CONTRACTOR HS&E MANAGEMENT SYSTEM ASSESSMENT
(COMMON AUDIT PROCESS REPORT)
Contractor Name:
Address:
City / State:
Represented by:
Email: Contact Phone#
Scope of Work: Coverage Area: GoM
BP Sector Leader: Operator: BP
Auditor: Contact Phone#
Auditor Email:
Audit Date:
1. HS&E Management System
Does the Management System address the following key elements?
Management System Documentation
Confirm through the Elements below : Review: Review:
Yes No Yes No N/A
2. HS&E Staff
3. HS&E Manual
4. HS&E Work Procedures
5. Regulatory Programs
6. Substance Abuse & Contraband
7. Employee Training
8. Short Service Employee Program
9. Behavior Based Safety Program
10. HS&E Meetings
11. Audit & Inspection Process
12. Incident Reporting/Investigation
13. Hazard Control
14. Management of Change
15. Safe Work Practices
16. Intervention
17. Preventive Maintenance
18. Emergency Preparedness
19. Sub-Contractors
20.Subpart O Program
Rev. February 18, 2009 Page 1 of 42
Comments:
HEALTH, SAFETY AND ENVIRONMENTAL PERFORMANCE
Injury and Illness Date:
A. Employee hours worked last three
years (excluding subcontractors) Year 2006 2007 2008
Man-Hours
B. Data Provided using OSHA Recordkeeping Guidelines from the past three (3) years: (sub-
contractor hours excluded)
2006 2007 2008
As per OSHA Recordkeeping Guidelines
No. Rate No. Rate No. Rate
Vehicular Incidents & Fleet Safety Rate:
Rate = Number of Vehicle Accidents X
1,000,000 / Total Miles Driven
Injury related fatalities Rate =
Cases X 200,000 / Total employee hours
Injuries involving only days of restricted
work activity Rate = Cases X 200,000 /
Total employee hours
Injuries involving only days away from
work Rate = Cases X 200,000 / Total
employee hours
Injuries involving medical treatment only
Rate = Cases X 200,000 / Total
employee hours
Illness related fatalities Rate =
Cases X 200,000 / Total employee hours
Illness involving only days of restricted
work activity Rate =
Cases X 200,000 / Total employee hours
Illness involving only days away from
work Rate = Cases X 200,000 / Total
employee hours
Illness involving medical treatment only
Rate = Cases X 200,000 / Total
employee hours
Total All Recordable Injuries/Illnesses &
rate (TRIR) Rate =
All Cases X 200,000 / Total employee
hours
Statistical information verified:
Auditor:
Rev. February 18, 2009 Page 2 of 42
2. HSE Staff
Question Comments / Findings Score
2.1 Does company have staff personnel
dedicated to HSE Management? Title?
Full-time? Part-time?
2.2 Is HSE Management their primary
responsibility? Identify responsibilities
other than HSE management (if
applicable).
2.3 What is the experience level of the
designated HSE representative
participating in this audit?
2.4 What are designated HSE
representatives length of employment
with company?
2.5 Does the company have an HSE Policy
Statement endorsed by upper
management?
2.6 Does the company establish annual
HSE goals? What are the goals
established?
2.7 Does the company have a process in
place to measure goal achievement?
What is the process?
2.8 Do "Management Performance
Reviews" include HSE Performance
criteria and/or requirements?
Rev. February 18, 2009 Page 3 of 42
2.9 Do company employees receive
incentives or rewards for the
company’s HSE performance? Please
describe.
3. HSE Manual
Question Comments / Findings Score
3.1 Does the company have a process in
place for determining which existing
regulations apply to specific
operations? How does the process
work?
3.2 Does company have a documented
operations HS&E manual applicable to
its work activities? Does it include
assignment of responsibilities for:
Management, Supervisors, Employees?
Is it current? Last date updated?
3.3 Is manual consistent with current
regulatory requirements and
applicable industry standards?
3.4 Does manual contain necessary
components to cover all major work
place hazardous activities?
3.5 Is the HS&E manual communicated to
all management personnel? How?
HS&E Manual Orientation,
Development and Review Process,
Management Meetings? By whom?
3.6 Is the HS&E manual communicated to
all employees? How? New Employee
Orientation, HS&E Meetings, On-
going Training? By whom?
Rev. February 18, 2009 Page 4 of 42
3.7 Are employees provided a company
specific HSE Handbook? If not, is a
copy made available? Where? From
Supervisor, Company intranet?
4. HSE Work Procedures
Question Comments / Findings Score
4.1 Are there documented safe work
procedures for work activity
exposures? Give examples.
4.1a How are they communicated to
employees? New Employee
Orientation, Safety Meetings, HS&E
Training? When? By whom?
4.2 Are they formally reviewed and
updated? When? Annual, Ongoing? By
Whom? Safety? Third Party?
4.3 Are proper manual lifting techniques
covered through safe work
procedures? How is this done?
4.3a Is training conducted? Is training
documented? Give examples.
5. Regulatory Programs
Question Comments / Findings Score
5.1
Personal Protective Equipment
5.1a Does company have a written PPE
Program?
