Field Contractor Audit Template

• Audit Title

• Client / Site

• Conducted on

  Date

• Audited by

• Site Manager

• Location
  Address

General Management Questions

QHSE Policy

• QHSE Policy is in place, valid and of a sufficient standard

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• How does the contractor ensure the policy and its contents are communicated / understood / applied down through their organisation and to any subcontractors?

Roles and Responsibilities

• Everyone knows their QHSE Roles & Responsibilities?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• What are your QHSE responsibilities as a senior manager?

• How do you ensure that everyone in the organisation knows their QHSE roles and responsibilities?

• How do you ensure that any subcontractors know their QHSE roles and responsibilities?

Management Commitment

• How are management (from senior level to line/supervisor level) involved in improving and maintaining QHSE performance?

Contractor Control

• Do you employ contractors or subcontractors?

  Yes

  No

  N/A

• How do you ensure that any contractors or subcontractors are competent to do the work?

• How do you ensure that contractors and subcontractors are monitored and reviewed throughout the work?

QHSE Programmes

• Do you have any Quality, Environmental or Health and Safety programmes?

  Yes

  No

  N/A

• Give a description of the programmes in place.

• Do you include contractors in these programmes?

  Yes

  No

  N/A

• How do you measure success in these programmes?

• How do you encourage reporting of QHSE improvements?

• How do you reward good safety?

• The organisation understands what a 'just culture' is and applies this.

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Do you have an environmental permit, consent or licence?

  Yes

  No

  N/A

• The organisation can demonstrate that they are meeting the requirements for the environmental permit, consent or licence?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

Health and Wellbeing

• How do you manage health and wellbeing?

• Does this also include your contractors and subcontractors?

  Yes

  No

  N/A

• What is being covered under health and wellbeing?

• What mechanisms are in place to support people with mental health?

Accident/Incident Reporting

• How do you encourage the reporting of incidents?

• Who investigates incidents and accidents?

• The company has a valid procedure/template in place for effective incident investigation, including a focus on root cause analysis.

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• There is evidence of lessons being learnt and communicated following incident investigations.

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• How do you ensure that all actions from investigations are applied and closed out?

Plant and Equipment

• Do you use plant/equipment on site?

  Yes

  No

  N/A

• How do you ensure that plant and equipment is in good working order and regularly maintained?

• How do you ensure that plant and equipment is being used correctly?

Health & Safety - Add notes and photographs to provide additional evidence for the following.

• Accidents, Incidents and Near Misses are regularly recorded on site?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Confined Spaces are adequately controlled?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• COSHH/Asbestos/Lead are adequately controlled?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Construction Phase Health & Safety Plan is in place and to the expected quality?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Demolition procedures are adequately controlled?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Edge Protection is in place and sufficient across the site?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Electricity is sufficiently controlled across the site? (including HV)

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Excavations are well controlled on site?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Fire Emergency are in place, clear and drilled with the log book kept up-to-date?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• First Aid Provision is adequate across the site?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Hoarding / Fencing is in place and secure across the site?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Hot Works are adequately controlled (for example with a hot works permit)?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Housekeeping procedures are in place and visibly adhered to?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Inductions are in place for all staff on site?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Inspection Registers are in place and up-to-date?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Ladders / Step Ladders / Podiums are in good working condition with suitable controls for safe use?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Lifting Operations are effectively managed and safe in practice?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Lighting is sufficient across the site?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Manual Handling procedures are assessed and safe in practice?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Plant and Equipment Use (M.E.W.P's, FLT etc.) is safe across the site?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Notices (insurances, H&S at work law poster etc.) are visible with relevant details present?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Mobile Scaffold use is adequately controlled with competent staff?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Noise & Vibration hazards are controlled on site?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• PAT certification is available for all portable electrical equipment?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• LOLER and PUWER requirements are being followed?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Parking is secure, well lit and sufficient for the site?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Perimeter is secured with no easy access points for unauthorised persons?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Permits are in place for high risk jobs and effectively used?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Personal Floatation Devices are used for those working around deep water?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• PPE is available in a range of sizes, well maintained and used across site?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Risk Assessments / Method Statements are in place for all hazardous jobs and communicated to all staff?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Scaffolding is adequately controlled with competent staff?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Security procedures are adequate on site? (CCTV, security guards etc.)

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Sign-in Book is in place with evidence of regular use?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Signage is sufficient across the site, clearly visible and in good condition?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Smoking procedures are clearly communicated to staff and safe on site?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Supervision is adequate across the site?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Temporary Works are sufficiently controlled across the site?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Toolbox talks are regularly conducted with evidence of attendance?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Traffic Management is sufficient across the site with suitable segregation of vehicles and pedestrians?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Training records are up to date with clear evidence of relevant information being provided to staff?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Unsafe Practices are noted and acted upon?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Welfare provisions are adequate across the site (toilets, drinking water etc.)?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Access / Egress is safe across the site?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Any other health and safety concerns on observation?

Environmental

• Environmental Plan & Policy is in place and to the expected standard?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Licences & Consents are in place?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Environmental Emergency Response procedures are in place such as spill kits?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• There are adequate pollution prevention control measures in place across the site?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• COSHH Management processes are sufficient with evidence of compliance?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Water Management procedures are adequate including the provision of sustainable drainage systems (SuDS)?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Waste Management procedures are adequate on site, including hazardous waste?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Any other environmental concerns on observation?

Quality

• Contract Specification / Works Information is in place and clearly states what is required on the job?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Sub Contractors / Supplier Information is readily available?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Project Communication processes are clear and effective (including consultation)?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Filing System is suitable for the job with evidence of it being used?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Site Records stored and shared with Field?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Drawing Control is in place and effective?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Technical Queries are managed well with evidence of quick and clear turnaround?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Material Requisition is effective on site?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Delivery / Invoicing processes are controlled and effective?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Material Traceability & Storage is evidenced on site?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Calibration procedures are in place and followed?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Quality Inspections are carried out by a competent person with evidence provided?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Non Compliance Reporting is in place with evidence of corrective actions taken?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Any other quality concerns on observation?

Mental Health and Psychosocial Risk

• There is evidence throughout the company that mental health of workers and psychosocial risks are considered.

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• Are there any negative indicators on the effects of psychosocial risks? (high staff turnover, high sickness rates for stress etc.)

• The company engage an occupational health service which supports mental health (or a suitable alternative to this)?

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• What mechanisms are in place to deal with psychosocial risks?

• What arrangements are in place to allow workers to identify or report signs of exposure to psychosocial risks?

• What evidence is in place that these arrangements are regularly reviewed?

• The company have competent mental health first aiders in place.

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

• The company have appropriate rehabilitation and back to work procedures in place.

  Compliant

  Major NCR

  Minor NCR

  Opportunity for Improve

  N/A

Sign off

• Auditee to sign

  Sign

• Auditor to sign

  Sign

Audit Summary

• undefined