On this page

• 4.1 What is expected of principals?
• 4.2 What is expected of contractors?
• 4.3 What is expected of subcontractors?
• 4.4 Other PCBUs in the contracting chain
• 4.5 What is expected of landowners?

4.1 What is expected of principals?

Duties of principals

4.1.1

Principals (contracting PCBUs) engage other PCBUs to do work for them (other than as an employee, apprentice, trainee or volunteer).

4.1.2

As a PCBU, you must:

• ensure, so far as is reasonably practicable, the health and safety of your worker(s) and other workers you influence or direct
• ensure, so far as is reasonably practicable, that the health and safety of other persons is not put at risk from the work that you do
• make sure, so far as is reasonably practicable, the provision and maintenance of safe plant and structures and the safe use, handling, and storage of plant, substances and structures
• consult, cooperate and coordinate with other PCBUs in the contracting chain to manage shared duties.

4.1.3

Section 3.3 provides guidance to help PCBUs work out the extent of each PCBU's responsibility to carry out their overlapping duties.

Duty of a PCBU who manages or controls a workplace

4.1.4

A PCBU who manages or controls a workplace must ensure that, so far as is reasonably practicable, the workplace, the means of entering and exiting the workplace, and anything else arising from the workplace are without health and safety risks to any person.

Duty of a PCBU who manages or controls plant (for example, machinery, vehicles, tools) at a workplace

4.1.5

A PCBU who manages or controls plant at a workplace must, so far as is reasonably practicable, ensure that the plant is without risks to the health and safety of any person.

What is expected of principals

4.1.6

The following sections cover some general expectations of principals. Expectations may differ depending upon the nature of the contracting. For example, a one-off job versus a long-term contract.

4.1.7

Principals are expected to:

• engage competent, safe contractors taking into consideration the type of work to be carried out and the equipment needed to ensure healthy and safe work
• give contractors all the information they need to keep them and their workers healthy and safe while working
• monitor the contractors' health and safety performance
• take the lead in encouraging good health and safety practices throughout the contracting chain.

Choosing a capable contractor

4.1.8

When choosing a contractor, consider their health and safety record as well as their ability and capacity to do the work.

4.1.9

Consider:

• the contractor's incident and hazard and risk reporting procedures
• doing an assessment of their health and safety performance, including:
  • any work injuries or near misses over the past five years
  • information on prosecutions they have undergone
  • their finances, capacity and equipment to do the work
  • if they have a relevant industry certification (such as Safetree certification).
• the contractor's ability to provide competent workers and equipment needed for healthy and safe work
• whether the contractor has effective worker engagement. For example, do they have worker representation and are there opportunities for workers to have their say?

Check contractors have a documented health and safety system

4.1.10

Confirm that the contractor has a documented health and safety system. This could include:

• a health and safety policy
• a drug and alcohol policy, including testing
• training and supervision
• health and safety meetings
• hazard identification and risk assessment and management
• auditing and inspection programmes
• incident reporting and investigation
• emergency procedures.

4.1.11

However, further information may be needed for more complex work. See Sections 4.2.8–4.2.9 for more information.

What to cover in contracts?

4.1.12

Make sure your contracts and agreements clearly define responsibilities and duties including subcontracting processes to ensure health and safety requirements are appropriately addressed within the contracting chain.

4.1.13

Work with the contractors to identify any work or workplace hazards and risks and any other health and safety requirements.

4.1.14

Once the scope of the work has been agreed, provide a job prescription. This might take the form of a planting or spraying prescription, a job specification, or a harvesting or logging plan.

Planning

4.1.15

The planning stage of any operation is a good chance to identify hazards and eliminate risks at an early stage.

Developing harvest plans

4.1.16

This works best when you include, if possible, earthworks and roading contractors, harvesting contractors and log truck operators.

4.1.17

Consulting and coordinating with the relevant parties can help with:

• deciding on the best extraction method
• the design of the roading network
• the position, size and design of the skid sites
• the elimination of risk before work starts.

