Contractor Competency assessment form (Star rating system) - Annexure "8"

Form No:SAFETY/FORMS/CSM/08 Revision No: 04 Effective Date : 1st Feb 2019

CSMS TOTAL SCORE 700 CSMS RATING : 3 STAR
Organization name BHUMI ENTERPRISES Assessment team : IRQS
Contractor Proprietor
Mr. ARVIND KUMAR Team Leader : PROJIT BASU
Name
Organization Registered
VILLAGE DUNI, GHTATAND, PS MANDU, RAMGARH, JHARKHAND Team Member : PROJIT BASU
Address
TSL representatives (CA/
CO /Mentor / Local safety Mr. VIJAY KUMAR BUNTI Date of Assessment 23.7.2019
professional)
Comments by Assessor: Mr. PP SINGH (TSL SR. MANAGER SAFETY) WAS
Vendor Code MI39
PRESENT DURING AUDIT, AS CO WAS OFF DUTY.
Work Order No.1: 4700068884 Department : QUARRY AB CO Name: Mr.VIJAY KUMAR BUNTI
Active work order Work Order No.2: 4700068696 Department : QUARRY AC CO Name: Mr.AMIT PRAKASH
numbers with Department Work Order No.3: Department : CO Name: Mr.
Work Order No.4: Department : CO Name: Mr.
Audit Location: QUARY AB OFFICE WEST BOKARO

Risk Parameter: (Risk of

job where contractors to
High Risk : P REMARKS: ORGANISATION STRUCTURE VERIFIED THROUGH SAFETY
MANUAL. QUALIFIED EMPLOYEE LIST VERIFIED THROUGH FORM A
Low Risk :
be engaged) Both :
Type of Contract
Manpower Contract
Supervision Contract P
Set apart Contract
Transient Contract
Other Services
Tick the type of work the company is capable of undertaking :

Civil, Structural & Building

Maintenance
Lifting equipment Maintenance and Services Utility Services P
Electrical Maintenance and
Cleaning Services Mechanical Maintenance and services
Services
Instrumentation Calibration Transportation and Material
Catering Services
and Testing Handling
Waste materials / slag /
Manpower supply Mining related activity
reclaiming & disposal

Lifting, Loading, Unloading,

Road maintenance Rail maintenance
feeding & packaging

Any Others, please specify

1.What is total manpower strength of your organisation working in Tata Steel? 9

1.1. Number of Supervisors and their qualifications (Attach list): 2

1.2. Number of certified and skilled employees (Please attach list of employee with skill level): 9

1.3. Number of unskilled employees: 0

1.4. Number of Site Safety Supervisors and their qualifications (Attach list): 2

2.Total Value of Contract in currency as applicable with Tata Steel: Example in Rupees: (less than 5 Lacs / 5
80 LAKH APPROX
to 25 lac/ 25 lac to 1 crore, and above 1 crore If more than 1 crore, mention exact value).

3. Name of the departments/locations where you are currently engaged in Tata Steel: QUARY AB

PROPRITOR, MANAGER, SAFETY

4. Organisational Structure of your organisation: (e.g. MD, GM, Managers etc.)
SUP, SITE SUP

Evaluation Criterion for Star Rating and Safety Performance Evaluation

0 = Process not yet started/ No System.

1 = Poor- Weak Safety system and process, weak or no system of Lead Indicator identification, reporting and compliance monitoring; little awareness; minimal or no ownership and
commitment. (Survival)
2 = Reasonable- Some system & process exist; inconsistent system of Lead Indicator identification, reporting and compliance monitoring; awareness may be present, but
implementation of this aspect is haphazard or not evident at all. (Reactive stage)
3 = Good- Safety Management system & process exist and documented; improving trend of system of Lead Indicator identification, reporting and compliance monitoring; system is
implemented at the minimum levels; ownership and commitment visible at some extent. (Dependent stage)
4 = Very Good- H&S Management System is addressed systematically, documented and updated regularly, reaching the respective targets regularly; good system of Lead Indicator
identification, reporting and compliance monitoring; integration with other activities is at high levels; felt and visible ownership and commitment. (Independent stage)
5 = Excellent- Can be recognised as a leader in this particular aspect of the H&S Management System; everyone is involved and high levels of integration and ownership & commitment
are demonstrated.; continuous improvement is evident. (Interdependent stage)

Assessment Frequency: Once in two years (within 24months) for the 4 & 5 - Star rated vendors and once in a year (within 12 months) for 3 - Star rated Vendors from the date of the previous assessment .
Assessment reports must be logged in ‘ENSAFE-IT SYSTEM’ by the CA / CO within 4 days after receiving report from central safety team. [Refer to DOC. NO.: SAFETY/PROC/CSM/ 01, SAFETY/PROC/CSM/ 02]
NOTE: [(5 Star- 850-1000), (4 Star-750-849), (3 Star-650-749), (2 Star- 550-649), (1 Star- 450- 549), (No Star- Less than 450)]
All the requirements will be evaluated in a scale of 0 to 5 which will be weighted for Star rating score calculation.
 Evaluation (0 Multiplying Actual
Attributes SN Criteria Requirements Guideline for audit Expected Aspects Status Remarks
to 5 scale) factor score
1.1 Safety & Health Management 0. 0% :No system exists. # No system exists- no policy , no
10 0
System (Policy & Principles, organization structure.
Safety Manuals, Safety 1. 20% : Documented Safety and #Documented Safety and Health
Organization) (Safety manuals – Health management system exists management system exists and
(Look for HIRA or JHA and organizational structure exists. organizational structure exists- safety
document, Legal compliance manual (policy, procedure, objectives,OCP,
system, Emergency Planning hazard & risk assessment-GRA/HIRA, JHA,
system, Safety dash board, SWP,SOP, emergency preparedness & 10 0
Safety audit & review system, response plan), organization structure
Operational control, Asset (roles and responsibility , competence
Management). management)

