CCF Systems Gap Analysis Checklist. Civil Contractors Federation. Civil Construction Management Code

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1 CCF Systems Gap Analysis Checklist Civil Contractors Federation Civil Construction Management Code Please Note: This Gap Analysis Checklist is designed to enable Contractors to undertake an initial self assessment of whether their management systems contain process documentation and elements to broadly meet the Civil Construction Management Code. The purpose of the assessment is to enable the contractor to determine whether their systems need to be more detailed and if so in what areas. This Gap Analysis Checklist is not a formal Audit Checklist and in no way indicates or intends to indicate whether the Contractor s management systems are fully compliant with any aspect of Legislation. Similarly this Checklist does not indicate or demonstrate a particular level of readiness for Certification of the system against the Civil Construction Management Code. Contractor: Analysis date: Analysis Undertaken by: Standard Process Element 1 Management Commitment 2 Contracts Summary of Findings Comments Process Documented Yes/No or Not Identified 3 Control of Work 4 Quality Control 5 Purchasing 6 Documentation 7 Training 8 Continuous Improvement 9 Health and Safety Issues 10 Environmental Issues 11 Technical Ability 12 Financial and Insurance Status 13 Industrial Relations CCF Management Systems Gap Analysis Checklist Issue 1: 30 June 2007 Page 1 of 9

2 CCF Civil Construction Management Code Basic Requirement 1. MANAGEMENT COMMITMENT Policy Statement Is there a defined and documented policy with Company objectives? Process In System Analysis Outcome Comments Organisation & Responsibility Have the employees roles, responsibilities, authorities and the interrelation of all personnel been defined and documented? Management Representative Irrespective of other responsibilities, has a person defined authority and responsibility for the Management System and OH&S/Environmental management? 2. CONTRACTS Tenders & Quotes Is there a process where quotes, tender specifications, contracts or orders reviewed before submission of the tender or quote Variations to Contracts Is there a variation process in the system? 3. CONTROL OF WORK Project Management Plan Does the contractor s system require preparation of a project management plan Does the PMP process include the identification, analysis and control of site specific project quality, safety and environmental risks, including relevant training? Separate Procedures Are Quality, Safety and the Environment including Emergency needs controlled by suitable separate procedures or instructions? CCF Management Systems Gap Analysis Checklist Issue 1: 30 June 2007 Page 2 of 9

3 4. QUALITY CONTROL Inspection and Testing Are there procedures for inspection and testing activities, which verify that specified requirements are met? Are these documented via an Inspection and Test plan? Identification and Traceability Do the Quality processes address the identification and traceability with regard to: materials used in the project where specified. Control Of Unsatisfactory Work, Nonconforming Material and Management System Failures Does the system have processes in place to ensure nonconforming products, services or work are identified quarantined and appropriately addressed? Control Of Inspection, Measuring & Test Equipment Are there documented procedures to control, calibrate and maintain this equipment? Are records maintained of calibration and servicing of equipment? 5. PURCHASING Purchasing Method Is the process for purchase of goods and services clearly defined (including critical specifications)? Does the system require that sub-contractors, suppliers. plant hirers and consultants are evaluated approved and selected on the basis of their ability to meet contract requirements, past performance and any specific contractual requirements? CCF Management Systems Gap Analysis Checklist Issue 1: 30 June 2007 Page 3 of 9

4 6. DOCUMENTATION Document & Data Control Is there a process to ensure that the current revision status of the management system and other relevant documents has been established and recorded? Are externally sourced documents current (MSDS etc)? Records Does the system have processes to ensure that appropriate Business, Construction and subcontractor records are maintained. 7. TRAINING On Going Skill & Safe Work Training Are up to date training records are available for all workers and supervisory staff? Competency Training Is there a documented process to verify personnel have the necessary qualifications and have been competency assessed for specific tasks? Induction Training Is there a documented process outlining company induction programs and procedures as required by law? Duty of Care Is there a documented process that requires management, employees and subcontractors are maintaining their responsibility for the quality of their work and adherence to Health & Safety and Environmental requirements? CCF Management Systems Gap Analysis Checklist Issue 1: 30 June 2007 Page 4 of 9

