DOCUMENT: PROCEDURE DOC. NO.

: SAFETY/PROC/CSM/06
DIVISION: SAFETY, HEALTH&SUSTAINABILITY REV. NO.: 0
DEPARTMENT: SAFETY (India & SEA) EFFECTIVE DATE: 15/07/2020
SECTION: Contractor Safety Management SHEET 1 of 6
TITLE: Procedure for CSM Star Rating Audit -Online method

1 Purpose To facilitate & conduct safety competency of vendors by an auditor from expert
agency during COVID-19 Epidemic. Vendors are assessed periodically by the
expert agency deployed by Tata Steel.
2 Scope High Risk job service providers as per CSM Standard SS/GEN – 54 in TSL
India
3 Reference CSM Standard SS/GEN – 54, Safety Competency assessment ‘Star rating
system’ of High -Risk job contractors ( SAFETY/PROC/CSM/ 01)
4 Annexures CSM Standard SS/GEN – 54, Annexure #8.
5 Procedure CSM star rating Audit-Online Method

As per current practice, safety competency audit of high risk vendors is being done
physically. It covers two parts-(A) Document verification (B) compliance check through
site verification. By considering the different regulations issued by Tata Steel & Govt. body
on COVID-19 epidemic, face to face audit of entire process is difficult. Hence Apex CSM
safety subcommittee advised to conduct safety competency on mixed mode i.e verification
of all documents by digital platform & compliances verification at site shall be done by
departmental safety professional/CSM coordinator & Contract Owner. Detailed steps are
mentioned in the table below:
Part-A( Audit Scheduling)
Sl. No. Action Responsibility
A.1 Request for Scheduling of surveillance/re-assessment audit Vendor representative or
through Online audit scheduling system or email. Contract owner or CSM audit
coordinator.
A.2 Confirmation of audit date & time. Central CSM safety team
A.3 Deployment of auditor from expert agency as per audit date & Central CSM safety team
time.
Part-B (Online documents verification )
B.1 Coordination for online document verification through Microsoft Locational safety
Team App . professional/CSM audit
coordinator
B.2 Auditor from third party agency, respective CO, departmental Auditor from expert agency,
safety professionals/CSM audit coordinator & vendor CO, Departmental safety
representatives shall connect for online document verifications. professional/CSM audit
coordinator.
B.3 All concerned auditor, CO, Safety professional,CSM audit Auditor from expert agency,
coordinator, Vendors should ensure good connectivity of internet CO, Departmental safety
in their laptop and Microsoft Team Apps should be installed. professional/CSM audit
coordinator.
B.4 Vendor shall keep ready soft and hard copies of all relevant Vendor
documents mentioned in Annexure#1 of this document. Hard
copies which can’t be shared on screen like daily safety

PREPARED BY APPROVED BY
Name Mr. Sudhir Kumar & Mr. Pradeep Kumar Yadav Mr. Sunil Kumar
Designation Sr. Manager- Contractor safety management Head- Contractor Safety Management
&
Manager-Contractor Safety (PC, SPC/EPAs,St)
Date & Signature 15.07.2020 15.07.2020
DOCUMENT: PROCEDURE DOC. NO.: SAFETY/PROC/CSM/06
DIVISION: SAFETY, HEALTH&SUSTAINABILITY REV. NO.: 0
DEPARTMENT: SAFETY (India & SEA) EFFECTIVE DATE: 15/07/2020
SECTION: Contractor Safety Management SHEET 2 of 6
TITLE: Procedure for CSM Star Rating Audit -Online method

observation reports, Employees grievances register etc. Shall be

verified though web cam based on audit requirement

B.5 Document verification shall be done by online system. Auditor from expert agency.
(Detail of documents mentioned in Annexure#1 of this document)

Part-C (Compliance verification at site)