2. 40% : Regular Audits done through # Regular Audits done through Internal &
Internal & External agencies. External agencies- audit done at planned
interval either internal or external in
10 0
reference to requirements / criteria
(CSMS,OHSAS OR other safety
management system)
3. 60%: Evidence exists for Corrective #Evidence exists for Corrective and DOCUMENTED SAFETY AND HEALTH MANAGEMENT SYSTEM EXISTS WITH ORGANIZATIONAL STRUCTURE.
and Preventive action taken along Preventive action taken along with DOCUMENTED PROCEDURE FOR JHA, EMERGENCY PREPAREDNESS & RESPONSE PLAN, SAFETY DASH
with improvement regularly. improvement regularly- based on audit BOARD, SAFETY AUDIT & REVIEW SYSTEM PRESENT. GAPS: DOCUMENTED PROCEDURE FOR TOOLS AND
presence of corrective and preventive TACKLES, PPE, OPERATION CONTROL NOT PRESENT. ACTION TO BE TAKEN: DOCUMENTED PROCEDURE
action along with root cause analysis. 3 10 30 FOR TOOL & TACKLES, PPE, OPERATION CONTROL TO INCORPORATE, CONTINUOUS IMPROVEMENT IN
THE SYSTEM BASED ON FEEDBACK OF AUDITS TO BE RECORDED.

4. 80%: Continuous improvement in # Continuous improvement in the system

the system based on feedback of based on feedback of Audits -
Audits. improvement in objective (leading & 10 0
lagging indicator), & evidence of continual
improvement trend.
5. 100% participation of all # participation of all employees along
employees along with all of above. with all of above - evidence of
participation in tool box talk, safety 10 0
meeting, safety campaign, safety quiz,
safety competition etc.
1.2 Documented procedure on 0. 0% :No system exists. # No system exists - No procedure for
selection, deployment of skilled selection and deployment of skilled and 10 0
and Certified employees. Job Certified employees
description, Roles & 1. 20% : Benefit of Safety Certification # Benefit of Safety Certification given at
Responsibilities to be available given at the time of employment
the time of employment - whether safety
mentioning safety as one of the
supervisor, project manager have
mandatory requirement (Which
undergone any formal certified safety 10 0
institute ,Type of skill training
courses (OHSAS, NEBOSH,RLI/CLI courses,
like Mechanical, Electrical etc..)
diploma in industrial safety, Tata Steel
courses)
2. 40% : Existing Personnel # Existing Personnel encouraged EXISTING PERSONNELS ARE HAVING SAFETY CERTIFICATES, COMPANY INTIATED SPONSORED SAFETY
encouraged undertaking safety undertaking safety courses - company COURSE IS EVIDENT. GAPS:IN EMPLOYMENT LETTER SAFETY IS MANDATORY REQUIREMENT FOR
courses. initiated , sponsored safety training. ENGAGING ALL EMPLOYEE IS NOT MENTIONED.MANUAL DOESNT CLEARLY DEFINE THAT BEYOND A
CERTAIN LEVEL IN THE HIERARCHY SAFETY CERTIFICATION IS MANDATORY. ACTION TO BE TAKEN: SAFETY
MANUAL CAN BE REVISE WITH THE CRITERIA FOR MANDATORY REQUIREMENT OF SAFETY CERTIFICATE
BEYOND CERTAIN LEVEL IN HIERARCHY ALONG WITH POSITION CAN BE OCCUPIED BY CERTAIN
2 10 20
PERSONNEL HAVING EXEMPLARY SAFETY BACKGROUND. APPOINTMENT LETTER TO REVISE WITH SAFETY
IS A MANDATORY REQUIREMENT.