Rev. February 18, 2009 Page 5 of 42
5.1b Does program reference applicable
ANSI Standards?
5.1c Does company conduct / update a PPE
Hazard Assessment annually and/or
with changes in exposures?
5.1d Does company maintain a current
Certification of PPE Hazard
Assessment?
5.1e Does program include criteria for PPE
inspections?
5.1f Is PPE training current and
documented?
Question Comments / Findings Score
5.2
Hearing Conservation
5.2a Has a Noise Survey been conducted of
common work activities?
5.2b Do Noise Survey results indicate that
company needs a Hearing
Conservation Program?
5.2c Is a Hearing Conservation Program
Developed?
5.2d Is training provided initially, annually
and is it documented?
5.2e Does the company provide hearing
protection for workers?
Question Comments / Findings Score
5.3
Fall Protection
5.3a Does the company have a written Fall
Protection program?
5.3b Are guidelines developed establishing
requirements for using fall protection?
What are they?
5.3c Is “Competent Person” level training
conducted?
Rev. February 18, 2009 Page 6 of 42
5.3d Is “User” training conducted? How?
(classroom, demonstration, etc.)
5.3e Does your company use “Fall Rescue”
equipment? Identify.
5.3f How are employees trained on rescue
equipment?
5.3g Is training provided initially and with
changes in exposures and is it
documented?
5.3h Does the program include equipment
inspection guidelines?
Question Comments / Findings Score
5.4
Respiratory Protection
5.4a Do employees use or could they be
expected to use respirators during the
course of their job?
5.4b Does the company have a written
Respiratory Protection Program?
5.4c Is a program administrator identified?
5.4d Are medical evaluations conducted?
5.4e Is fit testing conducted?
Rev. February 18, 2009 Page 7 of 42
5.4f Does program include criteria for
determining “End of Service Life” for
respirator cartridges?
5.4g Are equipment inspections conducted?
Are they documented?
5.4h Is initial and annual respiratory
refresher training conducted and
documented?
Question Comments / Findings Score
5.5
Access to Medical Records
5.5a Does the company have a written
program?
5.5b Are employees made aware of their
“Right to Access” their own Exposure /
Medical Record? How?
5.5c How do employees have access to their
Exposure / Medical records?
5.5d Is initial and annual refresher training
conducted and documented?
Question Comments / Findings Score
5.6
Hazard Communication
5.6a Does company have a written Hazard
Communication program?
Rev. February 18, 2009 Page 8 of 42
5.6b Are MSDS’s available on site for
employees?
5.6c Is a current chemical inventory list
developed and maintained?
5.6d Is initial and with changes in exposure
training conducted and documented?
5.6e Does the company have a written
HAZWOPER program?
5.6f Are Emergency Spill / Release
Response Contacts identified in
program?
5.6g Is training conducted and
documented?
5.6h What type of training is applicable? 24
Hr, 40 Hr, Spill Response or Storage
5.6i Does company have a written program
to address the use, handling and
storage of Hazardous Materials?
5.6j Does it contain provisions for required
PPE?
5.6k Does program include material
transport criteria?
5.6l Does program include MSDS review /
retention criteria?
5.6m Does company keep manifests on file?
5.6n Does program include Emergency
Contact information?
Rev. February 18, 2009 Page 9 of 42
5.6o Does program include the
identification of HAZMAT trained
personnel?
5.6p Is HAZMAT training conducted and
documented?
Question Comments / Findings Score
5.7
Industrial Hygiene
5.7a Does the company perform IH
monitoring on employees?
5.7b For which substances?
5.7c Does the company conduct fitness for
work exams for audiograms, pre-
employment, re-employment,
respiratory, and visual?
Question Comments / Findings Score
5.8
Lockout / Tagout
5.8a Is there a written Lockout/Tagout
program?
5.8b Is a process inspection conducted at
least annually?
Rev. February 18, 2009 Page 10 of 42
5.8c If applicable, are written equipment
procedures developed? How?
5.8d Is training conducted and
documented?
Question Comments / Findings Score
5.9
Portable / Electrical Power Tools
5.9a Are guidelines developed addressing
the proper use, inspection and storage
of Electrical / Power Tools?
5.9b Is training conducted and
documented?
Question Comments / Findings Score
5.10
Confined Space Entry
5.10a Does the company have a written
Confined Space Entry program?
5.10b Do your employees Enter or Attend
confined spaces?
5.10c Does program include an Entry Permit
process?
5.10d Who issues the permit for confined
spaces and how does it function?
5.10e Is training consistent with regulatory
requirements for Entrant, Attendant
and/or Rescue? Describe this.
Rev. February 18, 2009 Page 11 of 42
Question Comments / Findings Score
5.11
Welding and Burning
5.11a Does company perform “Hot Work”
activities on customer locations?
Welding / Cutting / Burning / Grinding
/ etc.
5.11b Does the company have a written
program addressing Hot Work
Precautions and Permit Systems?
5.11c Does company retain completed
Permits or copies of permits? How and
where are they retained?
5.11d Does the program include Fire Watch
criteria and training?