4.1.18

Include information from the pre-harvest inventory and constraints assessments in the harvest plan. The harvest plan should include recent topographical maps of the site showing:

• location of the site-specific constraints and hazards
• access points and routes (including shared access ways)
• proposed road system
• location of skid site
• maximum and average haul distances (for log extraction)
• overhead power lines
• underground utilities
• areas of steep terrain, cliffs or quarries
• areas with windthrow
• boundaries onto neighbouring properties
• rivers and creeks – water management needs
• wāhi tapu and other areas of historical or cultural significance
• areas with poor ground conditions (erosion-prone, unstable or wet soil)
• areas of public access such as roads or walking and mountain biking tracks.

4.1.19

The harvest plan should also provide guidance on:

• the equipment contractors need to complete the work
• the tree extraction method
• reporting expectations
• electrical hazard management
• how the risks from any shared access ways will be managed.

4.2 What is expected of contractors?

What are the duties of contractors?

4.2.1

A contractor is a PCBU that has been engaged to do work by another PCBU (other than as an employee, apprentice, trainee or volunteer):

• If you (the contractor) have subcontractors, you are classed as a principal for the purposes of this guidance.
• If you are a self-employed contractor/sole trader/lone operator, you are classed a PCBU and a worker.

4.2.2

Contractors are responsible for planning and carrying out the work they are engaged to do.

4.2.3

As a PCBU, you must:

• ensure, so far as is reasonably practicable, the health and safety of your worker(s) and other workers you influence or direct
• ensure, so far as is reasonably practicable that the health and safety of other persons is not put at risk from the work that you do
• make sure, so far as is reasonably practicable, the provision and maintenance of safe plant and structures and the safe use, handling, and storage of plant, substances and structures
• consult, cooperate and coordinate with other PCBUs in the contracting chain to manage shared duties.

4.2.4

Section 3.3 provides guidance to help PCBUs work out the extent of each PCBU's responsibility to carry out their shared duties.

Duty of a PCBU who manages or controls a workplace

4.2.5

A PCBU who manages or controls a workplace must ensure that, so far as is reasonably practicable, the workplace, the means of entering and exiting the workplace, and anything else arising from the workplace are without health and safety risks to any person.

Duty of a PCBU who manages or controls plant at a workplace

4.2.6

A PCBU who manages or controls plant at a workplace must, so far as is reasonably practicable, ensure that the plant is without risks to the health and safety of any person.

4.2.7

The following sections cover some general expectations of contractors. Expectations may differ depending upon the nature of the contracting, for example, a one-off job versus a long-term contract.

Have a health and safety management system that is suitable for the size of the business and level of risk

4.2.8

For guidance on a minimum health and safety management system, see Section 4.1.10.

4.2.9

For more complex work, further information may be needed. For example, contractors that manage a worksite could have a system that covers:

• clearly defined roles and responsibilities
• regular work hazard and risk inspections by workers and supervisors
• the process to check that the PPE used onsite is up to standard
• first aid available on site
• plant and equipment inspection and maintenance
• managing sub-contractors
• managing visitors
• who will be responsible for keeping in touch with other parties outside the worksite that are affected by the work (for example, neighbouring properties), and managing any conflicts that arise
• worker competency assessments and training plans
• return-to-work policies and assessments
• dynamic risk management training
• stop-work processes for weather extremes and unusual conditions
• management of work around power lines
• vehicles
• transport and mobile plant
• working at height
• landing size and capacity.

Having competent people

2.10

A competent person is someone who can consistently demonstrate the skill and knowledge derived from experience and/or training for the type of work the person is tasked to do.

4.2.11

Section 11 explains the requirements you must meet for training, information, instruction and supervision.

Site supervision (if relevant)

4.2.12

Have a competent person in charge of the worksite.

4.2.13

Their role involves:

• effectively supervising and controlling the work
• understanding and managing the health and safety system (including emergency procedures).

