Site Visit & Monitoring Checklist

• Project name and number

• Prepared by

• Date and Time

  Date
• Location
  Address

• Project Description

• INSTRUCTIONS
  ------------------------------
  1. Please answer the questions provided below.
  2. Add photos and notes by clicking on the paperclip icon.
  3. To add a Corrective Action click on the paperclip icon then "Add Action," provide a description, assign to a member, set priority, and due date.
  4. Complete audit by providing digital signature.
  5. Share your report by exporting as PDF, Word, Excel or Web Link.

EMPLOYMENT FIGURES

• Slide on to input employment figures if they are available.

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  On

Current Number of Permanent Employees (locals)

• Managerial (Male)

• Managerial (Female)

• Professional/Technical (Male)

• Professional/Technical (Female)

• Low Skilled (Male)

• Low Skill (Female)

Current Number of Permanent Employees (Expatriate)

• Managerial (Male)

• Managerial (Female)

• Professional/Technical (Male)

• Professional/Technical (Female)

• Low Skilled (Male)

• Low Skill (Female)

Retrenched Employees (During OPIC Investment)

• Managerial (Past)

• Managerial (Future)

• Professional/Technical (Past)

• Professional/Technical (Future)

• Low Skilled (Past)

• Low Skilled (Future)

Temporary Contract Employees (Construction Employees)

• Managerial (Local)

• Managerial (Expatriate)

• Professional/Technical (Local)

• Professional/Technical (Expatriate)

• Low Skill (Local)

• Low Skill (Expatriate)

Other Temporary/Contract Employees (Indicate job functions, whether seasonal or casual, etc.)

• Managerial (Local)

• Managerial (Expatriate)

• Professional/Technical (Local)

• Professional/Technical (Expatriate)

• Low Skill (Local)

• Low Skill (Expatriate)

ESMS

• Does the project have an overarching Environmental and Social Policy in place that conforms with OPIC and or IFC expectations?<br>

  Yes

  No

  N/A

• Are employees and management aware of the requirements of the policy?

  Yes

  No

  N/A

• Describe how employees and management are made aware.

• Does the system address specific legal requirements, including local permits?

  Yes

  No

  N/A

• Are responsibilities for implementation clearly defined?

  Yes

  No

  N/A

• Is there a process in place to periodically review performance (e.g. internal audits)?

  Yes

  No

  N/A

• Are effective training programs in place, if yes - state how training is documented.

  Yes

  No

  N/A

• Describe how training is documented.

• Are monitoring procedures and results properly documented?

  Yes

  No

  N/A

• Describe how these procedures and results are documented.

STAKEHOLDER ENGAGEMENT

• Does the project have a formal program on stakeholder engagement?

  Yes

  No

  N/A

• Does the project have a community liaison officer?

  Yes

  No

  N/A

• Does the project have a grievance mechanism in place to address community complaints and concerns?

  Yes

  No

  N/A

• Does theproject issue regular public reports on project status and monitoring results?

  Yes

  No

  N/A

• Has the project met commitments for social impact mitigation and community development?

  Yes

  No

  N/A

• Does the project have ongoing/outstanding/unresolved grievances that are not being tracked or monitored?

  Yes

  No

  N/A

• Please describe the length of time the grievance has been filed. Assign an action to ensure it is tracked to completion.

CLIMATE CHANGE RESILIENCE

• Were any climate resilience factors/risks assessed or noted in the clearance?

  Yes

  No

  N/A

• Describe and similarities or differences from the clearance.

• Does the site visit reveal that is there potential climate risk/vulnerability to the site or project infrastructure (i.e., does the site visit reveal vulnerability to floods, droughts, wildfires, erosion, flooding, subsidence, landslides, temperature or precipitation changes)?

  Yes

  No

  N/A

• Describe the observed vulnerabilities.

• Does the project have a plan to address potential risks from climate change?

  Yes

  No

  N/A

PS 3 - 4 / OHS & ENV

• Slide ON to access OHS & ENV Questions

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  On

OHS & ENV

• Does the project have an occupational, health and safety policy or plan?

  Yes

  No

  N/A

• Does the project have a safety manager or a safety committee?

  Yes

  No

  N/A

• Name and contact of the person in charge.

• If the project does not have a safety manager or committee who is managing the safety program?

• Are all employees trained to work safely in the hazards associated with their work?

  Yes

  No

  N/A

• Are hazardous areas, materials, emergency exits etc. clearly marked in accordance with international signage standards?

  Yes

  No

  N/A

• Is there an adequate supply of ventilation & clean air in the workplace?

  Yes

  No

  N/A

• Is the lighting adequate for the type of work being done?