5.11e Are inspections of equipment
conducted and documented?
5.11f Has training been conducted and
documented?
Question Comments / Findings Score
5.12
Compressed Gas Cylinders
5.12a Does company store or transport
Compressed Gas Cylinders?
5.12b Are guidelines developed addressing
the safe use, storage and inspection of
Compressed Gas Cylinders?
5.12c Are inspections conducted of cylinders,
storage area and surrounding work
areas?
5.12d Is training conducted and
documented?
Rev. February 18, 2009 Page 12 of 42
Question Comments / Findings Score
5.13
Forklift Operations
5.13a Do employees operate forklifts on
company or client locations?
5.13b Are forklift operators trained /
certified?
5.13c Is Forklift Operator training current
and documented?
5.13d Are Pre-Operational Forklift
inspections conducted?
5.13e Does company retain inspections?
Question Comments / Findings Score
5.14
Crane / Rigging Operations
5.14a Do employees operate Cranes on
company or client locations?
5.14b Are Crane Operators trained
according to API RP2D standard
requirements?
5.14c Is Crane Operator training current
and documented? Verify the
documentation.
5.14d Are regular crane inspections
conducted and documented?
5.14e Do employees use or attach rigging to
loads / materials on company or client
locations?
Rev. February 18, 2009 Page 13 of 42
5.14f Are Riggers trained / certified per API
RP 2D criteria?
5.14g Are regular sling / rigging inspections
conducted and documented? Verify the
documentation.
5.14h Is Rigger training current and
documented? Verify the
documentation.
Question Comments / Findings Score
5.15
Motor Vehicles
5.15a Is company governed by D.O.T. Motor
Vehicle Requirements?
5.15b Does the company have a written plan?
5.15c Does plan include driver training or
testing?
5.15d Does plan include operation rules?
5.15e Does plan include provisions for
vehicle inspections?
5.15f Does company have a copy of client's
Safe Driving Standard and
expectations?
5.15g How are employees made aware of
client's Safe Driving Standard?
Question Comments / Findings Score
5.16
Fire Safety
5.16a Is there a written program for fire
safety?
Rev. February 18, 2009 Page 14 of 42
5.16b Is training conducted to include the use
and inspection of Fire Extinguishers?
5.16c Does training include incipient stage
fire fighting?
5.16d Are fire extinguishers inspected?
Frequency? By whom?
Question Comments / Findings Score
5.17
Bloodborne Pathogens
5.17a Does company have a written Exposure
Control Plan?
5.17b Does the plan address potentially
infectious materials other than blood?
5.17c Does the plan address exposure
determination without regard of PPE?
5.17d Does the program stress Universal
Precautions be observed?
5.17e Does the plan address how Hepatitis B
Vaccinations are made available to
employees?
5.17f Is employee initial and refresher
training current and documented?
Question Comments / Findings Score
5.18
Electrical Safety
Rev. February 18, 2009 Page 15 of 42
5.18a Does company have a written Electrical
Safety Program? (Qualified or
Unqualified)
5.18b Does the program address safe work
practices to prevent electric shock?
5.18c Does the program include precautions
for working on or near energized and
deenergized equipment?
5.18d Does the program include inspection
requirements for electrical equipment?
5.18e Is employee training conducted and
documented?
Question Comments / Findings Score
5.19
Excavation / Trenching / Shoring
5.19a Does the company have personnel
trained to “Competent Person” level on
Excavation work locations?
5.19b Does “Competent Person” conduct
daily inspections?
5.19c Does the company provide confined
space entry permits for excavations in
excess of 4 ft. in depth?
5.19d Does the plan identify access and egress
point requirements?
Rev. February 18, 2009 Page 16 of 42
5.19e Does the plan include criteria for the
development of site-specific Emergency
Response Plans?
Question Comments / Findings Score
5.20
Environmental Management
5.20a Does the company have a written
Environmental Management Program?
5.20b Does the company have an SPCC Plan?
(if applicable-660 gallon tank or 1320
gallons within multiple tanks.)
5.20c Are inspections conducted as required
by the SPCC Plan?
5.20d Does the company have a Waste
Management Plan? Review the plan.
5.20e How are waste products handled?
5.20f Does the plan outline methods of waste
disposal?
5.20g Does the company generate Hazardous
Waste?
5.20h Is the company a Large Quantity
generator?
5.20i If yes, do they have a Hazardous Waste
Contingency Plan?
Rev. February 18, 2009 Page 17 of 42
5.20j Is Environmental Training conducted
in SPCC Plans, Soil Remediation,
NORM, etc.?
5.20k Are supervisors trained in applicable
environmental and regulatory
compliance?
5.20l Are employees trained in applicable
environmental and regulatory
compliance? Verify.
5.20m Has the company reported any spills in
the last three years? What types of
spills were reported?
5.20n Has the company received any citations
due to Spill, Release or Environmental
non-compliance situations? If yes,
please explain.
5.20o Does the program include a pre-job
planning process to include site-specific
environmental concerns?
5.20p Are environmental topics included in
Safety Meetings? Give examples.
