Annual Compliance Check 2023

• Name of Company

• Location
  Address

• Conducted on

  Date

• Completed by

Compliance Questionnaire

• 1. Who has the overall responsibility for Health & Safety in the organisation?

• 2. Have senior managers and executives been made aware of their own responsibilities for health and safety in the workplace and the penalties for non-compliance?

  Yes

  No

  N/A

• How has this been accomplished?

  Select IOSH Senior Executive and Director Training CITB's "Director's Role for Health and Safety (DRHS)" ROSPA's "Director leadership and involvement in health and safety" Via Health & Safety Committee Other

  • IOSH Senior Executive and Director Training
  • CITB's "Director's Role for Health and Safety (DRHS)"
  • ROSPA's "Director leadership and involvement in health and safety"
  • Via Health & Safety Committee
  • Other

• 3. Is there a Health & Safety Management System in place allowing the organisation to manage health and safety in a structured way to achieve its objectives?

  Yes

  No

  N/A

• 3.1 What is the “system” in place?

• 4. Is there a Health and Safety Policy in place?

  Yes

  No

  N/A

• 4.1 Are the roles and responsibilities defined?

  Yes

  No

  N/A

• 4.2 Is there an “arrangements” section for implementation therein?

  Yes

  No

  N/A

• 4.3 Is it dated and does it reflect an up-to-date status of the Company?

  Yes

  No

  N/A

• 4.4 Is it signed by the person with overall responsibility for Health & Safety in the organisation?

  Yes

  No

  N/A

• 5. Under the Management of Health and Safety at Work Regulations 1999 is there an Appointed Person providing “competent” Health and Safety advice to the organisation?

  Yes

  No

  N/A

• What is the name of this person?

• What are this person's qualifications?

• Does this person have the necessary SKILLS, KNOWLEDGE, ABILITY, TRAINING and EXPERIENCE relevant to what the organisation does?

  Yes

  No

  N/A

• 6. Do all premises under the control of the Company have suitable facilities for?

  Select Eating? Drinking? Washing? Sanitary? Taking Rest breaks

  • Eating?
  • Drinking?
  • Washing?
  • Sanitary?
  • Taking Rest breaks

• 7. Is there a Noticeboard at all sites displaying?

  Select Health and Safety Law Poster and who to contact - details Employer's Liability Insurance Health and Safety Policy Safety Updates Health and Safety Accreditations

  • Health and Safety Law Poster and who to contact - details
  • Employer's Liability Insurance
  • Health and Safety Policy
  • Safety Updates
  • Health and Safety Accreditations

• 8. Have all known Hazards been identified?

  Yes

  No

  N/A

• Are these listed in the Management system?

  Yes

  No

  N/A

• 9. Is there a Risk Profiling Strategy in place?

  Yes

  No

  N/A

• 9.1 Who is involved in this process?

  Select Managing Director (or CEO) Other Directors Senior Managers Health and Safety Appointed person Department Managers

  • Managing Director (or CEO)
  • Other Directors
  • Senior Managers
  • Health and Safety Appointed person
  • Department Managers

• 10. Are “GENERAL” Workplace Risk Assessments in place that cover all identified hazards?

  Yes

  No

  N/A

• Do they?

  Select List the identified Hazards? Identify those who may be harmed by the identified hazards? Evaluate the associated risks using a quantitative or qualitative risk scoring system to determine the likelihood and severity of the occurrence? Show what control measures will be used to control the risk?

  • List the identified Hazards?
  • Identify those who may be harmed by the identified hazards?
  • Evaluate the associated risks using a quantitative or qualitative risk scoring system to determine the likelihood and severity of the occurrence?
  • Show what control measures will be used to control the risk?

• 11. Are the following “specific” Risk Assessments in place?

  Select Confined Spaces Hazardous Substances Working at Height Moving and Handling Noise Vibration Display Screen Equipment (DSE)

  • Confined Spaces
  • Hazardous Substances
  • Working at Height
  • Moving and Handling
  • Noise
  • Vibration
  • Display Screen Equipment (DSE)

• 12. Are the following “Special Case” Risk Assessments in Place?

  Select Young People New or Expectant Mothers Disabled Workers Lone Workers Those working from Home

  • Young People
  • New or Expectant Mothers
  • Disabled Workers
  • Lone Workers
  • Those working from Home

• 13. Have all hazardous substances been identified?

  Yes

  No

  N/A

• 13.1 Is there an Inventory list of all COSHH identified substances?

  Yes

  No

  N/A

• 13.2 Have COSHH assessments been carried out for all Inventory items?

  Yes

  No

  N/A

• 13.3 Are Safety Data Sheets available for all items on the Inventory List?

  Yes

  No

  N/A

• 14. How are the findings of each Risk Assessment brought to the attention of those affected by them?

• 15. Do Risk Assessments show any residual risks after control measures are implemented?

  Yes

  No

  N/A

• 15.1 Have safe systems of work been created to deal with these residual risks?

  Yes

  No

  N/A

• 15.2 Have the safe systems of work been briefed to all staff affected by the risks?

  Yes

  No

  N/A

• 16. Is there a Legionella Risk Assessment and Management Plan in place?

  Yes

  No

  N/A

• 17. Is there any Asbestos or Asbestos Containing Materials present on site?

  Yes

  No

  N/A

• 17.1 How are staff and contractors made aware of the presence of Asbestos?

• 17.2 Is there an Asbestos Management Plan in Place?

  Yes

  No

  N/A

• 17.3 When will an Asbestos Management Plan be put in place?

  Date

• 18. Has a Fire Risk Assessment been carried out for all premises?

