SHE Checklist Contractors

Transcription

1 SAFETY HEALTH ENVIRONMENT S C C HE HECKLIST ONTRACTORS SSVV - CENTRAAL COLLEGE VAN DESKUNDIGEN VCA

2 The Netherlands Raad voor Accreditatie / RvA (Dutch Accreditation Council) Belgium De Belgische Accreditatie-instelling / BELAC (The Belgian Accreditation Organization) Centraal College van Deskundigen VCA / CCVD-VCA (Central Committee of Experts SCC) Uitvoerend Comité van Deskundigen VCA / UCvD-VCA (Executive Committee of Experts SCC) Stichting Samenwerken voor Veiligheid / SSVV (Foundation Cooperation for Safety) Vereniging zonder winstgevend doel / vzw VCA-BeSaCC (VCA-BeSaCC non-profit association) Contact addresses: Secretariat: Centraal College van Deskundigen VCA Secretariat: Uitvoerend Comité van Deskundigen VCA PO Box AK LEIDSCHENDAM The Netherlands Tel. no.: (0) Fax: (0) info@vca.nl Website: Ravensteinstraat 4 B-1000 BRUSSELS Belgium Tel. no.: (0) Fax: (0) contact@besacc-vca.be Website: Guidelines and supplementary information: Website: Website: Ordering address: Website: Fax: (0) Website: Fax: (0)

3 SCC Procedure for the certification of the SHE management systems of contractors

4 Back to From this directory you can easily navigate through the document. Click on the designated chapter and you will arrive directly onto the right page. Contents Page Abbreviations definitions glossary Abbreviations 3 Definitions and glossary 4 Procedure 1 Introduction 7 2 Ownership and management 8 3 The role of the CCVD-VCA and UCvD-VCA 8 4 The role of the RvA, BELAC and CBs 8 5 The composition of the CCVD-VCA and UCvD-VCA 9 6 The scope: activities for which SCC certification is intended 9 7 SCC checklist Three certification levels Compulsory questions/supplementary questions Substantiation of the assessment in the audit report Certification standards: compulsory questions and supplementary questions 10 8 Certification process Application Phase 1 audit Phase 2 audit Audit report Certification Appeals procedure Minimum number of man-days to be assigned 13 9 Companies with more than one branch Conditions to be met by companies Conditions to be met by audit reports and certificates Guideline for the number of sub-branches to be visited Period of validity / interim audits / renewal of certification Period of validity Interim audits Recertification Modification of the scope Suspension and revocation Suspension Revocation 16 1 Contents

5 From this directory you can easily navigate through the document. Click on the designated chapter and you will arrive directly onto the right page. Back to Page 12 Information cited on SCC certificates The use of the SCC logo Notification of certification, accident figures, and amendments Certificates Injury frequency Amendments Confidentiality 18 Checklist 1 SHE policy and organization, Management Board involvement 21 2 SHE risk management 28 3 Training, information and instructions 31 4 SHE awareness 36 5 SHE project plan 38 6 Environmental protection 41 7 Preparations for emergency situations 43 8 SHE inspections 45 9 Company health service Purchase and inspection of materials, work equipment and personal protective equipment (PPE) Procurement of services Notification, registration and investigation of accidents and SHE incidents 56 Annexes A Requirements imposed on audit reports 61 B SCC requirements at the workplace relating to question 11.1 SCC 63 C Principles and conditions relating to the use of self-employed persons without personnel (zzp-ers) as subcontractors in terms of the SCC 64 D Matrix of certification levels 65 E Requirements to be met by Certification bodies, Coordinators and Auditors 67 F Instructions for the minimum number of man-days to be assigned to SCC audits 71 Contents 2