5.20q Are periodic audits conducted to
ensure compliance with environmental
regulations? At what frequency?
5.20r Does company have a process to track
and close corrective actions resulting
from audit findings? Review type of
tracking system and verification of
findings being closed.
Rev. February 18, 2009 Page 18 of 42
6.Substance Abuse / Contraband
Question Comments / Findings Score
6.1 Does the company have a written
Substance Abuse Program? DOT or
NON-DOT
6.1a Has program been reviewed and
approved by NCMS?
6.1b Does it include provisions for:
6.1c Pre-employment testing?
6.1d Random testing?
6.1e For cause testing?
6.1f Post accident testing?
6.1g Does the Substance Abuse /
Contraband program include
provisions for requirements for DOT
Random selection?
6.1h Does the Substance Abuse /
Contraband program include
provisions for prohibited contraband
(i.e. weapons, drug paraphernalia,
etc.)?
6.1i How is it enforced? Testing, Employee
Training, Supervisor Training, Safety
Meetings, News Letters?
6.2 What is the protocol for employees
with positive test results? Termination,
Suspension with successful completion
of a rehabilitation program?
6.3 What are the testing requirements for
an employee returning to work after a
leave of absence?
6.4 Does contractor have a designated
Medical Review Officer and use
specific laboratories certified by the
Department of Health and Human
Services for Substance abuse program
testing?
Rev. February 18, 2009 Page 19 of 42
7. Employee Training
Question Comments / Findings Score
7.1 Is there a documented Basic Safety
Orientation for employees?
7.1a Within what time frame must the
orientation be completed? By whom?
7.1b What topics are covered? HS&E
Policies and Procedures, Substance
Abuse and Contraband Policy, Job-
site Orientation (i.e. facility, boat, rig,
etc.)?
7.2 Is there a documented Safety
Orientation specific to Offshore
employees? Verify the orientation
document.
7.2a Within what time frame is the
orientation completed? Immediate? By
whom?
7.2b What topics are covered? HS&E
Policies and Procedures, Substance
Abuse and Contraband Policy, Job-
site Orientation (i.e. facility, boat, rig,
etc.)
7.3 What process is in place to identify
applicable training needs?
Rev. February 18, 2009 Page 20 of 42
7.4 Is periodic or ongoing training
conducted and documented for the
following topics:
7.4a Housekeeping
7.4b Defensive Driving
7.4c Ergonomics
7.4d DOT HM 126 F
7.4e Hazardous Waste
7.4f NORM
7.4g Benzene
7.4h Hydrogen Sulfide
7.4i Scaffolding
7.4j Ladders
7.4k First Aid / CPR
7.4l Work Place Violence
7.4m Specific Machinery & Equipment
7.4n Abrasive Blasting
7.4o Lead Abatement
7.4p Asbestos
7.5 What additional training do
supervisors and management personnel
attend? What type? Regulatory
Compliance, Same as Employees, DOT
Reasonable Cause Training, HS&E
Leadership, Well Control, None?
7.5a Who conducts training for
management and employees? Safety
Department, In-house Trainer, Third
Party?
7.5b How knowledgeable are they? (trained,
certified, licensed)
7.6 How is training effectiveness
evaluated? Written test, Oral test, Job
monitoring, Performance test?
Rev. February 18, 2009 Page 21 of 42
7.7 Is training conducted for specific
Location / Job Hazards? Describe.
7.8 Is there a training recordkeeping
system? Files, Safety Training Matrix,
Training Database? How does the
recordkeeping system identify if
someone misses or needs refresher
training?
7.9 Verifying training records: Is
employee identification, date of
training, name of trainer, and
verification of training included in
records? How is it organized?
(employee, job class, responsibility)
Review and verify training records.
7.10 Is regulatory required training
current? If not, what percent current?
(Estimated) Review records.
7.11 What type methods (media) are used
for training? Video, Handouts,
Reading, Watching demonstration,
Group discussion, Employee
mentoring?
7.12 How do you ensure that jobs requiring
certified workers are performed only
by workers with the required training?
Is worker provided training prior to
performing Task? Does the Supervisor
assign the tasks?
7.13 Does your company work on DOT
pipelines? If yes, are you working on
“Operator Qualification (OQ)”
Training? How is OQ training certified
before personnel are sent to the job
site?
Rev. February 18, 2009 Page 22 of 42
8. Short Service Employee Program
Question Comments / Findings Score
8.1 Do you have a written Short Service
Employee (SSE) Program?
8.2 How is SSE Status defined within your
company?
8.3 How do you identify SSE employees?
Hard hat sticker, hard hat color?
What is the time frame an employee is
an SSE?
8.3a What is the process for mentoring an
SSE?
8.3b How is the mentoring process
documented?
8.3c How are you made aware of client SSE
requirements?
8.3d How do you ensure you meet client
SSE requirements?
8.3e What process does your company have
in place to notify the customer
representative of SSE’s reporting to
work?
8.3f What is the graduation process for
removing employees from SSE status?
Rev. February 18, 2009 Page 23 of 42
9. Behavior Based Safety Program
Question Comments / Findings Score
9.1 Does company have a BBS Process?
What type? STOP, START, GATOR?
