statutory requirements must be complied with.

The selection of the contractor and their duties with security will be decided in conjunction with Provide’s ASMS

6. Notifiable Projects

Under the Construction (Design & Management) Regulations 2015 (CDM Regulations) if the construction phase is likely to involve more than 30 days and have more than 20 workers working simultaneously at any point in the project, or 500person days then the project has to be notified to the HSE. Notifiable projects follow strict criteria.

Notification is too be submitted on HSE Form F10. A copy is to be displayed on site.

Health, Safety, Fire and Security Manager will give advice and guidance.

See Appendix E.

Appendix: A - Contractor Health and Safety Questionnaire

Name of Company: ________________________ Contact Name: _______________________

Address: _____________________________________________________________________

Tel No: ______________ Fax: ______________ E-mail: _____________________________

No of Employees: Direct: _________ Self Employed: __________ Sub Contractor:

Insurance Details – please enclose a copy of your insurance certificates & then re-submit yearly

Employees Liability Yes / No Expiry Date: _________ Limit of Cover: _____________

Public Liability Yes / No Expiry Date: _________ Limit of Cover: _____________

HEALTH AND SAFETY DETAILS

Who is the person within your company responsible for Health and Safety?

If you employ the services of an independent safety advisor, please provide details

Do you have a Health & Safety Policy?

Yes / No

Please provide a copy of the policy statement

Enclosed / via e-mail

Please provide risk assessments for the work you regularly undertake for Provide

Enclosed / via e-mail

Please provide method statements for the work you regularly undertake for Provide

Enclosed / via e-mail

If and when necessary, could you provide RAMs for work not regularly undertaken?

Yes / No

Can you provide evidence of your employee’s competence, e.g qualifications, experience?

Yes / No

Please provide relevant insurance certification information

Enclosed / via e-mail

Do you use sub-contractors or self-employed staff?

Yes / No

If so, please provide evidence of how you select them and what safety checks are made

Enclosed / via e-mail

Has your company ever been subject to the following Health & Safety enforcement action:

Prosecution Yes / No

Prohibition Notice Yes / No

Improvement Notice Yes / No

Name:

Position:

I declare that the above information is correct and I acknowledge receipt of the site rules

Appendix: A – Evidence Requirements

a) Having access to competent health and safety advice

To meet the legal responsibilities in the Management Regulations one should appoint „one or more competent people‟ to help to comply with the duties under Health and Safety law to prevent accidents and ill health at work. If the risks are complex and one does not have access to competent advice in-house, one may appoint a Safety Consultant.

b) Asbestos

With the heightened HSE campaign regarding asbestos, it is worth considering that even if there is the smallest risk of your employees coming across asbestos or suspected asbestos products during the course of their work, they must be given relevant instructions about what to do if they find it and adequate training to help them to identify it.

c) Risk assessment, safe working procedure, or safety method statement

This evidence should detail those hazards identified and their associated risks for the work to be carried out. The method or methods to be used for ensuring that all employees work safely, must be put in writing. This may include an example of safe working procedure for working at height, safety instructions for using dangerous equipment, what to do if employees discover asbestos or suspected asbestos at work, what personal protective equipment they have, such as safety boots, helmets, masks. If you or your employees do work at height, you must provide evidence of how you have complied with the Work at Height Regulations.

d) Understanding risk assessment

A company of fewer than five people working does not have to have risk assessments in writing but must still assess risk. The only way to show that this is done, risk assessments must be provided in writing, or present a safe working plan that resulted from the assessment. The HSE book “Five Steps to Risk Assessment” is a good starting point.

e) Sample copies of training certificates / records for all levels of employees

Whether company employees need any specific Health and Safety training will depend on the work to be carried out. Health and Safety training may include formal and informal types of training. This could be in the form of details such as, CSCS, CITB training, safety awareness and non-formal training, such as toolbox talks. Construction companies

f) COSHH assessments

There is a need to explain how companies identifies, uses and stores dangerous substances, which may also include dusts, vapoursand bacteria for example, following the manufacturer’s instructions for use and storage on products. When using other hazardous substances that have risks in their use, you will need a formal assessment.

g) Assessing a subcontractor/s competence

If you use subcontractors, it is important you ensure they are competent and have the necessary skills to undertake the work you are employing them to do.

