Contractor HSE Audit CheckList

Contractors Name:
Contact Person:
Date of Audit:
Audited by:
Contract Sponsor:

Categories & Sub- Cat.

Sub- Description Audit Tips Cat. Average COMSTAR Remarks / Comments
Categories Score
Category 1 HSE Policy, Organization, Leadership and Participation (HSE-POLP) 29-03-2017
Sub-category 1.1 There is a documented HSE policy, authorized by the organization’s top Obtain a copy of the HSE policy and assess HSE Philosophy is being prepared, will be issued to all staff once
management that: it against the four criteria given. approved by CEO.
a) requires compliance with relevant HSE legislations
b) is appropriate to the nature and scale of organization's HSE risks
c) states overall HSE objectives, and
d) demonstrates a commitment to the continued improvement of HSE
performance

Sub-category 1.2 The HSE Policy has been effectively communicated to employees Interview sample employees from different HSE policy will be communicated to all staff once approved.
considering the language and literacy standards. When asked, employees sections and levels to ascertain their Policy will be communicated via. Posters, staff engagement
at all levels can express the organization's HSE Policy. understanding and perception of the sessions and other means of communication deemed necessary.
organization's HSE policy.

Sub-category 1.3 Adequate resources including budgetary allocations, human resources,
information, expertise, etc. are available and effectively utilized to
implement a good HSE program. A senior management employee is
formally designated as Management HSE Representative or equivalent
position with clear HSE responsibilities and accountabilities. The
designated employee has adequate qualification, training and expertise
appropriate to facility size and process, and has access to professional
advice when needed.
Interview the designated HSE Mr. XYZ, Manager ABC has been designed as HSE Coordinator,
Representative to evaluate his competence he will be responsible for implementating company HSE policy.
(appropriate to facility size and process) Detailed plan will be developed and shared with UEPL ASAP.
and also to determine the level of
management commitment evidenced from
allocation of financial and physical
resources.

Sub-category 1.4 Site HSE issues are regularly included on agendas of management
operations meetings. Management clearly demonstrates--by involvement,
support, and example--the primary importance of HSE for everyone on the
worksite. Performance is consistent and sustained or has improved over
time. Management participates in significant aspects of the site's safety
and health program, such as site inspections, incident reviews, and
program reviews.
Obtain copies of minutes of HSE meetings, Plan will be developed and shared with UEPL.
reports of site inspections, incident
investigations, audits, etc. and interview
key management personnel to gauge their
degree of involvement, commitment and
understanding of HSE issues.

Sub-category 1.5 Employees participate fully in development of the HSE program and Review the above documents with sample Plan will be developed and shared with UEPL.
conduct of training and education. Employees participate in workplace employees from different sections and
analysis, inspections, audits, investigations and program reviews levels to gauge their degree of
conducted by management or third parties. Management encourages and participation, understanding and
authorizes employees to stop activities that present potentially serious perceptions.
safety and health hazards.

Sub-category 1.6 Employees receive positive reinforcement for safety and health Ask for documentary evidence and Plan will be developed and shared with UEPL.
performance/process improvement. Management gives formal reconfirm through interviews
recognition to outstanding individual and group contributions to safety
and health?

ARITHMETIC AVERAGE OF CATEGORY 1 :

Category 2 Hazard Identification, Risk Assessment and Risk Control (HIRARC)
Sub-category 2.1 Regular surveys including documented comprehensive workplace hazard
evaluations are conducted by competent employees or HSE professionals
using workplace or activity specific checklists. Corrective action is
documented and hazard inventories are updated. Hazard analysis is
integrated into the design, development, implementation, and changing of
all processes and work practices. Inspection intervals are defined based on
identified risks.
Ask for documentary evidence of
completed inspections, surveys and risk
assessments. Evaluate quality of the risk
assessments by cross-questioning relevant
persons.
Plan for Hazard Identification & Risk Assessment
workshops/employee engagement will be shared with UEPL
ASAP