6 Back to Abbreviations definitions glossary Abbreviations B BELAC BeSaCC CB CCVD-VCA HVK IF LMRA MVK NL PPE RI&E RvA SCC SCP SCT SHE SSVV UCvD-VCA vzw ZZP Belgium Belgische Accreditatie-instelling (B) (Belgian Accreditation Organization) Belgian Safety Criteria for Contractors (B) Certification Body Centraal College van Deskundigen VCA (NL) (Central Committee of Experts SCC) Hogere Veiligheidskunde (NL) (occupational safety and health, higher level) Injury Frequency Rate Last-Minute Risk Analysis Middelbare VeiligheidsKunde (NL) (occupational safety and health, intermediate level) The Netherlands Personal Protective Equipment Risk inventory and Evaluation Raad voor Accreditatie (NL) (Dutch Accreditation Council) (VCA: VGM Checklist Aannemers) SHE Checklist Principals (VCO: VGM Checklist Opdrachtgevers) SH Checklist Temporary Employment Agencies (VCU: VG Checklist Uitzendorganisaties) Safety, Health, and the Environment Stichting Samenwerken voor Veiligheid (NL) (Foundation Cooperation for Safety) Uitvoerend Comité van Deskundigen VCA (B) (Executive Committee of Experts SCC) Vereniging zonder winstgevend doel (B) (Non-profit Association) Zelfstandige Zonder Personeel (Self-employed persons without personnel) 3 Abbreviations definitions glossary

7 Definitions and GLOSSARY Back to Accident not resulting in lost time An accident accompanied by injury not resulting in the loss of more than 1 working day, excluding the day of the accident Accident resulting in lost time An accident accompanied by injury resulting in the loss of more than 1 working day, excluding the day of the accident Accident resulting in modified duties An accident accompanied by injury not resulting in the loss of more than one day, excluding the day of the accident, and giving cause to the assignment of temporary duties to the victim Accidents requiring first aid Accidents resulting in injuries that require first aid Assurance The organization of the work in a manner such that it is possible to demonstrate that it is being carried out in the required manner. This pertains to: - the presence of procedures - responsibilities for the performance of the procedures - traceability/demonstrability Certification status The current condition of the company s certification: - the company has certification - the company s certification has been suspended - the company s certification has been revoked or nullified Contractor The (legal) person commissioned to carry out the work by the principal, and who arranges for the completion of the work on the principal s premises by the contractor s own employees operating under the contractor s responsibility and supervision Abbreviations definitions glossary 4

8 Back to Employees - personnel employed by the company employed pursuant to a fixedterm or indefinite employment contract - temporary employees: staff from temporary employment agencies, staff on secondment, trainees, job students IF (Injury Frequency Rate) This pertains to the number of accidents resulting in lost time per man-hours, expressed in terms of the Injury Frequency Rate. IF (Frequency) = number of lost time accidents x number of hours worked N.B.: - The accidents resulting is lost time for the entire company, or for all employee activities for which SCC certification has been requested, including temporary staff - In the event that no information is available about the total number of hours worked, then the number of hours worked per employee (FTE) is assumed as 1600 hours. The accident statistics shall be verified during the audit. Main branch Within the scope of the SCC this is understood to be the branch office that directs, oversees and assesses the sub-branches Near accident An undesirable occurrence which could, in different circumstances, have resulted in physical injury Operational staff Employees carrying out work within the scope of the activities for which SCC certification has been requested, at the principals or at their own workplace Operational supervisors Employees responsible for the management of operational staff Organizational unit A recognizable and identifiable department within the company 5 Abbreviations definitions glossary

9 Principal (Client) The (legal) person who commissions the contractor to carry out the work/project Back to Project An activity which meets one or more of the following criteria: - a duration in excess of 30 working days and involving at least 20 employees (inclusive of the employees of any subcontractors) - in excess of 500 man-days Also every activity the certified party designates as a project Reportable accidents All accidents resulting in injury other than accidents requiring first aid SHE incident includes 1. Near accidents 2. Incidents resulting in damage/loss 3. Unsafe actions and/or conditions 4. Pollution 5. Undesirable exposure Sub-branches Within the scope of the SCC this is understood to be a local branch that is directed from the main branch. At the sub-branches the same activities, or possibly some part of the activities, are undertaken as those for which SCC certification is granted. Subcontractor The (legal) person commissioned/subcontracted to carry out part of the work/project by a contractor Work location The location at which the contractor carries out part of a commission Workplace The location at which the contractor s employees are physically engaged in the work Abbreviations definitions glossary 6