4.3 What is expected of subcontractors?

What are the duties of subcontractors?

4.3.1

Subcontractors are PCBUs hired by a contractor to work or provide services on their behalf. Sometimes subcontractors are referred to as suppliers.

4.3.2

If you are a self-employed contractor/sole trader/lone operator, you are both a PCBU and a worker.

4.3.3

As a PCBU, you must:

• ensure, so far as is reasonably practicable, the health and safety of your worker(s) and other workers you influence or direct
• ensure, so far as is reasonably practicable that the health and safety of other persons is not put at risk from the work that you do
• make sure, so far as is reasonably practicable, the provision and maintenance of safe plant and structures and the safe use, handling, and storage of plant, substances and structures
• consult, cooperate and coordinate with other PCBUs in the contracting chain to manage overlapping duties.

4.3.4

Section 3.3 provides guidance to help PCBUs work out the extent of each PCBU's responsibility to carry out their shared duties.

4.3.5

The following sections cover some general expectations of sub-contractors. Expectations may differ depending upon the nature of the contracting. For example, a one-off job versus a long-term contract.

Work with other PCBUs in the contracting chain

4.3.6

Work closely with the contractor to manage risks:

• be involved, where practicable, in any risk management planning
• alert the contractor when control measures are not adequate, or when new risks arise.

Be aware of the onsite rules and procedures

4.3.7

Be aware of on-site rules and procedures including inductions, toolbox talks, health and safety plans and reporting procedures.

4.4 Other PCBUs in the contracting chain

4.4.1

There are other PCBUs that may be involved in providing professional services, materials, plant, or people in and around the contracting chain. For example:

• engineers
• suppliers of plant
• labour hire
• plant servicing and repair.

4.4.2

They may have the same duties as other PCBUs in the contracting chain.

4.4.3

As a PCBU, you must:

• ensure, so far as is reasonably practicable, the health and safety of your worker(s) and other workers you influence or direct
• ensure, so far as is reasonably practicable that the health and safety of other persons is not put at risk from the work that you do.

4.4.4

For example, when servicing, repairing or modifying plant including safety equipment.

Upstream duties

4.4.5

PCBUs that have upstream duties are those that:

• design plant, substances, or structures
• manufacture plant, substances, or structures
• import plant, substances, or structures
• supply plant, substances, or structures
• install, construct or commission plant or structures.

4.4.6

These PCBUs must, so far as is reasonably practicable, make sure the plant, substances, and structures they design, manufacture, import, supply or install are without health and safety risks when they are used for their intended purpose in a workplace.

4.4.7

Upstream businesses are in a strong position to eliminate or minimise risk. They can influence and sometimes eliminate health and safety risks through designing or manufacturing products that are safe for the end user.

4.4.8

For specific duties for upstream PCBUs, see Appendix 5.

4.5 What is expected of landowners?

You may have duties under HSWA

4.5.1

If you own the land and are putting it into forest, you may be a PCBU with duties under HSWA.

Consider engaging a forest manager

4.5.2

A forest manager or forestry consultant can plan and coordinate the whole process from site preparation and planting through to the eventual harvest.

4.5.3

If you engage a forest manager, engage a reputable company with robust health and safety systems.

If you plan ahead, you can eliminate or, at the least, minimise those risks

4.5.4

If you are planting a new forest, many of the risks will not happen until harvest occurs which could be in 20 to 30 years' time.

Know what hazards and physical constraints there are on your land

4.5.5

Use aerial photos, farm maps, topographic maps, LIDAR or drone footage. Identify constraints and hazards such as:

• tree damage (for example, wind affected)
• tracks, roads and bridges
• overhead power lines
• drains and culverts
• underground utilities
• areas of steep terrain, cliffs, sink holes and drop-offs
• rivers and creeks (particularly with respect to any downstream uses)
• flood prone areas
• erosion-prone or unstable soils
• areas of public access
• boundaries onto neighbouring properties.

4.5.6

For more information, see Resources webpage