Sub-category 2.2 A formal system for hazard spotting and reporting exists. Employee reports Identify the system of hazard observation
of hazards are documented, corrective action is scheduled, and records and reporting used and obtain
maintained. The workforce readily identifies and self-corrects hazards; documentary evidence as well as interview
they are supported by management when they do so. selected persons.

same as above 2.1

Sub-category 2.3 Effectiveness of the HIRARC process is periodically reviewed and Obtain documents and assess the review
documented. process and its quality by interviewing.
same as above 2.1
Sub-category 2.4 Organization demonstrates documented evidence of Generic Risk Obtain sample risk assessments and review
Assessments as well as Job- or Project-Specific Risk Assessments with their quality by interviewing.
mitigation plans and tracking / completion records.
same as above 2.1
Sub-category 2.5 The documented evidences of Risk Assessments are relevant, "belong" to Obtain sample risk assessments and
the organization and are "suitable and sufficient" with respect to the critically cross-question to ascertain the
exposure, likelihood and consequence of injury, illness or incident. criteria outlined.

same as above 2.1

Sub-category 2.6 The risk assessments cover non-routine operations and emergencies? Obtain sample risk assessments
same as above 2.1
Sub-category 2.7 Having identified a need for additional control measures for a risk or risks, Individual(s) are nominated to implement
there is a formal action plan following the risk assessment action including a time-scale within which
they are completed. Where generic
assessments are used with a wide range of
controls, the assessment must
demonstrate how it is made site or job
specific, this is normally by identifying the
controls that are needed to control the risk.

same as above 2.1

ARITHMETIC AVERAGE OF CATEGORY 2 :
Category 3 Accident Reporting, Investigation, Record and Analysis (ARIRA)
Sub-category 3.1 A documented procedure exists for the investigation of near misses, Obtain copy of procedure. Procedure and frame work will be developed and shared with
accidents, injuries and occupational illnesses. The procedure lays out UEP ASAP
reporting requirements, levels of investigation based on actual or potential
severity of the
incidents.

Sub-category 3.2 All loss-producing accidents and "near-misses" are reported, investigated Obtain documentary evidence. Perform a
for root causes by teams or individuals that include trained safety random check on the person who
personnel and employees investigated the root causes.
same as above 3.2
Sub-category 3.3 Investigation data are fully analyzed and Lessons Learned are effectively Obtain documentary evidence of Lessons
communicated to employees. Significant analytical findings are used for Learned communication.
prevention.
same as above 3.2
Sub-category 3.4 Responsibilities are assigned to identified personnel for implementation Obtain documentary evidence. Check on
and reviewing the effectiveness of corrective actions arising from open action items and review status with
investigations. Corrective actions are tracked to closure person responsible for implementation.

same as above 3.2

ARITHMETIC AVERAGE OF CATEGORY 3 :
Category 4 Occupational Health
Sub-category 4.1 Employees report early signs/symptoms of job-related injury or illness and Obtain documentary evidence and perform
receive appropriate treatment. On-site or visiting Health care providers a spot check on any employee identified
provide follow-up on employee treatment protocols and are involved in with any occ. health history.
hazard identification and control in the workplace. Medical surveillance
addresses conditions not covered by specific standards. Employee
concerns about medical treatment are documented and responded to.

Sub-category 4.2 Fitness-to-Work criteria for personnel involved in various hazardous
activities conducted by the organization are established and monitored
Obtain documentary evidence of Fitness to
Work criteria (man-job specifications) and
proof of application for typical hazardous
work activities performed by the
organization.

Sub-category 4.3 Work and rest periods are controlled and documented to ensure Check random schedules and interview
regulatory compliance as well as manage work stress and fatigue. Work selected persons.
and rest cycles take into account level of risk at work.
ARITHMETIC AVERAGE OF CATEGORY 4 :
Category 5 Environment
Sub-category 5.1 Environmental aspects and impacts of organization's activities are formally Obtain copy of an environmental
assessed and addressed according to regulatory requirements, engineering assessment and perform a spot check on
and technical standards or best industry practices. any one aspect to determine the depth,
quality and pertinence of the analysis