10 Back to Procedure 1. Introduction This document lays down the process and the procedure to be adopted for the evaluation and certification of contractors SHE management systems, in accordance with the requirements imposed on those systems pursuant to the SCC, inclusive of the roles played by all those involved. A contractor s SHE performance is determined by factors including the appropriate operation of the contractor s SHE management system for the contractor s employees and the employees of subcontractors, as well as the appropriate operation of the principal s SHE management system for the employees of contractors and subcontractors working at the principal s site. The SCC pertains to the contractor s SHE management systems for the company s employees and the contractor s employees. In addition, a SCP has been introduced. The SCP (non-accredited) relates to the principal s SHE management system for the employees of the contractors and subcontractors, working on the principal s site. Principals who impose an obligation for SCC certification on their contractors may reasonably be expected to have implemented their own SHE management system that complies with the requirements stipulated by the SCP. The SCT is intended for temporary employment agencies and intermediaries that supply temporary employees to companies/principals together with the transfer of hierarchical authority and supervision. The temporary employees carry out work with or subject to increased risk. The SCC originates from and was in the first instance developed by the petro(chemical) industry, whereby the system is based on the best practices within the (petro)chemical industry. Principals and contractors outside the (petro)chemical industry can also make use of the SCC system, provided that they comply with all the requirements stipulated for the system. For the purpose of SCC certification, certification bodies with accreditation for SCC certification issued by the RvA and BELAC, make sole use the SCC as drawn up by 7 Procedure

11 the CCVD-VCA with a contribution from the Belgian UCvD-VCA. Contractors who have been awarded certification pursuant to the SCC certification scheme receive a SCC certificate for their SHE management systems; they are also entitled to make use of the SCC brand name and logo. SCC certificates are issued on the basis of the applicable assessment criteria for SCC certification in force at the time. Back to The principal determines whether certification is required, and if so which level of certification will be stipulated. 2. Ownership and management The SCC is the property of the Centraal College van Deskundigen VCA (CCVD-VCA).The CCVD-VCA manages the SCC certification system. SSVV (The Foundation Cooperation for Safety) is the owner of the SCC brand name and logo, and within this capacity has registered the international rights for their use. The SSVV/CCVD-VCA has authorized the vzw VCA-BeSaCC to make use of the SCC certification system in Belgium. 3. THE ROLE OF THE CCVD-VCA AND THE UCvD-VCA The CCVD-VCA acts as the implementing body in the Netherlands, and monitors the quality of the SCC certification system via the RvA. The UCvD-VCA acts as the implementing body in Belgium, and monitors the quality of the SCC certification system via BELAC. 4. THE ROLE OF THE RvA/BELAC AND THE CB s The RvA has accepted the SCC certification system and can, acting jointly on behalf of the CCVD-VCA and pursuant to an agreement concluded between the RvA and the CCVD-VCA, issue SCC accreditation to certification bodies on the basis of ISO Within this context certification bodies are required to comply with all the conditions attached to accreditation, and to observe the terms of the agreement concluded between the certification body and the SSVV. Pursuant to the provisions of the aforementioned agreements the certification body is required to include the SCC logo and the RvA accreditation mark on all SCC certificates issued by that body. The RvA carries out checks to verify that the certification bodies act in accordance with the prescribed procedures as laid down and specified in the SCC. Procedure 8