3. 60% : Safety a mandatory # Safety a mandatory requirement for

requirement for engaging all engaging all employees - safety aspect in
10 0
employees. job description, appointment/employment
contract.
4. 80% : Documented Safety # Documented Safety certification
certification requirement beyond a requirement beyond a certain level in the
certain level in the hierarchy. hierarchy - safety certification course by 10 0
safety supervisor project manager &
above.
 5. 100% : Positions beyond a certain # Positions beyond a certain level can be
level can be occupied by personnel occupied by personnel having exemplary
having exemplary safety records and safety records and having safety
10 0
having safety certification. certification - evidence of safety
competence of top management ,
excellent safety record.
1.3 Documents showing safety 0. 0% : No system exists. # No JHA in place 10 0
planning process for safe 1. 20% : Job hazard Analysis exists for # 20% Job takes into account of JHA, but
execution of jobs- JHA 25 % of the jobs. No evidence of no corrective and preventive measures in
10 0
document, Audit plans, preventive and corrective measures at place
planning for tools & site.
equipments, Job execution plan, 2. 40% : Job hazard Analysis exists for # 40% Job takes into account of JHA, but
work permit system, Method 50 % of the jobs. No evidence of no corrective and preventive measures in
10 0
statement preventive and corrective measures at place
site
3. 60% : Job hazard Analysis exists for # 60% Job takes into account of JHA, with JHA DOCUMENT, AUDIT PLANS, JOB EXECUTION PLAN, WORK PERMIT SYSTEM EXIST. 60% JOB TAKES
50 % of the jobs. The jobs are well preventive measures planned w.r.to INTO ACCOUNT OF JHA. DOCUMENTED PROCEDURE ON PLANNING FOR TOOLS & EQUIPMENTS
planned and evidence exists of Safety potential hazard identified EVIDENT.GAPS: ENVIRONMENTAL FACTOR AND HUMAN FACTOR NOT CONSIDERED DURING JHA
features at site to counter the Hazards PLANNING. ACTION TO BE TAKEN: JHA CAN BE REVISED ON THE BASIS OF ENVIRONMENTAL FACTOR AND
identified. 3 10 30 HUMAN FACTOR. TRAINING NEED IS THERE FOR CLEAR UNDERSTANDING OF JHA AND HIRA. .JHA FOR ALL
THE ACTIVITIES TO PLAN SEPARATELY.

4. 80% : Job hazard Analysis exists for # 80% Job takes into account of JHA, with
75 % of the jobs. The jobs are well preventive measures planned w.r.to
planned and evidence exists of Safety potential hazard identified 10 0
features at site to counter the Hazards
identified.
5. 100% : Job hazard Analysis exists # 100% Job takes into account of JHA, with
for 100 % of the jobs. The jobs are preventive measures planned w.r.to
well planned and evidence exists of potential hazard identified 10 0
Safety features at site counter the
Hazards identified
1.4 System and processes for 0. 0% :No system or process exists. # No system or process exists - 10 0
training on Safety standard, 1. 20 %: Documented system and # Documented system and process exists
Behavioural based, Job specific, process exists along with training along with training organizational
skill development, emergency organizational structure and structure and infrastructure - Organization
preparedness for employees infrastructure. has defined personnel for training , 10 0
and supervisors. training infrastructure

2. 40 %: Along with above a training # Along with above, training records

records maintained on all SOPs. maintained on all SOPs - Training on SOP 10 0
given with evidence/record.
3. 60%: Along with above SOPs getting # Along with above SOPs getting revised MONTHLY SAFETY TRAINING PLANNING ALONG WITH RESPONSIBILITY DOCUMENTED, EMERGENCY
revised based on feedback based on feedback continuously - revision PREPAREDNESS FOR EMPLOYEES AND SUPERVISORS EVIDENT. FEEDBACK SYSTEM FOR TRAINING
continuously on SOP based on feedback (training EVIDENT. GAPS: SOPS ARE NOT DISPLAYED IN REGIONAL LANGUAGE AT SITE. EXEMPLARY
effectiveness) UNDERSTANDING OF ALL SOPS AT SITE NOT EVIDENT DURING SITE VISIT. ACTION TO BE TAKEN:
3 10 30
FEEDBACK SYSTEM TO BE PROPERLY MONITORED FOR TRAINING EFFECTIVENESS. SOPS TO DISPLAY IN
REGIONAL LANGUAGE AT SITE.

4. 80%: Along with above pictorial # Along with above pictorial SOPs
SOPs displayed at site in regional displayed at site in regional languages for
languages for better understanding of better understanding of all employees - 10 0
all employees. pictorial display of SOP (in regional
language)
5. 100%: Along with the above
employees display an exemplary # Along with the above employees display
an exemplary understanding of all SOPs at 10 0
understanding of all SOPs at site.
site - interview / discuss during site visit.
1.5 System for two way # No system of communication
10 0
communication (Top – Bottom – 0. 0% : No system or process exists.
Top) between contractor 1. 20 %: Documented system and # Documented system is in place for
leadership and their workforce process exists for communication internal communication. MoM available as
(Proprietor engagement in line between all levels of Contractor record/display in office
10 0
walk, Safety meeting etc.). leadership and their workforce. Visual
displays MoM of meetings and action
taken reports.
2. 40 %: Along with the above # Documented system is in place. Evidence
evidence exists of leadership team of Leadership team visit, discussion and 10 0
visits and discussions and action. action exist
 3. 60%: Along with the above # Along with above top management DOCUMENTED SYSTEM IS IN PLACE. EVIDENCE OF LEADERSHIP TEAM VISIT, DISCUSSION AND ACTION
evidence exists of leadership team involvement in implementation action EXIST, TOP MANAGEMENT INVOLVEMENT EVIDENT ON ACTION PLAN.GAPS; FEEDBACK SYSTEM NOT
and the proprietor visits and exist (evidence is must) EVIDENT ON ACTION PLAN. DOCUMENTED PROCEDURE FOR REWARD MECHANISM FOR PATICIPATION &
discussions and action SUGGESTION IN SAFETY LINE WALK/MASS MEETING DOES NOT EVIDENT.ACTION TO BE TAKEN: REWARD
3 10 30 MECHANISM FOR PARTICIPATION & SUGGESTION IN TWO WAY COMMUNICATION TO DEVELOP.
FEEDBACK SYSTEM TO INCORPORATE.