9.2 Who participates in this process? Field
Employees, All Employees, Field
Supervisors, All Management?
9.3 What type of BBS program training is
conducted? How is training
documented?
9.4 Are documented observations made of
work site conditions and work activity
behaviors? How?
9.4a Do BBS Observations include
verification of PPE usage?
9.5 How are the observations dealt with?
Retained, Tracked, Discussed in
meetings, Discussed in training?
9.6 Is information tracked and / or
trended? How? By whom?
10. HSE (Safety) Meetings
Question Comments / Findings Score
Rev. February 18, 2009 Page 24 of 42
10.1 Do you have regularly scheduled
HS&E meetings? What type? Daily –
onsite, Weekly, Monthly, Quarterly,
Supervisor, Management HS&E,
Company specific meetings?
10.2 Who conducts these meetings?
10.3 What is the typical subject content of
the meetings? Provide details.
10.4 Is attendance voluntary or mandatory?
10.5 Are minutes kept? How are they
shared?
11. Audits and Inspections
Question Comments / Findings Score
11.1 Are internal HS&E audits conducted?
11.1a What types of internal audits are
conducted? Management System, Job-
site, Equipment, Pre-job, Facility,
Corporate HS&E, Third Party, Post-
Job? At what frequency are these
internal audits conducted?
11.1b By whom are they conducted (mgmt.,
safety, supervisors, teams)?
11.2 What type of training is provided to
those employees who conduct audits?
Rev. February 18, 2009 Page 25 of 42
11.2a How are audit results communicated to
and reviewed by management? Emails,
Safety Meetings, Operation Meetings,
Management Meetings?
11.2b When are audit results communicated?
11.2c Are audit results communicated to the
work force?
11.2d How are these audit results
communicated? Safety Meetings,
Safety Alerts, News Letters?
11.2e Are areas for improvement
(deficiencies and corrections) derived
from internal audits documented and
closed-out? (tracking system)
11.2f How? Corrective Action Log, Work
Order System, Spreadsheet, Audit
Form? By whom?
11.2g Review and verify audit reports for
content.
12. Incident Reporting and Investigation
Question Comments / Findings Score
12.1 Does the company have a written
Incident Reporting and Investigation
procedure?
Rev. February 18, 2009 Page 26 of 42
12.2 How are client representative notified
of incidents?
12.3 Do procedures require the immediate
reporting of all incidents to the
Operator on site to include: Near Miss,
First Aid Incidents, Recordable
Incidents, Property Damage,
Environmental Incidents, Vehicle,
Fire?
12.4 Do procedures require the formal
investigation of all incidents to include:
Near Miss, First Aid Incidents,
Recordable Incidents, Property
Damage, Environmental Incidents,
Vehicle, Fire?
12.5 Within what time frame are Incident
Investigations conducted? ASAP?
12.6 Who conducts Incident Investigations?
HSE Department, Supervisors, HSE
Teams / Committees, Management?
12.7 Does management participate in
Incident Investigations? (Other than
Supervisor) How? Conducts / Leads,
Participates, Level of Participation
depends on the incident severity,
Review and approve findings and
recommendations?
12.8 Do employees participate in Incident
Investigations? (Other than person(s)
involved in the incident) Witness
Statements Members of HSE Teams /
Committees, Corrective Actions
development?
Rev. February 18, 2009 Page 27 of 42
12.9 Have those involved in conducting
incident investigation received formal
training?
12.10 What methods are used to determine
incident causes? Statements, JSA
review, Photos, Job-site review,
Diagrams, Identifying contributing
factors, Root Cause Analysis process,
Procedure Reviews?
12.11 Does the company require an
authorized individual to accompany an
injured employee to the medical
provider for initial treatment?
12.12 Does the company have a written
Restricted Duty / Light Duty Policy?
12.13 Does the company use a specific
medical provider that understands
your company’s Restricted Duty /
Light Duty policy?
12.14 How are the results and corrective
actions communicated to all affected
personnel? Safety meetings, Safety
training, Group Meetings, Safety
Alerts, News Letters?
12.15 How are the results and corrective
actions communicated to management
personnel? Email, Management
Meetings, Investigation Reports?
12.16 How do you track and close corrective
actions resulting from incident
investigations? Tracking System,
Corrective Action, Report
Spreadsheet, Informally?
Rev. February 18, 2009 Page 28 of 42
12.16a Review completed incident report
forms for: Content – information
solicited & provided; Identified causes;
Corrective actions initiated; Personnel
review of document. Does it address the
“who, what, when, where, how and
why” of the incident?
13. Hazard Control
Question Comments / Findings Score
13.1 Does company have a formal process
developed to identify, control, report
and analyze workplace hazards?
(physical conditions and activity
behaviors)
13.2 How is management involved in this
process? Conducts, Participates?
13.3 Are hazard analysis results
communicated to employees? How?
Safety Meetings, Safety Alerts,
Training?
13.4 Are recommendations generated from
Hazard Control processes tracked?
