Contractor Assurance Case Audit

• Audit Title

• Client/Location

• Conducted on

  Date

• Prepared by

• Location
  Address

• Personnel

Executive Summary

• Executive Summary

Part 1 - Documentation

• Is a Site Log Book available?

  Yes

  No

  N/A

• Has the Site Log Book been signed for?

  Yes

  No

  N/A

• Is there an HS&E Policy Statement on display?

  Yes

  No

  N/A

• When was the HS&E Policy Statement signed?

  Date

• Are the current Insurance Certificates on display?

  Yes

  No

  N/A

• Is an H&S Law Poster displayed?

  Yes

  No

  N/A

• Are the correct details shown on the H&S Law Poster?

  Yes

  No

  N/A

• Is the NG Bailey QA statement displayed?

  Yes

  No

  N/A

• Is the NG Bailey Assurance Policy displayed?

  Yes

  No

  N/A

• Is the NG Bailey Drugs & Alcohol Policy displayed?

  Yes

  No

  N/A

• Have all staff signed the Record of Understanding & Compliance forms?

  Yes

  No

  N/A

• Is a 'Random Un-announced Testing List' maintained?

  Yes

  No

  N/A

• Is the NG Bailey Fatigue Policy displayed?

  Yes

  No

  N/A

• Is the NG Bailey Refusal to Work Policy displayed?

  Yes

  No

  N/A

• Have all Engineering staff undergone DZEP training?

  Yes

  No

  N/A

• Are RPOS training records available?

  Yes

  No

  N/A

• Are Task Supervisor training records available?

  Yes

  No

  N/A

Part 1a - SHEQ-related Documentation

• Are SHEQ Induction records available?

  Yes

  No

  N/A

• Are Station Induction Records available?

  Yes

  No

  N/A

• Is the Station Fire Risk Assessment available?

  Yes

  No

  N/A

• Have StationEmergency Plan Acknowledgement forms been completed?

  Yes

  No

  N/A

• Are site-specific Risk Assessment available?

  Yes

  No

  N/A

• Has training in the completion of Risk Assessments been undertaken?

  Yes

  No

  N/A

• Are Close Call/Near Miss reports being submitted?

  Yes

  No

  N/A

• Are Toolbox Talks being carried out?

  Yes

  No

  N/A

• Are Safety Talks Attendance Sheets being completed to record attendance at Toolbox Talks?

  Yes

  No

  N/A

• Are Accident Reports being completed where necessary?

  Yes

  No

  N/A

• Is a site-specific Environmental Impacts & Aspects Assessment available?

  Yes

  No

  N/A

• Are lamp coffins being managed as required?

  Yes

  No

  N/A

• Is the build up of waste, NG Bailey-controlled areas, being managed?

  Yes

  No

  N/A

• Are waste hazardous substances being disposed of safely?

  Yes

  No

  N/A

• Is waste transfer documentation held on file?

  Yes

  No

  N/A

• Has Part E been completed on the Consignment Notes on file?

  Yes

  No

  N/A

• Is an F-Gas Register in use?

  Yes

  No

  N/A

• Are copies of F-Gas Engineers' competency certificates held on file?

  Yes

  No

  N/A

Part 2 - Welfare Facilities

• Are welfare facilities provided for Engineering staff?

  Yes

  No

  N/A

• Are welfare facilities provided for office staff?

  Yes

  No

  N/A

• Are suitable changing facilities provided?

  Yes

  No

  N/A

• Are secure lockers provided?

  Yes

  No

  N/A

• Are shower facilities available?

  Yes

  No

  N/A

• Are changing and shower facilities being kept clean and tidy?

  Yes

  No

  N/A

Part 3 - Work Activities

• Is there a signing in procedure for staff and visitors?

  Yes

  No

  N/A

• Are platform edge/OHLE proximity rules being adhered to?

  Yes

  No

  N/A

• Are Engineers able to undertake their work activities without the need to work at height?

  Yes

  No

  N/A

• Have working at height issues been identified and addressed?

  Yes

  No

  N/A

• Is a ladder inspection process in place?

  Yes

  No

  N/A

• Is portable electrical equipment tested as necessary?

  Yes

  No

  N/A

• Have ear protection zones been identified?

  Yes

  No

  N/A

• Is suitable ear protection issued to all Engineers?

  Yes

  No

  N/A

• Is there a need for manual handling as part of routine work activities?

  Yes

  No

  N/A

• Has suitable manual handling instruction been provided?

  Yes

  No

  N/A

• Is an inventory of hazardous substances available?

  Yes

  No

  N/A

• Is all necessary COSHH-related documentation in place?

  Yes

  No

  N/A

• Are slip, trip and fall issues being addressed?

  Yes

  No

  N/A

• Are lighting levels suitable for the work activities being undertaken?

  Yes

  No

  N/A

• Is ventilation adequate in any enclosed areas?

  Yes

  No

  N/A

• Is First Aid cover available at all times?

  Yes

  No

  N/A

Part 4 - Contract Administration

• Are documented weekly site inspections being carried by a Supervisor?

  Yes

  No

  N/A

• Are documented monthly Safety Tours being carried out by the Contract Manager?

  Yes

  No

  N/A

• Are PPM audits carried out?

  Yes

  No

  N/A

• Are sub-contractors subject to the NG Bailey pre-selection process?

  Yes

  No

  N/A

• Are sub-contractors RAMS being reviewed by the Supervisor/Manager?

  Yes

  No

  N/A

• Are Permits to Work issued to all sub-contractors prior to work commencing?

  Yes

  No

  N/A

• Are all Permits to Work being completed correctly?

  Yes

  No

  N/A

• Are sub-contractor audits carried out?

  Yes

  No

  N/A

• Are customer complaints/non-conforming product investigated and reported upon?

  Yes

  No

  N/A

Part 5 - Resource Management

• Are Job Descriptions in place for all contract employees?

  Yes

  No

  N/A

• Have all job-specific competencies been identified?

  Yes

  No

  N/A

• Is a training matrix maintained?

  Yes

  No

  N/A

• Is there a planned programme for periodic staff performance reviews?

  Yes

  No

  N/A

• Where job-specific competencies are needed, has the training been provided?

  Yes

  No

  N/A

• Are HS1-specific competency requirements being addressed?

  Yes

  No

  N/A

• Are NGB Rail inductions carried out?

  Yes

  No

  N/A

• Is RPOS AND TS development planning in place?

  Yes

  No

  N/A

• Does equipment being used conform to the laid down standards (C/07/OS/09/1600 'Product Acceptance')?

  Yes

  No

  N/A

• Are there any records to show material supplies conform to the required standard?

  Yes

  No

  N/A

• Are sub-contractor performance and response times being monitored?

  Yes

  No

  N/A

• Are SHEQ reports reviewed and the necessary actions implemented to address issues noted?

  Yes

  No

  N/A

• Are management reviews of contract performance carried out?

  Yes

  No

  N/A