This phase selects a contractor, one who demonstrates capability, competence, experience and system maturity to deliver the required WHS performance outcomes for the work to be performed.
Key steps to this phase that must be undertaken include:
- identifying the engagement approach
- setting the WHS requirements for the Engagement Documentation, including:
- determining the information to be supplied for the Contractor Classification in the Contractor Application
- considering the key risks
- setting the consultation, co-operation and co-ordination mechanism
- setting the WHS performance requirements
- setting the assurance requirements
- setting the induction requirements
- preparing the Engagement Documentation
- evaluating Engagement Documentation including contractor application
- awarding the contract
1 Identify the Engagement Approach
The Contract Manager must identify the manner in which the contractor will be engaged and liaise (eg with the legal or procurement teams) to ensure that the WHS requirements can be included in the engagement process and considered by the WHS Team and the Contract Manager.
2 Contractor Application Requirements
Contractors used by University of Tasmania must provide WHS documentation relevant to the tasks they will be undertaking.
The Contract Manager will list the Contractor Application requirements within the Engagement Documentation. The WHS Contractor Application Schedule response will be subject to evaluation by appropriate roles from ISD with support available from the WHS Team. The following roles in ISD may undertake the evaluation:
- Manager, Facilities & Contracted Services
- Senior Compliance & Risk Officer
- Maintenance Officer
- Facilities Manager
- Team members with specific expertise relating to the contracted work may also be involved in the evaluation.
3 WHS Site Specific Documentation Requirements
In addition to completing the Contractor Application requirements (or prequalification) Specialist and Complex Contractors are required to produce the site-specific documentation listed below upon successful engagement. Work cannot commence until those documents are approved. The Contract Manager must ensure that the Engagement Documentation identifies that the Contractor is required to provide the WHS Site Specific Documentation if engaged.
Site Specific Documentation Requirements
Site specific documentation required
There are no site-specific documentation requirements for Basic Contractors.
Complex and Specialist Contractors
Complex and Specialist Contractors must provide copies of SOPs or SWMS specific to the scope of works to ISD for approval, which meet the requirements of the SOP/SWMS Review Checklist
4 Considering Key Risks
For all Specialist and Complex classifications, once the contractor is engaged for the project, they are invited to review the risk assessment, to ensure that it is comprehensive and inclusive of specific hazards relating to their equipment, methods and other conditions of which they are aware, and then to sign off as stakeholders in the risk assessment process.
If the Contract Manager does not prepare a risk assessment for the contract, they must ensure the Contractor has done so.
The ISD Operational Risk Register can form the basis for the risk assessment for the work. It is freely available to the contractor and provides details of the minimum controls required to be in place for hazards identified at the University. It is important that the contractor is consulted in this process as they may have additional hazards and controls that need to be captured.
The Contract Manager must consider if further technical advice is required, for example, from subject matter experts in WHS or Legal, to ensure that all applicable requirements are identified for the work to be undertaken. Any risk assessment prepared is to be provided to the Contractor and records kept.
5 Consultation, Co-operation and Co-ordination
Under the WHS Act, University of Tasmania has a duty to, so far as is reasonably practicable, consult, co-operate and co-ordinate with other third parties or other stakeholders involved in the same scope of work or who owe duties in relation to the same matters. Contractors are also required to consult with University of Tasmania and any other PCBU's with whom they share duties.
The below table contains examples of how the Contract Manager may establish effective mechanisms to consult, co-operate and co-ordinate its activities for each Contractor Classification.
Example Consultation, Co-operations and Co-ordination activities
Mechanism for Consultation, Co-operation and Co-ordination
For all contractors
Where a Principal Contractor is appointed, the arrangements for consultation, co-operation and the co-ordination of activities must be set out in the WHS Management Plan.
6 WHS Performance Reporting
University of Tasmania must seek to engage contractors that share the same value and concern for achieving outstanding WHS performance. The Engagement Documentation must include the specific requirements that will give the Contract Manager the ability to monitor and measure the WHS performance of the contractor for the contract lifecycle. The specific requirements depend on the Contractor Classification as detailed below.
