HEALTH AND SAFETY IN SCOTTISH WATER
A Handbook for External Contractors
Ref: SW/H&S/PROC/01
Version 2
1
Issue Date: 28th. May 2009
HEALTH AND SAFETY IN SCOTTISH WATER: A Handbook for External Contractors
CONTENTS
1)
INTRODUCTION
About Scottish Water
The Scottish Water 4 Step Strategy for Managing Contractors
Purpose of this handbook
Scottish Water Health and Safety – General Policy Statement
Content
Definitions
2)
CONTRACTORS RESPONSIBILITIES FOR HEALTH AND SAFETY
Responsibilities
Liaison Procedures for Work on Operational Sites
3)
IDENTIFICATION OF SIGNIFICANT HAZARDS
Contractor’s Responsibilities
Hazards Common to the Water Industry
4)
GENERAL SAFETY REQUIREMENTS
Requirements
Precautions and Instructions
5)
EXTERNAL CONTRACTOR’S ACCESS/TRANSFER CERTIFICATE & PERMITS TO WORK
General
External Contractor’s Access/Transfer Certificate
Permits to Work
Obtaining an Access/Transfer Certificate or a Permit to Work
6)
RECORDS AND DISPLAYS
General
Records to be Retained (and where appropriate, displayed)
7)
INCIDENT REPORTING
General
Incidents to be reported
8)
APPENDICES
Appendix A – Contractors Induction and Safe working Checklist
Appendix B – List of applicable Scottish Water Policies & Arrangements
Ref: SW/H&S/PROC/01
Version 2
2
Issue Date: 28th. May 2009
INTRODUCTION
1
About Scottish Water
Scottish Water is a Public body.
We are regulated by the Water Industry Commissioner, Scottish Government and the Scottish
Environmental Protection Agency to ensure that we continue to:

Provide clean and safe drinking water

Drain, collect and treat sewage and surface water from household, commercial and industrial
premises.
In addition, we are constantly monitored by the people we supply with these services, i.e. business
customers and members of the public, when we are carrying out work on their premises or in public
areas.
It is important that any work that you carry out on our behalf is conducted in a safe and courteous
manner in order to avoid complaints which may affect our reputation as a supplier of these services.
Scottish Water believes that a contractor’s capability to manage health and safety is indicative of their
overall management capability. As a major Scottish client, we are committed to promote high standards
of Health and Safety management within the contractors we employee.
In 2007 we launched our “Health and Safety Charter for Contractors” which indicates our
commitment to not only improve our own health and safety performance, but also that of the
contractors we engage.
We have a legal duty to ensure that any work undertaken by contractors on our behalf does not affect
the safety or health of our employees or anyone else affected by the work and we will therefore only
use contractors who have demonstrated that they are competent to work safely in, or behalf of, Scottish
Water.
Ref: SW/H&S/PROC/01
Version 2
3
Issue Date: 28th. May 2009
INTRODUCTION
1
The Scottish Water 4 Step Strategy for Managing Contractors
Step 1 – Selection of a suitable contractor
As part of the initial selection process, the Scottish Water Procurement Team (in conjunction with the
Health and Safety Team) has developed a Health and Safety “Approved Contractors List” and only
contractors on this list will receive regular work from Scottish Water.
In order to be included on the Health & Safety “Approved Contractors List”, all contractors are required
to demonstrate that they have a robust H&S Management system by completing a SW “Competency
Form” AND achieving CHAS accreditation or an Achilles Verify score of at least 75% or OHSAS18001
certification.
Please note: there may be some instances where external accreditation is not required, or where
industry specific accreditations will be acceptable, however this is only in the minority of cases and will
be confirmed upon receipt of your completed SW “Competency Form”.
It should also be noted that, in some cases, Scottish Water may consider adding contractors to the
“Approved List” whose H&S Management System has been accredited by other schemes (i.e.
SAFEContractor).
In order to be included on the “Approved Contractors List”, a contractor should:

Receive an invitation to register from a Scottish Water employee or be awarded a contract
following a formal procurement process

Demonstrate competence to carry out specific types of work by downloading and completing the
Competency Assessment Form

Confirm that they have read and understood:
o
o
Scottish Water’s Health & Safety Charter for Contractors (included within this handbook)
Scottish Water’s Health & Safety Information for Contractors (this handbook)
Step 2 – Assessing risks & sharing information
Although contractors who are included on the “Approved Contractors List” have demonstrated that they
have a robust H&S management System in place, there is still a need for any person in Scottish Water
who engages a contractor, to ensure that they are competent to carry out the required work safely (i.e.
a contractor listed as a “Networks Maintenance” contractor, will still need to demonstrate that he can
provide competent employees and adequate control measures for working in deep excavations).
Contractors should be provided with adequate information on the hazards that they may encounter
during the work, by the SW Person Responsible for the Contract (PRC) who engages them from the
“Approved Contractors List”.
Please note: if you are not provided with this information, you should not proceed and should contact
the PRC who is engaging you to carry out the work.
In return you are required to provide a specific risk assessment/method statement detailing the control
measures that you will put in place to ensure the safety of your own employees and anyone else that
may be affected by the work. You will only be allowed to carry out the work once these have been read
and approved by the PRC.
Ref: SW/H&S/PROC/01
Version 2
4
Issue Date: 28th. May 2009
Your employees will require to have the specific risk assessment/method statement for the work in their
possession at all times as they will be checked by the Site Occupier (when working on a SW
operational site) or by any SW person carrying out an audit, inspection or spot check during the work.
Step 3 – Contractor does the work
Once you have been provided with information on the hazards, and you have detailed the control
measures that will be implemented in a specific risk assessment/method statement, it is YOUR
responsibility to ensure that the work is carried out safely. It is your responsibility to ensure that the
work is carried out to the agreed risk assessment/method statement (i.e. you must ensure that the
identified control measures are implemented, your employees (or in some cases, where approved by
the SW PRC, your sub-contractors) are competent to carry out the type of work required and are
competent to implement and use the identified control measures).
Please note: it is YOUR responsibility to ensure that any sub-contractors you use, as agreed with the
PRC, are competent to carry out work safely. You must be able to demonstrate how you have
determined sub-contractor competency.
Your work may be subject to specific SW standards (e.g. Confined Spaces, Permits to Work, etc) laid
down in our H&S Policies and Arrangements. For further information you should consult the PRC who
can make copies of relevant Policies and Arrangements available.
You should also note that where control measures indicated in a specific risk assessment/method
statement are not in place, or where your employees (or sub-contractors) are not able to demonstrate
that they are competent to carry out the work and use the control measures, AND your (or your subcontractors) working methods are deemed to be of a seriously unsafe nature (by any person carrying
out and audit, inspection or spot check), then the work may be immediately stopped until necessary
improvements are made. Where work needs to be stopped under these circumstances, then you may
be temporarily suspended from carrying out future work OR permanently removed from the “Approved
Contractors List”.
Where the working methods are not deemed to be of a seriously unsafe nature, you may still be
required to make some improvements in safe working practices, AND may still be temporarily
suspended from future work until these improvements have been made.
Please note: your employees will be required to provide evidence of required competencies to the Site
Occupier (when working on a SW operational site) and to any SW person carrying out an audit,
inspection or spot check during the work.
Step 4 – Monitor performance and review
Contractors have a responsibility to monitor the health and safety performance of their own employees
and safety management systems.
In order to maintain and manage the “Approved Contractors List”, Scottish Water will carry out on site
monitoring, through periodic checks, on contractors to ensure that the work is being done safely (i.e. in
line with agreed risk assessments/method statements, the safe systems of work are adequate, and the
control measures are being applied and are working).
Monitoring will be carried out by the Person Responsible for the Contract but may also be carried out
by any other Scottish Water employee (e.g. members of the Corporate Health & Safety Team).
In addition, Scottish Water has developed a form for use by any of our employees where any “unsafe
activity” is observed.
Where contractors are performing poorly on health and safety, they may be given the opportunity to
make improvements within agreed timescales and in these cases, then the frequency and level of
monitoring may be increased to ensure that any necessary improvements are being made.
Ref: SW/H&S/PROC/01
Version 2
5
Issue Date: 28th. May 2009
Please note: this may be decided on as an alternative to being temporarily suspended from future
work, OR permanent removal from the “Approved Contractors List” but only where your working
methods have not been deemed to be of a seriously unsafe nature.
The decision on whether to allow improvements to be made, temporary suspension from future work, or
permanent removal from the “Approved Contractors list” will be made in conjunction with all relevant
persons in Scottish Water. This decision on what action to take will depend on the nature of the health
and safety performance failure, the criticality of the contractor to Scottish Water, and the impact on the
contractor’s business of losing work in SW.
Any wilful disregard for health and safety will result in the termination of the contract and
suspension of the contractor from the “Approved Contractors List”.
Information on monitoring will be used by SW Functions as part of an overall periodic review of their
contractor’s (collectively and individually) health and safety performance. The review will determine
which contractors are performing to agreed health and safety standards and those who need to
improve.
In addition to periodic reviews carried out by SW Functions, the SW Procurement Team (in conjunction
with the Health & Safety Team) will conduct an annual review of all “frameworks” contractors on the
“Approved Contractors List”.
This review will consider some or all of the following:





