Management of Sub Contractors

1) Have any previous inspection been carried out on the management of sub-contractors? if so;<br>a) Are the most recent reports available?<br>b) Have all the major findings been actioned?

2) Does your organisation have policies, procedures and systems in place for the;<br>a) Selection of sub-contractors?<br>b) Management of sub-contractors?

3) What is the process for the selection and appointment of sub-contractors?

4) Provide evidence to demonstrate that this process has been adhered to.

5) How is the selection of sub-contractors / suppliers controlled?<br>NOTE: Process for selection of contractors may be via an AVL.

6) Does the selection and appointment process identify the minimum requirements for a sub-contractor HS&E Management System?<br>NOTE: <br>- H,S&E Management system <br>- Compliance with Principal<br>- Contractors Policy, Procedures and Site Rules Management of H,S&E Risks<br>- Incident / Accident Reporting<br>- Occupational Health Surveillance<br>- Environmental Management<br>- Competence. Proven Track Record.<br>- Resource (people, equipment)

7) Demonstrate that the process for the selection of sub-contractors includes for the assessment of competency?

8) What information is received from a sub-contractor prior tot he commencement of work activities?<br>NOTE:<br>Risk Assessments, Method Statements, Evidence of Safe System of Work (SSW) i.e. Permit to Work?<br>Site Induction Known Risks i.e.: Hazardous areas legal requirements, procedures and standards. <br>Written work instructions, Site Rules and Plant Details. Work Location.

9) Within your organisation, who is responsible for the review of risk assessments and method statements submitted by the sub-contractor?

10) How is the review carried out and the outcome communicated back to the sub-contractor?

11) Prior to the commencement of a work activity, how are personnel informed of:<br>a) Method Statement?<br>b) Risk Assessment?<br>c) Roles and Responsibilities?<br>NOTE: 'Personnel' includes principal contractor and sub-contractor.

12) Immediately prior to the commencement of a work activity, how is the competency of sub-contractors personnel assessed?

13) How is H,S&E information disseminated to sub-contractors?<br>NOTE: Is feedback encouraged in HS&E forums / meetings / formal consultations?<br>Check minutes / actions to see if raised are addressed / incorporated in the policies.

14) What action is taken if a sub-contractor deviates from the method statement?

15) What system do you have in place for accident / incident reporting, and how is this communicated to your sub-contractors?

16) How are lessons learned and subsequently communicated and shared with sub-contractors?

17) How does your organisation ensure sub-contractors have suitable arrangements in place for:<br>a) Supervision?<br>b) Management of their contractors?

18) Demonstrate that a system in place to ensure sub-contractors receive, or have received, appropriate training and instruction to enable them to work safely in compliance with current health, safety and environmental legislation?<br>NOTE: Principal contractor should include sub-contractors in relevant briefing / training sessions and retain records.

19) Is there a process for the auditing and inspection of sub-contractors activities?<br>NOTE: look for a written process, including remedial action and close out approval procedure.

20) Provide evidence to demonstrate that the requirements of this process have been adhered to.

21) Does the process clearly and adequately record:<br>a) The scope of the audit / inspection?<br>b) The findings of the audit / inspection?<br>NOTE: Visit to site me be recorded and a record of action taken retained. There should be evidence that inspections are being carried out by the Principal Contractor.

22) How are findings of audits and inspections addressed in relation to:<br>- Non-compliance with legislation><br>- Non-conformance with organisational policies and procedure?

23) How are the actions resulting from audits and inspections: <br>a) Reported<br>b) Tracked<br>c) Closed Out