How? HSE Dept. follow-up,
Supervision follow-up,
Corrective action sheet, Safety meeting
minutes?
13.5 Does company have a formal Job
Safety Analysis (JSA) program?
Describe.
13.6 At what frequencies are JSA’s
developed, reviewed & updated? Pre-
job, daily? By whom?
13.7 Is required PPE discussed as part of
each JSA? Describe.
Rev. February 18, 2009 Page 29 of 42
14. Management of Change
Question Comments / Findings Score
14.1 Does company have a documented
Management of Change Process
(MOC) to address temporary or
permanent changes to organization,
personnel, processes, procedures,
equipment, materials, laws or
regulations that affect work activities?
14.2 What is the approval process prior to
the implementation of changes made?
15. Safe Work Practices
Question Comments / Findings Score
15.1 Does company have a formal Work
Authorization / Permit System
established?
15.2 Is company or client Permit System
used on work locations?
15.3 What types of company activities
require Work Authorization / Permits?
Lockout / Tagout, Confined Space, Hot
work?
15.4 How do you ensure that your permit
systems are followed? Auditing of
expired permits, Job-site inspections,
Training, Supervision?
16. Intervention
Question Comments / Findings Score
16.1 Do you practice / communicate “Stop
Work Authorization”?
Rev. February 18, 2009 Page 30 of 42
16.2 How is this authorization
communicated to employees?
16.3 Are situations of utilizing this
authorization documented? Verify.
17. Preventive Maintenance
Question Comments / Findings Score
17.1 Does contractor have a Preventive
Maintenance Program ?
17.2 Does Preventive Maintenance
Program, at minimum, identify safety
and/or environmentally critical items
and establish a maintenance frequency
for these items?
17.3 Does Preventive Maintenance Program
identify the person or position
responsible for the maintenance
activity?
18. Emergency Preparedness
Question Comments / Findings Score
18.1 Has company developed Emergency
Response Plans for work exposures?
(Fire, Explosion, Spills,
Transportation, Bomb, Work place
violence, Power disruption, Weather,
Confined space, Evacuation,
Radiation?) Which ones exist at
company?
18.2 Do Emergency Response Plans include
work-site Injury Management
Procedures?
Rev. February 18, 2009 Page 31 of 42
18.3 Which training has been conducted for
affected personnel? Initial, Upon
arrival to a location? Verify.
18.4 Does company conduct and document
Emergency Response Plan drills?
Evacuation, Fire, Weather, Confined
Space, Radiation Incident?
18.5 How often are drills conducted? By
whom? Who attends?
18.6 Do company employees participate in
client driven drills on work locations?
18.7 Are documented evaluation (critique)
reviews conducted following drills?
Who attends? What happens with the
information? Verify.
18.8 Do company emergency response
personnel have a copy of these plans?
18.9 Are emergency response personnel
identified with clearly defined roles?
Management, Regulatory Contracts?
18.10 Does the plan include necessary phone
numbers for on and off site contacts?
Verify.
18.11 Are emergency contact phone numbers
posted?
18.12 Are emergency response equipment
and supplies readily available,
evaluated, inspected and tested? How
often? By whom?
Rev. February 18, 2009 Page 32 of 42
18.13 Do you have emergency or First Aid
trained personnel or equipment at all
work locations?
19. Sub-Contractors
Question Comments / Findings Score
19.1 Does company hire Sub-Contractors to
perform work for client on or off
client's locations?
19.2 Has company developed Sub-
Contractor performance evaluation,
qualification or selection criteria?
Verify evaluation system.
19.3 Does company conduct audits of sub-
contractor safety processes? HSE
Management System Review,
Employee Training, Hazard Control,
QA / QC, Incident Rate History, EMR
History, Substance Abuse Program,
Emergency Action Planning, Incident
Reporting?
19.4 Who conducts audits / evaluations of
sub-contractors? How often? For what
reasons are sub-contractors audited?
(new, incident occurred, 3-year cycle?)
19.5 Do contractual agreements provide
provisions to terminate sub-contractor
work if company’s safety standards are
not met and maintained?
19.6 How are your sub-contractors made
aware of the provision to terminate the
work agreement?
Rev. February 18, 2009 Page 33 of 42
19.7 What type of training / orientation is
given to sub-contractors before
beginning work activities or entering
facility? Task Specific,
Hazard Control, Job Planning, Site
Specific Emergency Action Plans?
19.8 Are pre-job safety meetings held with
sub-contractors before beginning every
project? Describe.
19.9 Do sub-contract personnel attend your
scheduled safety meetings? How often?
Who tracks this information?
19.10 Does company monitor the
performance of sub-contractor SSE’s?
How?
19.11 How does company notify client of sub-
contractor SSE’s being deployed to
client facilities?
20. Subpart O Program
Question Comments / Findings Score
20.1 Without in-house well control training:
Does your plan include procedures for
evaluating competency of employees?
How? Verify that a plan is written, if
needed. Who conducts the well control
training? Do you have a copy of the
Operator well control Subpart "O"
training plan? What actions are taken
if an employee fails competency
testing?