information from monitoring by other SW Functions
any incidents reported by contractors to the SW Incident Reporting Line
any “Contractors Unsafe Activity Forms” received by the Procurement Team
information from the external accreditation sources (Achilles Verify, CHAS, etc)
any information on an individual contractor in the HSE’s “Register of Prosecutions and Notices”
Ref: SW/H&S/PROC/01
Version 2
6
Issue Date: 28th. May 2009
INTRODUCTION
1
Purpose of this book
Under the Health and Safety at Work, etc. Act 1974, Scottish Water has a statutory duty, to ensure, so
far as is reasonably practicable, the health, safety and welfare at work of all employees and any other
persons liable to be affected by its work activities and undertakings. You are reminded that it is your
duty to consider, understand and implement all of your responsibilities for Health and Safety.
As a Contractor, you have a crucial and legal role to play in health and safety and you must ensure that
you and your employees, sub-contractors and suppliers, comply with all Scottish Water Policies and
Arrangements and Procedures relevant to the type of work to be carried out, and with any specific
instructions from Scottish Water personnel whilst working for us, or on our behalf.
This handbook contains information to assist you in establishing suitable safe systems of work and a
safe working environment, and ensuring that employees, sub-contractors and suppliers are aware of
their responsibilities with regard to health and safety, and includes:

guidance on contractors responsibilities (including use of sub-contractors) with regard to health
and safety

general information on hazards you may encounter whilst working in, or on behalf of Scottish
Water

information on Scottish Water’s Health and Safety Policies and Arrangements.
Note: It will be the responsibility of the Person Responsible for the Contract to provide you and/or your
employees with a basic Health and Safety Induction (which may be provided in the form of this
handbook) and to provide you with basic information on general hazards, risks and procedures
currently in place to manage and control these risks. This handbook is designed to provide general
information and may not necessarily provide you with specific information for the type of work you are
to carry out. It is your responsibility to ensure that you, your employees and any sub-contractors, are
conversant with this handbook but it is not designed as a substitute for a site specific induction which
you should receive when working on any Scottish Water sites.
For work on a Scottish Water sites, you will also be provided with further additional and specific site
working details and requirements, in the form of a site specific induction, from the Scottish Water
person in control of that site before starting work on that site. Where the work you carry out is on behalf
of Scottish Water, but not on one of our sites (e.g. roadworks, etc) you will be the person in control of
that site and will therefore be required to provide a form of site induction to any visitors to the site,
including SW personnel.
Scottish Water will also effectively monitor the health and safety performance of Contractors to ensure
that they meet suitable health and safety standards. Where any deficiencies are noted the Contractor
will be required to agree and undertake prompt corrective action. Any serious failure to do so may
result in the Contractor being removed from existing work and prevented from gaining any future work
with Scottish Water.
Ref: SW/H&S/PROC/01
Version 2
7
Issue Date: 28th. May 2009
INTRODUCTION
1
Scottish Water Health and Safety – General Policy Statement
H&S Principles - A Framework for Zero Tolerance
Scottish Water recognises the duties placed upon it under the Health and Safety at Work etc Act 1974
and all other relevant legislation. We are committed to ensuring we at least comply with the minimum
requirements and wherever reasonably practicable shall exceed them
We recognise our duties are not only to our staff but also include trainees, contractors, visitors and any
others who may be affected by our activities and shall adopt the principle of zero tolerance with regard
to accident prevention and work related ill- health. This principle is underpinned by the acceptance that
no accident at work is acceptable and that we always follow our Golden Rules.
Scottish Water’s Safety Management System Manual provides specific health and safety
responsibilities for the Chief Executive, Directors, Managers and other named roles, Health and Safety
must be regarded as a mutual objective for Scottish Water, Trade Unions, employees at all levels and
all contractors.
Operating in framework of Zero Tolerance, Scottish Water will:









Provide and maintain a safe, healthy working environment for our people and at our workplaces;
Ensure the safety of staff who are mobile workers or those who work from home.
Provide safety training, information and instruction as required for all employees as appropriate for job
role and circumstances.
Ensure that suitable and sufficient risk assessments are carried out and documented on all activities with
significant risks and that adequate control measures are put in place.
Provide adequate resources for safe working including all necessary safety equipment, personal
protective equipment and ensure its use.
Maintain a constant and continuing improvement in all aspects of Health and Safety, in particular by
continual review and monitoring of Health and Safety Policy and Arrangements, actively challenging poor
Health and Safety practices, establishing initiatives/campaigns and setting performance improvement
targets.
Consult Trade Unions and employees on matters relating to workplace health, safety and welfare,
development and review of policy and procedures through safety committees and approved routes
established throughout the business.
Communicate relevant Health and Safety Policies and Arrangements and information through
Wavelength, SW News, TeamVoice, Safety Flashes, InTouch, Text Messages, Team Meetings and
Safety Noticeboards in the workplace.
Take fast and effective remedial action on non-compliance including temporary measures to remove risk.
Any person / Contractor that repeatedly fails or wilfully disregards Scottish Water procedures will not be
tolerated and managed appropriately. e.g. removal of contractor from site.
Trade Unions, all Employees and Contractors have a duty to co-operate fully in the operation of Scottish
Water’s Zero Tolerance framework by:






Thinking and working safely and efficiently at all times, complying with any instruction, information and
training in accordance with all Policy and Arrangements and statutory obligations.
Immediately reporting incidents (including accidents, near misses, which have resulted in, or may lead to
injury).
Assisting with the investigation of accidents and aiding the introduction of measures to prevent a
recurrence.
Participating fully in initiatives aimed at reducing accidents and preventing work related ill health.
Actively challenging poor Health and Safety practices.
Suggesting potential improvements to working practices.
Issued by the Chief Executive, February 2009
Supported by Trades Union H&S Representatives
Ref: SW/H&S/PROC/01
Version 2
8
Issue Date: 28th. May 2009
Scottish Water’s Health and Safety Charter for Contractors
Scottish Water is committed to improve not just its own health and safety performance, but also the
health and safety performance of its contractors.
It is a major client, employing around 1,500 contractors, large and small, across many business
sectors. It believes that a contractor’s capability to manage Health and Safety is indicative of overall
management capability. Contractors carry out work on Scottish Water sites or work in public areas on
Scottish Water’s behalf. The charter summarises SW’s approach to the selection and management of
contractors.
Scottish Water will: Select contractors who are good at managing health and safety, by:o
o
Awarding framework contracts to contractors who meet a minimum standard but
favouring those who demonstrate above average H&S performance
Requiring all contractors to demonstrate robust H&S management and performance
 Monitor and review contractor performance, by:o
o
Requiring all framework contractors carrying out higher risk activities to undergo regular
external assessments of their H&S system
Monitoring the RIDDOR statistics of all contractors
 Support contractors to improve their performance, by:o
o
o
o
Developing action plans with framework contractors to continuously improve their H&S
management and performance
Carrying out audits on contractors to help them identify opportunities for improvement
Giving contractors reasonable time to correct weaknesses (although work may be
suspended until corrections are made)
Providing detailed feedback to all tenderers on the evaluation of their H&S submission
so they can target areas for improvement
 Check that contractors select safe sub-contractors and manage them competently, by:o
o
Requiring contractors to demonstrate that their systems for sub-contractor selection and
management meet Scottish Water’s minimum standard
Monitoring and auditing the performance of sub-contractors as well as contractors
 Not tolerate wilful disregard of health and safety management, by:o
Suspending or terminating contracts without compensation
Ref: SW/H&S/PROC/01
Version 2
9
Issue Date: 28th. May 2009
IINTRODUCTION
1
PART 1
INTRODUCTION
Provides an introduction to this
handbook, its use, and definitions of
the terms used
PART 2
CONTRACTOR’S
RESPONSIBILITIES
Outlines contractor’s responsibilities
for Health and Safety. Contains
minimum
procedures
for
discharging these duties on SW and
non-SW sites
PART 3
IDENTIFICATION OF
SIGNIFICANT HAZARDS
Provides
guidance
on
some
common hazards in SW to assist
contractors in implementing safe
systems of work and a safe working
environment.
PART 4
GENERAL SAFETY
REQUIREMENTS
Provides guidance on the minimum
precautions and instructions when
implementing safe systems of work
and a safe working environment.
PART 5
EXTERNAL CONTRACTORS
ACCESS/TRANSFER
CERTIFICATE & PERMITS TO
WORK
Outlines where Access Certificates
and Permits to Work are required,
and how to get these.
PART 6
RECORDS AND DISPLAYS
Details certain records which
contractor’s may be required to
retain, or display, on site for
inspection by Scottish Water.
PART 7
INCIDENT REPORTING
Details those incidents which SW
requires contractor’s to report and
the procedure for reporting them.
PART 8
APPENDICES
App. A Contractors Induction
checklist
App. B List of SW Policies &
Arrangements
Ref: SW/H&S/PROC/01
Version 2
10
Issue Date: 28th. May 2009
INTRODUCTION
1
DEFINITIONS
SCOTTISH WATER
All references to Scottish Water refer to the corporate body
in general. For the purposes of this document it may include
Agents appointed to manage contracts on its behalf.
Where the contract is covered by the Construction, Design
and Management Regulations, Scottish Water will appoint a
person or organisation to act as the CDM Co-ordinator for,
and on behalf of Scottish Water. The appointment will be
nominated to the Principal Contractor. The CDM Coordinator will make appropriate liaison and communication
arrangements between all parties.
PERSON RESPONSIBLE FOR THE
CONTRACT (PRC)
PRC is the person who engages a contractor to carry out
work on SW sites.
Work on Operational Water or Wastewater sites will require
the operation of the External Contractors Access/Transfer
Certificate. These will only be issued by a SW person on
site who is authorised in writing by his Manager to do so,
and only after consultation with the PRC.
SITE OCCUPIER (SO)
SO – is the SW business function or its representative, who
normally has the day to day operational control of the site,
piece of plant or equipment affected by the work.
AUTHORISED PERSON
(for issuing permits to Work)
A SW person who has been authorised in writing by their
manager/team leader to issue the relevant permit to work
and who has the relevant technical knowledge and
experience of the plant or process to which the permit
applies. For HV Electrical work a Senior Authorised Person
will be appointed in writing by Scottish Water as having the
relevant technical knowledge, experience and qualifications
to authorise this type of permit.
COMPETENT PERSON
Certain inspections, operations and supervisory duties
must, under safety regulations be carried out by a
“competent person”. It is for the contractor to decide
whether a particular employee is competent to carry out a
duty in question.
Scottish Water may ask a contractor to demonstrate that
employees are “competent” through producing relevant
training or certification details, and/or seek proof based on
the following definition:
“They must have the technical knowledge and experience
of the work that they are to undertake and understand the
hazards and control measures required to ensure the work
can be carried out safely”
OPERATIONAL and NON
OPERATIONAL SITES
Any SW sites, where water or wastewater treatment
processes are being carried out are regarded as
Operational sites. For the purposes of this document
Operational sites will also include under ground facilities,
water mains, sewers, etc, even where these may be
temporarily shut off for repair.
Non-operational sites includes offices, stores etc
Ref: SW/H&S/PROC/01
Version 2
11
Issue Date: 28th. May 2009
CONTRACTORS RESPONSIBILITIES FOR HEALTH AND SAFETY
2
RESPONSIBILITIES
It is the duty of all contractors, sub-contractors and their employees or agents, to comply with:

The Health and Safety at Work Act 1974, and all other relevant statutes, regulations and
appropriate Codes of Practice concerning Health and Safety including the Construction, Design
and Management Regulations 2007.

Where applicable, Scottish Water Policies and Arrangements and Procedures.
It is important that all contractors make every effort to avoid risks to themselves and to others by acting
in a safe and responsible manner.
In particular, you must:

Follow all relevant Scottish Water Health and Safety Procedures, systems of work and
management instructions

Make yourself aware of the contents of this handbook

Report any hazards and unsafe practices/conditions to the Person Responsible for the Contract
and, where applicable, the Site Operator

Follow instructions/guidance with regards to wearing personal protective equipment, manual
handling, use of chemicals and operating electrical equipment

Be aware of and carry out procedures relating to the emergency evacuation of any SW site,
safe working and first aid

Have in place before starting the work, agreed arrangements for the competent supervision of
the work
LIAISON PROCEDURES FOR WORK ON OPERATIONAL SITES
Before starting work for, or on behalf of Scottish Water, it is your duty to identify all your responsibilities
and duties. It is impractical to detail the specific requirements for each contract within this document but
in general, Contractors must ensure that they

Fully comply with the requirements of Scottish Water’s policies and procedures that are relevant
to the contract. This will include compliance with all relevant health and safety legislation that is
relevant to the work (e.g. CDM, DSEAR, Transport of Dangerous Goods, Control of Asbestos,
etc.)

Nominate a competent person to receive, communicate and act upon any relevant
documentation under these procedures.

Only use competent sub contractors and manage them to ensure that they follow the
requirements of Scottish Water’s policies and procedures as agreed in the contract.

Fully cooperate with the designated Scottish Water contact person (e.g. Person Responsible for
the contract) and any other Scottish Water personnel or contractors on the site that they are
carrying out the work.

Carry out their work safely and in accordance with their own policies, procedures, risk
assessments, method statements and safe systems of work.

Report any accidents or incidents that occur whilst doing the work to the Scottish Water contact
person or directly to Scottish Water’s Accident Reporting line on 01382 563217.
Ref: SW/H&S/PROC/01
Version 2
12
Issue Date: 28th. May 2009
Note: In the event of any work being sub-contracted under the terms of the contract, the Person
Responsible for the Contract is to be advised before any work is undertaken by the sub-contractor.
Before work starts:

Ensure that you and your employees are competent to carry out the work safely and have
adequate proof of competency

Ensure that you provide written risk assessments and method statements

Agree with the PRC and/or Site Occupier any additional methods for controlling the work, (i.e.
Access/Transfer Certificates, Permit(s) to Work, or Lock Off procedures)

The working area(s) must be clearly established and agreed, and other site users made aware
of any work being carried out which may affect their operations or their general health and
safety

Ensure that employees are familiar with all safety notices displayed on site and are aware of the
appropriate actions to take in the event of an emergency

Agree the requirements for the competent supervision of the work
During the project:

Ensure that your operations are confined to within the identified work area(s)

If you, your employees, agents or sub-contractors are concerned about any matter relating to
health and safety, work must not commence, nor areas of potential danger be entered without
consulting the Person Responsible for the Contract

If any of your employees, agents or sub-contractors work in an unsafe manner or deviate from
agreed procedures, that part of the work must be stopped, and made safe, until a change in
practice is made to prevent such deviations
Should the work, or the working area, need to be extended, then this should be requested via
the PRC and must be with the agreement of all parties involved
On completion of the project:

Ensure that the work has been completed to the agreed standard

Ensure that all plant, equipment and materials are removed from site

Ensure that the site is left in a safe condition

Ensure that site records are updated, where appropriate, to include any changes in procedures,
plant or equipment, etc
Note: If lone working is required, arrangements must be made to ensure that regular contact
with employees is maintained. Where lone working is required the safety arrangements must be
highlighted to the PRC and any necessary amendments made to the risk assessment and
method statement. Employees should not undertake any task which will put their safety at risk,
or which would normally require assistance.
Ref: SW/H&S/PROC/01
Version 2
13
Issue Date: 28th. May 2009
IDENTIFICATION OF SIGNIFICANT HAZARDS
3
CONTRACTOR’S RESPONSIBILITIES
All contractors employees, agents and sub-contractors must be sufficiently trained and be competent to
work safely, to adhere to the appropriate regulatory standards, and to protect themselves and others
against the risks and hazards associated with:

Their own trade or profession

Normal safe working procedures associated with their own trade or profession

Any other working conditions associated with the water industry in general, and/or the site at
which they are working
You must ensure that all of your employees, agents or sub-contractors:

Have been made fully aware of the content of this handbook

Have been instructed to follow any Scottish Water procedures relevant to the work and follow
the instructions on any site safety notice boards

Are trained and competent

If working on wastewater treatment sites, are issued with, and have read and understood, the
Scottish Water Sewage Hygiene Code of Practice