C.1 Surprise field visit shall be done by departmental safety Audit team (Departmental
professional/CSM coordinator & Contract Owner within 4 days safety professional/CSM
from the date of document verification. Compliance checks to be coordinator , Contract Owner
performed at site by them are mentioned in Annexure#2 of this and Vendor representative)
document.
Vendor representative (Proprietor / Site in- charge, Vendor Safety
Officer) and Tata Steel Representative (Contract Owner,
locational safety professional and/or CSM audit coordinator) must
participate in surprise field audit

C.2 Duration of field visit shall be of maximum 4 hours. Audit team (Departmental
safety professional/CSM
coordinator , Contract Owner
and Vendor representative)
C.3 Communication of surprise field audit shall be conveyed to Departmental safety
respective vendor & audit team before 30 minutes of the audit and professional/CSM
workplace will be audited in , as it is condition. coordinator
C.4 Submission of corresponding score to auditor from expert agency Audit team leader
on the next day of field verification.
Part-D(Compilation & circulation of reports)

D.1 Providing lag indicators data to auditor from expert agency Central CSM safety team
against vendor who have been audited.
D.2 Compilation of reports. Auditor from Expert agency
(Inclusion of score against documentary evidence, field visit &
Lag indicators in the report)
D.3 Provision of compiled report to central CSM safety team within 2 Auditor from Expert agency
days after receiving all data.
D.4 Cross verification of compiled report & its circulation to Central CSM safety team
concerned CO & safety professionals within 4 days from date of
report received from auditor.

PREPARED BY APPROVED BY
Name Mr. Sudhir Kumar & Mr. Pradeep Kumar Yadav Mr. Sunil Kumar
Designation Sr. Manager- Contractor safety management Head- Contractor Safety Management
&
Manager-Contractor Safety (PC, SPC/EPAs,St)
Date & Signature 15.07.2020 15.07.2020
DOCUMENT: PROCEDURE DOC. NO.: SAFETY/PROC/CSM/06
DIVISION: SAFETY, HEALTH&SUSTAINABILITY REV. NO.: 0
DEPARTMENT: SAFETY (India & SEA) EFFECTIVE DATE: 15/07/2020
SECTION: Contractor Safety Management SHEET 3 of 6
TITLE: Procedure for CSM Star Rating Audit -Online method

D.5 Logging of report in Ensafe. Concerned CO

Note- During field visit respective contract owner or person nominated by him
should ensure compliance of guidelines circulated by Tata steel on COVID-19.

Annexure#1
(List of document to be verified through online)
Annexure#8 Document list
clause
1.1 I. Safety manual (It should be prepared in such a way that it gives whole idea about safety system &
process of the vendor. Must see coverage of business scope in manual, look whether safety policy
mentioned in safety manual or not? What is the compliance level of safety policy at vendors working
site)?
II. Safety Dash Board. Is safety dash board being updated by vendors regularly? What is the system
for it?
III. Emergency preparedness and response plan.
IV. Record of mock drill conducted by vendors /participated in mock drill conducted by TSL. Action
taken by vendors on applicable OFI given during mock drill.
V. Focus on Safety Organization Structure and the Roles & Responsibilities of the employees as per
safety organization structure.
VI. Consolidated Employee list with details of skill certification.
VII. Look for system established by vendors for revision of all documents related to safety system &
process. Is continual improvement visible from the documents & action taken at site?
VIII. CAPA reports on last surveillance/re-assessment done by auditor from expert agency.
IX. Legal register with updated records.
X. JHA documents (Look for coverage & adequacy of JHA as per contract condition)
XI. List of job activity & SOP as per job list. Look for adequacy of SOP.
1.2 I. Document in connection with selection procedure of employees during last one year.
II. Verify the appointment letter since last financial year. Is job description mentioned & safety KPI
mentioned in appointment letter?
III. Documentary evidence for deployment procedure. i.e. how a vendor deploying a new employee to
the job?
IV. Details of employees who have attended safety certification course.
V. Safety performance record of different level of employees.
1.3 I. Method Statement/JHA document. (Marking should be done on coverage & adequacy of method
statement/JHA document)
II. SOP for all the jobs. (Co-relation of JHA & SOPs)
III. List of job execution supervisor & safety supervisor as per qualifying criteria of Contractor safety
management standard.
1.4 I. Training need identification document (Look for coverage of applicable safety standard, SOP,
Emergency preparedness & response Plan, Skill upgradation training, whether training program
available for all level of employees or not?)
II. Responsibility matrix for training need.
III. Attendance sheet for training program
IV. Methodology established to evaluate training effectiveness.

