INTERNAL ASSESSMENT REPORT FOR SHYAM TECH PVT. LTD. ON DATE:-22.10.

2020

Attributes SN Evaluation Multiplying Maximum Actual Audit findings

Requirements factor Weighted score
(0 to 5)
Score

1.1 Safety & Health 4 10 50 40 Policy Available, Safety

Management System Manual Available, JHA
(Policy & Principles, Available
Safety Manuals, Safety
Legal Compliance
Organization) (Safety Dashboard Available
manuals – (Look for
HIRA or JHA Safety Audit & Review
document, Legal System – OFIs need to
compliance system, be complied & tracked
Emergency Planning
1.0 Planning of system, Safety
Safety System & Dashboard, Safety
Process Audit & Review
system, Operational
control, Asset
Management).

1.2 Procedure for 3 10 50 30 Documented procedure

selection and for selection and
deployment of skilled deployment of skilled
employees available in
&Certified employees,
manual mentioning the
Managers, scrutiny flow chart and
Supervisors and SSS pledge. Qualified
safety supervisor
deployed
INTERNAL ASSESSMENT REPORT FOR SHYAM TECH PVT. LTD. ON DATE:-22.10.2020
“Safety a mandatory
requirement for
engaging all
employees“ is
mentioned in
procedure as well as in
Appointment letter

Provision in system
regarding Documented
Safety certification
requirement is
available.

1.3 Safety planning 5 10 50 50 JHA available for 100%

process for safe of total job Corrective
execution of jobs. and Preventive
measure. Audit Plan
(JHA, Audit plan,
mentioned in safety
Tools & equipment, dash board. Planning
Job execution plan, for tools & equipment
HSE plan, Permits mentioned in JHA.
required, Method
statement) Job execution plan and
Method Statement are
available.

1.4 System and processes 3 10 50 30 Safety supervisor is the

for training on Safety defined trainer.
Standard, Behavioral Training calendar
available.
Safety, Job-specific
Skill development, Documented training
Emergency procedure, training
INTERNAL ASSESSMENT REPORT FOR SHYAM TECH PVT. LTD. ON DATE:-22.10.2020
Preparedness organizational
&Response for structure and training
employees and infrastructure are not
available. Training
supervisors.
record-maintained
covering / mentioning
any safety related
topics (SOP, Safety
Standards, BBS, Skill
development, EPP and
training for
supervisors).

Training feedback
system exist.

Along with above SOPs

getting revised based
on feedback
continuously - revision
on SOP based on
feedback (training
effectiveness) – Not
Available

1.5 System for two-way 3 10 50 30 Line walk conducted

communication (Top by leadership team and
> Bottom> Top) Proprietor. Record of
line walk available.
between contractor
leadership and their Documented system of
workforce (Proprietor two way
engagement in Line communication is in
walk, Safety meeting place. Safety meetings
INTERNAL ASSESSMENT REPORT FOR SHYAM TECH PVT. LTD. ON DATE:-22.10.2020
etc.). are conducted.
Discussion and action
during line walk and
feed back by site
employees exist.

Along with evidence

exist w.r.to feedback
and communication on
action is available

Along with above

reward/recognition
mechanism exists for
participation/
suggestion on action
(evidence/record)
is available

1.6 Annual assessment of 3 10 50 30 Self safety assessment

Safety Management has been done on
system & processes 22/10/2020 by Top
(Self or Third-Party Management.
Audit)

2.1 Capability of 3 10 50 30 Selection process is

Workforce, (Skilled & based on CSM
certified manpower, standard criteria.
Employees are capable
Competent
of doing job.
Supervisor, SSS etc.) Employees are happy
Verify through site with work
visit and Interview. environment provided.
 INTERNAL ASSESSMENT REPORT FOR SHYAM TECH PVT. LTD. ON DATE:-22.10.2020

Employees and
2.0 Implementation supervisors provide
of Safety System positive feedback and
and process happy with the work
environment provided
to work.60% coverage
of skilled and certified
manpower

Promotional scheme/
sponsorship by
proprietor for skill
development &
education is available.