If working on water treatment sites or on “live” water mains, are issued with, and have read and
understood, the Scottish Water, Water Supply Hygiene Code of Practice. Where work is
requested that includes the contact or potential contact with the water supply the SW
Distribution Operations and Maintenance Strategy (DOMS) procedures must be followed and
the relevant training courses and authorisations completed prior to starting the work.
Please note that any contractors engaged to carry out work on water treatment sites AND
wastewater treatment sites, will be required to have in place additional control measures to
prevent cross contamination (e.g. different PPE for water/wastewater, adequate welfare and
washing arrangements, adequate means for disinfecting of tools and equipment, etc)
Ref: SW/H&S/PROC/01
Version 2
14
Issue Date: 28th. May 2009
IDENTIFICATION OF SIGNIFICANT HAZARDS
3
HAZARDS COMMON TO THE WATER INDUSTRY
The following provides an initial list of hazards commonly found in the water industry. They are given to
contractors as an aid only, to assist in developing their own safe working practices. The contractor must
ensure that all hazards and risks are identified before commencing work.
EXCAVATION WORK IN PUBLIC AREAS
Due to the nature of our Business, a high proportion of our work is carried out on underground assets
(water mains and sewers, service connections) located in public areas. For all works carried out in
public areas, suitable control measures must be implemented to ensure the safety of employees and
any other persons (pedestrians, other road users, etc) who may come into close contact with the work.
Particular consideration must be given to specific groups of members of the public, i.e. where the work
is carried out in areas where children or elderly persons are present (e.g. prevention of falls, etc).
A suitable information board should be displayed showing that the work is being carried out on behalf
of Scottish Water along with contact details.
HAZARDS






Contact with, or damage to, other utilities (gas, electricity, BT, etc)
Falls of persons, equipment or materials into open excavations
Slips, trips or falls over materials or equipment stored around excavation
Collapse of excavations
Undermining of nearby structures
Flooding / ingress of gases
Note: where excavation work is carried out by mechanical excavating equipment, you may also
need to consider the location of overhead power lines and cables and implement suitable
controls.
WEATHER CONDITIONS
Care should be taken when planning work to ensure that it does not become hazardous as a result of
changes in weather
HAZARDS



working at height (i.e. from a ladder) in high winds
sewers/manholes being flooded by sudden and heavy rainfall upstream of the work
road-works and advanced signs/information boards becoming less visible to motorists, e.g. due
to fog, snowfalls, loss of natural daylight, etc
WORKING AT HEIGHT
Work at height is a common requirement for many inspection and maintenance tasks required within
Scottish Water. Although this applies mostly to building maintenance work (e.g. window cleaning, etc),
there are a number of areas on operational sites where there is a risk of falling from height, (e.g.
inspection of above ground tanks, etc). Note: falling from height also includes, for example, falls from
ground level into tanks/excavations, and falls on the same level.
Ref: SW/H&S/PROC/01
Version 2
15
Issue Date: 28th. May 2009
Your first priority should be to consider if the work can be carried out other than from at height. There
are various means of preventing falls from height such as scaffolding, edge protection, mobile
platforms etc. and in all cases compliance with the Work at Height Regulations is absolutely essential.
Where employees are required to work at height you must assess the situation in order to identify what
type of equipment should be used.
HAZARDS










Falls of personnel or equipment
Collapse or failure of equipment
Inadequate or missing fall prevention measures
Use of faulty, damaged, or un-maintained equipment
Wrongly used, erected or operated, equipment
Selection and use of the wrong type of equipment
Access equipment being struck by other on-site vehicles
Employees walking into/striking access equipment
Un-authorised access
Lack of information, instruction or training for employees using the equipment, and for any other
employees working on site.
WORKING IN CONFINED SPACES
A confined space means any place, including any chamber, tank, silo, pit, sewer, flue, well or other
similar space in which, by virtue of its enclosed nature there is a reasonably foreseeable risk of:





serious injury to any person at work arising from a fire or explosion;
loss of consciousness from an increase in body temperature;
loss of consciousness or asphyxiation from a gas, fume, vapour, or lack of oxygen;
drowning from an increase in liquid level;
asphyxiation from a free flowing solid.
HAZARDS





toxic gases, e.g. Hydrogen Sulphide, Ozone
flammable/explosive gases/liquids, e.g. methane, petroleum spirit
low levels of oxygen
flooding
carbon monoxide from vehicle exhausts, entering sewers via vented manholes or other
chambers
Only suitably trained persons will be allowed to work in confined spaces and only where the
appropriate control measures are in place. Appropriate controls will depend on the category
AND the specific features of the confined space.
Note: entry to Category 1 confined spaces requires a Permit to Work.
WORKING IN POTENTIALLY EXPLOSIVE ATMOSPHERES
An explosive atmosphere is one which includes air AND one or more dangerous substances in the
form of a gas, vapour, mist or dust at a concentration at or above the lower flammable / explosive limit
of the dangerous substance. The term Lower Explosive Limit is often abbreviated to LEL.
All hazardous areas on operational sites are logged in a Register to be held in the Site Operating
Manual. A register of safety equipment relating to working in hazardous areas should also be made
accessible to those that require the information.
Ref: SW/H&S/PROC/01
Version 2
16
Issue Date: 28th. May 2009
Please note: Scottish Water has a no smoking policy. There is no smoking within any building
and smoking is only permitted in dedicated areas.
HAZARDS






generation of flammable gas from processes or liquids
generation of flammable dust from processes
escape of flammable gas from duct, pipe or container
build up of gas in an enclosed area forced into another enclosed area
catastrophic failure, e.g. vapour in sewer caused by a road accident fuel spill
digesters, boiler houses and dryer buildings
Contractors selected to carry out work in hazardous areas must have competent employees who are
trained and understand the hazards, risks and precautions necessary for working in potentially
explosive atmospheres. Their employees must be provided with adequate information, receive
instruction on safe working and be supervised in accordance with Scottish Water’s External Contractors
Access / Transfer Certificate and Permits to Work Policies and Arrangements. Work in these areas may
require the use of intrinsically safe equipment to avoid any sources of accidental ignition. Further
details on Scottish Water’s standards for working in potentially explosive atmospheres can be found in
the SW Dangerous Substances Explosive Atmospheres (DSEAR) Policy and Arrangements document.
AUTOMATICALLY OPERATED PLANT AND EQUIPMENT
A number of items of plant and equipment on sites may operate automatically and may start without
warning. Before working near any item of plant and equipment where operations cannot be interrupted,
employees must receive the relevant health and safety information and advice as part of the site
specific induction. No operational processes shall be stopped, or interrupted, unless by prior
agreement.
HAZARDS



noise
moving machinery parts (particularly where guards have been removed as part of your work)
gases or liquids being generated in pipe lines or confined spaces
Suitable isolation procedures must be implemented for work on any plant or equipment.
CHEMICALS IN WATER TREATMENT PROCESSES
Chlorine is widely used in water treatment processes, as are a number and variety of other chemicals
which can vary within geographical areas and the differing types of plant and equipment on sites. Use
of these chemicals requires strict control to avoid accidental exposure, release or spillage. It should be
noted that work in these areas may be restricted to persons with adequate training in the use of
breathing apparatus, etc.
HAZARDS
The following chemicals are frequently used in large quantities on water and wastewater treatment
plants:








Chlorine
Sulphur Dioxide
Caustic Soda
Ferric Sulphate
Ref: SW/H&S/PROC/01
Version 2
17
Sulphuric Acid
Phosphoric Acid
Sodium Hypochlorite
Sodium Hydroxide
Issue Date: 28th. May 2009
WORKING ON, NEAR OR OVER DEEP OR FAST FLOWING WATER
There are a number of areas in Scottish Water which may present risks due to the presence of deep
water, e.g. treatment tanks, etc. Some of these tanks, such as mixer tanks (i.e. where mechanical
equipment is turning below surface level) can present levels of “low buoyancy”, (i.e. a person can be
sucked under surface level).
HAZARDS




Changes in weather conditions
Tidal movements and currents
Underwater obstructions
Low buoyancy
SEWAGE AND SEWAGE SLUDGE
Sewage and sewage sludge contains numerous different bacteria, which can cause infection or illness
if they enter the human body by ingestion, inhalation, skin absorption and through open cuts. Cases of
serious illness are rare as a result of working in water industry related occupations. However, you
should be aware of, and consider, those which can be encountered especially in connection with
sewage or wastewater treatment and sludge treatment works. These include:




Cryptosporidium
Typhoid
Legionella
Poliomyelitis





Hepatitis A
Hepatitis B
Leptospirosis (Weils Disease)
Tetanus
Acquired Immune Deficiency Syndrome (AIDS)
It is Scottish Water policy to prevent infection rather than routinely provide vaccinations against
Hepatitis A or B viruses, but recommends that persons should receive Polio and Tetanus inoculations
from a GP. Adequate personal protective clothing must be worn at all times and scrupulous attention
must always be paid to personal hygiene, particularly prior to eating or drinking. Toilet and washing
facilities will only be made available on site by prior agreement.
Please note: Contractors will be provided with copies of Scottish Water’s Sewage Hygiene and/or
Water Supply Hygiene, Codes of Practice, where required, and they should make themselves familiar
with these codes. Further information on inoculations is available in the SW Inoculations Policy and
Arrangements document
HAZARDS




Harmful quantities of micro-organisms entering the body
Working near plant producing wastewater aerosols, or using final effluent or fresh water for
washing down at wastewater treatment works, pumping stations or sewers
Contact with, or ingestion of, blue-green algae
Hypodermic needles (particularly in sewage and highway chambers, e.g. stop cock chambers)
ASBESTOS and ASBESTOS CEMENT PIPES
Asbestos cement pipes (fibre reinforced cement pipes) have been widely installed throughout Scottish
Water as part of the public water supply and sewage system. Scottish Water cannot guarantee the
accuracy of any information on any material of sewer and water mains. (See also Section 4 –
Precautions and Instructions (Asbestos).
Scottish Water manages a number of buildings at offices and operational sites which are known to
contain asbestos materials within the building fabric.
Ref: SW/H&S/PROC/01
Version 2
18
Issue Date: 28th. May 2009
Scottish Water holds a Register of all buildings which are known, or presumed, to have asbestos
containing materials within the building fabric or within items of plant and equipment (e.g. gaskets,
lagging, etc). The Register is held and maintained by the Asbestos Management Team and contains all
relevant details on the type, condition and levels of risk due to accidental release. The Register is
constantly updated as asbestos containing materials are removed or treated and any remaining
materials are inspected/re-inspected. Before work in buildings or on plant, you must ensure that you
are provided with all necessary details and that the information is up to date.
HAZARDS



Accidental release of dusts containing asbestos fibres within the work area
Accidental release of dusts containing asbestos fibres to areas outside the work area (e.g.
spread of dusts to other areas of sites, or to outside of sites (i.e. to public areas)
Spread of dusts containing asbestos fibres to employees welfare facilities, vehicles or to home
(e.g. wearing contaminated clothing in eating areas, or taking home clothing for laundry)
Ref: SW/H&S/PROC/01
Version 2
19
Issue Date: 28th. May 2009
GENERAL SAFETY REQUIREMENTS
4
The information in this section gives information on general requirements which you should consider
when developing measures to ensure safe working conditions and a safe working environment. In
addition, there are a number of Scottish Water Policies and Arrangements, published HSE Guidance,
Approved Codes of Practice, etc, which may also apply to the work.
You should note that your performance with regard to health and safety will be monitored to ensure that
suitable safe systems are put in place and maintained. Monitoring may be carried out by the
Procurement Section, the Person Responsible for the Contract (or anyone on his behalf), or the Health
and Safety Section in Scottish Water. Appendix B contains a list of current Scottish Water Policies and
Arrangements and published HSE Guidance and ACOPS.
The following are the minimum requirements for consideration by contractors when developing safe
working systems and a safe working environment to protect:





Visitors, the public (including intruders)* and other contractors on site
Scottish Water employees
The public water supply
Scottish Water property
The environment
*Although every reasonable effort must be made to keep intruders out, consideration must still be given
to their safety.
PRECAUTIONS AND INSTRUCTIONS
The list is not comprehensive. It is your responsibility as a contractor:


To consider and mitigate against all potential hazards and risks
To consider and provide protection of your own employees, your sub-contractors and all others
who may be affected by your activities
ACCESS AND EGRESS

Agree location, routes and methods of access for both personnel and vehicles in advance with
the Person Responsible for the Contract and/or the Site Occupier. Use only agreed routes and
methods.
CHEMICALS
Storage of all chemicals, fuels, oils and other hazardous materials used during the work must be in
secure lockable containers with appropriate bunding and with adequate emergency spill procedures in
place. Where practicable these materials should be removed from site at the end of each working day.
In any case, these MUST be removed from site on completion of the work.
Where you are required to work on Scottish Water sites in chemical storage areas, you should seek to
have the chemicals removed prior to the work. Where these cannot be removed, you must only work
where the chemicals have been identified and adequate and suitable control measures have been put
in place. Details of which should be included in risk assessments, method statements and/or
Access/Transfer Certificates.
You should not work in any areas where chemicals are being added to water treatment processes
unless you have received specific details on the processes and any control measures in place to
protect health and safety, you are adequately trained and competent to work within these control
Ref: SW/H&S/PROC/01
Version 2
20
Issue Date: 28th. May 2009
measures, and you have relevant details of training and competency (e.g. National Water Hygiene
card) with you on site.
WORK IN CONFINED SPACES
All entry points to confined spaces will be clearly labelled to identify the category. Entry to, and work in,
confined spaces must only be carried out by fully trained and competent persons and have been
medically assessed as fit to do so. All work in confined spaces MUST have a thorough risk assessment
carried out and an appropriate safe system of work implemented BEFORE entry.








Always try to arrange work so that entry to a confined space is not required
Gas test before entry and during the work using portable gas detectors ensuring that they have
been tested and calibration date is valid
Only enter confined spaces if you are certified as being competent to carry out work requiring entry,
are supported by a competent team to assist in the event of an emergency, and are authorised to
do so by a responsible Scottish Water person
Ventilate work areas before entry. Consider forced ventilation and position vehicles/plant so that
fumes do not enter the area
Comply with Scottish Water guidance and instructions on the provision and use of breathing
apparatus
Always ensure isolation of plant, valves, etc, before entry
Request a permit to work where entry is required into a Category 1 confined space
A pre-entry check sheet must be completed prior to entering a Category 2 confined space.
Note: Lone working is not allowed for entry into any confined space.
ATMOSPHERE



Control all dust, dense smoke, fumes or similar
Ensure that all enclosed spaces in which fixed or mobile internal combustion or compression
engines are used or adequately ventilated, and monitored for a safe atmosphere
Smoking is prohibited at all times
FIRE AND EXPLOSION
Flammable gases and materials may be present in certain parts of water and wastewater sites. You
can prevent fire and explosion by ensuring:







Gas test using portable gas detectors ensuring that they have been tested and calibration date
is valid prior to work in zoned areas.
Use only intrinsically safe equipment in zoned areas.
Isolate plant before working in the vicinity of vents
Store flammable materials and liquids in safe areas away from sources of ignition
Practice good housekeeping and ensure all waste materials are safely disposed of
Do not re-fuel hot plant and ensure fuel containment and absence of ignition sources during all
re-fuelling
Smoking is prohibited at all times
ASBESTOS
In order to ensure the safety of your employees and any others who may be affected by your work,
before carrying out any work on building fabric, or work which requires the dismantling of plant or
equipment, you should ensure that the Person Responsible for the Contract has checked the Scottish
Water Asbestos Register and has provided you with information on any types of asbestos present, or
Ref: SW/H&S/PROC/01
Version 2
21
Issue Date: 28th. May 2009
presumed to be present. You should not carry out any licensable work on asbestos unless you have an
appropriate licence to do so. Your employees must be adequately trained to work with asbestos, have
all the necessary equipment (including Personal and Respiratory Protective Equipment), have provided
all relevant details to the Person Responsible for the Contract and have been authorised to do so. For
any work which does not require a license, you must provide method statements/risk assessments
detailing how you will carry out the work, how you will ensure the safety of employees and others and
details of waste disposal methods. For any work on underground infrastructure which requires the
removal of asbestos cement pipes, you must have arrangements in place for the safe removal and
disposal of pipes.