Rev. February 18, 2009 Page 34 of 42
20.2 With in-house well control training: Is
certification from IADC allowing
institution to teach available? Is
instructor knowledgeable of the subject
matter? (Confirm instructors’
qualifications). Are training records
readily available and being kept for a 5
year period? Is it hands on or CBT? If
CBT, is hands on included?
20.3 If training session is in progress: Is the
Well CAP curriculum being followed?
Who conducts the production safety
portion of training?
20.4 Is a process in place for matching the
company’s program with specific
operator program requirements?
20.5 Has the contractor developed and
implemented a written training plan
that has a process for the
administration of training needs for
well control and/or production safety
training?
20.6 Does the training plan specify what
type of training?
20.7 Does the training plan specify the
method(s) of training such as
classroom, computer based, on the job
training, etc.?
20.8 Does the training plan specify the
length of the training such as 8 hours, 3
days, five days, etc.?
20.9 Does the plan specify the frequency
that training will be provided?
Rev. February 18, 2009 Page 35 of 42
20.10 Do training records reflect that the
frequency outlined in the plan is
adhered to?
20.11 Does the plan include procedures for
assessing the employee needs on a
periodic basis?
20.12 Does the plan specify the content of
training such as lesson plans depicting
course content, or course outline with
time schedule?
20.13 Does the plan specify the method of
employee understanding and
performance verification?
20.14 Does the contractor verify that
employees understand and can
perform their assigned duties, i.e.,
documented oral or hands on testing?
20.15 Are procedures established to verify
adequate retention of knowledge and
skills?
20.16 Does the plan include procedures for
training employees in well control
and/or production safety to describe
how the employee will advance through
the training process?
20.17 Does the plan include procedures for
record keeping and documentation?
(Training Record retention 5 years)
Rev. February 18, 2009 Page 36 of 42
20.18 Does the plan include procedures for
internal audits?
20.19 Are training records maintained at
minimum 5 years?
20.20 If alternative training methods are
used, are they supplemented with
appropriate demonstrations and hands-
on training, and do the records indicate
satisfactorily completion of both?
20.21 Are well control and/or production
safety training provided from sources
that meet the requirements of the
training plan?
20.22 Is the contractor prepared to explain
its overall well control and/or
production safety training program?
20.23 Does the contractor have evidence to
support its explanation of its training
program, i.e., course outlines, records,
audit reports, etc. supporting the plan?
20.24 Does the contractor identify personnel
by current position, years of experience
in present position, years of total
oilfield experience, and employer
name?
20.25 Does the contractor pay for all training
costs?
Rev. February 18, 2009 Page 37 of 42
SCORE Legend
Each section will be given a score from 1-5 by the auditor per these criteria:
Contractor has made no attempt to address the section. This is a failure of intent, i.e. failure to develop the required
1 process, or development is totally inadequate for the requirement.
• Contractor has no written program in place as required. Contractor has a written program in place that does not
adequately address the section
(Examples – (1) no training matrix or written program in place, (2) no JSA procedure, (3) no behavior based safety
program)
2 Contractor program has addressed the section but there is no evidence of implementation. This is a failure of
implementation, i.e. the process has not been effectively rolled out to all the necessary parties.
(examples – (1) training program including matrix, but no schedule for training, and less than 40% of required training
accomplished, (2) written JSA procedure, but no evidence of implementation, (3) written behavior based safety program,
but no evidence of implementation)
3 Contractor program has addressed the section with evidence of implementation of the process but a lack of complying with
program. This is a failure of effectiveness, i.e. the program has been rolled out, all parties are knowledgeable, but it is not
functioning as intended.
(examples – (1) training program with matrix and schedule for training with less than 70% of required training completed, (2)
written JSA procedure, evidence of implementation, a book of generic JSA’s, but spotty evidence as to the effectiveness of
the discussions, (3) behavior based safety program is functional, but data analysis needs to be undertaken)
4 Contractor program has addressed the section with evidence of implementation of the process and a concerted effort to
compliance, but with evidence of opportunities of improvement. The program is in compliance with the requirements of the
Contract, but there may be ways in which the program can be enhanced and thus improve its overall efficiency and/or
effectiveness.
(examples – (1) training program with matrix and schedule for training with greater than 80%, but less than 100% of
required training completed, and process is somewhat incomplete as to how they will provide make-up training to all of
those employees who missed training during the initial sessions, (2) JSA program rolled out and implemented, but need to
review a selected number of completed JSA’s in order to ensure good quality, (3) Behavior based safety program (BBSP) in
place in the organization, but could enhance the analysis of data by taking a finer cut in the data)
5 Contractor program has addressed the section with evidence of implementation of the process and evidence of compliance
(example – (1) training program with matrix and schedule for training with 80-100% of required training completed, and a
process in place to get everyone trained, (2) JSA program in place with evidence that JSA’s are completed for both routine
and non-routine tasks, (3) BBSP in place with evidence that data is routinely shared)
Contractor will be required fill any gaps noted for sections scoring 1-3. This may include development of a written corrective
action plan.
