Compliance Audit Scorecard

• Document No.

• Audit Title

• Client / Site

• Conducted on

  Date

• Prepared by

• Location
  Address

• Personnel

Site Compliance Scorecard

• Program Compliance (program frequency is being followed correctly; i.e. EHS= monthly, all other program audits being performed every three months)

  Yes

  No

  N/A

• Record Retention (signed copies of historical monthly scorecards are maintained properly)

  Yes

  No

  N/A

• Corrective Action Log (log is being utilized properly; items identified during audit are being auctioned in accordance with target completion dates)

  Yes

  No

  N/A

Inventory Control Compliance

• Program Compliance (program frequency is being followed correctly; i.e. Consumables, Parts, Artwork = monthly; Tools, PPE, Vehicles = every 6 months)

  Yes

  No

  N/A

• Record Retention (signed copies of historical inventories are maintained properly)

  Yes

  No

  N/A

• Labeling (all CBRE owned tools/ equipment is properly labeled; where applicable, vehicle labels are placed on the inside of the driver-side door jamb; label IDs are referenced on applicable inventory sheets)

  Yes

  No

  N/A

• Vehicle Condition (Inspect site vehicles including trucks, utility carts, and lifts and list any condition issues below; CBRE provided Fuel Card and Maintenance Book are located inside the vehicle and all required maintenance activities are current)

  Yes

  No

  N/A

• Add media

  Media

Overtime Pre-Approval Compliance

• Program Compliance (Pre-approval timesheets are current and being utilized in accordance with program expectations; i.e. approval dates are in advance of time incurred)

  Yes

  No

  N/A

• Record Retention ( copies of signed historical timesheets and OT logs are maintained properly)

  Yes

  No

  N/A

• Overtime logs (Standard and Above Base OT logs are being utilized; AB PO details are included on the AB OT Log)

  Yes

  No

  N/A

Safety Compliance

• OSHA 300A Log (Posted annually from Jan.-Apr.; expired logs are not posted)

  Yes

  No

  N/A

• Incident and Injury Posting (updated recordable injury log is posted properly)

  Yes

  No

  N/A

Sourcing Compliance (random audit of 3 site level suppliers)

• Supplier Name:

• Bid Requirement (For expenditures >$5k, three bids are available on file at the site; any exceptions are properly documented in flile)

  Yes

  No

  N/A

• Certificates of Insurance (current certificates are on file and align with CBRE Contractor Agreement guidelines; exceptions to set limits are properly documented in contract file)

  Yes

  No

  N/A

• Contractor Agreement (contracts are in place at the site level for all Vendors performing services on behalf of CBRE)

  Yes

  No

  N/A

• Purchase Order vs. Contractor Agreement (Purchase order amount aligns with Contractor Agreement)

  Yes

  No

  N/A

• Termination Letter - if applicable (Termination letters and vendor acknowledgements are on file at the site level for any services that have been previously terminated)

  Yes

  No

  N/A

Sourcing Compliance (random audit of 3 site level suppliers)

• Supplier Name:

• Bid Requirement (For expenditures >$5k, three bids are available on file at the site; any exceptions are properly documented in flile)

  Yes

  No

  N/A

• Certificates of Insurance (current certificates are on file and align with CBRE Contractor Agreement guidelines; exceptions to set limits are properly documented in contract file)

  Yes

  No

  N/A

• Contractor Agreement (contracts are in place at the site level for all Vendors performing services on behalf of CBRE)

  Yes

  No

  N/A

• Purchase Order vs. Contractor Agreement (Purchase order amount aligns with Contractor Agreement)

  Yes

  No

  N/A

• Termination Letter - if applicable (Termination letters and vendor acknowledgements are on file at the site level for any services that have been previously terminated)

  Yes

  No

  N/A

Sourcing Compliance (random audit of 3 site level suppliers)

• Supplier Name:

• Bid Requirement (For expenditures >$5k, three bids are available on file at the site; any exceptions are properly documented in flile)

  Yes

  No

  N/A

• Certificates of Insurance (current certificates are on file and align with CBRE Contractor Agreement guidelines; exceptions to set limits are properly documented in contract file)

  Yes

  No

  N/A

• Contractor Agreement (contracts are in place at the site level for all Vendors performing services on behalf of CBRE)

  Yes

  No

  N/A

• Purchase Order vs. Contractor Agreement (Purchase order amount aligns with Contractor Agreement)

  Yes

  No

  N/A

• Termination Letter - if applicable (Termination letters and vendor acknowledgements are on file at the site level for any services that have been previously terminated)

  Yes

  No

  N/A

Above Base Compliance (random audit of 3 active Above Base activities; CBRE Facility Coordinator/Planner to provide site level evidence for each)

• Above Base Description:

• Supplier Quote (Clearly labeled as Fixed Fee or Not to Exceed; materials and labor broken out separately; material quantities and unit costs are listed, etc.)