4. 80%: Along with above record of # Along with evidence exist w.r.to
improvements undertaken as a result feedback and communication on action
10 0
of such communication and feedback

5. 100%: Along with the above # Along with above reward/recognition

recognition and reward for mechanism exists for participation/
10 0
participants for such communication suggestion on action (evidence/record)
exists
1.6 Annual assessment of safety 0. 0-10% : No system or process # No system of assessment of safety
10 0
management system & exists. management system
processes (Self or Third Party 1. 10-20 %: Documented system and # System of safety assessment is in place
Audit) process exists for Self Audit of the and done internally (self)
10 0
Safety Management system and
processes.
2. 20-40 %: The above is also verified # Along with self assessment, external/
through external Third party audits. third part assessment is also done 10 0

3. 40-60%: Along with the above # Evidence of Improvement/

evidence exists of improvements implementation (issue raised in self
10 0
being done. assessment and/or external third part
assessment) of assessment exits
4. 60-80%: System exists of tracking # Mechanism of monitoring the status of SELF ASSESSMENT, INTERNAL AND EXTERNAL AUDIT CONDUCTED ON DAILY BASIS. EVIDENCE OF
the improvements. improvement in terms of close/open issue IMPROVEMENT/ IMPLEMENTATION OF ASSESSMENT EXITS. SYSTEM EXISTS OF TRACKING THE
is in place IMPROVEMENTS. GAPS: DOCUMENTED PROCEDURE FOR REVISION OF PROCESS BASED ON AUDIT
4 10 40
FINDINGS NOT EVIDENT. ACTION TO BE TAKEN: REVISION OF PROCESS BASED ON OPEN/ CLOSE ISSUES
(PDCA APPROACH) TO IMPLEMENT IN SAFETY MANUAL.

5. 80-100%: The improvements lead # Improvement cycle takes into account of

to revision in the processes for next PDCA approach
10 0
cycle of improvements (PDCA
approach)
2.1 Capability of Workforce, 0- 0%-No system for selection of # No system/procedure for selection of
(Skilled, Certified Competent employees and supervisors and 0% employee
10 0
Supervisor, Site Safety coverage of skilled and certified
Supervisors and manpower etc.) manpower
Verify through site visit and 1- 20%-Employees are capable of # Employees are capable, but no formal
Interview. doing job but not trained from any training
10 0
institute.20% coverage of skilled and
certified manpower
2- 40%- Supervisors, site safety # Selection process is based on CSM
supervisors and employees are standard criteria
selected as per CSM standard criteria
through a systematic process.40% 10 0
coverage of skilled and certified
manpower
3- 60%- Employees and supervisors # Employees are happy with work
provide positive feedback and happy environment provided.
with the work environment provided 10 0
to work.60% coverage of skilled and
certified manpower
4- 80%-There is system for promotion # Promotional scheme/ sponsorship by SOCIAL BENIFITS ARE GIVEN DURING ANNUAL INCREMENT AS PER LAW AND TSL STANDARD, EMPLOYEES
and encouragement for skill proprietor for skill development & ARE HAPPY (VERIFIED THROUGH ONE TO ONE INTERVIEW), SELECTION PROCESS IS BASED ON CSM
development and education.80% education STANDARD, PROMOTIONAL SCHEME FOR SKILL DEVELOPMENT EVIDENT.SCOPE OF IMPROVEMENT:
coverage of skilled and certified 4 10 40 INCREMENT/APPRAISAL PROCESSTO IMPLEMENT ON THE BASIS OF PERFORMANCE TO MOTIVATE
manpower. EMPLOYEES, APPRAISAL PROCEDURE TO IMPLEMENT.

5- 100%-Feedback system , annual # Rationality in annual increment is in

increment and well being of place and social benefits are given as per
manpower is taken care.100% law 10 0
coverage of skilled and certified
manpower
2.2 Conducting Tool box and mass 0. 0%: No such system exists. # No system of tool box talk and mass
10 0
meeting regularly. (Verify meeting
through Records and Interview)
 2.2 Conducting Tool box and mass
meeting regularly. (Verify
through Records and Interview) 1. 20%: Tool Box and Mass meeting # Adhoc tool box talk and mass meeting
conducted. conducted 10 0

2. 40%: Documented system for the # Documented system for tool box talk & DOCUMENTED SYSTEM FOR TOOL BOX TALK & MASS MEETING IS AVAILABLE. INVOLVEMENT OF TOP
above exists with above 80% mass meeting is available (topics, planned MANAGEMENT SEEN IN MASS MEETING.GAPS: EMPLOYEE ENGAGEMENT FOR SAFETY IMPROVEMENT
participation. frequency, record format) NOT EVIDENT. EVIDENCE OF OUTPUT OF TBT/MASS MEETING NOT LEAD TO SAFETY IMPROVEMENT.
ACTION TO BE TAKEN: EMPLOYEE ENGAGEMENT IN SAFETY IMPROVEMENT TO RECORD DURING
2 10 20 TOOLBOX MEETING THROUGH FEEDBACK SYSTEM. INVOLVEMENT OF TOP MANAGEMENT IN ACTION
PLAN TO RECORD. OUTPUT OF TBT AND MASS MEETING SHOULD LEAD TO SAFETY IMPROVEMENT.