PREPARED BY APPROVED BY
Name Mr. Sudhir Kumar & Mr. Pradeep Kumar Yadav Mr. Sunil Kumar
Designation Sr. Manager- Contractor safety management Head- Contractor Safety Management
&
Manager-Contractor Safety (PC, SPC/EPAs,St)
Date & Signature 15.07.2020 15.07.2020
DOCUMENT: PROCEDURE DOC. NO.: SAFETY/PROC/CSM/06
DIVISION: SAFETY, HEALTH&SUSTAINABILITY REV. NO.: 0
DEPARTMENT: SAFETY (India & SEA) EFFECTIVE DATE: 15/07/2020
SECTION: Contractor Safety Management SHEET 4 of 6
TITLE: Procedure for CSM Star Rating Audit -Online method

1.5 I. Minutes of Meeting (MOM) of safety review meeting.

II. TBM record
III. Mass meeting record.
IV. Record of proprietor's line walk.
V. ( Ask vendor to show line walk report on E-proc. site)
2.1 I. List of employee with designation qualification / certification / experience, Skill & safety
certification etc.
II. Certificate issued by JNTVTI.
III. Work permit record. (Look for inclusion of job specific & site specific hazards in work permit and
its safety measures mentioned in work permit properly. Whether all applicable safety standards
marked in work permit or not?)
IV. Safety standard compliances audit report by site supervisor & safety supervisor.
V. SOP compliances audit report by site supervisor & safety supervisor.
2.2 I. Record of Tool Box Meeting. (If vendor operating in 3 shifts, TBM record should be available for
each shift.)
II. Record of proprietor’s line walk. Ask vendor to show line walk record on E-proc. Site also.)
III. Record of Mass meeting.
IV. Attendance sheet of TBM meeting & Mass meeting. Match it with Employees list to calculate the
percentage coverage.
V. Compliance report against grievances raised by workmen during TBM & Mass meeting.

2.3 I. Is PPEs mapped against each hazard as per JHA and SOP?
II. PPEs replacement policy & its compliances report like PPEs issuing register, How PPEs is being
issued to workmen on daily basis before deploying them to site.
III. Checklist based PPEs audit reports by vendor's supervisors as per defined audit frequency.
IV. Compliances report against OFI captured during PPEs audit.
2.4 I. List of all physical assets required for safe execution of job. Like- Tools & equipment list
II. Legal compliances report like- TPI, calibration report etc. for applicable tools & tackles.
III. Checklist based audit reports of tools-tackles & equipment's are being done by vendor's supervisors
as per defined audit frequency.
IV. Compliances report against OFI captured during audit of tools-tackles & equipment.
2.5 I. Check system for housekeeping audit.
II. Checklist based housekeeping audit report.
2.6 I. Plan & procedure established for SIP.
II. Check for system of SIP defined in safety manual. I.e. How SIP is being identify? Is SIP related to
scope of contract condition?
III. Details of system related SIP report
3.1 &3.2
I. Site safety visit report being done by safety supervisors & job execution supervisors. (Look for
topic of safety visit, accurate rating of severity)
II. CAPA of the same audit findings.
3.3 I. Work order copy.
II. Compliance report against safety clauses of contract.
4.1 I. Incident reporting & investigation system.
II. Incident analysis report & its maturity.
III. How many orange stripe & red stripe shared with workmen?
IV. Communication system established for communication of incident down the line.
4.2 I. Near Miss capturing system.
II. Root cause analysis report of the Near Miss.
4.3 I. Skill retention policy.
II. Grievances capturing system & its record.