5 8. CONTINUOUS IMPROVEMENT Business Improvement (Corrective and Preventative Action) Is there a documented process that addresses the opportunity for all clients, staff and employees to record suggestions, complaints and possible defects for the Manager to consider? Are these recorded and appropriate action taken? Internal Audit of Management System Is there a documented process requiring internal audits of the management system to be carried out at least annually? Does this include a determination of compliance to legal requirements (e.g. OH&S Act)? Business Management Review Is there a documented process defining that at least annual Business Management Reviews are being held? 9. HEALTH & SAFETY MANAGEMENT General Is there a documented process that requires Health and Safety issues for each project are addressed? Safety Representative Does the process require that a company nominated representative is to be responsible for health and safety issues including rehabilitation and is this person trained or do they rely on appropriate outside expert advice? Plant and Permit to Work Regulations Is there a documented process requiring that relevant Plant Regulations are met for all plant? Does the process provide evidence that operators of all plant are trained and have been assessed as competent in the operation of the plant? Safety Audit Is there a documented process requiring the auditing of Safety Procedures for each project? CCF Management Systems Gap Analysis Checklist Issue 1: 30 June 2007 Page 5 of 9

6 Plant Maintenance Is there evidence of a company planned maintenance program in accordance with the plant manufacturer s specification and schedules? Plant Daily Checklists Is there evidence pre-start plant safety checks inclusive of subcontractors plant are completed and faults rectified? Regular Hazard Inspections Do the Safety processes require the regular inspection of Worksite, Plant and Central Yard and the control of identified hazards? Job Safety Analysis/Implementation Is their evidence that the company is carrying out the safety analysis to meet individual State legislative requirements in a controlled manner with sufficient knowledge and training before the project starts? Is their a written procedure or instruction to ensure that the analysis is conducted in a consistent manner? Is there evidence to verify hazard/risk control measures are effectively implemented? Hazardous/Dangerous Goods/Chemicals Is there a process for the safe handling, storage and transport etc of dangerous goods and substances? Emergency Preparedness and Response Is there evidence of a procedure and regular training to allow the staff and employees to be capable of managing an emergency until qualified persons arrive to manage the incident? Are procedures in place to ensure the legal reporting requirements are met? CCF Management Systems Gap Analysis Checklist Issue 1: 30 June 2007 Page 6 of 9

7 10. ENVIRONMENTAL MANAGEMENT General Environmental Aspects Is there a procedure or instruction covering how environmental risks are controlled and managed to ensure compliance to Legislative requirements? Environmental Representative Has the company nominated a trained representative to be responsible for environmental issues? Legislative Requirements Is the company aware of their legislated responsibilities with regard to Environmental Management? Has the company a method of obtaining these regulations and keeping up to date with changes to the legislation or regulations? Environmental Audit/Hazard Inspections Are environmental Hazard inspections undertaken across all activities? What evidence of auditing environmental procedures for each project is there? Job Environmental Analysis/Implementation Is there evidence that the company is carrying out the environmental analysis in a controlled manner with sufficient knowledge and training before it starts? Is their a written procedure or instruction to ensure that the analysis is conducted in a consistent manner? Are Control measures implemented? Emergency Preparedness and Response Show evidence of a procedure and regular training to allow the staff and employees to be capable of managing an emergency or environmental incident until qualified persons arrive to manage the incident. Are procedures in place to ensure the legal reporting requirements are met and regularly evaluate the degree of compliance to legal and regulatory requirements? CCF Management Systems Gap Analysis Checklist Issue 1: 30 June 2007 Page 7 of 9

8 11. TECHNICAL ABILITY General Can experience and technical ability in civil construction industry sector be demonstrated? Human Resources Are there sufficient trained and competent employees/subcontractors to carry out the work? Professional Support Are contacts in place for the provision of relevant technical support: e.g. Legal/OH&S/Environmental etc? 12. COMPANY REGISTRATION Company Structure Is there evidence that the company is registered with an ABN and principles and directors are involved in its financial control? 13. INDUSTRIAL RELATIONS Is there evidence to show that the company has information of what awards/agreements and wage rates apply to the work they carry out? Is there evidence that the company has a method to ensure they are kept up to date with any changes to industrial laws and awards? Is there evidence that the contractor is aware of its responsibilities for paying benefits and registration for WorkCover, Superannuation & Taxes etc associated with the engagement of permanent employees, compared to employment of regular labour type subcontractors who might be eligible for these same payments? Australian Building & Construction Commission Are there appropriate processes in place to meet the National Code of Practice for the Construction Industry requirements, have these been independently assessed? CCF Management Systems Gap Analysis Checklist Issue 1: 30 June 2007 Page 8 of 9

9 Assessors Comment Summary CCF Management Systems Gap Analysis Checklist Issue 1: 30 June 2007 Page 9 of 9