Contractor Safety Management Directive Compliance Audit v1

• Audit Title

• Document No.

• Client / Site

• Conducted on

  Date

• Prepared by

• Location
  Address

• Personnel

1.2 Scope

• Ask procurement staff when this directive applies.

  Yes

  No

  N/A

• Ask Holcim personnel in technical departments when this directive applies.

  Yes

  No

  N/A

• Review a range of invitations to tender. Do they require the contractor to “prequalify” and comply with the requirements of this directive?

  Yes

  No

  N/A

2.0 Roles and Responsibilities

Chief Executive Officer

• • Evaluate if adequate resources have been provided for the implementation and maintenance of this directive.

  Yes

  No

  N/A

• • Ask person acting in the roles if they have been formally appointed.

  Yes

  No

  N/A

Contract Administration Representative

• • Ask the contract administration representative to describe the process they apply to managing contractors? Does the process match the requirements of this directive? Allow a degree of latitude in the description.

  Yes

  No

  N/A

• • Pick a contractor and ask the contract administration representative to retrieve their OHS records.

  Yes

  No

  N/A

Contract Custodian

• • Ask the contract custodian to describe the process they apply to managing contractors? Does the process match the requirements of this directive? Allow a degree of latitude in the description.

  Yes

  No

  N/A

• • Pick a typical contract for the group Company and one with which the contract Custodian would be familiar and ask them to describe what they would need to include in the tender package. Ask them to show you one they have prepared.

  Yes

  No

  N/A

• • Pick a contractor and ask the contract supervisor to describe how they ensure the contractor complies with Holcim’s requirements. Ask them to show you a contractor they are managing and their compliance with Holcim’s’ OHS requirements.

  Yes

  No

  N/A

Contract Supervisor

• • Ask the contract supervisor to describe the process they apply to managing contractors? Does the process match the requirements of this directive? Allow a degree of latitude in the description.

  Yes

  No

  N/A

• • Pick a contractor and ask the contract supervisor to describe and or demonstrate how they ensure the contractor complies with Holcim’s requirements. Ask them to show you the documentation and actions they have taken to ensure these requirements are met for a contractor they are ‘looking after”.

  Yes

  No

  N/A

4.0 Management of Contractors

4.1 Pre-qualification - Approved Contractor

• • Review prequalification criteria. Do they meet expectations of this Directive?

  Yes

  No

  N/A

• • Process should be in place for all project and services contracts 6 months prior to the audit taking place.

  Yes

  No

  N/A

• • Verify that contractors working on site are on the ‘approved” contractors list.

  Yes

  No

  N/A

• • Ask the contractors management representative what was required for their company to be placed on the approved contractors list.

  Yes

  No

  N/A

• • From the list of approved contractors select a few contractors, if possible, from each category and evaluate their activities in the field. Are they correctly classified?

  Yes

  No

  N/A

• • In the field verify that the contracting company actually performing the work is the same as those on the licences, registrations and insurances. Sub contracting is acceptable provided the sub contractors are covered by the licences, registrations and Insurances. The contractor must be able to prove that personnel working for them are covered.<br>

  Yes

  No

  N/A

• • Review a number of questionnaires received from contractors wishing to tender. Have they been assessed correctly?

  Yes

  No

  N/A

• • Review a number of offsite assessments on contractors wishing to prequalify. Is the assessment process adequate for this directive?

  Yes

  No

  N/A

• • Indentify a number of prequalified contractors and verify that their prequalification documents match the requirements of the direct and the Group Company’s own requirements?

  Yes

  No

  N/A

• • In the field verify the personnel undertaking the task have the required training/skill levels and that they are listed as working for the “approved” contractor?

  Yes

  No

  N/A

• • In the field verify that contractor’s equipment, tools and materials are compliant with the standards established for the prequalification process.

  Yes

  No

  N/A

• • In the field ask the contractors personnel if they are aware of their OHS roles and responsibilities. And ask them to describe them in their own words.