3. 60%: Records of discussions on # Output of tool box talk & mass meeting
Safety improvement exist in the lead to safety improvement (evidence is a 10 0
above records. must)
4. 80%: Evidence exists that based of # Safety improvement is driven by
above discussions improvements have employees (evidence is a must, case study) 10 0
been driven by employees.
5. 100%: Evidence exists of # Involvement of top management seen in
Leadership teams participation in the mass meetings on safety (MoM,
Mass meetings on safety photograph, action plan, resource 10 0
allocation)
2.3 Providing & ensuring usage of 0. 0%: Ad hoc system of supply of # Adhoc system of supply/provision of PPE
10 0
standard (IS/EN) and right PPEs PPEs. to employees
while performing the job. 1. 20%: PPEs supplied against # PPEs provided are of IS/EN standard
Ensure timely replacements. consistent IS / EN approved part No's along with systematic procurement
(Verify through site visit and through systematic procurement process (PPE requirement, purchase plan, 10 0
Interview). processes . safety stock, re order level, specification of
each PPE)
2. 40%: Along with the above there # Along with above - condition/quality
exists a continuous inspection and assessment of PPE is in place (evidence is a
testing process of quality of all PPEs must - PPE standard, condition) 10 0
being used by employees.

3. 60%: System exists of capturing # Along with above, there is a mechanism

PPE requirement of all jobs after of planning w.r.to PPE requirement
reviewing contract requirements and specific to contract in hand, job hazard 10 0
Job Hazard analysis and following the analysis (evidence is must)
above.
4. 80%: System exists of continuous # Regular review of PPE quality and CONDITION/QUALITY ASSESSMENT OF PPE IS IN PLACE. REGULAR REVIEW OF PPE QUALITY AND
review of the PPE quality and requirement and necessary changes as per REQUIREMENT AND NECESSARY CHANGES AS PER SOP EVIDENT. GAPS: ENGAGEMENT WITH
requirement and making changes in SOP CUSTOMER/EMPLOYEES ON PPE QUALITY NOT EVIDENT. ACTION TO BE TAKEN: CUSTOMER/ EMPLOYEE
SOPs. FEEDBACK SYSTEM TO DEVELOP

4 10 40

5. 100%: Along with the above # Engagement with Customer/employees

process exists for engagement with on PPE quality
Customer and employees on the 10 0
quality of PPEs.

2.Impleme 2.4 Providing & ensuring safe usage 0. 0%: Ad hoc system of supply of # Adhoc system of supply of tools &
10 0
ntation of standard, certified and right tools and tackles. tackles
Safety tools & tackles, equipment’s 1. 20%: Tools and tackles supplied # Tools & Tackles are of IS/EN standard
system and calibrated safety gadgets against consistent IS / EN approved and there is a documented procedure
10 0
and (e.g. Gas detectors) while part No's through systematic
Process performing the job. (Verify procurement processes.
through Records and Site visit) 2. 40%: Along with the above # Planned inspection of tools & tackles is
there exists a continuous inspection in place (inspection record is a must)
and testing process of quality of all # Record w.r.to status of calibration,
Tools and Tackles being used by testing of tools & tackles shall be available 10 0
employees. Legal certification (Calibration from recognized agency only)
procedures are well documented and
audited

3. 60%: Along with the above # Record of planning for tools & tackles
system exists of capturing Tools and w.r.to contract and JHA
Tackles requirement of all jobs after
10 0
reviewing contract requirements and
Job Hazard analysis and following .
 4. 80%: System exists of # Regular review of tools & tackles quality
continuous review of the Tools and and requirement and necessary changes
10 0
Tackles quality and requirement and as per SOP
making changes in SOPs.
5. 100%: Along with the above # Employee engagement w.r.to quality of PLANNED INSPECTION OF TOOLS & TACKLES IS IN PLACE, TESTING OF TOOLS & TACKLES DONE ON
process exists for engagement with tools & tackles REGULAR BASIS. RECORD OF PLANNING FOR TOOLS & TACKLES EVIDENT. EMPLOYEE ENGAGEMENT
Customer and employees on the W.R.TO QUALITY OF TOOLS & TACKLES EVIDENT.
quality of Tools and Tackles
5 10 50

2.5 Ensuring a good housekeeping 0. 0%: No systematic process for # No systematic process on house keeping
10 0
free from any slip / trip / fall House keeping
hazards at working sites. (Verify 1. 20%: There is a systematic # Systematic process of house keeping in
through site visit) process Housekeeping of achieving at place (1S, 2S)
10 0
least 1s& 2s standards.