12 Back to The BELAC organization and the vzw VCA-BeSaCC in Belgium, acting jointly on behalf of the UCvD-VCA, play equivalent roles to those of the RvA and the SSVV. The certification body s SCC auditor is responsible for the content of the audit report. The certification body s SCC coordinator assesses the audit report, and uses this assessment to reach a decision as to the potential for the certification of the contractor. The competent officer of the certification body takes the decision as to whether certification will be granted. 5. The composition of the CCVD-VCA and the UCvD-VCA Both the CCVD-VCA and the UCvD-VCA are comprised of equal numbers of representatives from (trade/sectorial) organizations of principal companies and contractors. 6. The scope: activities for which SCC certification is intended SCC certification is intended for companies which carry out work involving increased risks in high-risk environments (work in factories, on installations, in workshops, and at project sites), such as: mechanical engineering activities electrical engineering and process control structural engineering work civil engineering work other engineering services, such as: - insulation - scaffolding construction - industrial cleaning - shot blasting/conservation - vertical transport - etc. 7. SCC checklist 7.1 Three certification levels Three levels of SCC certification are distinguished: 9 Procedure

13 SCC* Focused on the control of SHE at the workplace. Back to SCC** Focused on the control of SHE at the workplace, as well as on the SHE structure (including SHE policy, SHE organization, and improvement management). SCC Petrochemical Focused on the control of SHE at the workplace, the SHE structure (including SHE policy, SHE organization, and improvement management), and on specific supplementary requirements for the petrochemical industry. 7.2 Compulsory questions/supplementary questions The SCC checklist is comprised of compulsory questions (*/**/petrochemie) and supplementary questions ( c ). A question will be answered in the affirmative solely if all the minimum requirements and the objective stipulated in connection with the said question are met and achieved. A compulsory question which is deemed to be inapplicable should be answered in the negative, as a result of which it will not be possible to issue a SCC certificate unless stated otherwise. 7.3 Substantiation of the assessment in the audit report The auditor begins by determining for each question whether all the documents mentioned are present and whether all the minimum requirements are met for each question. The auditor continues with substantiation for all the minimum requirements in italics. The auditor then assesses whether the objective of each question is achieved (italics); this is always accompanied by substantiation. 7.4 Certification standards: compulsory questions and supplementary questions Certification standards, SCC*: - all SCC* compulsory questions Procedure 10

14 Back to Certification standards, SCC**: - all SCC** compulsory questions - at least six (6) supplementary questions Certification standards, SCC Petrochemical: - all SCC Petrochemical compulsory questions - at least two (2) supplementary questions. See Annex D. 8. The certification process 8.1 Application All companies employing a SHE management system in accordance with the SCC can request a SCC-accredited certification body for SCC*, SCC** or SCC Petrochemical certification as based on the procedure laid down in this document. For the purposes of the issue of an official quotation (approach, number of man-days, costs, etc.) the certification body shall request the necessary information from the company, such as: The structure of the company: main branch and sub-branches (if any). The organization chart. The number of employees/number of man-hours per annum. The number of projects in progress (please refer to the definition). The average number of locations at which the company works simultaneously. Technical/engineering activities requiring a specific expertise. The scope of the certification, inclusive of the NACE Code (rev. 2). The certification body will submit an audit plan to the company in good time. This plan shall at least include the following information: Type of audit (initial, interim, repeat). The date(s) on and the place(s) at which the audit will be held. The scope. The organizational units (departments) where the audit will be carried out, together with a statement of the expected duration. Visits to projects and work locations with a statement of the expected duration. The composition of the audit team (the auditor and, where relevant, an expert) who will carry out the certification investigation, whereby the company will be provided with the opportunity to lodge an objec- 11 Procedure