  Yes

  No

  N/A

• • Ask the contractors personnel how injuries are recorded in the contracting company.

  Yes

  No

  N/A

• • Ask the contractors personnel to undertake a JHA or equivalent for a common task they perform.

  Yes

  No

  N/A

• • Observe the contractors personnel in action. Are the risks being adequately controlled according to Holcim’s standards?

  Yes

  No

  N/A

• • Validate in the field that current contractors for each category are valid.

  Yes

  No

  N/A

• • Review a number of OHS variances are they being completed as required in this standard and by the Group Company’s own requirements?<br><br>

  Yes

  No

  N/A

• • Select at least one contractor who has an OHS variance. Ask the contract custodian to describe how OHS matters are managed.

  Yes

  No

  N/A

• • Inspect the contractors operations in the field. Are they operating to an appropriate standard?

  Yes

  No

  N/A

• • Review the register. Does it meet the expected standard?

  Yes

  No

  N/A

• • Validate that the contractor and Holcim personnel details are correct for a selected number of prequalified contractors.

  Yes

  No

  N/A

4.2 Training & Communication

• • Review the contractor OHS forum records. Do all contractors attend regularly?

  Yes

  No

  N/A

• • Are reasons provided for non attendance in the records?

  Yes

  No

  N/A

• • Speak to contractor representatives about the OHS forum. Is it effective for their company? Do they feel they are able to contribute to any safety concerns?<br>

  Yes

  No

  N/A

• • Take some names of contractor personnel and verify if they are on the contractors list held by the group company.

  Yes

  No

  N/A

• • Observe contractors in the field. Identify the activities being undertaken and ask the group company to provide a copy of the instructions given to the contractors. Is the contractor following the instructions?<br>

  Yes

  No

  N/A

• • Talk to the contractor’s personnel and ask what instruction and training they have been given to meet Group Company requirements?<br>

  Yes

  No

  N/A

• • Who provided this instruction and was their attendance formally recorded?

  Yes

  No

  N/A

• • Ask contractor personnel if they have attended the general site induction, area induction and job specific induction.

  Yes

  No

  N/A

• • Ask the contractors employees to describe in their own words a few key requirements from each of the inductions ( the purpose being to determine how memorable the inductions are as well as how well the person understood).

  Yes

  No

  N/A

4.3 Auditing & Improvement

• • Review a selected number of OHS audits. Are they adequate?<br><br>

  Yes

  No

  N/A

• • Do they take into account the level of risk associated with the work to be contracted out?

  Yes

  No

  N/A

• • Does the contractor take an active role in the audit?

  Yes

  No

  N/A

• • Discuss the audit finding with at least 1 contractor. Do they understand and agree with the findings?

  Yes

  No

  N/A

• • Review a selected number of OHS improvement plans? Are the adequate i.e. will they direct the contractor to improve OHS capacity such that they can meet the requirements of this directive?

  Yes

  No

  N/A

• • Has progress against OHS Improvement plans been monitored by the group Company?

  Yes

  No

  N/A

5.0 Contract Management

5.1 Contract Definition and Award Phase

5.1.1 General Requirements

• • Review the list of Holcim standards. Is it up to date?

  Yes

  No

  N/A

• • Review the list of legal and regulatory requirements. Ask how this is determined and how it is kept up to date?

  Yes

  No

  N/A

• • Review a number of scopes of work and risk assessments completed to meet the requirement of this section of the Directive. Do they meet the expected standard?

  Yes

  No

  N/A

• • Ask the contract custodian to demonstrate/discuss the actions they would take to meet the requirements of this section of the directive. Is the contract custodian able to demonstrate adequate knowledge of the process?

  Yes

  No

  N/A

• • Review a number of tender packages. Do they meet the requirements of this section of the Directive?<br>

  Yes

  No

  N/A

• • Ask the contract custodian to describe how they determine what to put in and what to take out of the generic OHS package when preparing a tender.<br>

  Yes

  No

  N/A

• • Review a number of OHS variances are they being completed as required in this standard and by the Group Company’s own requirements?

  Yes

  No

  N/A

• • Select at least one contractor who has an OHS variance. Ask the contract custodian to describe how OHS matters are managed.

  Yes

  No

  N/A

• • Inspect the contractors operations in the field. Are they operating to an appropriate standard?

  Yes

  No

  N/A

• • Review a number of tender submissions. Have they been completed as required and assessed according to the Requirements of this directive and the group Company’s process?

  Yes

  No

  N/A

5.1.2 Specific Requirements

• • Review a number of tender submissions for works requiring a category 3 or 4 contractor. Have they been completed as required and assessed according to the Requirements of this Directive and the group Company’s process?

  Yes

  No

  N/A

5.2 Pre-commencement Phase

5.2.1 General Requirements

• • Review briefing documents and minute’s actions logs.

  Yes

  No

  N/A

• • Are the meetings led by the contract custodian?

  Yes

  No

  N/A

• • Has the contractor been given a list of OHS requirements (see Guideline)?

  Yes

  No

  N/A

• • Review OHS obligations documents for a number of contracts and contractors. Do the obligations match the level of risk of the contract i.e. the category of contractor?

  Yes

  No

  N/A

• • Review any OHS variances. Are OHS obligations being adequately managed?

  Yes

  No

  N/A

• • Review documents supplied by contractors. Do the meet expectations? How has the Group Company addressed documents/contractors who have failed to meet requirements?<br>

  Yes

  No

  N/A

• • Ask selected contractor in the field if they have been inducted.

  Yes

  No

  N/A

• • Select a number of contractor personnel from list and follow them though to determine if they are working in the areas for which they have been inducted.

  Yes

  No

  N/A

• • Select a number of contracts and discuss with contractor employees what if any instruction they have been given on the major hazards of the work they are doing.

  Yes

  No

  N/A

• • Ask if they have also been instructed in the control measures.

  Yes

  No

  N/A

• • Take the group company’s standards for tools and materials and test contractors tools and material for compliance.

  Yes

  No

  N/A

• • Identify if the contractor is using any critical plant on site. If so inspect to verify if still in compliance.

  Yes

  No

  N/A

• • Ask contractors management if they have been given “authority to work.”

  Yes

  No

  N/A

• • Ask if they have received written confirmation or only verbal.

  Yes

  No

  N/A

5.2.2 Specific Requirements

• • If any category 3 or 4 contractors on site verify if they have submitted their OHS plan and it has been approved.

  Yes

  No

  N/A

• • Check contract start dates, OHS plan approval dates and authority to work issue dates to validate that contractors have approved OHS plans before commencing work.<br>

  Yes

  No

  N/A

• • Ask contract administrator to explain document retention practice. Does it meet with Company requirements?<br>

  Yes

  No

  N/A

• • Ask the contract administrator to show how verification that all relevant OHS documents have been issued to both the contractor and contract custodian occurs.<br>

  Yes

  No

  N/A

• • Identify GC supervisors in the field who are supervising contractors. Determine the % of time they spend supervising this contractor and other contractors if applicable. Ask them if they have been formally appointed.

  Yes

  No

  N/A

5.3 Contract Execution and Control Phase

5.3.1 General Requirements

• • Ask the contract custodian who maintains and who undertakes the monitoring program.

  Yes

  No

  N/A

• • Observe supervisors in the field as they direct and oversee contractors.<br>

  Yes

  No

  N/A

• • Discuss with supervisors their knowledge and understanding of the hazards involved. Is it adequate?

  Yes

  No

  N/A

• • Ask contractor employees how they are made aware of the hazards and risks of tasks. Does the method used to inform staff match GC requirements?

  Yes

  No

  N/A

• • Select a few safety observations and inspections. Review them to determine if the they have been undertaken correctly and the usefulness of the evaluations.

  Yes

  No

  N/A

• • Using the GC’s own standards for Equipment, tools and materials conduct an inspection of the contractor’s equipment, tools and materials. Do they meet the standard?<br>

  Yes

  No

  N/A

• • Review corrective action logs. Has defective equipment been taken out of service until fixed?<br>

  Yes

  No

  N/A

• • Using the contractors Safe Work Method Statement/JSA, observe contractor personnel. Is the correct PPE being used? If not why not?

  Yes

  No

  N/A

• • Ask the contractors personnel if they have ready access to the correct PPE for the job?

  Yes

  No

  N/A

• • Observe contractors personnel conducting hazardous work activities, if possible. Are they compliant with the requirements of the permit to work system?

  Yes

  No

  N/A

• • Where the requirements identified in the Safe Work Method Statement?<br>

  Yes

  No

  N/A

• • What is preventing compliance?<br>

  Yes

  No

  N/A

• • Review hazard reports by the contractor. Who does the majority of the reports? Is there an even spread of personnel or only one person? Investigate any discrepancies

  Yes

  No

  N/A

• • Review reports form the contractors. Do they meet the requirements?<br>

  Yes

  No

  N/A

• • Ask personnel in the field how coordination occurs. Does it follow the process set out in the documentation? Does the process in the field work or are their problems?

  Yes

  No

  N/A

• • Identify contracts which have had a scope change. Have the risks which have changed as a result been adequately understood and addressed?

  Yes

  No

  N/A

5.3.2 Specific Requirements

• • Review contractors on site. Have those who have been on site longer than 3 months been subject to a formal review?<br>

  Yes

  No

  N/A

• • Review evaluations of contractors OHS performance. Are the reviews adequate for the scope of works and level of risk?

  Yes

  No

  N/A

• • Are the improvement plans appropriate for the identified issues?

  Yes

  No

  N/A

• • Are the improvement plans being actioned?

  Yes

  No

  N/A

• • Have category 3 contractors taken reasonable steps to demarcate their work area to prevent inadvertent access. I.e. only authorized persons can enter that work area?<br>

  Yes

  No

  N/A

5.4 Handover and Acceptance Phase

• • Ask contractors in the field if they expect their works to be inspected upon completions.

  Yes

  No

  N/A

• • Ask the contract Custodian who will undertake the handover inspections and how they are selected.

  Yes

  No

  N/A

• • Review completed hand over inspections. Are they being undertaken diligently?<br>

  Yes

  No

  N/A

• • Review recently completed works and compare your observations with those of the handover inspection report. Investigate differences.

  Yes

  No

  N/A

• • Review the documents handed over. Do they meet Group company requirements?<br>

  Yes

  No

  N/A

• • Will further work need to be done to bring them to group Company standard?<br>

  Yes

  No

  N/A

• • Have all certifications been provided?

  Yes

  No

  N/A

• • Inspect completed works. Have all OHS obligations been adequately addressed before the acceptance document was signed?

  Yes

  No

  N/A

5.5 Contract Close out and Review Phase

• • Obtain completed contract reviews. Do they address the requirements of this section of the directive?

  Yes

  No

  N/A

• • Review source documentation and completed works. Would you arrive at same or similar conclusions as the report?

  Yes

  No

  N/A

• • Review the evaluation. Is the evaluation consistent with the documented evidence of the contractor OHS performance while on site?

  Yes

  No

  N/A

• • Are the actions required consistent with the performance gap?

  Yes

  No

  N/A

• • Are the reasons for removal consistent with the documented evidence of the contractor’s performance while on site?

  Yes

  No

  N/A

Conclusion and auditor's comments

• Date of audit completed

  Date

• Signature of auditor

  Sign

• Date of auditor's signature

  Date

• Signature of auditee

  Sign

• Date of auditee's signature

  Date