Sub-category 5.2 Adequate systems are in place for safe disposal of all hazardous waste to Check documents and verify physically
minimize air, ground and water pollution through trained handlers / waste
removal contractors.
Sub-category 5.3 Adequate and effective systems exist for monitoring of pollution control Check documents and interview relevant
measures and regulatory compliance. persons
ARITHMETIC AVERAGE OF CATEGORY 5 :
Category 6 Fire and Emergency Response and Preparedness (FERP)
Sub-category 6.1 Potential emergency situations have been identified and emergency When asked about any kind of likely Emergency Response plan for head office, regional office and
response plans for every likely emergency have been prepared by persons emergency, can employees tell you exactly site office will be developed and shared with UEPL ASAP.
with specific training. Appropriate alarm systems are present. Employees what they are supposed to do and where
are trained in emergency procedures. Procedures for terminating an they are supposed to go?
emergency response condition are clearly defined.

Sub-category 6.2 Evacuation drills are conducted no less than annually. The evacuation Ask for records. Interview randomly to Same as above 6.1
response is evaluated and any corrective actions identified and check if employees can recall when the last
implemented. The plan is reviewed by a qualified HSE professional. drill was conducted.

Sub-category 6.3 A fire risk assessment appropriate to facility size and work activities has There should be a completed fire risk Same as above 6.1
been conducted and findings documented. Appropriate fire detection, assessment. It would be expected to follow
prevention and control measures are in place including availability of the hierarchy of control and need to show
portable and fixed fire extinguishers, detectors and trained personnel. The how the risk of fire is eliminated or
risk assessment covers all work areas including offices, workshops, yards, reduced.
warehouses, laboratories, utility areas, etc.

Sub-category 6.4 Emergency and fire protection equipment, exit signs, detectors and alarms Ask for records and physically verify Same as above 6.1
are inspected, tested and maintained at regular intervals and records through on-site inspections.
maintained. Competent persons have assessed the suitability, location and
accessibility of emergency and fire protection equipment.

Sub-category 6.5 Personnel with certified first aid skills are always available on-site; their Check records and verify by interviewing Same as above 6.1
level of training is appropriate to the hazards of the work being done. relevant persons.
Adequacy of first aid is reviewed periodically or after significant incidents.
In larger facilities a health care provider is available on-site.

Sub-category 6.6 Adequate number of correct type of fire extinguishing equipment provided Obtain list of equipment and physically Same as above 6.1
and correctly located. verify through onsite inspections.
Sub-category 6.7 Safe procedure and system exists for the storage of flammable and Check documents, interview relevant Same as above 6.1
explosive materials. Safe separation distances are maintained and persons and verify physically.
incompatible materials segregated. Spill control and secondary
containment systems are in place.

ARITHMETIC AVERAGE OF CATEGORY 6 :

Category 7 Purchasing of Goods, Services and Sub-contracting (POGASS)
Sub-category 7.1 Management investigates a contractor's HSE record as one of the bidding Ask for records and obtain physical Sub Contractor's HSE management plan will be developed and
criteria. The ability to meet HSE requirements is reviewed and evaluated in corroboration if possible on site. shared with UEPL accordinngly.
the selection of sub-contractors Presently COMSTAR engages UEPL approved subcontractors for
transportation and lifting services.

Sub-category 7.2 Someone is specifically named as responsible for assessing the Interview the designated person to gauge same as above 7.1
competency of sub-contractors before their starting work? his understanding of responsibilities and
the process used to assess sub-contractors.
Sub-category 7.3 The organization has satisfactory arrangements for assessing the This however, is open to interpretation in same as above 7.1
competency of sub-contractors? Their HSE performance is monitored and that assessing competency will to some
reviewed to ensure continued adherence to HSE purchase specifications. extent be based on various factors. A
company that runs an “approved list” and
checks issues such as technical ability,
references, finance and HSE will be
adequate but similarly a small company
that only uses contractors who have
worked for them before or come as a
recommendation could also suffice. A
judgment will need to be made on the level
of assessment bearing in mind “reasonably
practicable”)

Sub-category 7.4 HSE requirements are identified, evaluated and incorporated into all Ask for sample purchasing specifications same as above 7.1
purchasing specifications for goods and services. Purchased goods and and procedure for ensuring conformance.
services are checked for conformance to these purchasing specifications.