2. 40%: Along with the above # Along with above regular campaign on
Evidence exists of regular campaigns slip, fall exist (evidence is a must)
on Slip trip falls etc. and # Record of house keeping competition 10 0
Housekeeping competitions. exist
3. 60%: Evidence exists of # Evidence/record of improvement due to REGULAR HOUSEKEEPING IS DONE, CHECKLIST IS NOT PRESENT .SITE IS MAINTAINED.VISUAL DISPLAY AT
continuous improvements in layout house keeping audit, suggestion and SITE EVIDENT.CAMPAIGN ON SLIP, TRIP, FALL EVIDENT.GAPS: EMPLOYEE FEEDBACK NOT RECORDED.
arising out of audits and feedback feedback ACTION TO BE TAKEN: EMPLOYEE FEEDBACK MECHANISM TO DEVELOP. 1S, 2S, 5S CHECKLIST TO
INTRODUCE AND AUDIT TO BE CONDUCTED. IMPROVEMENT DUE TO HOUSE KEEPING AUDIT TO RECORD.

3 10 30

4. 80%: Along with the above # Along with above visual display is
there are Visual displays for the entire available at site, office 10 0
site.
5. 100%: 5S audit done and # Along with above 5S audit done at
participated and won awards in planned interval as per defined checklist
10 0
Housekeeping through a
housekeeping check list
2.6 Self-Safety Initiative / Project by # No self initiated project on safety
0. 0%: No such system exists. 10 0
contractor for Safety improvement
Improvement # Self initiated project exist with no
1. 20%: Ad hoc system of initiative 10 0
systematic plan
2. 40%: Taking self-initiated # Self initiated project exist and suggestion
projects and suggesting line managers to Superior for safety improvement 10 0
for safety improvement.
3. 60%: Along with the above # Evidence exist w.r.to suggestion and SELF INITIATED PROJECT EXIST AND SUGGESTION TO SUPERIOR FOR SAFETY IMPROVEMENT.GAP: TOP
evidence exists for safety initiatives on safety improvement MANAGEMENT ENGAMENT IN SUGGESSTION NOT EVIDENT. EMPLOYEE ENGAGEMENT NOT EVIDENT IN
improvement suggestions and SAFETY INITIATIVE AND IMPROVEMENT. ACTION TO BE TAKEN: TOP MANAGEMENT & EMPLOYEE
initiatives. ENGAGEMENT TO BE RECORDED FOR SUGESSTION ON SAFETY IMPROVEMENT .CASE STUDY: FLUROCENT
STICKER HAS BEEN INSTALLED ON THE BODY OF THE CARS FOR BETTER VISIBILITY DURING NIGHT SHIFT.

3 10 30

4. 80%: Evidence exists for # Involvement of top management in self

involvement of top level leadership in initiated safety projects (record of no. of
safety initiatives and improvement suggestion received, no. of suggestion 10 0
project. implementation, resource provision)
 5. 100%: Evidence exists of all # No. of suggestion viz-a-viz no. of
level of employee’s participation in employees in the organization
10 0
safety initiatives and improvement
project.
3.1 Contractor safety audit by the 0. 0% -System does not exists # No safety audit done 6 0
contractors' supervisor and site
1. 20%-Regular self-audits not # Safety audit done on adhoc basis (no
safety supervisors in the field. 6 0
done. audit plan, no checklist)
(Verify records)
2. 40% -Audit done occasionally # Safety audit done with no record
6 0
but no record found
3. 60% -Regular audit done but # Safety audit done as per plan, but no
record not in place. record 6 0

4. 80%-Regular audit done, record # Safety audit done as per plan, report SAFETY AUDIT DONE AS PER PLAN, REPORT AVAILABLE. CAPA AVAILABLE. FINDING ARE
is in place with follow up action. available with CAPA REPEATATIVE.ACTION TO BE TAKEN: AVOID REPEATATIVE FINDINGS THROUGH CROSS FUNCTIONAL
4 6 24 AUDIT BY ENGAGING ALL EMPLOYEES IN SAFETY AUDIT.

5. 100%-The same points are not # Safety audit findings are not repetitive
recurred in the next audit (effectiveness of audit) 6 0

3.2 Corrective and preventive 0. 0%: No system exists. # No CAPA 6 0

action on self-audit report
1. 20%: System for identification # CAPA covers unsafe practices of severity
specifically on 4 & 5 severity
of unsafe practices of severity 4 & 5 4&5 6 0
potential. (Verify records & site
exists.
visit)
2. 40%: Structured review # Review of CAPA of unsafe practices of
mechanism for unsafe practices of severity 4&% 6 0
severity 4 & 5.
3. 60%: Systematic process of # Systematic process of correction of all CAPA FORMAT EXIST. SYSTEM FOR IDENTIFICATION OF UNSAFE PRACTICES OF SEVERITY 3 EXISTS.
correction of all unsafe practices of unsafe practices of severity 3, 4 & 5 exists. SYSTEMATIC PROCESS OF CORRECTION OF ALL UNSAFE PRACTICES OF SEVERITY 3, 4 & 5 EXISTS.
severity 3, 4 & 5 exists. GAPS:PROCEDURE VIOLATION OF SEVERITY 3 EXIST. ACTION TO BE TAKEN: SAFETY AWARENESS TRAINING
3 6 18 REQUIRE MORE FREQUENTLY. MORE PICTORIAL SIGNS CAN BE IMPLEMENTED ON SITE FOR READY
GUIDANCE ON SAFE WORK PRACTICE.