WHS Performance Reporting Requirements
Minimum WHS Performance Reporting Requirements
Basic Contractors and Specialist Contractors
Basic Contractors and Specialist Contractors must comply with the incident reporting requirements of the University of Tasmania including immediately notifying University of Tasmania under the Procedure including the following:
Complex Contractors must comply with the incident reporting requirements (under the contract) of the University of Tasmania MySAFETY system and procedures and must also be required under the engagement documentation to immediately notify University of Tasmania of the following:
Specialist & Complex Contractor Progress Reports
Where it has been identified that the project or engagement warrants ongoing performance reporting, the following data should be provided on a monthly basis:
7 Assurance Requirements
The Engagement Documentation must include the specific requirements that will give University of Tasmania the ability to audit or inspect the contractor’s safety documentation, implementation of control measures and/or performance of work in accordance with the approved WHS management processes, for the duration of the contract. The Auditing Requirements table below provides a risk-based approach to establishing an appropriate assurance program. The Contract Manager must consider the following table and include the minimum requirements for each Contractor Classification in the Engagement Documentation.
Minimum Assurance Requirements
Not required (Level 2 or 3 audit sampling should ensure categories are being applied appropriately)
A minimum of 1 inspection per year is required.
Based on performance reporting and risk trends, an appropriate number of Specialist Contractors shall be identified for audits (Level 2 assurance activity) by the WHS Team during the year.
The Contract Manager must agree to the assurance program the Complex Contractor will implement for their work. Performance against the assurance program should be reported on by the contractor at the regular Progress Meetings.
In consultation with the WHS Team, audits (level 2 assurance activity) a minimum of 1 audit will be included in the annual assurance program with additional audits scheduled based on risks, the contractor’s WHS compliance and performance.
8 Induction Requirements
Contract Managers must include induction requirements in the Engagement Documentation to inform contractors of their obligations. All contractors are required to successfully complete induction prior to commencing work. The Contract Manager is responsible for ensuring contractors are inducted and that the requirements for inductions are specified in the Engagement Documentation. The induction process must ensure that the contractor has adequate instruction and information in relation to:
- WHS responsibilities;
- foreseeable hazards and risks;
- consult, coordinate and cooperate arrangements; and
- other planning aspects as deemed relevant for the worksite and work to be carried out.
When a contractor is engaged to perform work on University of Tasmania’s premises the requirements for visitors set out in any Service Provider/Contractor Site Specific Induction must also be followed in addition to the induction requirements set out in the Induction Requirements table below.
Contractor High Risk Work Induction
Project Specific Induction Established
9 Sub-Contractor Induction
All contractors are required to notify University of Tasmania of any intention to utilise sub-contractors and University of Tasmania will consider and must approve the use of any sub-contractors. Except where University of Tasmania has appointed a Principal Contractor, subcontractors are required to submit the same documentation as if they were engaged by University of Tasmania to undertake that activity. If sub-contractors are expected, the Engagement Documentation should detail the sub-contractor’s information.
10 Prepare Engagement Documentation
The development of correct Engagement Documentation is very important in the management of Worker’s safety by ensuring the engagement of external contractors who meet legislative requirements as well as University of Tasmania’s minimum WHS requirements – see below.
The Engagement Documentation includes (but may not be limited to):
- The applicable Contractor Application Schedule and list the appropriate sections to complete
- Consulting with the Contractor in relation to the identified hazards and risks
- The minimum WHS information to be provided by all contractors (as defined in Basic Contractor Application Form and Specialist or Complex Contractor Application Form)
- The site-specific documentation required, for example:
- Specialist Contractors are required to submit SWMS for approval before commencing work; and
- Complex Contractors must produce a WHS Management Plan specific to the scope of works and SOPs or SWMS to address identified risks;
- Training and licence documentation required, for example:
- Complex and Specialist Contractors are required to provide evidence of competencies and licenses for their work tasks;
- Consultation, co-operation and co-ordination arrangements;
- WHS performance reporting requirements (XLSX 21.7 KB) to be met during the contract including specific Key Performance Indicators (KPIs)
- The Assurance Program that will be implemented during the contract;
- Induction requirements in relation to the services; and
- If the Complex Contractor will be appointed as Principal Contractor, the relevant appointment clause must also be included (see Inspection Checklist for further guidance);
- If the Complex Contractor will not be appointed as Principal Contractor, the relevant control and management of the site clause must also be included (see Inspection Checklist for further guidance);
- Any requirements in relation to sub-contractor arrangements; and
- Any technical or specialist WHS requirements identified for inclusion in the Engagement Documentation
11 Evaluate Documentation Provided by Potential Contractors
The documents provided by the Contractor should be evaluated by the ISD Team utilising Application Assessment Guidance:
- the sample/generic SOP/SWMS against the SOP/SWMS Review Checklist
- sample/generic WHS Management Plan against the WHS Management Plan Checklist
12 Award the Contract
The Contract Manager should consider whether or not the requirements of this contract have been met in awarding the contract.