  Yes

  No

  N/A

• ISS Approved Above Base Quotes (current AB PO files are available and maintained properly at the site level)

  Yes

  No

  N/A

• CBRE PO vs. ISS AB Quote (CBRE PO aligns with the amount approved in the ISS AB PO)

  Yes

  No

  N/A

• ISS AB PO vs. CBRE Transaction Log (ISS AB PO is listed on the site-level Transaction log; total amount listed on transaction log does not exceed approved ISS Above Base Quote)

  Yes

  No

  N/A

• Purchase Order vs. Contractor Agreement (Purchase order amount aligns with Contractor Agreement)

  Yes

  No

  N/A

Above Base Compliance (random audit of 3 active Above Base activities; CBRE Facility Coordinator/Planner to provide site level evidence for each)

• Above Base Description:

• Supplier Quote (Clearly labeled as Fixed Fee or Not to Exceed; materials and labor broken out separately; material quantities and unit costs are listed, etc.)

  Yes

  No

  N/A

• ISS Approved Above Base Quotes (current AB PO files are available and maintained properly at the site level)

  Yes

  No

  N/A

• CBRE PO vs. ISS AB Quote (CBRE PO aligns with the amount approved in the ISS AB PO)

  Yes

  No

  N/A

• ISS AB PO vs. CBRE Transaction Log (ISS AB PO is listed on the site-level Transaction log; total amount listed on transaction log does not exceed approved ISS Above Base Quote)

  Yes

  No

  N/A

• Purchase Order vs. Contractor Agreement (Purchase order amount aligns with Contractor Agreement)

  Yes

  No

  N/A

Above Base Compliance (random audit of 3 active Above Base activities; CBRE Facility Coordinator/Planner to provide site level evidence for each)

• Above Base Description:

• Supplier Quote (Clearly labeled as Fixed Fee or Not to Exceed; materials and labor broken out separately; material quantities and unit costs are listed, etc.)

  Yes

  No

  N/A

• ISS Approved Above Base Quotes (current AB PO files are available and maintained properly at the site level)

  Yes

  No

  N/A

• CBRE PO vs. ISS AB Quote (CBRE PO aligns with the amount approved in the ISS AB PO)

  Yes

  No

  N/A

• ISS AB PO vs. CBRE Transaction Log (ISS AB PO is listed on the site-level Transaction log; total amount listed on transaction log does not exceed approved ISS Above Base Quote)

  Yes

  No

  N/A

• Purchase Order vs. Contractor Agreement (Purchase order amount aligns with Contractor Agreement)

  Yes

  No

  N/A

Administrative Compliance (All Account Employees)

• Inspection Requirements (random audit of 15 CBRE HP Account employees; audit to be conducted virtually with CBRE Account Operations Department Manager)

• Confidentiality Agreement (signed agreements are on file for selected employees)

  Yes

  No

  N/A

• Asset Tracking (For all HP and CBRE equipment, serial numbers/unique identifiers are on file for selected employees)

  Yes

  No

  N/A

• On-boarding Approvals (manager approvals are on file for selected employees)

  Yes

  No

  N/A

• CBRE HSE Handbook Acknowledgement (sign acknowledgements are on file for selected employees)

  Yes

  No

  N/A

• HP Global Contractor EHS Handbook Acknowledgement (signed acknowledgements are on file for selected employees)

  Yes

  No

  N/A

• Select date

  Date

Administrative Compliance (IFM/NMCI Account Employees Only)

• Inspection Requirements (random audit of 15 CBRE HP Account employees: audit to be conducted virtually with CBRE Account Operations Department Manager)

• Motor Vehicle Policy Acknowledgement (signed acknowledgements are on file for selected IFM or NMCI employees)

  Yes

  No

  N/A

• Uniform Acknowledgement COMING SOON (signed acknowledgements are on file for selected IFM or NMCI employees)

  Yes

  No

  N/A

Signature

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  Sign

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  Sign

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  Sign