  Yes

  No

  N/A

• Is adequate potable water and sanitation available to employees?

  Yes

  No

  N/A

• Are there at least two safe exits available which are unobstructed and clearly marked?

  Yes

  No

  N/A

• Are fire extinguishers accessible and serviced regularly?

  Yes

  No

  N/A

• Does the project have procedures in place to reduce accidents related to electrocution?

  Yes

  No

  N/A

• Does theproject have procedures in place to reduce accidents related to falling objects?

  Yes

  No

  N/A

• Does theproject have procedures in place to reduce accidents related to burns or other physical hazards associated with machinery??

  Yes

  No

  N/A

• Does the project have procedures in place to reduce accidents related to the collapse of structures, such as trenches?

  Yes

  No

  N/A

• Are emergency procedures in place and periodically tested?

  Yes

  No

  N/A

• Are all employees working in hazardous situations required to wear company- issued personal protective gear?

  Yes

  No

  N/A

• Are there worker accommodations and do they provide adequate and sanitary living conditions?

  Yes

  No

  N/A

AIR EMISSIONS

• Is the project operating in compliance with local, host country and international requirements for air emissions?

  Yes

  No

  N/A

• Has the project been required by any regulator to take corrective actions with respect to air emissions or have they been notified of non-compliance?

  Yes

  No

  N/A

• Describe the corrective action and or include a scan of the regulators notice to the project.

• Does the project have an up-to-date site plan identifying all point sources?

  Yes

  No

  N/A

• Does the company monitor ambient air quality and point source emissions?

  Yes

  No

  N/A

• Does the company control dust to reduce nuisance impacts?

  Yes

  No

  N/A

• Is there any open burning of waste?

  Yes

  No

  N/A

• Does the project use CFCs, halon, carbon tetra-chloride, methyl bromide or HBFCs?

  Yes

  No

  N/A

• Are the amounts within regulation or permit limits?

  Yes

  No

  N/A

• Are there plans to phase out the use of any ozone-depleting substances?

  Yes

  No

  N/A

• Are sampling/monitoring records available on-site for review?

  Yes

  No

  N/A

• Is the project required to report greenhouse gas operations on an annual basis?

  Yes

  No

  N/A

• Record values if known.

ENERGY CONSERVATION

• Has the Company developed an energy management program?

  Yes

  No

  N/A

• Does the project have a high performance building scorecard (e.g. EDGE, LEED, etc.)?

  Yes

  No

  N/A

• Are the energy, water and/or renewables strategies committed to in the scorecard installed in the project?

  Yes

  No

  N/A

• If the project does not have a high performance score card, has the project implemented any measures to reduce energy demand (e.g. insulation, repairs, or energy efficient upgrades)?

  Yes

  No

  N/A

• Does the project have a tenant/employee engagement program to encourage energy and water conservation in building operation?

  Yes

  No

  N/A

• Please describe or attach the plan.

• Is the project pursuing third party certification for environmental sustainability (e.g. EDGE, LEED, etc.)? If yes, then what is the status of the certification?

  Yes

  No

  N/A

WATER USE AND EFFLUENTS

• Does the project have a Water Management/Budget Plan?

  Yes

  No

  N/A

• Is the project’s total water use in compliance with local or host country requirements?

  Yes

  No

  N/A

• If the project involves the provision of safe drinking water to employees or members of the public, is the water confirmed to be potable?

  Yes

  No

  N/A

• Does the project regularly test drinking water quality and are records kept on site regarding this water testing?

  Yes

  No

  N/A

• Does the project generate liquid effluents that are discharged to a municipal treatment system, storm drain, septic system or body of surface water? (If so, where does it discharge)

  Yes

  No

  N/A

• Please describe where the discharge goes.

• Are all liquid effluent discharges in compliance with local, host country and international standards?

  Yes

  No

  N/A

• Does the project separate sanitary wastewater from other waste steams?

  Yes

  No

  N/A

• Has the project installed oil/water separators or grease traps in areas using or storing hydrocarbons?

  Yes

  No

  N/A

• Has the project been required by any regulator to take corrective actions with respect to liquid effluent discharges or have they been notified of non-compliance?

  Yes

  No

  N/A

• Please describe or attach the notification of non-compliance

• Attach supporting documentation.

  Media

• Are process and sanitary wastewater flows controlled and treated, and are these controls treatment processes functioning in accordance with predicted performance?

  Yes

  No

  N/A

• Does the project properly dispose of sludge generated in the process or treatment process?

  Yes

  No

  N/A

• Does the project monitor effluent and treated effluent?

  Yes

  No

  N/A

• Are sampling/monitoring records available on-site for review?