4. 80%-There is no unsafe practice # No unsafe practice of severity 4 & 5

6 0
of severity 4 & 5 not exists exists
5. 100%-Procedure violations of # Procedure violations of severity 3 does
6 0
severity 3 does not exists not exists
3.3 Compliance to Generic and 0- 0%- Basic deviation of PPE # Basic deviation of PPE observed
6 0
Specific Safety clauses as per observed
contract. (Verify through site 1- 20%-Generic safety clauses have # Generic safety clauses have been
visit and Interview based on been followed followed 6 0
some Work order). 2- 40%-Specific safety clauses with # Specific safety clauses with reference to
reference to hierarchy of hazard hierarchy of hazard control is followed 6 0
control is followed
3- 60%-Safety violation with # Safety violation with respect to SPECIFIC SAFETY CLAUSES WITH REFERENCE TO HIERARCHY OF HAZARD CONTROL IS FOLLOWED,
respect to workforce capability does workforce capability does not exists STANDARDISE TOOL AND TACKLES ARE PROVIDED.GAPS: SAFETY VIOLATION WITH RESPECT TO
not exists WORKFORCE CAPABILITY EXISTS, LEARNING AND INTEGRATION APPROACH IS NOT VISIBLE. ACTION TO BE
3 6 18 TAKEN: LEARNING AND INTEGRATION APPROACH CAN BE DEVELOPED THROUGH MOTIVATION.

4- 80%-Infrastructure resources # Infrastructure resources tools & tackles

tools & tackles are provided with right are provided with right quality 6 0
quality
5- 100%-Process of doing job has # Process of doing job has been
been standardized and followed and standardized and followed and learning
learning and integration approach is and integration approach is visible 6 0
visible
4.1 Reporting, investigation and 0- No system of reporting incident # No system of reporting incident and
6 0
learning of all incident / and health issues health issues
accident, Health issue. 1- Adhoc and weak system # Adhoc and weak system available
6 0
available
2- A documented procedure for # A documented procedure for reporting
reporting of incidences exists and of incidences exists and followed and
6 0
followed and investigation carried out investigation carried out
 3- Reporting and investigations # Reporting and investigations done A DOCUMENTED PROCEDURE FOR REPORTING OF INCIDENCES EXISTS AND FOLLOWED AND
done systematically and root causes systematically and root causes are INVESTIGATION CARRIED OUT. REPORTING AND INVESTIGATIONS DONE SYSTEMATICALLY. LEARNING
are identified identified SHARED.GAPS: ROOT CAUSE IDENTIFICATION NOT EVIDENT.ACTION TO BE TAKEN: INCIDENT OF OTHER
ORGANISATION IN THE VICINITY AND FROM THE INDUSTRY CAN BE SHARED. ROOT CAUSE
3 6 18
IDENTIFICATION SHOULD BE THERE IN THE INVESTIGATION FORMAT.

4- Recommendations are # Recommendations are implemented and

6 0
implemented and learning shared learning shared
5- Learning from other incidents # Learning from other incidents shared
shared and implemented and implemented 6 0

4.2 Near miss and Unsafe act / 0- No system of reporting incident # No system of reporting near miss &
6 0
condition reporting, and health issues unsafe act/ condition
investigation and corrective 1- Adhoc and weak system # Adhoc and weak system available
6 0
action. available
2- A documented procedure for # A documented procedure for reporting
reporting of Near miss exists and of Near miss exists and followed and
6 0
followed and investigation carried out investigation carried out

3- Reporting and investigations # Reporting and investigations done

done systematically and root causes systematically and root causes are 6 0
are identified identified
4- Recommendations are # Recommendations are implemented and REPORTING OF NEAR MISS EXISTS AND FOLLOWED AND INVESTIGATION CARRIED OUT, REPORTING AND
implemented and learning shared learning shared INVESTIGATIONS DONE SYSTEMATICALLY.ROOT CAUSES ARE IDENTIFIED.SCOPE OF IMPROVEMENT:
LEARNING FROM OTHER NEAR MISS WITHIN THE VICINITY AND FROM THE INDUSTRY CAN BE SHARED
AND IMPLEMENTED

4 6 24

5- Learning from other near miss # Learning from other near miss shared
6 0
shared and implemented and implemented
4.3 Skill retention, amenities, 0- No system. No amenities and # No system of skill retention
employees liability etc. (Verify high skilled employees turnover # No amenities provided 6 0
through records and Interview) # High employee turnover
1- Amenities provided and it is of # Amenities provided is of minimum
6 0
minimum requirement requirement
2- Employees are motivated and # Employees are motivated to remain in AMENITIES PROVIDED IS OF MINIMUM REQUIREMENT, EMPLOYEES ARE MOTIVATED TO REMAIN IN THE
remain with the organization the organization ORGANIZATION. GAPS: GREIVENCE RECORDING MECHANISM NOT EVIDENT. FEEDBACK SYSTEM FOR
GREIVENCE REGISTER NOT EVIDENT.ACTION TO BE TAKEN: GREIVANCE REGISTER TO
2 6 12
INCORPORATE.FEEDBACK FROM EMPLOYEE TO RECORD ON CLOSED GREIVANCE.

