CONTRACTOR SITE RISK MITIGATION PLAN GUIDELINES

Updated 12/7/2010

Company: (contract /company name) Risk Level: (low, medium, high)

Recorded By: (list team that compiled risk mitigation plan) Project: (location) Proj Manager: (manager responsible for the contract) Date: Completed by Mosaic Define The Risk: (in terms of TRI / LTI freq; Safety Management System gaps; other incidents / violations, Management Commitment or ISN Rating)

• List the LTI / TRI frequencies for the contractor • List the company’s current ISN rating • List major safety management system gaps (observed or from Contractor Audit/Assessment) • List violations, orders and significant incidents

Decision: (include on bid list, continue with to use)

• One line decision on whether this is a mitigation plan to continue using a medium or higher risk contractor or one with an unacceptable rating in ISN

Justification: (brief summary of why the decision was made)

• This could include availability of contractors who can do this type of work, inclusion in a transition plan between contractors, extension of a contract, changes because of mergers and acquisitions.

Completed by contractor Risk Mitigation Actions (actions to address specific risks from above, titles are suggested categories for risk mitigation) The following list is a checklist of considerations to be included in the Risk Mitigation Plan. Everything on the list may not apply and there may be some other unique mitigation items that are not listed but should be included.

Mitigating Action Cost 1. Probationary Period This is not always necessary but if it is used it needs to include precise definition of the timeframe the

mitigation plan is in effect, planned performance reviews and a clear description of the consequences.

2. Safety Management System Gaps These gaps can be identified by a review of ISN, Contractor assessments and/or Audits. Be specific with the

actions required in each of these areas. Add in other pertinent topics, delete what does not apply Training Orientations Policies Procedures Equipment Incident Management Hiring Practices This is the place to address issues with subcontractors. Risk/Hazard Assessment Process

3. Supervision Requirements Additional on-site Supervision can be used as part of a mitigation plan. For “F” rated contractors, a Mosaic

representative or their designee must Supervise the contractor at all times while on site. Note: Supervision can be effective but it is not a good long term mitigation plan. It should be used as a bridging strategy until other parts of the system improve.

By Contractor If this strategy is used, make sure to specify the quality and capability of the supervisor. By EH&S Professional By Mosaic Make sure this can actually be executed and the resources are available.

CONTRACTOR SITE RISK MITIGATION PLAN GUIDELINES

Updated 12/7/2010

Mitigating Action Cost 4. Implementation of Specific EH&S Tools Include reasonable time lines for implementation Job or Project Safety Plan

JSHA Program - Development

Job Audits and/or Observations Proactive Near Miss Reporting

Utilization of Mosaic’s EH&S Systems

5. Requirements for Site & Equipment Inspections Define frequency and responsible parties if this is used as a mitigation strategy. This is effective for

contractors who supply equipment such as cranes, tank trucks, scaffold, pressure washers, etc.

6. Select Specific Contractor Personnel: Selection can be based on generic descriptors such as years of experience, certification, type of previous work

and exposure to our work environment. It can also be very specific such as actually naming the desired workers. Be careful that this process is not perceived as creating a “black list” of undesirable workers.

7. Requirements for Full/Part Time EH&S Support on Site: Include costs if this is used. Specify the qualifications (or specific name of the desired safety support).

8. Further Assessments of EH&S Systems Be careful not to duplicate assessments or audits that are already planned. Use this to fill gaps beyond those

routine assessments or for a specific area of the safety management system.

9. Requirements for EH&S Meetings Attendance at Mosaic meetings

Mosaics Attendance at Contractor meetings

10. Schedule for Continuous Improvement Reviews and Reviews of this Plan Link this to a probationary criteria if probation is included in the mitigation plan

Approval to use (or continued use) of this Contractor by Project/Construction Manager

Signature Title Date Approval of Risk Mitigation Plan by Site/Project EH&S Professional and Plant/BU Manager

Signature Title Date

Signature Title Date Completed Contractor Site Mitigation Plan to be attached to Contractor Variance Form and kept on file by Site Buyer and Site Safety Dept. Copy of mitigation plan and variance form should be forwarded to Ken Corley and Sandra Messer at the FishHawk Office.