  Yes

  No

  N/A

• Is the project making any effort to reduce the volume of water used or the volume of liquid effluents generated?

  Yes

  No

  N/A

SOLID WASTE MANAGEMENT

• Does project have a Waste Management Plan?

  Yes

  No

  N/A

• Is housekeeping in waste storage areas adequate?

  Yes

  No

  N/A

• Is solid waste stored properly and serviced by municipality or licensed contractor?

  Yes

  No

  N/A

• Has the project been required by any regulator to take corrective actions with respect to waste management?

  Yes

  No

  N/A

• Describe the corrective action or attach a copy of the report.

• Add media

  Media

HAZARDOUS MATERIALS MANAGEMENT

• Does the project transport, use or store hazardous materials, including petroleum products that are subject to local, host country or international requirements?

  Yes

  No

  N/A

• Do employees receive training in the safe management of hazardous materials?

  Yes

  No

  N/A

• Does the project maintain an accurate inventory of hazardous materials and are records stored on site?

  Yes

  No

  N/A

• Does the project have a spill prevention, control and counter measures plan in place?

  Yes

  No

  N/A

• Has the project conducted a formal hazard or risk assessment of the potential for spills, fires or explosions?

  Yes

  No

  N/A

• Has the project experienced any incident(s) regarding the transport, use or storage of these materials?

  Yes

  No

  N/A

• Please describe the incident(s)

• Has the company been under investigation or cited by a regulator for suspected or actual violations of hazardous materials or waste management?

  Yes

  No

  N/A

• Describe the investigation or the citation.

• Are hazardous or toxic compounds properly labeled, easily identifiable and regularly inspected for container/storage leaks or failures?

  Yes

  No

  N/A

• Are Safety Data Sheets readily available to all employees in the local language?

  Yes

  No

  N/A

• Are all employees working in and around hazardous materials provided with appropriate personal protective equipment?

  Yes

  No

  N/A

• Has information regarding hazards and risks been shared with the potentially affected communities in a timely and culturally sensitive manner?

  Yes

  No

  N/A

NOISE

• Does the project generate noise above the background level at the facility perimeter?

  Yes

  No

  N/A

• Are the noise levels in compliance with local, host country and international requirements?

  Yes

  No

  N/A

• For areas where noise levels exceed occupational safety levels, are workers and visitors issued protective gear?

  Yes

  No

  N/A

• Are noise levels monitored and reported?

  Yes

  No

  N/A

• Has the company installed noise control equipment and is it effective?

  Yes

  No

  N/A

• Has the Company been required by any regulator to take corrective actions with respect to noise.

  Yes

  No

  N/A

SITE CONTAMINATION

• Is there evidence that the site may be contaminated with hazardous materials or petroleum concentrations above background or naturally occurring levels?

  Yes

  No

  N/A

• Is there abandoned equipment or transformers on site that may contain PCBs or other hazardous materials?

  Yes

  No

  N/A

EMERGENCY AND SAFETY

• Does Company have Emergency Response Plan?

  Yes

  No

  N/A

• Does the Company routinely coordinate with local officials on issues related to such things as emergency response?

  Yes

  No

  N/A

LOCAL ENV LAW

• Do local environmental, health and safety authorities visit the project?

  Yes

  No

  N/A

• If yes, then state: frequency of visits, authority name and contact information and date of last visit.

• Has the Project been fined or cited for local law violations?

  Yes

  No

  N/A

• Describe the details of the citation.

LABOR AND WORKING CONDITIONS

• Slide ON to access labor and working conditions.

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  On

• Is the project in compliance with local social and labor laws?

  Yes

  No

  N/A

• Is there evidence of labor or social-related lawsuits/administrative actions (during time of investment)?

  Yes

  No

  N/A

• Describe the lawsuits or administrative actions.

• Is the project experiencing financial distress?

  Yes

  No

  N/A

• Describe the financial conditions.

• Is the client familiar with social and worker rights requirements?

  Yes

  No

  N/A

• Is there a written human resource manual covering procedures, terms and conditions of employment?

  Yes

  No

  N/A

• Does the employment contract cover terms and conditions of employment?

  Yes

  No

  N/A

• Are the terms and conditions of employment communicated in terms workers understand?

  Yes

  No

  N/A

• What are the expected hours of work per day and per week?

• Are there written overtime policies and procedures?

  Yes

  No

  N/A

• Is there evidence of excessive overtime?

  Yes

  No

  N/A

• Is there a method of oversight of working hours?

  Yes

  No

  N/A

• Are wages compliant with national law?

  Yes

  No

  N/A

• Are wages consistent with prevailing wages?