Sub-category 7.5 Customer-supplied goods and services used in the organization's work Ask for sample risk assessments and same as above 7.1
processes are subject to risk assessment and control prior to use. evaluate adequacy of assessment and
corresponding controls.
ARITHMETIC AVERAGE OF CATEGORY 7
Category 8 Work Environment, Tools, Equipment and Personal Protection (WETEPP)
Sub-category 8.1 There is a preventive maintenance schedule that provides for timely Ask for schedules and maintenance
maintenance of the facilities and work equipment records.
Sub-category 8.2 There is a written or computerized record of performed maintenance that Check maintenance records to ensure
shows the schedule has been followed adherence to schedules. Also check
whether maintenance tasks comply with
vendor guidelines or good engineering /
industry practice.

Sub-category 8.3 Conditions of floors, walkways, roofs, walls, structures, buildings, utility Check schedules and their compliance.
areas, etc. is sound and schedules for regular periodic maintenance and Verify physical condition
inspection exist.
Sub-category 8.4 Illumination levels in various work areas, corridors, stairways and offices Verify physically. Ask if illumination survey
are appropriate for the kind of work performed conducted and obtain copy of survey
report.
Sub-category 8.5 Adequate natural or artificial ventilation and air quality are ensured in all Verify physically.
areas.
Sub-category 8.6 Designated person is authorized and accountable for ensuring all work Interview designated person to evaluate
equipment is properly maintained? schedules, compliance and task lists.
Sub-category 8.7 Clear instructions are available about the use of work equipment, which Check records of trainings and their
requires special training before use? validity. Interview sample employees to
evaluate quality of training.
Sub-category 8.8 Tools, equipment, instruments, etc. requiring periodic testing, calibration, Check records and verify physically through
certification, license renewal, etc. are identified and compliance monitored on-site inspections
and documented.
Sub-category 8.9 Workshops, yards and other work places are neat and orderly. Materials Verify physically. Interview responsible
stored in designated areas. Superfluous materials removed. Separate persons to check materials receipts,
containers provided for different materials and scrap where necessary. disposal and scrap removal schedules.

Sub-category 8.10 There is a formal process for unsafe plant and equipment to be identified Check procedure documents and records.
and quarantined and withdrawn from service Physically verify and interview relevant
persons.
Sub-category 8.11 All rotary equipment and machines adequately guarded or enclosed. Physically verify and interview relevant
persons.
Sub-category 8.12 All first aid and emergency equipment, electrical isolation switches, fire Physically verify and interview relevant
extinguisher locations and emergency exits unobstructed and easily persons.
accessible.
Sub-category 8.13 Kitchen, canteen and food storage facilities are adequate and well- Physically verify and interview relevant
maintained. persons.
Sub-category 8.14 Toilets and ablution facilities meet minimum legislated standards Physically verify and interview relevant
persons.
Sub-category 8.15 Is someone named as responsible for identifying, specifying and issuing Interview designated person to determine
PPE? selection criteria, quality assurance and
conformance with standards.

Sub-category 8.16 Where PPE is required, it is appropriate for the task, it conforms to Interview sample users of PPE to evaluate
international standards, its provision is accompanied by suitable training adequacy, appropriateness and awareness
and it is used correctly and maintained in a serviceable condition. about use and care of PPE. Also physically
examine sample PPE to check quality and
condition.

ARITHMETIC AVERAGE OF CATEGORY 8 :

Category 9 HSE Procedures, Information and Documents (HSE-PID)
Sub-category 9.1 Specific instructions associated with particular materials, products, Check documents and interview sample Detailed procedures applicable to our activities will be
processes, projects, sites, etc. have been developed where appropriate persons to ascertain knowledge and developed and share with UEPL ASAP.
and communicated to relevant or effected employees. understanding
Sub-category 9.2 Comprehensive HSE information (including MSDS, product labels, vendor- Check documents and interview sample same as above 9.1
provided instructions, operating and maintenance procedures, etc.) is persons to ascertain knowledge and
readily accessible for all hazardous substances, goods, machinery and understanding
equipment.