2.2 Regular TBM and 4 10 50 40 TBM conducted on

Mass Meetings (Verify daily basis. Mass
through records and meeting conducted on
weekly basis. TBM
interview)
records maintained
mentioning the
topicws. Mass meeting
records are available
without MOM. Output
of TBM (suggestion /
feed back) available in
adhoc manner. Output
of Mass meeting
(suggestion / feed
back) – available

Safety improvement is
driven by employees
exist.
INTERNAL ASSESSMENT REPORT FOR SHYAM TECH PVT. LTD. ON DATE:-22.10.2020

Evidence exists that

based of above
discussions
improvements have
been driven by
employees.

Evidence exists of
Leadership teams
participation in the
Mass meetings on
safety

2.3 Providing & ensuring 3 10 50 30 PPEs provided are of

usage of standard IS/EN standard with
(IS/EN) and right procurement
procedure. PPE issue
PPEs while
record and replacement
performing the job. record maintained.
Ensure timely Inspection record of
replacements. (Verify PPE maintained daily
through records and vide a checklist.
interview) Physical condition of
PPE at site found good.
PPE required for
specific job / contract
are maintained. PPE
requirement in JHA
mentioned.

PPE matrix and PPE

stock record are
available. Changes /
requirement of PPE as
INTERNAL ASSESSMENT REPORT FOR SHYAM TECH PVT. LTD. ON DATE:-22.10.2020
per SOP available.
2.4 Providing & ensuring 3 10 50 30 Tools and tackles
safe usage of provided are of good
standard, certified and quality. Tools and
tackles procurement
right tools & tackles,
procedure in place.
equipment and Inspection record of
calibrated Safety Tools and tackles are
gadgets (e.g. Gas maintained monthly
detectors) while vide a checklist. Tools
performing the job. and tackles required for
(Verify through specific job / contract
are maintained. Tools
records and site visit)
and tackles
requirement in JHA
mentioned.

Tools and tackles

matrix and stock record
are available. Changes
/ requirement of tools
& tackles as per SOP
available.

Regular review of tools

& tackles quality and
requirement and
necessary changes as
per SOP available

Employee engagement
w.r.to quality of tools &
tackles - Not Available
 INTERNAL ASSESSMENT REPORT FOR SHYAM TECH PVT. LTD. ON DATE:-22.10.2020
2.5 Ensuring good 3 10 50 30 Systematic
housekeeping, free housekeeping in place
from any slip / trip / (1S, 2S) at site. Visual
display of
fall hazards at
housekeeping, slip, fall
working sites. (Verify etc. are evident.
through site visit)
Evidence exists of
continuous
improvements in
layout arising out of
audits and feedback is
available

2.6 Self-Safety Initiative / 4 10 50 40 Self safety initiative

Project by contractor project on safety
for Safety improvement are
conducted. Few SIPs
improvement
done and before-after
photographs are
available.

Self safety initiative

project plan is
available.

3.1 Contractor Safety 3 6 30 18 Self audit done by site

Audit by the supervisor and safety
3.0 Checking of contractors' supervisor with audit
Safety System and plan and checklist on
Supervisor and SSS-s
Procedures fortnightly basis as per
in the field. (Verify plan.
records)
CAPA of any severity
 INTERNAL ASSESSMENT REPORT FOR SHYAM TECH PVT. LTD. ON DATE:-22.10.2020
case are done

3.2 Corrective and 4 6 30 24 No case of severity 4 &

preventive action on 5 exists
self-audit report
specifically on severity
potential of 4 & 5.
(Verify records & site
visit)

3.3 Compliance to generic 4 6 30 24 Basic deviation of PPE

and specific Safety observed in audit
clauses as per reports repeatedly in
contract. (Verify audit hazard control
through site visit and are followed.
Interview based on
Work order).