15 tion against the choice of one or more members of the audit team. Any such objection shall need to be accompanied by the reasons for the objection. Back to 8.2 Phase 1 audit For the purpose of the certification investigation, the certification body s SCC auditor will assess the documents. The documents specify the SHE management system inclusive of the complaints procedure, include an evaluation whether internal audits and Management Board assessments are scheduled and carried out as well as information on conditions specific to individual locations, processes, (SHE) risks and the scope. In principle, the audit will be held at the contractor s location. The auditor can request the contractor to supply supplementary information. The certification body s SCC auditor will notify the contractor of his/her findings following the audit, which findings will form the basis for the agreements on the following stage of the investigation. (Phase 2) 8.3 Phase 2 audit An assessment of the implementation of the SHE management system, including compliance with the SCC requirements can take place once the contractor s SHE management system has been operational for at least three months. The assessment done by the certification body and is effected by means of an audit plan drawn up in consultation with the contractor and extending to, for example: - discussions, interviews and inspections with those responsible for the management system at the company s registered offices; - assessments amongst the operational staff and operational supervisors to determine whether the system has been implemented correctly at the workplaces - assessments of the correctness of the injury frequency rate (IF) at the workplaces 8.4 Audit report The assessment of the documentation/description of the contractor s SHE management system (Phase 1) and of the implementation of that system by the contractor (Phase 2) is concluded with a report to be prepared by the certification body s SCC auditor in accordance with Appendix A. Procedure 12

16 Back to 8.5 Certification The certification body s SCC coordinator assesses the audit report prepared by the SCC auditor. Based on this assessment, the SCC coordinator reaches a decision as whether the contractor is eligible for certification. The competent officer of the certification body takes the decision as to whether certification will be granted. 8.6 Appeals procedure The certification body s appeals procedure is applicable to appeals lodged by the applicant; as the occasion arises the certification body must inform the CCVD-VCA (NL) or UCvD-VCA (B) of the appeal. The following annexes are relevant to Section 8: - Requirements to be met by Certification bodies, Coordinators and Auditors (Annex E). - Instructions for the minimum number of man-days to be assigned to SCC audits (Annex F). 8.7 Minimum number of man-days to be assigned The minimum number of man-days to be assigned to SCC audits; see the relevant instruction in Annex F. 9. Companies with more than one branch Conditions for certification under one certificate and one audit report. SCC certification of one company with more than one branch (main branch and a number of sub-branches) under one certificate based on one audit report, with not only the main branch being visited and audited but a limited number of sub-branches as well, is possible solely subject to the following conditions 9.1 Conditions to be met by the company - The company supplies equivalent services from all the sub-branches engaged in SCC activities and specifies this as the objective in the company s policy. - The SHE management system must be implemented in a centralized manner. - The main branch undertakes internal audits to demonstrably establish that the SHE management systems at the sub-branches at the 13 Procedure

17 sub-branches comply with all SCC requirements and are being implemented. Back to 9.2 Conditions to be met by the audit report and certificate - The certificate must mention the main branch and all the relevant sub-branches. - The audit report must demonstrate that the SHE management system applies to and is identical at the relevant sub-branches. 9.3 Guideline for the number of sub-branches to be visited See most recent version of IAF Mandatory Document for the Certification of Multiple Sites Based on Sampling. The number of subbranches to be visited (rounded off upwards) is x for an initial audit, 0.6 of x for an interim audit and 0.8 of x for a repeat audit, whereby x is the number of sub-branches. More details are given in Table 3 of Appendix F. If during the SCC certification of a company with more than one branch, not all the aforementioned conditions are met, no multi-location certificate can be issued. In such cases all the branches must be visited and audited separately and SCC certificates can only be issued separately for each branch on the basis of audit reports prepared separately for each branch. 10. Period of validity/interim audits/renewal of certification 10.1 The period of validity In principle SCC certification is valid for a period of three years. The actual period of validity depends on the (favourable) results from the interim audits, which are in principle carried out on a periodic basis (at least once a year) Interim audits Interim audits, which are scheduled separately from the initial audit, are based on the version of the SCC that was applicable at the time of the audit on the basis of which the certificate was issued. Interim audits are scheduled on the basis of the status and importance of the activity to be audited. Procedure 14