  Yes

  No

  N/A

• Is overtime pay compliant with national law?

  Yes

  No

  N/A

• Are wages paid on time and in full?

  Yes

  No

  N/A

• Are employee benefits compliant with national law?

  Yes

  No

  N/A

• Are benefits beyond legal requirements provided? If yes, describe.

  Yes

  No

  N/A

• Describe how the benefits are beyond legal requirements.

• Is there an applicable ESPS?

  Yes

  No

  N/A

• Is there a mechanism for labor/social complaints/reports internally and externally?

  Yes

  No

  N/A

WORKERS ORGANIZATION

• Does national law allow for unions?

  Yes

  No

  N/A

• Are workers on the project unionized? (include name of union(s))

  Yes

  No

  N/A

• Are there other worker organizations?

  Yes

  No

  N/A

• Does the project have a collective bargaining agreement?

  Yes

  No

  N/A

• Is the project compliant with any collective bargaining agreements?

  Yes

  No

  N/A

• Is there a positive working relationship between management and unions?

  Yes

  No

  N/A

• Is there any evidence of managerial interference?

  Yes

  No

  N/A

• Is there evidence of strikes or work stoppages?

  Yes

  No

  N/A

• Is freedom of association protected in human resource policies?

  Yes

  No

  N/A

NON-DISCRIMINATION

• Does HR provide an EEO/Non-discrimination policy?

  Yes

  No

  N/A

• Is there evidence of discrimination including gender/ ethnic/ etc. imbalance throughout the workforce?

  Yes

  No

  N/A

• Are project plans based on principles of non-discrimination?

  Yes

  No

  N/A

RETRENCHMENT

• Is there evidence of collective dismissals?

  Yes

  No

  N/A

• Does the project have an analysis of alternatives?

  Yes

  No

  N/A

• Does the project have a retrenchment plan?

  Yes

  No

  N/A

• Is there evidence of appropriate consultations with workforce, workers organizations, government?

  Yes

  No

  N/A

• Do workers receive(d) notice of dismissal?

  Yes

  No

  N/A

• Are workers provided severance pay/back pay?

  Yes

  No

  N/A

GRIEVANCE MECHANISM

• Is there a written grievance policy and or procedure?

  Yes

  No

  N/A

• Is this grievance procedure accessible to all workers?

  Yes

  No

  N/A

• Is the policy communicated to all workers?

  Yes

  No

  N/A

• Is there an anonymous mechanism to submit the grievance?

  Yes

  No

  N/A

• Are there at least two avenues for workers to file grievances?

  Yes

  No

  N/A

• If yes, provide both methods (e.g. list phone number, or email address)

CHILD LABOR

• Does the project have a child labor policy?

  Yes

  No

  N/A

• Are project activities at high risk for child labor?

  Yes

  No

  N/A

• Describe project policies to mitigate this risk.

• Is there any evidence of harmful child labor at the project?

  Yes

  No

  N/A

• Are any workers under the age of 18?

  Yes

  No

  N/A

• Are there any workers under age 18 performing hazardous work?

  Yes

  No

  N/A

• How does the project verify that workers are over 18 years old?

• What is the minimum age policy?

FORCED LABOR

• Are project activities at high risk for forced labor?

  Yes

  No

  N/A

• Describe the project's policies to mitigate this risk.

• Is there any evidence of forced labor?

  Yes

  No

  N/A

• Does the project have a forced labor policy?

  Yes

  No

  N/A

• Do workers have access to personal identification documents?

  Yes

  No

  N/A

• Does the project use third party labor brokers?

  Yes

  No

  N/A

• Are migrant workers engaged on substantially equivalent terms?

  Yes

  No

  N/A

• Does the employer cover the cost of returning workers to their place of recruitment?

  Yes

  No

  N/A

THIRD PARTY WORKERS

• Has the project conducted due diligence to ensure that third party contractors have appropriate labor management system?

  Yes

  No

  N/A

• Does the project include labor covenants in agreements with third party contractors?

  Yes

  No

  N/A

• Project has established policies and procedures for monitoring the labor performance of third party contractors.

  Yes

  No

  N/A

• Third party workers have access to a grievance mechanism.

  Yes

  No

  N/A

SUPPLY CHAIN

• High risk of child or forced labor in the primary supply chain.

  Yes

  No

  N/A

• Project has policies and procedures for monitoring supply chain for risks or incidents of child or forced labor.

  Yes

  No

  N/A

• Describe the projects policies in place to mitigate this risk.

• Project has identified and remedied cases of child or forced labor in the primary supply chain.

  Yes

  No

  N/A

SECURITY PERSONNEL

• Are or will security personnel be present? If yes, click switch to ON.