4.1 Reporting, 3 6 30 18 Documented procedure

investigation and of incident / accident
learning of all incident in place with reporting
formats. No incidents
/ accident, health
occured till date.
issue. Learning of other's
incidents shared
during TBM.
4.0 Performance
Measure: Lead
Indicator 4.2 Near-miss and Unsafe 4 6 30 24 Documented procedure
act / condition of near miss
reporting, maintained in a
register. Near miss
investigation and
cases are recorded.
INTERNAL ASSESSMENT REPORT FOR SHYAM TECH PVT. LTD. ON DATE:-22.10.2020
corrective action. Learning of own near
miss shared shared
during TBM

Reporting of near miss

are done. Investigation
of near miss are done
and record maintained
to identify root causes.

Recommendations are
not implemented

Learning of other's near

miss cases are not
shared

4.3 Skill-retention, 4 6 30 24 Amenities provided by

amenities, employees’ TSL and maintained by
liability etc. (Verify the agency. Employee
motivational
through records and
programme - , some
Interview) motivational actions
evidenced.

Employees grievances
are recorded and
individual
consideration is given

Feedback system exists

to capture employee
suggestion,
engagement and
INTERNAL ASSESSMENT REPORT FOR SHYAM TECH PVT. LTD. ON DATE:-22.10.2020
retention available

4.4 Campaign e.g. (Safety 4 6 30 24 Safety campaign done

Quiz, Safety Skit etc.) systematically. Few
to develop Safety campaigns are
conducted and record
culture. (Verify
available in adhoc
through records and manner with
Interview) photographs. Safety
campaign plan with
theme followed as
declared by TSL.

Monthly or annual plan

of campaign is
available

4.5 Reward, Recognition 3 6 30 18 Mechanism of good

and Consequence performer exist by
Management System giving award against
good performance.
of the Contractor.
Consequence
(Verify through Management System
records) known to employees -
yes but not evidenced.
Mechanism of bad
performer is in place

Documented procedure
of Reward, Recognition
and Consequence
Management System
are available..

There is positive
 INTERNAL ASSESSMENT REPORT FOR SHYAM TECH PVT. LTD. ON DATE:-22.10.2020
impact among contract
employees and they are
highly motivated–
Evident Available

5.1 Zero Lost time 0: 60 60 60 60

/serious injury or
permanent disability >/=1 0

5.2 Zero First aid case 0-40 score 40 40 40

1 or more-0 score
5.0 Performance
5.3 Non-Injury Incidents 0-20 score 20 20 40
measure: Lag
Indicators (e.g. Property 1 or more-0 score
applicable for the Damage)
Location
itself(Previous 5.4 Safety violation of 0 – 20 20 20 20
Financial Year and fatality potential of
current Financial severity 4 &5 (refer to >=1 - 0
Year as on Contractor Safety
assessment date) Audit system)

5.5 Safety non-compliance 0-20 score 20 20 20

Cost recovery /
Penalty imposed / Job 1-0 score
stopped.

5.6 Fatality 0- 0 score 0 0 0

 INTERNAL ASSESSMENT REPORT FOR SHYAM TECH PVT. LTD. ON DATE:-22.10.2020
Fatality – 1

a) Responsible a) - 200 a) - 200

b) Not b) 0 marks b) 0 marks

Responsible

Total Score:-774 Out of 1000

Good points:

1. Feedback System exists, Visual Evidence with before & after photo available.

2. Visual Sop, JHA, HIRA available in regional language.

3. Continuous Improvement System exists.

4. CAPA with root cause analysis present.

 INTERNAL ASSESSMENT REPORT FOR SHYAM TECH PVT. LTD. ON DATE:-22.10.2020

OFIs:

1. Safety Initiative needs improvement..

2. Overall Plan needs improvement in implementation.

3. Feedback System needs improvement

4. Campaign & Amenities Plan to be implemented.

5. Pictorial Evidence w.r.t documents needed.

Audit Team Signature

1. Managing Director

2. Safety Supervisor

Reviewed By TATA Representative :-