• Section 1 - Key Information
• Section 2 - Purpose
• Section 3 - Scope
• Section 4 - Key Decisions
• Section 5 - Policy Statement
• Section 6 - Procedures
• Part A - Authority to Engage Contractors
• Part B - Responsibilities
• Part C - Indemnity and Insurance
• Part D - Induction and Competency
• Part E - Specific requirements for Construction Works
• Part F - Monitoring Compliance
• Section 7 - Definitions
• Section 8 - Authority and Associated Information

Section 1 - Key Information

Section 2 - Purpose

(1) This procedure outlines the steps for University staff to comply with the Health and Safety Policy regarding due diligence in managing contractors.  It is essential that the University ensures all contractor activities are managed safely. 

Section 3 - Scope

(2) This Procedure applies to:

1. all staff and members of the University Community (including Council members, volunteers, students, contractors and associates);
2. all University campuses and research areas that are managed and operated by La Trobe University.

Section 4 - Key Decisions

Section 5 - Policy Statement

(3) This Procedure forms part of the Health and Safety Policy suite which governs its application.

Section 6 - Procedures

Part A - Authority to Engage Contractors

(4) Staff involved in engaging and managing contractors will be aware of and will fulfill their responsibilities to Health and Safety, as well as other legal, insurance or contractual obligations.

(5) Infrastructure and Operations are responsible for engaging and managing University contracts related to building works, maintenance and services across the University. Contractors engaged by Infrastructure and Operations will comply with the University Standard Preliminaries which include health and safety compliance. 

(6) OPV Facilities and Technical Services are responsible for managing and coordinating specialised scientific and technical contractors associated with laboratories and workshops. These contractors are engaged separately from those managed by Infrastructure and Operations.

(7) Other areas of the University such as La Trobe Sport and the Events teams, are responsible for managing and coordinating specialised contractors who are engaged separately from those managed by Infrastructure and Operations.

Part B - Responsibilities

(8) Staff engaging a contractor are responsible for: 

1. Ensuring contract arrangements, including indemnity and insurance provisions, are in place.
2. Gaining assurance that contractors comply with regulatory Health and Safety requirements, including relevant codes of practise and standards.
3. Providing the contractor with necessary Health and Safety information specific to the University context such as site-specific hazards, risks and control measures. 
4. Requiring contractors to provide effective Health and Safety documentation, including hazard and incident reporting, health, safety management plans and performance reports.
5. Ensuring contractor induction is completed, and any required licenses are verified before work commences.
6. Monitoring the contractors’ compliance with Health and Safety requirements and sharing information about changing conditions or latent hazards to maintain a safe work environment.
7. Promoting effective consultation, coordination, and cooperation between the University, contractors and relevant stakeholders to ensure safe work practises. 

(9) Contractors are responsible for:

1. adhering to regulatory Health and Safety requirements, including relevant codes of practice and standards;
2. complying with contextual requirements shared by the University. (i.e. site-specific hazards and control methods);
3. completing local inductions and provide licensing evidence as required;
4. providing effective information documentation and performance monitoring regarding Health and Safety matters (e.g. reporting hazards and incidents); and
5. engaging in effective consultation, coordination and cooperation with the University and other relevant stakeholders to ensure safe service delivery.

(10) Health and Safety Team are responsible for:

1. providing advice on hazard management and related health and safety information; and
2. supporting incident response, investigation and sharing the lessons learned across the organisation.

Part C - Indemnity and Insurance

(11) The contractor will indemnify the University, its agents and employees for any liability, loss damage, claim or proceedings resulting from any act, omission or negligence on the part of the contractor or the contractor’s agents, employees or sub-contractors. 

(12) The contract or agreement will stipulate the insurance policies required and the minimum value of covered required.

Part D - Induction and Competency

(13) All contractors will undertake a Health and Safety induction before work commences. The induction will outline the emergency management procedures, incident reporting and local or site-specific hazard awareness. Contractors engaged by Infrastructure and Operations will complete induction through the Rapid Induct online system. 

(14) When evidence of competency is required, staff managing the contractor will verify and review the relevant documentation, such as licenses, tickets or construction induction certificates. 

Part E - Specific requirements for Construction Works

(15) The contractor will have an established Health and Safety system and University approved Health and Safety management plan before works commence. The management plan will include:

1. Roles and responsibilities
2. Emergency management processes
3. Induction and training processes and records
4. Communication processes
5. Arrangements for the coordination of safe construction work including safe site rules
6. Arrangements for managing hazards and incidents
7. Arrangements for inspecting and monitoring safe work practise and subsequent corrective actions

(16) The Contractor will monitor, adjust and maintain the Health and Safety management plan throughout the course of the construction works and will ensure this plan is continuously available for review by the University.

Part F - Monitoring Compliance

(17) Staff engaging contractors are responsible for overseeing the Health and Safety performance and compliance of the contractor’s work. This may include, though not limited to:

1. monitoring the induction register for contractor employees and sub-contractors
2. checking the safety data sheet (SDS) register
3. reviewing the contractor’s work methodology or plan
4. ensuring compliance with the contractor’s job safety analysis (JSA) or safe work method statement (SWMS)
5. conducting periodic site inspections or audits 
6. monitoring contractor’s safety inspection reports
7. monitoring and following up on corrective actions
8. assessing safety performance, hazard and incident reports, third-party reports and complaints
9. verifying that contractor records are maintained 

Section 7 - Definitions

(18) For the purpose of this Procedure:

1. Contractor: Person / persons contracted to provide materials and/or labour to perform a service or undertake specified activity.
2. Contract: A formal agreement to complete a service or carry out a specified activity. The type of contracts will depend on the level of financial risk, the duration of the contract and the value of the contract.
3. Construction work: any work performed in connection with the construction, alteration, conversion, fitting out, commissioning, renovation, refurbishment, decommissioning, or demolition of any building or structure, or any similar activity.
4. Induction: A formal process of providing information on safety requirements prior to commencement of work.
5. License: Official permission issued by regulatory authorities to perform a specified activity. Examples include forklift licenses, rigger certification, etc. 
6. Health and Safety Management Plan: A plan applicable to major and long-term contracts. It is the contractor plan that outlines how occupational health and safety will be managed for the project.
7. Standard Preliminaries: The University’s Standard Preliminaries published by Infrastructure and Operations shall apply to all building and construction contracts.

Section 8 - Authority and Associated Information

(19) This Policy is made under the La Trobe University Act 2009.