Contractor SD HSEC Monthly Compliance Assessment

• Document No.

• Audit Title

• Client / Site

• Conducted on

  Date

• Prepared by

• Location
  Address

• Personnel

Auditing

Audit pre-requisite

• Present proof of previous audit actions and close out. Verify sustainable action implemented

  Yes

  No

  N/A

• Present first party audit. (Self audit) verify management involvement.

  Yes

  No

  N/A

• Present second party audit. (Second party) Verify management involvement.

  Yes

  No

  N/A

1.0. COMPETENCY & TRAINING

• 1.1. Present a list of your job categories

  Yes

  No

  N/A

• 1.0. Present proof of Management / Supervision training as per project training requirements.

  Yes

  No

  N/A

• 1.2. Present training needs analysis per job category

  Yes

  No

  N/A

• 1.3. Present training certification, competency assessment criteria per job category

  Yes

  No

  N/A

• 1.4. Presents Supervision and Management approved resumes / cv

  Yes

  No

  N/A

• 1.5. Present proof of competency for Safety Officer. (approval from SD Manager)

  Yes

  No

  N/A

• 1.6. Present proof of client induction and control method

  Yes

  No

  N/A

• 1.7. Present proof of own induction and control method

  Yes

  No

  N/A

• 1.8. Present internal training schedule and register.

  Yes

  No

  N/A

• 1.9. Present training providers accreditation certification. (SAQA)

  Yes

  No

  N/A

• 1.10. Is system adequate to manage and control training needs requirements?

  Yes

  No

  N/A

2. Risk Management

• 2.0. Present Risk Management Plan. Approved by management.

  Yes

  No

  N/A

• 2.1. Present Project / Site specific Baseline Risk Assessment

  Yes

  No

  N/A

• 2.2. Present Risk Register based on baseline

  Yes

  No

  N/A

• 2.3. Present monthly Risk Register and action plan. Site activity based

  Yes

  No

  N/A

• 2.4. Present updated Risk Assessment Register

  Yes

  No

  N/A

• 2.5. Present updated risk assessment monitoring & review plan

  Yes

  No

  N/A

• 2.6. Present relevant SOP / SWP register / index

  Yes

  No

  N/A

• 2.7. Present approved method statement - verify in relation with specific RA

  Yes

  No

  N/A

• 2.8. Verify RA available in work area

  Yes

  No

  N/A

• 2.9. Verify RA in work area communicated with all. Include possible interface activities.

  Yes

  No

  N/A

• 2.10. Verify employees acknowledgement. Check reference.

  Yes

  No

  N/A

• 2.11. Verify that activities correlate with method statement sequence.

  Yes

  No

  N/A

• 2.12. Verify adequate controls implemented and complied with as stipulated in RA.

  Yes

  No

  N/A

• 2.13. Verify control actions are properly assigned and acknowledged by competent employees.

  Yes

  No

  N/A

• 2.14. Provide procedural evidence to support change of management and verify by evidence method of implementation and control related to work scope change.

  Yes

  No

  N/A

• 2.15. Provide Risk Assessor appointment and qualifications.

  Yes

  No

  N/A

• 2.16. Explain and support by evidence the management controls of risk by applying the "Hierarchy of Controls".

  Yes

  No

  N/A

• 2.17. Provide method of control where daily hazards such as interface activities, specific site conditions, permit requirements and job site inspections are managed and controlled not identified on the RA.

  Yes

  No

  N/A

• 2.18. Does the criteria indicated on the "DSTI" reflect typical site conditions and hazards.

  Yes

  No

  N/A

• 2.19. Are these hazards communicated and acknowledged by the workforce and are their hazard awareness to standard?

  Yes

  No

  N/A

• 2.20. Provide proof of DSTI close out method and verify that close out reflect typical site condition.

  Yes

  No

  N/A

• 2.21. Provide proof that risk assessments are conducted or facilitated with specific knowledgable team members.

  Yes

  No

  N/A

3. Planned task observations

• 3.0. Provide PTO plan and schedule

  Yes

  No

  N/A

• 3.1. Provide PTO. Auditor to select

  Yes

  No

  N/A

• 3.2. Does PTO refer to measurement criteria. RA / SWP / SOP

  Yes

  No

  N/A

• 3.3. Do all Supervision conduct PTO's

  Yes

  No

  N/A

• 3.4. Does Management participate?

  Yes

  No

  N/A

4. SD Management System

• 4.0. Provide updated (latest revision) of the client SD Safety Specification.

  Yes

  No

  N/A

• 4.1. Provide copy of project SD Procedures

  Yes

  No

  N/A

• 4.2. Provide proof of management distribution / communication / acknowledgement

  Yes

  No

  N/A

• 4.3. Provide own SD Safety Plan. Evaluated and approved by client / principle contractor.

  Yes

  No

  N/A

• 4.4. Provide SD safety management system. ISO and client aligned.

  Yes

  No

  N/A

• 4.5. Provide management goals and targets. Explain how these will be achieved and measured.

  Yes

  No

  N/A

• 4.6. Verify that sufficient and adequate resources are available to Manage this system. E.g. offices, computers, communication mediums, printers, tables and stationary.

  Yes

  No

  N/A

• Yes

  No

  N/A

5. Incident Management

• 5.0. Provide incident management system. Verify recording, reporting, analysis and close-out.

  Yes

  No

  N/A

• 5.1. Provide letter of Goodstanding with Workman Compensation. (WCA / FEM)

  Yes

  No

  N/A

• 5.2. Provide WCL 2 form

  Yes

  No

  N/A

• 5.3. Provide blank Annexure 1.

  Yes

  No

  N/A

• 5.4. Provide Incident Register.

  Yes

  No

  N/A

• 5.5. Provide incident re-call register. (Internal / External)

  Yes

  No

  N/A

• 5.6. Provide appointment and qualification for Incident Investigator. (ICAM)

  Yes

  No

  N/A

• 5.7. Provide incident investigation. Auditor to select. Verify close-out and actions taken.

  Yes

  No

  N/A

• 5.8. Provide updated incident analysis.

  Yes

  No

  N/A

• 5.9. Provide communication / distribution method. (verify committee meeting minutes and notice boards)

  Yes

  No

  N/A

• 5.10. Are near hits and minor incident also reported and recorded?

  Yes

  No

  N/A

• 5.11. Provide current internal LTIFR, FFR, LTISR, SIFR.

  Yes

  No

  N/A

6. LEADERSHIP, STRATEGY AND ACCOUNTABILITY

• 6.0. Explain how you achieve compliance with the client's business value's and principles.

  Yes

  No

  N/A

• 6.1. Provide proof of measurement criteria. <br>Verify with standard 6.

  Yes

  No

  N/A

• 6.2. Explain and provide proof of supporting client vision and values. <br>Verify compliance as per criteria under section 6

  Yes

  No

  N/A

• 6.3. Provide proof of management commitment and involvement with client SD strategy.

  Yes

  No

  N/A

• 6.4. Provide proof of communication and distribution of Project SD rules (cardinal) to management and workforce. Also provide compliance measurement criteria.

  Yes

  No

  N/A

• 6.5. Provide SD roles and responsibilities for Supervision and Management aligned with client requirements.

  Yes

  No

  N/A

• 6.6. Provide proof of compliance measurement criteria. Auditor to select appointee to verify understanding of his duties and responsibilities as per company roles and responsibilities also include legal appointment.

  Yes

  No

  N/A

7. PLANNING AND RESOURCES

• 7.0. Provide your construction plan and rollout program.

  Yes

  No

  N/A

• 7.1. Provide your three week rolling horizon based on SD management strategies and resources required.

  Yes

  No

  N/A

• 7.2. Provide your formal process for setting SD priorities, targets and plans at each level of your organization that is integrated with the client business planning and risk management processes.

  Yes

  No

  N/A

• 7.3. Provide evidence that SD plans, priorities and targets are aligned to appropriate strategies at each level of organization and are supported by adequate financial and human resources.

  Yes

  No

  N/A

8. COMMUNICATION AND ENGAGEMENT

• 8.0. Provide your meeting schedule. To include meetings with subcontractors, agents and internal committees.

  Yes

  No

  N/A

• 8.1. Provide proof of weekly SD Safety meeting held with workforce. Verify proof of communication as to include Leading / Lagging indicators, statistical returns, incident recalls, site directives, memos, current / forthcoming high risk activities and project management SD HSEC feedback.

  Yes

  No

  N/A

• 8.2. Provide proof of communication that all items mentioned in item 8.1. with reference to new employees including subcontractor were communicated and acknowledged. Verify specifics project to date.

  Yes

  No

  N/A

• 8.3. Provide toolbox talk register and explain how topics are selected according to trends or project phase. Verify applicable topics.

  Yes

  No

  N/A

• 8.4. Explain and support method of communication and understanding of those in different langue groups as to confirm understanding. ( site language English).

  Yes

  No

  N/A

• 8.5. Provide evidence supported by a management system as to identify employee engagement or placement with an communication or comprehension barrier involving high risk category activities.

  Yes

  No

  N/A

9. OPERATIONAL INTEGRITY

• 9.0. Provide updated inventory of all plant & equipment currently on site.

  Yes

  No

  N/A

• 9.1. Provide specific inspection register and checklist for different plant and equipment in use.

  Yes

  No

  N/A

• 9.2. Provide maintenance schedule for all plant and equipment.

  Yes

  No

  N/A

• 9.3. Provide maintenance history for plant. SME, LV, Cranes.

  Yes

  No

  N/A

• 9.4. Provide procedure and verify compliance how plant and equipment are managed and controlled when defective.

  Yes

  No

  N/A

• 9.5. Provide daily inspection record of plant and verify that findings reflect current condition.

  Yes

  No

  N/A

• 9.6. Provide proof of operators competency in relation to minimum requirements stipulated under DMR 18.

  Yes

  No

  N/A

• 9.7.

  Yes

  No

  N/A

10. LEGAL COMPLIANCE AND DOCUMENT CONTROL

• 10.0. Provide document control procedure. Verify compliance

  Yes

  No

  N/A

• 10.1. Provide Legal Register. Verify all relevant legislation, standards and codes applicable to operations.

  Yes

  No

  N/A

• 10.2. Provide current version of applicable legislation.

  Yes

  No

  N/A

• 10.3. Provide updated company legal Organogram indicating legal appointment structure.

  Yes

  No

  N/A

• 10.4. Provide principle contractors appointment.

  Yes

  No

  N/A

• 10.5. Provide contractors appointment and structure.

  Yes

  No

  N/A

• 10.6. Provide Mandatory agreement between yourself and client.

  Yes

  No

  N/A

• 10.7. Provide Mandatory Agreement between yourself and contractor.

  Yes

  No

  N/A

• 10.8. Provide Notification of Construction work to DOL.

  Yes

  No

  N/A

• 10.8. Provide applicable exemptions from DOL. ( overtime)

  Yes

  No

  N/A

• 10.9. Provide applicable Policies. Client and own. Verify annual review and displayed.

  Yes

  No

  N/A

• 10.10. Submit appointed section 16.2 appointment

  Yes

  No

  N/A

• 10.11. Provide appointed CR 6.1 appoitment

  Yes

  No

  N/A

• 10.12. Provide appointed CR 6.2 appointment

  Yes

  No

  N/A

• 10.13. Provide appointed CR 6.6 appointment

  Yes

  No

  N/A

• 10.14. Provide all other relevant appointments. Verify compliance and structure in relation to minimum ratio's.

  Yes

  No

  N/A

• Yes

  No

  N/A

• Yes

  No

  N/A

• Yes

  No

  N/A

• Yes

  No

  N/A

• Yes

  No

  N/A

11. LOCK OUT AND ISOLATION

• 11.0. Provide company Lock out and Isolation procedure. Verify alignment with client minimum requirements.

  Yes

  No

  N/A

• 11.1. Provide appointment of Authorized Isolation Officer. Electrical / Mechanical

  Yes

  No

  N/A

• 11.2. Provide appointment of Responsible Isolation Officer. Electrical / Mechanical

  Yes

  No

  N/A

• 11.3. Verify that all plant and equipment, whether purchased or constructed (including hired) shall have the capability of being isolated physically from all energy sources and shall meet the requirements of the client minimum standard.

  Yes

  No

  N/A

• 11.4. Verify that isolation shall provide protection against harm and shall be achieved by the use of locking devices or established of a physical barrier or separation.

  Yes

  No

  N/A

• Yes

  No

  N/A

• Yes

  No

  N/A

• Yes

  No

  N/A

12. SAFEGUARDING

• Yes

  No

  N/A

• Yes

  No

  N/A

• Yes

  No

  N/A

• Yes

  No

  N/A

• Yes

  No

  N/A

• Yes

  No

  N/A