  Yes

  No

  N/A

• 18.1 When will this/these be carried out?

  Date

• 19. Is there a FOLDER on each site containing hard copies of LEGAL FIRE DOCUMENTS (Inc. service & testing of?)

  Select Fire Risk Assessments Fire Extinguisher service and inspection Electrical Fixed Installations Gas Service and Tightness Test Fire Alarm service and inspection Emergency Lighting service and inspection Portable Appliance Tests

  • Fire Risk Assessments
  • Fire Extinguisher service and inspection
  • Electrical Fixed Installations
  • Gas Service and Tightness Test
  • Fire Alarm service and inspection
  • Emergency Lighting service and inspection
  • Portable Appliance Tests

• 19.1 Is there a FIRE Plan in place?

  Yes

  No

  N/A

• 19.2 Does it contain?

  Select Inspection Records Escape Routes Emergency Lighting Emergency Evacuation procedures

  • Inspection Records
  • Escape Routes
  • Emergency Lighting
  • Emergency Evacuation procedures

• 19.3 Is there a Fire Safety Logbook in Use?

  Yes

  No

  N/A

• 20 Where is the Fire Muster Point?

• 21. Are the appropriate fire extinguishers where they should be and clearly visible?

  Yes

  No

  N/A

• 21.1 Are they showing a service inspection within the last 12 months?

  Yes

  No

  N/A

• 22. Are Emergency Evacuation routes displayed throughout the premises?

  Yes

  No

  N/A

• 22.1 Are these positioned in such a way that visitors or infrequent users of the premises would comprehend the evacuation route?

  Yes

  No

  N/A

• 23. Is there a procedure for procurement and contractor management in place?

  Yes

  No

  N/A

• 24. Does the site operate a Permit to Work system for Contractors?

  Yes

  No

  N/A

• 24.1 How are the contents of the Permit to Work communicated to the Contractor?

• 24.2 How are the contents of the Permit to Work communicated to the Staff working around the Contractor's workspace?

• 25. Are inspections/audits of the workplace carried out?

  Yes

  No

  N/A

• 25.1 Are the findings reviewed by Senior Management?

  Yes

  No

  N/A

• 26. Has all lifting equipment been thoroughly examined as required by LOLER 1998?

  Yes

  No

  N/A

• 27. Are all equipment safety checks up to date as required by PUWER 1998?

  Yes

  No

  N/A

• 28. Are Site-specific Traffic Management plans in place at all sites?

  Yes

  No

  N/A

• 28.1 Are the plans dated and do they reflect an up to date status of the Company?

  Yes

  No

  N/A

• 29. Is there a written Emergency Evacuation Plan and Process in place?

  Yes

  No

  N/A

• Does this include a Business Recovery Plan?

  Yes

  No

  N/A

• 30. Is there an employee Training matrix in place showing training subjects?

  Yes

  No

  N/A

• 30.1 Does it show the following type of Training?

  Completed Training

  Required Training

• 30.2 Has all previously recommended health & safety training been undertaken?

  Yes

  No

  N/A

• 30.3 What training remains outstanding?

• 31. Have all employees been given suitable and sufficient information, instruction, training, and supervision about their specific job?

  Yes

  No

  N/A

• 32. Has all mandatory Health & Safety training – relevant to the organisation - been undertaken?

  Select Fire Awareness Training Display Screen Equipment Training Health and Safety Essentials Asbestos Awareness Training Moving and Handling Training COSHH Training Working at Height Food Hygiene

  • Fire Awareness Training
  • Display Screen Equipment Training
  • Health and Safety Essentials
  • Asbestos Awareness Training
  • Moving and Handling Training
  • COSHH Training
  • Working at Height
  • Food Hygiene

• 33 How many trained Emergency First Aiders are at each site?

• 34. How many trained First Aiders are at each site?

• 35. How many trained Fire Marshals are at each site?

• 36. Are Line Managers trained and aware of Mental Ill Health?

  Yes

  No

  N/A

• 37. Are there any Mental Ill Health First Aiders available to employees?

  Yes

  No

  N/A

• 38. Is there an incident reporting and management reporting tool in place?

  Yes

  No

  N/A

• 39. Is there an accident reporting procedure in place?

  Yes

  No

  N/A

• 40. Is there an Investigation of incidents and accidents procedure in place?

  Yes

  No

  N/A

• 41. If the accident is work-related; and it results in an injury of a type which is reportable (as listed under ‘Types of reportable injuries’) is it being reported?

  Yes

  No

  N/A

• 42. Which role has the responsibility of investigating all incidents and accidents?

• 42.1 Is the person carrying out this role competent to undertake this role?

  Yes

  No

  N/A

• 43. Is RIDDOR being complied with?

  Yes

  No

  N/A

• 44. Which of these Key Health & Safety documents have ALL employees read and understood?

  Select Risk Assessments Safe Operating procedures Safe Methods of Work Permits to Work Workplace briefings

  • Risk Assessments
  • Safe Operating procedures
  • Safe Methods of Work
  • Permits to Work
  • Workplace briefings

• 45. Is there a suitable, well publicised means of raising legitimate safety concerns within the organisation? E.G.,

  Select Suggestion Box Employee Representation Other

  • Suggestion Box
  • Employee Representation
  • Other

• 46. Is there a Health and Safety Review methodology in place?

  Yes

  No

  N/A

• 46.1. Is there a procedure in place for measuring, monitoring, and reporting health and safety performance?

  Yes

  No

  N/A

• 46.2. Are safety issues included in Management Meetings?

  Yes

  No

  N/A

• 46.3. Is the status of health & safety communicated effectively?

  Yes

  No

  N/A