4.Perform
ance 3- No grievances from employee # No grievance from employees on
Measure: and amenities are provided amenities provided, hygiene and
6 0
Lead considering hygiene and workplace workplace environment
indicator environment
4- Employees grievances are # Employee grievance are recorded and
recorded and individual consideration considered for action 6 0
is given
5- A feedback system exists for # Feedback system exists to capture
capturing employees engagement and employee suggestion, engagement and 6 0
retention retention
4.4 Campaign e.g. (Safety quiz, 0- No system for safety # No safety campaign
6 0
Safety skid etc.) to develop campaign
Safety Culture. (Verify through 1- It is done haphazardly # Adhoc safety campaign 6 0
records and Interview)
2- Done systematically and # Safety campaign done systematically
involvement of employees are (record is must) 6 0
there
3- A monthly or annual plan is # Plan for campaign available with theme
available and campaigns are 6 0
conducted as per theme
 4- Ownership of campaign are # Responsibility of campaign are defined PLAN FOR CAMPAIGN AVAILABLE .THEME BASED CAMPAIGN PLANNED. CAMPAINGNS ARE DONE AS PER
fixed and topic based are and topic based campaign are conducted PLAN .RESPONSIBILITY OF CAMPAINS ARE DEFINED.GAPS: CAMPAIGNS ARE NOT LINKED TO PAST
conducted INCIDENTS AND BASED ON LEARNING. ACTION TO BE TAKEN: CAMPAIGNS BASED ON PAST INCIDENT TO
PLAN AND CONDUCT.

4 6 24

5- Campaigns are linked to past # Campaigns are linked to past incidents

incidents and based on learning and based on learning (record/evidence) 6 0

4.5 Reward, Recognition and 0- No system # No system 6 0

Consequence Management 1- Ad hoc system available # Ahhoc system 6 0
System of Contractor. (Verify
through records) 2- There is criteria and # Defined criteria & documented DOCUMENTED PROCEDURE FOR BAD & GOOD PERFORMER EXIST. GOOD & BAD PERFORMER
documented procedure for both procedure MECHANISM IS NOT TRANSPERANT. ACTION TO BE TAKEN: CONSEQUENCE MANAGEMENT SHOULD BE
TRANSPARENT, SAME CAN BE DONE VIA TWO WAY COMMUNICATION i.e TBT OR MASS MEETING. PDCA
CYCLE TO BE FOLLOWED TO IMPROVE LEARNING INTEGRATION APPROACH FOR FURTHER REDUCTION IN
UNSAFE ACT/ PRACTICE.

2 6 12

3- System is followed and # Mechanism of bad & good performer

applied to identify good and bad exist (shall be transparent and shall be 6 0
performer known to employees)
4- There is positive impact # Positive impact amongst employees and
among contract employees and they are motivated 6 0
they are highly motivated
5- PDCA is followed and # PDCA is followed and learning and
learning and integration approach integration approach visible and reduction
visible and reduction in unsafe acts in unsafe acts and practices 6 0
and practices

Zero Lost time /serious injury 0-60 score 0

5.1 60 NIL
or permanent disability
1or more-0 score
5.Perform
ance 0-40 score 0
5.2 Zero First aid case 40 NIL
measure:
1or more-0 score
Lag
indicators 0
Non-Injury Incidents (e.g. 0-20 score
applicable 5.3 20 NIL
Property Damage)
for the 1or more-0 score
Location
Safety violation of fatal
itself 0 - 20 0
potential of severity 4&5
(Previous 5.4 20 NIL
(reference contractor safety
Financial >=1 - 0
audit system)
year and
Current Safety noncompliance cost 0-20 score 0
Financial 5.5 recovery / Penalty imposed / 20 NIL
year as on Job stopped. 1-0 score
assessmen 0
0 Fatality : 0 score 0
t date)
5.6 Fatality of contractor employee If Fatality : 1 0 NIL
a) - 200 (Deduction)
a) If Responsible
b) 0 marks (No Deduction)
b) Not Responsible

TOTAL SCORE 700

1 Self assessment done by vendor : Yes / No

YES

2 Verified by CO / Mentor : : Yes / No NO

Report (1 & 2) seen by Third

3 : Yes / No YES
party agency during assessment
Annexure #1
CSM Star rating assessment key findings and feedback form

(A) Key Audit findings:

1.
2.
3.
4.
5.
(B) Feedback by CO (TSL employee) and Vendor :
a) Are the auditors following Scope of assessment?
Ans: Yes / No
b) Behavior of Auditor?
Ans: Good / Satisfactory
c)Field visit conducted by the Auditor?
Ans: Yes / no
d)Have you understood Auditor’s inputs?
Ans: Yes / No
e) Any suggestion on assessment process of auditors?
Ans: