• Contractor Safety Management
    Self-Assessment

    for Prime and General Contractors

     

    INSTRUCTIONS: Answer 'yes' if your organization has implemented the item or activity to an acceptable level of quality 80% or more of the time. 

  •  - -

  • BEDROCK

  • The Process Owner is your in-house expert and the day-to-day coordinator of your company's contractor management system.
  • The Process Sponsor is the executive management representative who supports the Process Owner, internal stakeholders, and contractors.
  • A defined budget is a prime success factor that covers human resources, training, technology, and other costs.
    • Process Sponsor
    • Process Owner
    • Line managers that direct contractors on work sites.
    • Supply chain personnel
    • Health and Safety
    • Quality Control
    • Field engineering
    • Human resources
    • Cost control
    • Contractors
  • Responsibility Statements define the deliverables for each stakeholder and the systems and tools they use.

  • Goals are defined and measurable outcomes of the management system.

    Examples:
    • Implement a contractor management system.
    • Establish an approved contractor list.
    • Identify high-risk contractors.
    • Implement kick-off meetings for all high and medium-risk contractors.
  • A management standard is a written description of the company's contractor management system. Establishing measurable requirements for the stakeholders and standardizing the tools and processes is a contractor management best practice.
  • Industry associations and third-party organizations publish procurement and contractor best practices. Aligning company standards with third-party best practices can promote consistency of processes, tools, resources, and technologies.
  • An approved contractor list is an evergreen roster typically segmented by service(s), location, and approval status.
  • Lists fall out of date quickly without regular upkeep. Many organizations have multiple lists kept by different stakeholders leading to dysfunction and rework.
  • Maintenance of a single list by a designated person or role, and where access is controlled, is a best practice.

  • STAKEHOLDER KNOWLEDGE AND COMPETENCE

  • Leading organizations ensure their stakeholders have a broad knowledge of the entire contractor management system and a specific understanding of their individual roles and responsibilities.
  • Establishing a baseline of training assists in role competency and individual development.
  • Periodic audits of compliance to standards with feedback to stakeholders, Owner and Sponsor is a best practice.

  • PREQUALIFICATION, ASSESSMENT, AND APPROVAL

  • The Policy establishes the corporate requirement for contractor prequalification as the default action for purchasing of services. The hiring of non-prequalified contractors is managed with an exception process.
  • A standardized form that captures required elements of capability, capacity, standards, and previous performance is a best practice.
  • Insurance, business licenses, safety and quality program certifications, and previous client references are standard contractor submittals.
  • Expired documents can expose clients to unseen risks. Having a defined process that ensures contractor certificates are valid when received and are updated before expiry is a best practice.
  • i.e Leading and lagging indicators that quantify management systems, capacity, capability, and previous performance.
  • A weighted scorecard elevates the visibility of critical elements of contractor operations, like safety and quality, for assessment exclusive of price.
  • Pre-established categories (i.e. approved, approved with a contingency plan, not approved, general contractor, prime contractor) assist risk management and mobilization planning.
  • Setting minimum requirements for General Contractor and Prime Contractor contingency plans is a recommended practice.
  • More stringent requirements and controls are required for contractors that subcontract parts of their scope, and for general contractors that serve as Prime Contractors on company worksites.

  • KICK-OFF AND MOBILIZATION 

  • Holding an on-site meeting with company and contractor stakeholders to review the work scope, performance expectations and reinforce contract terms and conditions is a best practice.
  • An SSP bridges contractor and client standards and includes, at a minimum, a hazard assessment, training requirements, and safe work procedures and practices.

  • MONITORING AND REPORTING

  • Focused observation of high-risk and high-loss contractor activities is fundamental risk management and due diligence.
  • Critical activities include pre-project and ongoing risk assessment, site-specific orientation, safety communications, training, and safe work standards.

  • POST-CONTRACT PHASE

  • Conducting formal assessments of contractor performance is a contractor management best practice.
  • Improvement plans with defined, measurable activities assigned to individual stakeholders bring long-term value.

  • PROCESS AND LIST MAINTENANCE

  • A defined periodic review helps ensure your approved contractor list remains accurate and up-to-date.
  • A recommended practice is a periodic review of the performance contractor management system, its stakeholders, and specifics of the company’s contractor management standard. Generally initiated and led by the Process Sponsor, the review identifies areas of opportunity for improvement and elements for recognition and reward.

  • TOOLS & TECHNOLOGY

  • Common forms include:

    • Contractor registration form
    • Prequalification questionnaire(s)
    • Assessment/approval criteria
    • Weighted category scorecard
    • Pre-bid conference agenda

     

    • Kick-off meeting agenda
    • Mobilization checklist
    • Focused observations (high-risk tasks)
    • Safety program audit (critical activities)
    • Performance review
  • ‘Dated documents’ like insurance, business licenses, safety, and quality program certificates are issued with expiry dates. The use of software for the electronic tracking of expiry dates and automated notifications is a best practice.