Never use power tools to cut or drill into asbestos containing materials (ACM’s)
Report any asbestos found on site, which has not previously been identified to you, to the
Person Responsible for the Contract.
Agree, via the Person Responsible for the Contract, with the Asbestos Management Team
Leader for the immediate sampling, identification, monitoring and treatment or removal, as
necessary.
SCOTTISH WATER EQUIPMENT



Use of Scottish Water equipment is not permitted under normal circumstances. This may only
be allowed in special circumstances provided that any agreement for such use is obtained in
advance in writing.
Special circumstances may include the use of Scottish Water overhead cranes at designated
locations deemed by agreement to be under the contractor’s control (i.e. through the External
Contractors Access/ Transfer Certificate).
No employee of Scottish Water other than the Person Responsible for the Contract may be
approached with a request to use Scottish Water equipment. The contractor should instruct all
of his employees and sub-contractors to this effect.
ELECTRICAL EQUIPMENT AND SYSTEMS
Only competent and authorised persons are permitted to open an electrical control panel, or
work on any electrical circuits involved in any work on Scottish Water premises, plant or
equipment.
Any contractors electrical equipment which is to be powered directly, or indirectly (e.g. via a
transformer) from a Scottish Water outlet (e.g. socket) must comply with British Standards and meet all
current IEE Wiring Standards

Ensure all equipment is in good condition, fit for use, is certificated, and is used in the correct
environment.
EXCAVATIONS
Work which requires excavation of roadways or footpaths, etc, will generally be classed as
“construction work” and will therefore require the appropriate “physical safeguards” (as defined in Part 4
of the CDM Regulations 2007) to be put in place (e.g. suitable means to prevent the collapse of
excavations, suitable inspection of excavations, prevention of access by members of the public,
prevention of falls of materials or personnel, etc) and the provision of adequate welfare facilities (as
described in Schedule 2 of the CDM Regulations 2007).
When planning work, which requires excavation of carriageways, footpaths, or grass verges, etc,
consideration must be given to avoiding damage to other underground apparatus. You should also
have suitable measures in place which not only protect your own employees, but also other road users
and pedestrians. The suitability of any control measures should also be assessed when working in
Ref: SW/H&S/PROC/01
Version 2
22
Issue Date: 28th. May 2009
areas where there is high traffic use, or high pedestrian use, and where work is in the vicinity of
hospitals, homes for the elderly, schools, etc.
Ensure that all excavations are:





Adequately pre-planned to determine the presence of underground apparatus
Correctly constructed (if necessary, with props, shoring, timbers, etc, to prevent risks of
collapse)
Supervised during digging out, alteration and backfilling
Inspected daily by a competent person
Adequately guarded and signed
Before carrying out excavation work, you must have in place suitable systems to identify, locate and
protect damage to, or employee injury from, any underground or overhead power lines or cables.
FIRE PREVENTION











Provide adequate fire fighting equipment (as required)
Ensure that all employees and sub-contractors know the fire warning and evacuation
procedures
Ensure that fire instructions are displayed (see Section 6 – Records to be Retained/Displayed)
Store and transport flammable liquids in accordance with statutory regulations, e.g.
Use only securely capped, clearly marked and properly constructed containers.
Store the containers in the open, or in robust, lockable metal containers, or in well ventilated
and lockable non-combustible huts with adequate and sufficient bunding
Use funnels for transfers
Keep the site tidy
Do not burn rubbish on site
Do not leave combustible waste materials on site.
For huts and site offices, agree siting and appropriate fire precautions in writing
Note: Fire Stopping – any works where the fabric of a building (walls, ceilings, floors, etc) have
been broken or removed requires to be made good prior to the completion of the works. All
repairs are to be made with equivalent materials to those already in place.
FRAGILE SURFACES


Ensure that adequate warning signs are placed along the approaches to any fragile surfaces
(e.g. roofs) where any person is likely to work, or pass across.
Ensure that work is adequately planned in advance and suitable access equipment is in place
ISOLATION PROCEDURES








Ensure that all plant/equipment is isolated before any work is carried out
Put WARNING notices or DO NOT OPERATE tags in place
Put lock off devices in place
Ensure that any switch or piece of equipment carrying a DO NOT OPERATE tag is not operated
Position appropriate barriers as required
Ensure that any stored energy has been dissipated before starting work
Ensure details are recorded and included on the External Contractors Access/Transfer
Certificate.
Ensure that details are also entered into the site Lock Off Register
Ref: SW/H&S/PROC/01
Version 2
23
Issue Date: 28th. May 2009
NOISE




Ensure that all plant and equipment to be used has been adequately inspected and maintained
and complies with the current Noise at Work Regulations (2005)
Ensure that compressors, pneumatic drills and hammers are fitted with effective mufflers.
Ensure that adequate personal hearing protection is provided and worn
Display notices in area where ear defenders are to be worn.
OVERHEAD ELECTRIC CABLES
Where work with mechanical excavators and /or vehicle mounted lifting equipment is required in the
vicinity of overhead power cables, you should contact the electricity supply company for advice on how
to proceed with the work and to enquire if cables can be made “dead” whilst the work is being carried
out
Where the work needs to be carried out in the vicinity of overhead cables which cannot be made
“dead”, ensure that:



Warning notices are displayed
Non-conductive “goalposts” are erected if appropriate
A competent banksman is appointed to direct excavator or vehicle mounted lifting equipment
operations
PLANT AND EQUIPMENT




Ensure that employees are trained and competent to use the types of plant and equipment to be
used
Ensure that all plant and equipment is in good condition, is safe, and is properly maintained and
inspected.
Inspection and maintenance records are to be kept
Contractors are responsible for the use, operation, care and safety of plant and equipment on
the site. This includes consideration extending to the public and possible intruders on the site.
SECURITY
Take full account of the following:



Site gates must be locked unless agreed otherwise
Fencing must be complete and secure
Consideration must be extended to prevent access by members of the public and intruders
UNDERGROUND APPARATUS (including all cables and pipes)



Ensure all utility/service drawings are on site prior to the work commencing
Use cable locators and safe digging methods
Ensure that utility detection equipment is inspected before use and is within the calibration
period
LIFTING OPERATIONS and LIFTING EQUIPMENT
It is your responsibility to ensure that:
 any item of lifting equipment, together with all associated ropes, chains, slings, and other
ancillary equipment, are constructed, certificated, inspected, used and maintained in
accordance with the Lifting Operations and Lifting Equipment Regulations
Ref: SW/H&S/PROC/01
Version 2
24
Issue Date: 28th. May 2009


all of your employees and/or sub-contractors are adequately trained and certificated
a lifting plan is in place
Proof of competence of employees/sub-contractors and certification of all plant and equipment must be
readily available for inspection on site
WATER PURITY
The SW Water Supply Hygiene Code of Practice sets out the minimum standards for employees and
contractors working on, or close to treated water systems or supplies. You must always plan and
implement measures which will avoid contamination.





No person is to be allowed to work in areas where treated water is being put into supply, or to
work on “live” water in supply, until:
They have completed a Health Assessment Water Supply Questionnaire and it has been
approved by Scottish Water
Ensure that no material (e.g. building products, waste materials) or chemical enters the water
treatment process, or “live” water mains
Notify the Person Responsible for the Contract immediately if an accident occurs where material
or chemical accidentally enters the treatment process or water main
Only enter restricted areas when you have been authorised to do so and only when you are
wearing clean coveralls and boots and tools and equipment have been disinfected prior to entry.
ENVIRONMENTAL NUISANCE

All contractors are reminded that working practices producing high noise, dust and lighting
levels may have effect on others outside of the site and therefore must be adequately assessed
and controlled
Ref: SW/H&S/PROC/01
Version 2
25
Issue Date: 28th. May 2009
EXTERNAL CONTRACTORS ACCESS or TRANSFER CERTIFICATE / PERMITS TO
WORK
5
GENERAL
In general, contractors working on SW operational sites (e.g. treatment works) will be controlled under
an “External Contractors Access or Transfer Certificate”. In addition, specific types of work may require
a “Permit to Work”. In such cases, the appropriate “Certificate” will be issued by the Site Occupier (or
Authorised Person in the case of Permits) before being allowed “access” to the site or before the site
(or any part of it) is “transferred” to a contractor. The “certificates” and any associated “permits” require
strict precautions to be detailed and implemented before work is allowed to be started. It is the
contractor’s responsibility to that only persons with the necessary technical knowledge and experience
to implement the precautions, (in agreement with the Site Occupier and/or Authorised person), detailed
in any appropriate Certificate/Permit. Some tasks may require both.
External Contractors Access/Transfer Certificate
Access Certificate - The external contractor’s access certificate controls external contractors’ access
onto Scottish Water operational sites. It details the requirements to be met by the contractor to ensure
safe access and egress to a particular area or piece of plant and equipment on a site. It may form part
of a suite of documents such as method statements, safe systems of work, risk assessments and lock
off procedures that may also be needed to ensure that the work can proceed in a safe manner. It may
also include any emergency plans or procedures applicable to the site or the work activity.
Transfer Certificate - This certificate is used to transfer the responsibility for control of a complete site
or part of a site to a contractor, possibly for an extended period of time. The intention is that the transfer
certificate applies to a site or part of a site that is not in operation. It can only be used where an area,
piece of plant, equipment or site can be isolated from normal day to day operations without affecting
the normal operating regime of the plant, equipment or site. In situations where some items of plant
must continue to operate on a site that has been transferred then clear protocols for conducting the
work must be recorded to ensure that that the contractors work activity does not adversely affect the
operation of the plant. These situations are expected to be rare and further advice should be obtained
where necessary from the Health and Safety Section.
Permits to Work
A permit to work is required where the normal general precautions for the maintenance activities are
insufficient to control the risks. Therefore further controls and precautions are required specific to the
work activity to ensure safety.
In Scottish Water, Permits to Work are required for entry into Category 1 Confined Spaces, working on
High Voltage Electrical Equipment and carrying out Hot Work where there is a significant risk of fire or
explosion. Permits will apply mainly on operational sites but can also be applied to non-operational or
redundant sites where significant risks may be present that require the work to be controlled under
permit to work conditions.
Permit to work systems are used to:

Comply with legal requirements.
Ref: SW/H&S/PROC/01
Version 2
26
Issue Date: 28th. May 2009



Ensure employees and others are not exposed to hazardous conditions.
Ensure employees do not cause hazardous conditions for themselves and others.
Ensure others do not cause hazardous conditions for themselves or SW employees, premises,
plant or processes.
In order to meet its legal obligations to provide and maintain safe and healthy systems of work for
employees and contractors, Scottish Water will use a suite of Permits for certain designated work
activities.
Designated work activities where permits will be required are:–



Category 1 Confined Space entry
High Voltage Electrical work
Hot Work where there is a significant risk of fire or explosion
The above permits to work may also be used in conjunction with the External Contractors Access
Certificate where contractors are required to undertake maintenance activities on Scottish Water sites.
Hot Work Permit
Hot work permits are often more generally applied to any type of work which involves actual or potential
sources of ignition and which is done in an area where there may be a significant risk of fire or
explosion (e.g. flammable atmospheres or in proximity to highly flammable substances), or which
involve the emission of toxic fume from the application of heat. They are normally used for welding or
flame cutting, the use of any tools which may produce sparks (e.g. grinding) and the use of any
electrical equipment which is not intrinsically safe or of a suitably protective type.
High Voltage Electrical Permit
High Voltage permits are required where work has to be undertaken on high voltage installations. High
voltage is normally defined in Scottish Water as voltages over 1000 volts. This permit is a form of
declaration signed and given by a Senior Authorised Person to another person who is carrying out the
work on any “earthed High Voltage Apparatus” for the purpose of making known to such a person
exactly what apparatus is “dead”, isolated from all “live” conductors, has been discharged, is connected
to earth, and on which it is safe to work.
Category 1 Confined Space Entry Permit
A confined space permit is required for all Category 1 confined space entries throughout Scottish
Water. Examples of Category 1 confined spaces may include sewers, aqueducts, manholes associated
with chemical industries, chemical tanks and deep manholes. This type of permit must include the work
to be carried out, the precautions necessary for the operation and emergency rescue procedures.
Where work requires a Permit to Work, it is the contractor’s responsibility to ensure that he has
suitably competent employees to carry out the work, i.e. they must have relevant technical
knowledge and experience of the work that is to be undertaken and understand the hazards and
control measures required to ensure that the work can be carried out safely.
In these cases, proof of competency will be required before a permit is issued.
IF YOU HAVE ANY DOUBTS ABOUT THE REQUIREMENT FOR A PERMIT TO WORK OR AN
ACCESS/TRANSFER CERTIFICATE, DO NOT PROCEED WITH ANY WORK – OBTAIN
CLARIFICATION FROM THE PERSON RESPONSIBLE FOR THE CONTRACT.
Ref: SW/H&S/PROC/01
Version 2
27
Issue Date: 28th. May 2009
OBTAINING A PERMIT OR ACCESS/TRANSFER CERTIFICATE
To obtain a Permit or Access/Transfer Certificate, you must:


Request the permit or certificate directly from the Site Occupier or via the Person Responsible
for the Contract
Provide a detailed method statement / risk assessment with your request. This should include
details for the routine supervision of the task.
If a permit/certificate expires before the completion of the work, a new permit/certificate must be
obtained.
ONLY A PERMIT/CERTIFICATE SIGNED BY AN AUTHORISED SCOTTISH WATER PERSON IS
VALID AND ACCEPTABLE.
Guidance for the Completion and Issue of Access or Transfer Certificates/Permits to Work
General rules for Access or Transfer Certificate/Permits to Work
1)
Access or Transfer Certificate/Permit to Work rules can be found on the reverse side of the
certificate/permit and must be followed.
2)
Access or Transfer Certificates/Permit to Work must be completed in duplicate. The top copy
must be retained by the accepting person on site until the work is completed and the certificate
signed off by the Authorised person. The Authorised person issuing the certificate/permit must
retain the bottom copy in the pad.
3)
Access or Transfer Certificates/Permit to Work cannot be extended. A new Certificate/Permit
must be issued by the Authorised person after the requirements and precautions have been re
examined and found to be acceptable.
4)
On completion of the work the top copy must be returned to the Authorised person who issued
the Certificate/Permit so that it can be cancelled.
Appendix A contains a copy of the Scottish Water – Contractors Induction and Safe Working Checklist
which you will be required to sign before starting work under an Access or Transfer Certificate.
Roles and Responsibilities
As with most procedures it is essential that all parties involved in operating or receiving Access or
Transfer Certificates/Permits to Work have clearly defined roles and responsibilities and that everyone
involved knows exactly what part they have to play in the procedure, whether it be the Authorisation of
Certificates/Permits, Supervision of the Contractor, Monitoring the Contractor or Managing the Contract
etc.
The following section sets out who is responsible for each stage of the Contract.
Individuals Procuring Contracts
Where the Procurement Section is not involved in the procurement of a contractor (i.e. nonframeworks) it is the responsibility of the individual who is engaging the contractor (from the “Approved
Contractors List).to ensure that they have followed all the relevant procurement procedures.
Circumstances could arise where a contractor not on the “Approved Contractors List” has to be
engaged at short notice (i.e. in an emergency situation). In such circumstances, it is the responsibility of
the person engaging the contractor to ensure that the contractor is directly supervised. The level and
Ref: SW/H&S/PROC/01
Version 2
28
Issue Date: 28th. May 2009
degree of supervision provided in such cases should reflect the risks associated with the urgency of the
task and the lack of familiarity with the competency of the contractor.
Person Responsible for the Contract (PRC)
Once a Contractor has been appointed to carry out a contract the Manager of the SW Function
responsible for managing that contract must appoint an individual PRC to oversee the contract. It will
be the PRC responsibility to ensure that all relevant parties in the Functions affected by the contract
are fully aware of the implications of the contract and their specific role. The PRC must ensure that
there is sufficient liaison with the Contractor and Site Occupier and ensure that all the required
documentation is produced for the contract, examples of which may include:





Transfer Certificates
Access Certificates
Permit(s) to Work
Method Statements
Risk Assessments
The PRC must ensure the Contractor is aware of:



Site specific hazards
Statutory requirements
Scottish Water procedures
The PRC must ensure that:



There is an adequate level of supervision and monitoring of the contractor which fully addresses
the nature and complexity of the contract.
A final review is carried out on completion of the contract.
Regular meetings and communications between all parties involved in the contract are carried
out e.g. pre-start meetings, regular liaison meetings, site inductions etc.
The PRC is responsible for co-ordinating the health and safety aspects of each individual contractor
they are responsible for and must be made aware of any other activities on site that may affect their
contractor’s activities. This will be done through liaison with the Site Occupier and under the terms
recorded on the Access/Transfer Certificate. The PRC will review the contractor’s method statements
and risk assessments when significant changes may be occurring on site to determine that health and
safety controls are adequate and can be maintained.
Site Occupier (SO)
The Site Occupier is responsible for issuing the Access or Transfer Certificate for work on their
particular site, plant or equipment. They will only do this after they are satisfied that any conditions that
they impose upon the Contractor will be fully met and that adequate arrangements for supervision of
the Contractor have been put in place through the PRC. They will not issue the relevant Certificate until
they are fully satisfied that the Contractors working methods will not interfere with the normal day to day
operation of the site, plant or equipment without prior agreement.
The SO will be responsible for:



Issuing Access or Transfer Certificates.
Carrying out site inductions for the Contractors staff (see Appendix A for Site Induction Sheet).
Where an initial induction has been carried out to a competent member of the contractor’s staff
it is then their responsibility to cascade this information to any other staff they send to site or to
any sub-contractors that they use on their behalf. This requirement can also be specified on the
Access or Transfer Certificate.
In conjunction with the PRC identifying any hazards or restrictions affecting the contractors work
activity.
Ref: SW/H&S/PROC/01
Version 2
29
Issue Date: 28th. May 2009
The SO is not responsible for monitoring the Contractors activities.
The SO should however inform the PRC immediately of any unsafe working practices, danger to the
operation of the plant or site etc and any breaches in health and safety that are identified. If the SO
comes across unsafe working practices that could present serious and imminent danger to persons on
site (i.e. contractors, operators, other persons) then the work activity should be stopped immediately.
Note: where multiple contracts are being carried out on a site it is important that all parties carry out
their roles and responsibilities to prevent incidents from occurring.
The Site Occupier is responsible for issuing the Access or Transfer Certificate and therefore has the
final say on the number of contractors allowed on the site at any one time. The SO must take into
account the number of on-site contractor activities to prevent risks to Scottish Water employees,
treatment plant or processes. Where the number of contractors on site is expanding to the extent that
risks may be foreseeable then this must be raised with the line manager responsible for the site to
consider the necessary actions. In these situations the SO should also seek further advice and
guidance from the Health and Safety section.
Contractor
The contractor is the company or person that is actually carrying out the work. They must ensure that
they:





Fully comply with the requirements of Scottish Water’s and their own safe working procedures.
Nominate a competent person to receive any relevant documentation from Scottish Water and
cascade the information to the relevant employees.
Only use competent sub contractors, after approval by the PRC, and ensure that they follow the
safe working procedures and fully understand the requirements of the SW Access/Transfer
Certificate or Permit to Work where applicable.
Fully cooperate with the PRC and any other contractors on site.
Carry out their work safely and in accordance with their own policies, procedures, method
statements and safe systems of work.
Note: Where the contractor has been designated the Principal Contractor for the project under CDM
Regulations and/or has become the Site Occupier through a Transfer Certificate, then they are
responsible for issuing work authorisations to other contractors or sub contractors as necessary. They
will also be responsible for providing suitable information (e.g. site induction) to any other persons,
including SW personnel requiring access to the site.
Ref: SW/H&S/PROC/01
Version 2
30
Issue Date: 28th. May 2009
RECORDS AND DISPLAYS
6
GENERAL
This section details records which Scottish Water requires its contractors to retain and/or display on
site. The contractor may retain/display other records if required, but Scottish Water reserves the right to
inspect those listed below.
IF YOU HAVE ANY DOUBTS RELATING TO THE RECORDS WHICH YOU MUST
RETAIN/DISPLAY, SEEK CLARIFICATION FROM THE PERSON RESPONSIBLE FOR THE
CONTRACT.
RECORDS TO BE RETAINED AND, WHERE APPROPRIATE, DISPLAYED MAY INCLUDE:
















Scottish Water Contractors Induction
Authorised Permits to Work
Authorised External Contractors Access/Transfer Certificates
Contractor’s safe systems of work or method statements for all work being undertaken,
including:
Procedures for entry into high risk areas
Procedures for entry into potentially explosive atmospheres
Procedures for demolition work
Emergency plans (including fire instructions and/or means of communication)
Approved location plans for temporary huts, etc
COSHH Assessments
Accident Book
Register of lifting equipment
Lifting equipment test certificates
Plant and equipment test certificates
Abrasive wheels register
Health and Safety inspection reports
Certificates of competence, e.g.







work in confined spaces
work with compressed air breathing apparatus
work on live electrical equipment
work with hazardous chemicals
to mount and use abrasive wheels
to administer First Aid
to operate mechanical plant and equipment (dumpers, 3600 excavators, mini excavators,
cranes, etc)
And for notifiable CDM contracts


the Construction Phase Health and Safety Plan
Notification of work to the HSE (Form F10)
Ref: SW/H&S/PROC/01
Version 2
31
Issue Date: 28th. May 2009
INCIDENT REPORTING
7
GENERAL
This section details those incidents which Scottish Water requires contractors to report.
All incidents must be reported immediately to the person Responsible for the Contract, and to the
Scottish Water Incident Reporting Line on 01382 563217.
IF YOU HAVE ANY DOUBTS RELATING TO THE INCIDENTS WHICH YOU MUST REPORT –
SEEK CLARIFICATION FROM THE INCIDENT REPORTING LINE ADMINISTRATOR ON THE
ABOVE NUMBER.
INCIDENTS TO BE REPORTED
The following incidents must be reported to the Person Responsible for the Contract and to the Scottish
Water Incident Reporting Line:





All accidents which result in personal injury
All RIDDOR reportable dangerous occurrences or diseases
any fires
any use of Scottish Water fire fighting equipment
any damage to Scottish Water plant, buildings or equipment
The following incidents MUST be reported to the Person Responsible for the Contract who will inform
the relevant Scottish Water person:


any previously unidentified asbestos found
any incident of material or chemical, accidentally entering the water or wastewater treatment
process (including any reservoir or sewer), or accidentally entering a “live” water main or sewer
REPORTING OF HAZARDS AND UNSAFE PRACTICES
Whilst you are at work on Scottish Water sites, you are encouraged to report any hazards and unsafe
practices you may come across so that they can be dealt with to prevent accidents. You should report
your observations or concerns immediately to the Site Occupier (i.e. the person in charge of the site).
You can also report hazards and unsafe practices by contacting the Scottish Water Incident Reporting
Line where you will be asked for details which will be recorded on a Hazard and Unsafe Practices
Reporting Form and progressed accordingly.
Ref: SW/H&S/PROC/01
Version 2
32
Issue Date: 28th. May 2009
Appendix A
Contractors Induction and Safe Working Check List
Site ………………………..……………………………
W.O. No ……………………………………….
Task ……………………………………………………
Contacts: Client …………………...…………………
Contractor …………………………………….(Print)
Tel Contact No ………………………..…
Tel Contact No
………………………….
VERBAL SITE INDUCTION CARRIED OUT AND UNDERSTOOD
Risk Assessment/Safe Working Method Provided by
Contractor
SW
Work Access / Transfer Certificate Discussed and Understood
ISOLATION LOCK OFF PROCEDURES – (valves, penstocks, pumps etc)
OTHER PERMITS TO WORK
Category 1 Confined Space
High Voltage
Hot Work
VERBAL SITE INSTRUCTION
The Physical layout of the site
Access and Egress arrangements
Limitations on working areas
Access restriction as described on the
method statement
Housekeeping
Site tidiness
Materials storage area/s
Site specific safety notices
Emergency procedures e.g. chlorine
Any ongoing work or processes that may affect
the contractors operations
Site Welfare facilities e.g. authorised access
First Aid arrangements
Emergency telephone arrangements
Any other facilities which are being made
available to the contractor
Others (Please Detail)
HAZARD IDENTIFICATION
Manual Handling
Drowning and Flooding
Slips/Trips/Falls
Fire
Confined Spaces
Electricity
Chemicals/Substances
Hygiene
Work at Heights
Information passed back to Asset Owner (see notes)
Noise
Vibration
Excavation Work
Vehicles
(Ensure all documentation e.g. method statements/risk assessments and authorisation from PRC are on
site before allowing work to commence)
Method statements, risk assessments and induction understood by all Personnel involved
Personnel Involved On Site
………………………………………………………………………….……………………………
Agreed & Signed by Contractor ……………………….………….………..
Date ……..………………………...
Agreed & Signed by Scottish Water ……………………...………………..
Date……..………………………..
Ref: SW/H&S/PROC/01
Version 2
33
Issue Date: 28th. May 2009
Current Scottish Water Policies and Arrangements
OHS/HAS/01
Confined Spaces - Version 2
OHS/HAS/02
First Aid
OHS/HAS/03
Hand-Arm Vibration Syndrome (HAVS) - V3
OHS/HAS/04
Lone Working
OHS/HAS/05
Manual Handling
OHS/HAS/06
Risk Assessment
OHS/HAS/07
Safety Committees - Version 2
OHS/HAS/08
Stress at Work – Version 2
OHS/HAS/09
Driver Safety
OHS/HAS/10
Chlorine (version 3)
OHS/HAS/11
Safety Inspections
OHS/HAS/12
Incident Reporting and Investigation – Version 2
OHS/HAS/13
External Contractors Access Certificate - Version 2
OHS/HAS/14
Control of Substances Hazardous to Health (COSHH) - V2
OHS/HAS/15
Safe Digging
OHS/HAS/16
Working with Asbestos Cement pipes - Version 2
OHS/HAS/17
Inoculations
OHS/HAS/18
Statutory Inspections
OHS/HAS/19
Occupational Health
OHS/HAS/20
Working at Height
OHS/HAS/21
Display Screen Equipment
OHS/HAS/22
Dangerous Substances Explosive Atmospheres (DSEAR)
OHS/HAS/23
Permits to Work
OHS/HAS/24
Asbestos in Buildings
OHS/HAS/25
Management of Contractors
OHS/HAS/26
Fire Safety
FT-SOP-018
The Transport of Dangerous Goods
Please note that an up to date list of SW Health and Safety Policy documents or copies of the policies are
available on request.
Ref: SW/H&S/PROC/01
Version 2
34
Issue Date: 28th. May 2009