WHAT YOU SHOULD DO NEXT

When you have completed the Health and Safety questionnaire and provided all the evidence requested, please send it to the address and contact details provided.

Appendix: B – Activities Requiring a Permit to Work

‘A permit-to-work is not simply permission to carry out a dangerous job. It is an essential part of a system which determines how that job can be carried out safely and helps communicate this to those doing the job. It should not be regarded as an easy way to eliminate hazard or reduce risk. The issue of a permit does not, by itself, make a job safe - that can only be achieved by those preparing for the work, those supervising the work and those carrying it out. In addition to the permit-to-work system, other precautionsmayneed to be taken – e.g., process orelectrical isolation, oraccess barriers - and these will need to be identified in task risk assessments before any work is undertaken. The permit-to-work system should ensure that authorised and competent people have thought about foreseeable risks and that such risks are avoided by using suitable precautions. Those carrying out the job should think about and understand what they are doing to carry out their work safely and take the necessary precautions for which they have been trained and made responsible.’

Health and Safety Executive

Only an employee who has been trained and authorised and has satisfactory knowledge of the hazards at a work site to be able to specify a system to eliminate, as far as reasonably practicable, the risk in a particular job is competent to issue a Permit To Work.

Below are examples of, but not limited to, tasks that require a permit:

1. Confined Spaces

Requires a confined space entry permit which details very strict controls with rescue and emergency procedures to be in place.

2. Working at Heights

Requires a Working at Heights Permit which details rescue and emergency procedures to be in place.

3. Areas containing asbestos

4. Working with High Voltage Electricity

Requires a Working with High Voltage/Live Electrical Systems Permit which details very strict controls to be in place.

5. Working on live electrical systems

Requires a Working with High Voltage/Live Electrical Systems Permit which details very strict controls to be in place

6. Working on pressurised systems

7. Hot work involving welding or cutting processes

8. Working on steam systems

9. Working on X-ray equipment

Appendix: C – General Permit to Work Form

General Permit No: ___________

Site Name

Location

Date & Time of Issue ___________

Equipment Description

Person in Charge Names of Persons Involved

Permit Valid From

Permit Valid Until Description of task and its limitations:

Identified hazards associated with the tak:

Work Equipment to be Used YES NO

Hand Tools

Electrical Tools Ladders/Step Ladders MEWP

PPE

Other(s) (please specify

Precautions Already Taken

Risk Assessment/Method statement for work provided and approved?

Risk Assessment Ref:

Electrical Isolation (inc. safety locks)

Mechanical Isolation

Pneumatic Isolation

System De-pressurised

Area Cordoned Off and Signage Posted

Additional Lighting Provided

Asbestos Register Consulted

Infection Control Consulted

Other(s) (please specify)

PPE Required

Safety Footwear Respiratory Protection Hard Hat

Eye Protection Gloves Hi Visibility Clothing

Hearing Protection Protective Suit

Other(s) (please specify

I am satisfied that this permit is properly authorised, that all safety measures are in place and that all persons affected by this job have been informed.

Permit Issuer:

Print Name:

I/we* have read and understood the above hazards and precautions and will observe them. All equipment complies with relevant standards. I understand the site emergency plan.

Permit Acceptor:

Print Name:

I confirm that the work is complete/incomplete and the work area is left in safe and tidy condition

Permit Acceptor:

Print Name:

I have inspected the work and confirm that it is complete and that the work area has been left in a safe and tidy condition

Permit Issuer:

Print Name:

Handback and cancellation of permit. Confirm equipment has been checked and all services have been restored

One copy to be kept for file One copy to be held by acceptor

Appendix: D – Project Workplace Check Sheet

Project No: Location

Contractor

Name of Assessor Position

Brief description of work being carried out

Work completed Yes No Standard of wormanship Good Fair Adequate

Work in progress:

Is the work place in a safe condition to work in:

Are Health & Safety standards being adhered to:

Are fire escapes/emergency exits clear:

Is work progressing to your satisfaction:

WORK COMPLETED

Has the work area been left clean and tidy:

Has the work been finished to the required standard:

Remedial works required:

General comments:

Signed

Appendix: E – Process for the Project

What is the Purpose of the Project Examples include (but not limited to):

1. Modifications/repairs/maintenance to existing premises

2. Expiry of lease/ licence – need to find new premises

3. New business – new teams to be accommodated for

4. Expansion within existing premises

Which Service is requesting

• Quality & Safety

• Clinical Operations

• Human Resources

• Executive Directors

The Service which is requesting will

• Identify Project Manager

• Define requirements

• Identify staff who will be affected;

All Projects will have one Project Manager Only

Project Manager / Estates Lead Identified

A good organiser of people and processes; have experience of working within budgets and be a good communicator.

Responsibilities include:

1. Liaison with key colleagues from other Departments (this may include regular meetings/e-mail correspondence etc)

2. Co-ordinate work plan for the project – this includes clear areas of responsibility internal to the Service and from the key colleagues from other departments.

3. Communication with affected Staff to keep involved with process and informed about progress.

4. Escalation of issues to Assistant Director

Project Manager Liaises with:

IT – Telephonics; computer hardware, data points etc

Estates – buildings, leases/licences, etc

Health & Safety, Fire, Security etc

Human Resources/Occupational Health – any staffing issues, i.e excess Mileage

Infection Prevention & Control – if clinical spaces

Information Governance – SystmOne, Patient Information, etc

Accredited Security Management Specialist – Security i.e. premises, equipment, assets

Appendix: F – CDM Regulation Guidance

The CDM Regulations 2015 are about focusing attention on effective planning and management of construction projects, from design concept onwards. The aim is for health and safety considerations to be treated as a normal part of a project’s development, not an afterthought or bolt-on extra. The object of the CDM Regulations 2015 is to reduce the risk of harm to those that have to build, use, maintain and demolish structures.

Under the terms of the regulations, the definition of 'construction work' is wide, and includes but not limited to:

• alteration, conversion, fitting out, commissioning, renovation, repair, upkeep, redecoration, some types of cleaning, and demolition

• preparatory work, including site clearance, exploration and investigation (but excluding site survey work)

• the assembly on site of prefabricated elements to form a structure

• the installation, commissioning, maintenance, repair or removal of mechanical, electrical, gas or other installations, which are normally fixed within or to a structure.

A project is not only the construction work, but also includes all the planning, design and management or other work carried out during the project until the end of the construction phase.

Notifiable Projects:

A project is notifiable to HSE if the construction phase:

(a) last longer than 30 working days and have more than 20 workers working simultaneously at any point in the project; or (b) exceed 500 person days

For all projects a construction phase plan must be prepared.

The construction phase plan is the foundation for good management and clarifies:

• who does what

• who is responsible for what

• the hazards and risks which have been identified

• how the works are controlled

It is the responsibility of the client to ensure that a construction phase plan has been produced, which must be completed before the client can allow work on site to proceed.

The Head of Safety & Resilience will advise when a construction phase plan is required for a project

The Client must make suitable arrangements for managing a project, including the allocation of sufficient time and other resources.

a) Arrangements are suitable if they ensure that:

• the construction work can be carried out, so far as is reasonably practicable, without risks to the health or safety of any person affected by the project

A client must ensure that these arrangements are maintained and reviewed throughout the project.

b) A client must provide pre-construction information as soon as is practicable to every designer and contractor appointed, or being considered for appointment, to the project

c) A client must ensure that:

• before the construction phase begins, a construction phase plan is drawn up by the contractor if there is only one contractor, or by the principal contractor; and

• the principal designer prepares a health and safety file for the project, which

- complies with the requirements of regulation 12(5);

- is revised from time to time as appropriate to incorporate any relevant new information; and

- is kept available for inspection by any person who may need it to comply with the relevant legal requirements.

d) A client must take reasonable steps to ensure that:

• the principal designer complies with their duties

• the principal contractor complies with their duties

There must be a Principal Designer and Principal Contractor until the end of the construction phase

A Principal Contractor must be appointed by the Client. The duties of the Principal Contractor are:

• Plan, manage and monitor construction phase in liaison with the contractors

• Prepare, develop and implement a written plan and site rules. (Initial plan completed before the construction phase begins)

• Give contractors relevant parts of the plan

• Make sure suitable welfare facilities are provided from the start and maintained throughout the construction phase

• Check competence of all appointees

• Ensure all workers have site inductions and any further information and training needed for the work

• Consult with the workers

• Liaise with the Client and Principal Designer

• Secure the site

Appendix: G - Definitions

Client: means any person for whom a project is carried out.

Principal Contractor: means the contractor appointed to perform specified duties

Contractor:

means any person (including a non-domestic client) who, in the course or furtherance of a business, carries out, manages or controls construction work.

A contractor could be carrying out work in any discipline.

Principal Designer: means the designer appointed to perform specified duties

Designer:

means any person (including a client, contractor or other person) who in the course or furtherance of a business (a) prepares or modifies a design; or (b) arranges for, or instructs, any person under their control to do so, relating to a structure, or to a product or mechanical or electrical system intended for a particular structure, and a person is deemed to prepare a design where a design is prepared by a person under their control

A Contract: means the agreement between Provide and the Contractor comprising the Order and expressly accepted in writing or verbally by the Authorised Person;

Construction Work: means works on or within Provide premises and may include the following:

• installation, maintenance, servicing, modification and / or repair to plant, equipment and machinery

• provision of specialist services, such as removal of certain goods, finished products and waste

• provision of other services, such as catering and vending machines, cleaning, gardening, office furniture removal or any other service

Construction Phase: means the period of time beginning when construction work in a project starts and ending when construction work in that project is completed

Construction Phase Plan:

means a plan drawn up which must set out the health and safety arrangements and site rules taking account, where necessary, of the industrial activities taking place on the construction site

Project:

Project Manager:

is any individual, within Provide or acting on their behalf (e.g. Estates, Leads ) employing a contractor

Notifiable Project: is notifiable under The Construction (Design & Management) Regulations 2015 (CDM Regulations) if the construction phase is likely to involve more than 30 days, or 500 person days

Competent person:

Safe Systems of Work:

A safe system of work is a formal procedure which results from a risk assessment which identifies a safe method of work to ensure that the hazards are eliminated or the remaining risks are minimised.

Permit to work:

PTWs should not be mistaken for a “safe system of work”; rather a safe system of work may require a permit to work system to be adopted as part of its overall systematic control of risk.

Approved Contractors Register:

An Approved Contractors Register (ACR) is used by Provide to hold details of companies that have passed a pre-qualification process to bid for and work on specific types of services or works.

The ACR is managed, updated by the Estates Team and audited by the Health, Safety, Fire and Security Manager.

Appendix: H

• The Health & Safety at Work etc Act 1974

• The Management of Health & Safety at Work Regulations 1999

• The Construction, Design and Management Regulations 2015

• The Control of Asbestos Regulations 2012

• The Control of Substances Hazardous To Health Regulations 2002

• The Regulatory Reform (Fire safety) Order 2005

• The Electricity at Work Regulations 1989

• The Gas Safety (Installation and Use) Regulations 1998

• The Manual Handling Operations Regulations 1992

• The Work at Height Regulations 2005

• Provision and Use of Work Equipment Regulations 1998

• The Noise at Work Regulations 2005

• The Control of Vibration at Work Regulations 2005

• The Personal Protective Equipment at Work Regulations 2022

EQUALITY IMPACT ASSESSMENT TEMPLATE: Stage 1: ‘Screening’

Name of project/policy/strategy (hereafter referred to as “initiative”):

Selection and Management of Contractors Policy

Provide a brief summary (bullet points) of the aims of the initiative and main activities:

Provide guidance on the selection of building contractors working on behalf of Provide

Project/Policy Manager: Health, Safety, Fire and Security Manager Date: May 2022

This stage establishes whether a proposed initiative will have an impact from an equality perspective on any particular group of people or community – i.e. on the grounds of race (incl. religion/faith), gender (incl. sexual orientation), age, disability, or whether it is “equality neutral” (i.e. have no effect either positive or negative). In the case of gender, consider whether men and women are affected differently.

Q1. Who will benefit from this initiative? Is there likely to be a positive impact on specific groups/communities (whether or not they are the intended beneficiaries), and if so, how? Or is it clear at this stage that it will be equality “neutral”? i.e. will have no particular effect on any group.

All personnel working for or on behalf of Provide on sites were the organisation is responsible

Q2. Is there likely to be an adverse impact on one or more minority/under-represented or community groups as a result of this initiative? If so, who may be affected and why? Or is it clear at this stage that it will be equality “neutral”?

Neutral

Q3. Is the impact of the initiative – whether positive or negative - significant enough to warrant a more detailed assessment (Stage 2 – see guidance)? If not, will there be monitoring and review to assess the impact over a period time? Briefly (bullet points) give reasons for your answer and any steps you are taking to addressparticular issues, including any consultation with staff or external groups/agencies.

Neutral

Guidelines: Things to consider

1. Equality impact assessments at Provide take account of relevant equality legislation and include age, (i.e. young and old,); race and ethnicity, gender, disability, religion and faith, and sexual orientation.

2. The initiative may have a positive, negative or neutral impact, i.e. have no particular effect on the group/community.

3. Where a negative (i.e. adverse) impact is identified, it may be appropriate to make a more detailed EIA (see Stage 2), or, as important, take early action to redress this – e.g. by abandoning or modifying the initiative. NB: If the initiative contravenes equality legislation, it must be abandoned or modified.

4. Where an initiative has a positive impact on groups/community relations, the EIA should make this explicit, to enable the outcomes to be monitored over its lifespan.

5. Where there is a positive impact on particular groups does this mean there could be an adverse impact on others, and if so can this be justified? - e.g. are there other existing or planned initiatives which redress this?

6. It may not be possible to provide detailed answers to some of these questions at the start of the initiative. The EIA may identify a lack of relevant data, and that data-gathering is a specific action required to inform the initiative as it develops, and also to form part of a continuing evaluation and review process.

7. It is envisaged that it will be relatively rare for full impact assessments to be carried out at Provide. Usually, where there are particular problems identified in the screening stage, it is envisaged that the approach will be amended at this stage, and/or setting up a monitoring/evaluation system to review a policy’s impact over time.

EQUALITY IMPACT ASSESSMENT TEMPLATE: Stage 2:

(To be used where the ‘screening phase has identified a substantial problem/concern)

This stage examines the initiative in more detail in order to obtain further information where required about its potential adverse or positive impact from an equality perspective. It will help inform whether any action needs to be taken and may form part of a continuing assessment framework as the initiative develops.

Q1. What data/information is there on the target beneficiary groups/communities? Are any of these groups under- or over-represented? Do they have access to the same resources? What are your sources of data and are there any gaps?

N/A

Q2. Is there a potential for this initiative to have a positive impact, such as tackling discrimination, promoting equality of opportunity and good community relations? If yes, how? Which are the main groups it will have an impact on?

N/A

Q3. Will the initiative have an adverse impact on any particular group or community/community relations? If yes, in what way? Will the impact be different for different groups – e.g. men and women?

N/A

Q4. Has there been consultation/is consultation planned with stakeholders/ beneficiaries/ staff who will be affected by the initiative? Summarise (bullet points) any important issues arising from the consultation.

N/A

Q5. Given your answers to the previous questions, how will your plans be revised to reduce/eliminate negative impact or enhance positive impact? Are there specific factors which need to be taken into account?

N/A

Q6. How will the initiative continue to be monitored and evaluated, including its impact on particular groups/ improving community relations? Where appropriate, identify any additional data that will be required.

N/A

Guidelines: Things to consider

1. An initiative may have a positive impact on some sectors of the community but leave others excluded or feeling they are excluded. Consideration should be given to how this can be tackled or minimised.

2. It is important to ensure that relevant groups/communities are identified who should be consulted. This may require taking positive action to engage with those groups who are traditionally less likely to respond to consultations, and could form a specific part of the initiative.

3. The consultation process should form a meaningful part of the initiative as it develops, and help inform any future action.

4. If the EIA shows an adverse impact, is this because it contravenes any equality legislation? If so, the initiative must be modified or abandoned. There may be another way to meet the objective(s) of the initiative.

Further information:

Useful Websites www.equalityhumanrights.com Website for new Equality agency www.employers-forum.co.uk – Employers forum on disability www.disabilitynow.org.uk – online disability related newspaper www.womenandequalityunit.gov.uk – Gender issues in more depth www.opportunitynow.org.uk - Employer member organisation (gender) www.efa.org.uk – Employers forum on age www.agepositive.gov.uk – Age issues in more depth

EQUALITY IMPACT ASSESSMENT TEMPLATE: Stage One: ‘Screening’