  • Contractor documents frequently don’t meet basic requirements when provided to clients. Common errors are:

    • The document is expired when received.
    • The document will expire during the active phase of the contract.
    • The insurance amounts and/or types are insufficient (per occurrence and total insurance).
    • The wrong document is provided (i.e. Commercial General Liability is provided where Errors & Omissions coverage has been specified).
  • Highest Value Activities/Elements  
    Process Owner (Item 1)  {1Has}
    Management Standards (Item 7)  {7Does}
    Approval Criteria (Item 17)  {17Has}
    Site-Specific Safety Plans (Item 22)  {22Are}
    Document Tracking with Automation (Item 16)  {16Does}
    Compliance Monitoring (Item 23)  {23Are}
    Section Total:  {section1}
       
     High-Value Activities/Elements  
    Process Sponsor (Item 2) {hasAn5}
    Responsibility Statements (Item 5) {5Have}
    Approved Contractor List (Item 9) {9aDoes}
    Prequalification Policy (Item 13) {13Has}
    Standardized Prequalification Questionnaire (Item 14) {14Does}
    Minimum Documentation Requirements (Item 15) {15Has}
    Weighted Scorecard (Item 18) {18Does}
    Approval Categories/Risk Rankings (Item 19) {19aHas}
    General and Prime Contractor Approval Requirements (Item 20) {20Have}
    Kick-off Meetings (Item 21) {21Does}
    Safety Program Auditing (Item 24) {24Does}
    Standardized Forms (Item 28) {28Has}
    Document Verification (Item 30) {30Does}
    Section Total:  {section2}
       
     Important Activities/Elements  
    Key Stakeholder Identification (Item 4) {4Have}
    Corporate Goals and Objectives (Item 6) {6Have}
    Approved Contractor List Maintenance (Item 9B) {9bIs}
    Approved Contractor List Responsibility (Item 9C) {9cHas}
    Stakeholder Selection (Item 10 {10Are}
    Stakeholder Training/Competency (Item 11) {11Have}
    Post-Contract Performance Reviews (Item 25) {25aDoes}
    Contractor Improvement Plans (Item 25B) {25bAre}
    Periodic Review and Update of the Approved Contractor List (Item 26) {26Is}
    Document Storage and Tracking Technology (Item 29) {29Does}
    Section Total:  {section3}
       
     Maturity Indicators  
    Budget (Item 3) {3Do}
    Best Practices Alignment (Item 8) {8Does}
    Stakeholder Assessment (Item 12)  {12Do}
    Contingency Plans – Minimum Requirements (Item 19B) {19bDo}
    Periodic Review of the Contractor Management System (Item 27) {27Is}
     Section Total:  {section4}
       
    Grand Total {grandTotal}

     

  •   Bedrock - Roles and Responsibilities  
    Q1  Process Owner {1Has} 
    Q2  Process Sponsor  {hasAn5}
    Q3  Budget  {3Do}
    Q4  Key Stakeholder Identification  {4Have}
    Q5  Responsibility Statements  {5Have}
    Q6  Corporate Goals and Objectives  {6Have}
    Q7  Management Standards  {7Does}
    Q8  Best Practices Alignment  {8Does}
    Q9a  Approved Contractor List  {9aDoes}
    Q9b  Approved Contractor List Maintenance  {9bIs}
    Q9c  Approved Contractor List Responsibility  {9cHas}
       Category Total:  {bedrockTotal}
         
      Stakeholder Knowledge and Competence  
    Q10 Stakeholder Selection {10Are}
    Q11 Stakeholder Training/Competency {11Have}
    Q12 Stakeholder Assessment {12Do}
      Category Total:  {stakeholderTotal}
         
      Prequalfication and Assessment  
    Q13 Prequalification Policy {13Has}
    Q14 Standardized Prequalification Questionnaire {14Does}
    Q15 Minimum Documentation Requirements {15Has}
    Q16 Document Storage and Tracking {16Does}
    Q17 Contractor Approval Criteria {17Has}
    Q18 Weighted Score Card {18Does}
    Q19a Approval Categories/Risk Rankings {19aHas}
    Q19b Contingency Plan Minimum Requirements {19bDo}
    Q20 General and Prime Contractor Approval Requirements {20Have}
      Category Total:  {prequalficationTotal}
         
      Kick-Off and Mobilization  
    Q21 Kick-Off Meetings {21Does}
    Q22 Site-Specific Safety Plans {22Are}
      Category Total:  {kickoffTotal}
         
      Monitoring and Reporting  
    Q23 Compliance Monitoring {23Are}
    Q24 Safety Program Auditing {24Does}
       Category Total:  {monitoringAnd}
         
      Post-Contract Phase  
    Q25a Post-Contract Performance Reviews {25aDoes}
    Q25b Contractor Improvement Plans {25bAre}
      Category Total:  {postcontractPhase}
         
      Process and List Maintenance   
    Q26 Approved Contactor List Review and Update {26Is}
    Q27 Contractor Management System Review and Update {27Is}
      Category Total: {processAnd}
         
      Tools and Technology  
    Q28 Standardized Forms {28Has}
    Q29 Document Storage and Tracking Technology {29Does}
    Q30 Document Verification {30Does}
      Category Total:  {toolsAnd}
         
    TOTAL: {total}

     

  • CONTACT DETAILS

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