PREPARED BY APPROVED BY
Name Mr. Sudhir Kumar & Mr. Pradeep Kumar Yadav Mr. Sunil Kumar
Designation Sr. Manager- Contractor safety management Head- Contractor Safety Management
&
Manager-Contractor Safety (PC, SPC/EPAs,St)
Date & Signature 15.07.2020 15.07.2020
DOCUMENT: PROCEDURE DOC. NO.: SAFETY/PROC/CSM/06
DIVISION: SAFETY, HEALTH&SUSTAINABILITY REV. NO.: 0
DEPARTMENT: SAFETY (India & SEA) EFFECTIVE DATE: 15/07/2020
SECTION: Contractor Safety Management SHEET 5 of 6
TITLE: Procedure for CSM Star Rating Audit -Online method

III. Suggestion and feedback report received from vendor's employees.

IV. Action taken report against suggestion/ feedback received from vendor's employees.

4.4 I. Safety campaign plan.

II. Safety campaign report on last one-year campaign.
III. Photographs & Banner related to past safety campaign.
IV. Details of safety quiz reports.
4.5
1.Record of the reward / recognition & consequence management action.

Annexure#2
(Field verification requirements)
Annexure#8 Field verification requirement
clause
1.1 I. Understanding about emergency situations among workmen & supervisors.

1.3 I. Check the compliances of job sequence as mentioned in method statement/JHA

document.
II. MSDS if applicable must be defined in the JHA and also the same is reflected at the site.
III. Knowledge level of SOP among workmen & supervisors.
IV. Pictorial display of SOP.

1.5 I. Examine from vendors about different types of safety communication system is in place,
Like-when last mass meeting conducted? Is TBM conducted regularly? Who all are
participating in TBM & Mass meeting etc.?

2.1 I. Number of supervisor & site safety supervisor deployed at site as per CSM guidelines.
II. Behavioral aspects of workmen during job execution in view of SOP compliances.
III. Compliance level of key points of applicable safety standard at site.

2.2 I. During site visit check the understanding level of site supervisors on TBM points.
II. Collect feedback from workmen to know about the compliance status of points captured
by them during TBM & Mass meeting.
III. Compliance status of safety line walk OFI.
2.3 I. During site visit check the surplus stock of PPEs in store.
II. During site visit, check the physical condition of PPEs being used by workmen.
III. Compliances of PPEs audit reports.

2.4 I. Physical condition of Tools-tackles & equipment being used at site.

II. Compliances of Tools-tackles & equipment audit.
2.5 I. Housekeeping condition at site & store room.
II. Nomenclature & mandatory sign marked at site.

PREPARED BY APPROVED BY
Name Mr. Sudhir Kumar & Mr. Pradeep Kumar Yadav Mr. Sunil Kumar
Designation Sr. Manager- Contractor safety management Head- Contractor Safety Management
&
Manager-Contractor Safety (PC, SPC/EPAs,St)
Date & Signature 15.07.2020 15.07.2020
DOCUMENT: PROCEDURE DOC. NO.: SAFETY/PROC/CSM/06
DIVISION: SAFETY, HEALTH&SUSTAINABILITY REV. NO.: 0
DEPARTMENT: SAFETY (India & SEA) EFFECTIVE DATE: 15/07/2020
SECTION: Contractor Safety Management SHEET 6 of 6
TITLE: Procedure for CSM Star Rating Audit -Online method

2.6 List of SIP implemented at site. Detailed report of SIP implemented at site.

3.1 Compliances status of OFI captured during safety visit.

4.1 & 4.2 Awareness level about red & orange stripes among supervisors & workmen.

4.3 Amenity facility available at site.

4.5 Confirmation about reward & recognition from workmen .

PREPARED BY APPROVED BY
Name Mr. Sudhir Kumar & Mr. Pradeep Kumar Yadav Mr. Sunil Kumar
Designation Sr. Manager- Contractor safety management Head- Contractor Safety Management
&
Manager-Contractor Safety (PC, SPC/EPAs,St)
Date & Signature 15.07.2020 15.07.2020