Sub-category 9.3 Complete and up-to-date information on all regulatory, contractual or Check documents and spot check to ensure same as above 9.1
otherwise mandatory testing's, inspections, calibrations, certifications, etc. they are accurate, complete and up-to-date
are maintained and are easily accessible.
Sub-category 9.4 The organization’s procedures, work instructions and work practices reflect Check documents and spot check to ensure same as above 9.1
the requirements of current HSE legislation, standards, codes of practice, they meet requirements outlined
industry best practices, contractual agreements, guidelines

Sub-category 9.5 Documents and data are regularly reviewed by competent persons to Check documents and spot check review same as above 9.1
ensure that the information is current periods and quality of review. Interview
selected persons
ARITHMETIC AVERAGE OF CATEGORY 9 :
Category 10 HSE Training and Competencies (HSE-TAC)
Sub-category 10.1 Arrangements are provided for health and safety induction training and Check training records, training contents Refer to section 1
maintaining HSE training records and frequencies.
Sub-category 10.2 A designated person Is responsible for identifying training needs and Interview designated person to assess Refer to section 1
implementing training? quality of training need analysis and
development and implementation of
training programs

Sub-category 10.3 All new employees receive HSE induction training? This is normally by way of training records Refer to section 1
and/or some form of list of contents for the
induction training provided. Interview any
recently hired employees to verify
adequacy of training

Sub-category 10.4 The written training program include complete training for every employee Review complete list of training programs Refer to section 1
in emergency procedures and in all potential hazards to which employees along with their contents and verify that all
may be exposed identified risks are addressed and all
competency requirements are included

Sub-category 10.5 Training plans for managers include training in HSE responsibilities? Check records and interview selected Refer to section 1
mangers
Sub-category 10.6 Knowledgeable persons conduct HSE training that is scheduled, assessed, Check records and interview sample Refer to section 1
and documented. Training covers all necessary topics and situations, and employees. Also review training manuals
includes all persons working at the site and handouts
ARITHMETIC AVERAGE OF CATEGORY 10 :
SUMMARY OF AUUDIT FINDINGS
 Contractor HSE Audit Checklist

Score What the score means

0 The requirement of the sub-category is not applicable to the organization

1 There is no documentation or demonstrated implementation in place.

There has been some rudimentary documentation, however, there has been no implementation.
2
Less than 50% of requirements are met.

Plan has been implemented in most areas and results or outcomes are being monitored. The
3 process has been documented and there has been some instruction, but the process has not
been fully implemented. More than 50% of requirements are met.

Strategy / control is in place in all relevant areas achieving positive trends and results of
monitoring used to improve the strategy / control. The process is documented, persons have
4
been instructed and there is documentation to demonstrate that the process has been
implemented. About 80% of the requirements are met

The control / strategy is highly effective and the results / outcomes are best in class in the field.
5 The process is fully implemented, is working effectively and is regularly reviewed to ensure
continuous improvement. All requirements are met.
 CONTRACTORS' HSE AUDIT CHECKLIST
Average Weightage Weighted
Category Description Score Factor Average Remarks
of Category Multiplier Score

1 HSE Policy, Organization, Leadership and Participation (HSE-POLP) 1

2 Hazard Identification, Risk Assessment and Risk Control (HIRARC) 3
3 Accident Reporting, Investigation, Record and Analysis (ARIRA) 2
4 Occupational Health 1
5 Environment 1
6 Fire and Emergency Response and Preparedness (FERP) 2
7 Purchasing of Goods, Services and Sub-contracting (POGASS) 2
8 Work Environment, Tools, Equipment and Personal Protection (WETEPP) 3
9 HSE Procedures, Information and Documents (HSE-PID) 3
10 HSE Training and Competencies (HSE-TAC) 3
Overall Ranking of the organization
General Remarks & Comments