Company will expect the contractor to consider opportunities for improvement in sections scored 4, but the Contractor is
under no obligation to implement any changes to their program, procedure or process.
Sections scored 5 will not require the contractors to do anything additional, but to maintain processes for that section.
Joint Contractor Audit Protocol Page 38 of 42
CONTRACTOR HS&E MANAGEMENT SYSTEM ASSESSMENT
Contractor Name:
Auditor: Audit Date:
BP Addendum
Question Comments: Score:
1.0 Compliance with Company HSSE policies
Contractor personnel engaged in work for the
Company shall be able to recite, whether from
memory or from reading from a written source
readily available to them, BP’s HSSE Policy of No
1.1 Accidents, No Harm to People, and No Damage to
the Environment and BP’s Environmental
Concepts of Compliance with Regulations,
Pollution Prevention, and Continual Improvement.
Contractor shall have a copy of BP’s Golden
Rules of Safety (GRS) and be able to show that all
Contractor personnel engaged in work for BP are
1.2 aware of the GRS and have been trained in those
that specifically apply to their job responsibilities.
Records of training shall be available for review.
Contractor personnel shall be fully informed of
and trained in any of the specific “immersions”
rolled out by BP, and understand the
requirements of each “immersion” as it applies to
1.3
their jobs. Records of “immersion” training shall
be available for review.
Question Comments: Score:
2.0 Waste Management Plan
Contractor shall have a documented Waste
Management procedure that, at a minimum,
includes a list of all wastes created during
activities on the BP Site or BP Project Site, a
categorization of the waste indicating handling
2.1 and disposal methods to be used for each waste
and waste category, and regulatory-required
methods for waste handling and disposal.
Regulatory-required records of waste disposal
shall be available for review.
Rev. February 18, 2009 Page 39 of 42
Question Comments: Score:
Contractor Environmental Management
3.0
System (C-EMS)
Contractor shall meet the requirements listed in
3.1 the Contractor Environmental Management
System requirements.
Contractor shall show evidence of activities
associated with carrying out the requirements
3.2
listed in the Contractor Environmental
Management System Requirements.
Contractor shall have a process that clearly
assigns roles and responsibilities to the
3.3 appropriate individuals for completion of
environmental compliance tasks.
Contractor shall ensure that Contractor’s
3.4 employees are trained and competent in the
requirements of the Contractor’s C-EMS.
Contractor will conduct periodic
audits/assessments that include evaluations of
3.5
Contractor’s compliance with environmental
regulations.
Contractor will have a process to develop and
track to closure corrective actions resulting from
3.6 reported environmental events and findings from
environmental audits/assessments.
Question Comments: Score:
4.0 BP Driving Standard
Contractor shall have a copy of the BP Group
4.1 Functional Standard: Personal Safety – Driving.
Contractor shall implement its own safe driving
practice/procedure for all operations associated
with the BP Site or BP Project Site prior to
4.2 January 1, 2006. This practice or procedure shall
meet or exceed the requirements listed in the
Driving Safety Practice for Contractors.
Contractor personnel shall be trained in the
methods required to comply with each of the
elements of the practice. Records of this training,
4.3 including class roster, qualifications of trainers,
training agendas, and competence tests shall be
available for review.
Rev. February 18, 2009 Page 40 of 42
Question Comments: Score:
5.0 Fitness for Duty
Contractor provides reasonable assurance that
employees are physically fit to safely perform
their assigned duties without excessive risk or
5.1 harm to themselves or others. Does the
Contractor evaluate employees during their pre-
placement/post offer phase and approve
employees as fit to work.
The Fitness for Duty criteria shall be based on job
evaluation of required physical agilities, testing of
5.2 those agilities and guidelines for medical aspects
of fitness for work.
Contractor shall recognize specific factors i.e.
physical exertion requiring a reasonable degree of
stamina, shift work, absence from home, adverse
weather, smoke, heat and cold exposure,
5.3
transportation. Emergency situations,
claustrophobia, limited privacy and physical and
mental health of the employee.
Does pre-placement include new-hires, transfers
and return-toduty following an absence due to
5.4
illness or injury.
Contractor shall provide a list of applicable job
5.5 positions covered by the Fitness for Duty
Program.
Contractor shall maintain records that
demonstrate adherence to the Fitness for Duty
5.6 Program.
Question Comments: Score:
6.0 Drilling and Well Operations Policy (DWOP)
Contractor shall have a copy of the Drilling and
Well Operations Policy.
6.1
Contractor shall have a procedure that delineates
the Contractor's specific responsibilities as it
relates to the Drilling and Well Operations Policy.
6.2
Rev. February 18, 2009 Page 41 of 42
Question Comments: Score:
7.0 ROV Operators
Do you have KPIs related to your ROV spills
7.1 and/or leaks?
Do you have a process in place to ensure your
7.2 spills to the GoM are immediately reported?
What actions have you taken to reduce your ROV
7.3 spills?
Do you identify the root cause of your ROV spills
7.4 and if so what do you do with the data?
Does your training program include awareness
related to prevention, reporting and improving
7.5 your spill/leak performance?
Rev. February 18, 2009 Page 42 of 42