18 Back to Modifications to the audit plan can be implemented on the basis of the findings. This system must guarantee that all important elements of the contractor s SHE management system, at both the company and the project locations, are audited. Interim audits shall in any case extend to Management Board assessments, internal audits, complaints procedures, improvement projects, reviews of changes, the use of the logo, and tests of the effectiveness of measures implemented as a result of shortcomings identified during previous audits. In addition, the audit must verify that the accident statistics are updated every year. The audit is completed with an audit report. Should the auditor come to the conclusion that the situation is not in agreement with the SCC certification standards then this conclusion will be stated in an audit report. In such instances the contractor shall need to submit proposals for appropriate corrective measures to the CB, and will need to reach agreement with the CB on a period of time within which the corrective measures shall be implemented. Failure to implement the corrective measures within the stipulated time (a maximum of 3 months) will result in the suspension of the certification until such time as the contractor has demonstrated compliance with the requirements stipulated for the SCC Recertification In the event that the contractor wishes to renew the certificate at the end of the three-year certification period, the certification body shall be required to carry out a new certification investigation based on the version of the SCC in force at that time Modification of the scope In the event of modification and expansion of the scope of the certification, an investigation shall be carried out to determine whether an amendment of the certification agreement is required. 11. Suspension and revocation 11.1 Suspension The certification body is entitled to suspend, revoke or nullify the SCC 15 Procedure

19 certificate at any time during the three-year certification period. The certification can be suspended in the event that: - the contractor does not implement the corrective measures within the agreed time (a maximum of three months), or - in the event of the misuse of the certification body s logo or brand name. Back to 11.2 Revocation The certification will be revoked in the event that the corrective measures have not been implemented within a three-month period subsequent to the suspension of the certificate. 12. Information cited on SCC certificates SCC certificates shall at least cite the following information: a. Particulars about the company with SCC certification: - the full company name - the registered offices; in the event the company has a number of branches within one city or municipality then a statement of the address must be included so as to provide for the unique identification of the organizational unit/branch that has been awarded certification. - the scope, NACE Code (rev. 2) - the sub-branches falling within the scope of the certification (where applicable). b. Particulars about the certification body: - name - registered offices - logo/brand name c. The name of the accreditation mark of the accreditation body (RvA/ BELAC) d. Other information on the certificate: - an explicit statement of the type of certificate - the wording must indicate that the company complies with the requirements stipulated in the SCC version 2008/5.1 - the period of validity: valid until / valid from.. - the signature of the competent officer of the certification body - the SCC brand name and logo Procedure 16

20 Back to 13. The use of the SCC logo Contractors who have been awarded SCC certification are entitled to make use of the SCC brand name and logo in connection with their activities covered by certification. However, the SCC brand name and logo may not be used for the contractor s other activities. 14. Notification of certification, injury frequency, and amendments 14.1 Certification Pursuant to the agreement between the certification body and the SSVV (NL) or the vzw acting jointly on behalf of the CCVD-VCA (NL) or the UCvD-VCA (B) respectively, the certification body is under the obligation to submit notification of the issue of (amended) SCC certificates to the SSVV (NL) or the vzw VCA-BeSaCC (B) within one month of their issue. The following information shall be supplied with each notification: - name of the company or organizational unit - where applicable, the names of sub-branches falling within the scope of the certificate - the address of the company s registered offices - the scope of the activities and NACE Code (rev. 2) - the type of certificate - the date of issue, period of validity/expiry date - accident figures (IF) for the last three years prior to the year of certification 14.2 Accident figures The certification body shall submit annual notification of the accident figures of the relevant company with SCC certification Changes The certification body is also under the obligation to submit at very frequent intervals and at least monthly a list of certificates that have been revoked, suspended or are no longer valid, together with the reasons for the revocation or suspension of the certification with due observance of the prevailing duty of professional secrecy. 17 Procedure

21 15. Confidentiality Insofar as not in violation of national legislation, the certification bodies, the SSVV (NL), the vzw VCA-BeSaCC (B), the CCVD-VCA (NL) the CCVD-VCA (B) and RvA/BELAC respectively, will treat all information bound by professional secrecy as strictly confidential and consequently will not disclose this information to any institution whatsoever without prior written permission from the company to be certified, except for its certification status, which will always be published. It will be self-evident that the information stated on the SCC certificate is made public. Back to Procedure 18