  Off

  On

SECURITY PERSONNEL

• Has a security risk assessment been performed?

  Yes

  No

  N/A

• Project engages security guards (if yes, indicate number, whether direct, private contractors, or government)

  Yes

  No

  N/A

• Project engages armed security.

  Yes

  No

  N/A

• Security trained on use of force, rules of conduct.

  Yes

  No

  N/A

• Grievance mechanism in place for community/worker complaints and concerns related to security.

  Yes

  No

  N/A

• Document any incidents of use of force. Attach any necessary after incident reports for review.

  Yes

  No

  N/A

PS 5: RESETTLEMENT

• Will Resettlement be an issue? If yes, then click switch to ON.

  Off

  On

• Project required land acquisition.

  Yes

  No

  N/A

• Project originally purchased the land through a voluntary transaction at market rates.

  Yes

  No

  N/A

• Please complete applicable selections in Appendix A

PS 7: INDIGENOUS PEOPLES

• Project operating in/near land used/accessed by IP.

  Yes

  No

  N/A

• Please complete applicable selections in Appendix A

• Project has developed and implemented Indigenous Peoples Plan (IPP)

  Yes

  No

  N/A

PS 8: CULTURAL HERITAGE

• Project has Chance Finds Procedure

  Yes

  No

  N/A

• Project site located in or near protected areas or sensitive ecosystems (i.e., cultural heritage sites, culturally-significant areas)

  Yes

  No

  N/A

• Please complete applicable selections in Appendix A

• Project may have adverse impacts on indigenous communities.

  Yes

  No

  N/A

APPENDIX A

• Click to ON for access to Appendix A

  Off

  On

PS 5: RESETTLEMENT

• Details of resettlement plans, impacts, actions, next steps, compliance, etc.

• Project involves involuntary physical displacement.

  Yes

  No

  N/A

• Project involves involuntary economic displacement.

  Yes

  No

  N/A

• Project has developed Resettlement and/or Livelihood Restoration Framework

  Yes

  No

  N/A

• Project operating in compliance with Resettlement and/or Livelihood Restoration Framework.

  Yes

  No

  N/A

• Project has developed Resettlement Action Plan (RAP)

  Yes

  No

  N/A

• Project operating in compliance with RAP

  Yes

  No

  N/A

PS 7: INDIGENOUS PEOPLES

• Details of plans, impacts, actions, next steps, compliance, etc. related to Indigenous Peoples

• Project may have adverse impacts on indigenous communities

  Yes

  No

  N/A

• Project has developed and implemented Indigenous Peoples Plan (IPP)

  Yes

  No

  N/A

• Project operation in compliance with IPP

  Yes

  No

  N/A

PS 8: CULTURAL HERITAGE

• Details of plans, impacts, actions, next steps, compliance, etc. related to Cultural Heritage

• Project carried out CHIA

  Yes

  No

  N/A

• Project consulted with nearby affected communities and respective government/academic institutions

  Yes

  No

  N/A

APPENDIX B - SUB CONTRACTOR LABOR MANAGEMENT SYSTEM

• Turn on if you want to proceed with Appendix B.

  Off

  On

LABOR DUE DILIGENCE

• Exclusion list that references forced and child labor

  Yes

  No

  N/A

• Labor-related registration and compliance confirmation (relevant licenses and permits, etc.)

  Yes

  No

  N/A

• Site visit(s) to assess labor risks

  Yes

  No

  N/A

• Labor compliance checklist

  Yes

  No

  N/A

• Labor action plan (to be included in agreements when projects are not fully compliant)

  Yes

  No

  N/A

• Labor-related covenants included in agreements

  Yes

  No

  N/A

• Responsible officers

  Yes

  No

  N/A

LABOR MONITORING

• Site visits to assess labor compliance

  Yes

  No

  N/A

• Labor compliance checklist

  Yes

  No

  N/A

• Self-reporting by contractors/SMEs/investments, etc.

  Yes

  No

  N/A

• Corrective Action Plans when non-compliance is identified

  Yes

  No

  N/A

• Frequency of monitoring

  Yes

  No

  N/A

• Responsible officers

  Yes

  No

  N/A

NOTES, OVERVIEWS and SUMMARIES

• Site Visit Notes/Overview

• Documents Reviewed (Payroll records, time sheets, employment contracts, human resource manual, Collective Bargaining Agreement, ESMS, contractor/loan agreements, etc.)

• List contacts or points of contact for project here.

• Attach business card scans here.

  Media

• Attach project pictures here.

  Media

COMPLETION AND SIGN-OFF

• Auditor's Name and Signature

  Sign