COMPLIANCE AND SAFETY AUDIT

Information

Document No.
Audit Title
Client / Site
Conducted on
Prepared by
Location
Personnel

Electrical - Operational self-assessment Audit

Do you have a verified asset list of all portable appliances for your department?
Are the PAT testing records for all the appliances as above in date?
Do you have a verified asset list of all Distribution Boards within your buildings?
Do all your buildings hold a current NICEIC Periodic Testing Certificate?
Have all remedial actions from the most recent periodic test been completed, verified and signed off?
Have Electrical Thermal Imaging, Visual Surveys or Supplementary inspections been undertaken for your buildings within the past 12 months?
Have all remedial actions from the Thermal Imaging, Visual Surveys or supplementary surveys been completed, verified and signed off?
Do you have a verified asset list of all lightning protection systems for your buildings?
Do all buildings with Lightning Protection Systems have an up-to-date testing certificate?

Quality Audit -Electrical

Do you have a verified asset list of all portable appliances for your department?

Evidence of list ?

Are the PAT testing records for all the appliances as above in date?

Evidence of records?
Percentage of equipment viewed with current labels:
- 0%
- >0%<25%
- >25%<50%
- >50%<75%
- >75%<100%
- 100%

Do you have a verified asset list of all Distribution Boards within your buildings?

Evidence of list ?

Do all your buildings hold a current NICEIC Periodic Testing Certificate?

Evidence of certificates?
Percentage of certificates confirmed as held:
- 0%
- >0%<25%
- >25%<50%
- >50%<75%
- >75%<100%
- 100%

Have all remedial actions from the most recent periodic test been completed, verified and signed off?

Percentage of remedial actions completed:
- 0%
- >0%<25%
- >25%<50%
- >50%<75%
- >75%<100%
- 100%

Have Electrical Thermal Imaging, Visual Surveys or Supplementary inspections been undertaken for your buildings within the past 12 months?

Evidence of approach methods and checks undertaken?

Have all remedial actions from the Thermal Imaging, Visual Surveys or supplementary surveys been completed, verified and signed off?

Percentage of remedial actions completed:
- 0%
- >0%<25%
- >25%<50%
- >50%<75%
- >75%<100%
- 100%

Do you have a verified asset list of all lightning protection systems for your buildings?

Evidence of list ?

Do all buildings with Lightning Protection Systems have an up-to-date testing certificate?

Evidence of certificates?
Percentage of certificates confirmed as held:
- 0%
- >0%<25%
- >25%<50%
- >50%<75%
- >75%<100%
- 100%

Gas Safety - Operational self - assessment Audit

Do you have a verified asset list of all Gas Plant?
Have all gas plant (Boilers) been issued with a satisfactory test certificate within the past 14 months?

Quality Audit - Gas Safety

Do you have a verified asset list of all Gas Plant?

Evidence of list ?

Have all gas plant (Boilers) been issued with a satisfactory test certificate within the past 14 months?

Evidence of certificates?
Percentage of certificates confirmed as held:
- 0%
- >0%<25%
- >25%<50%
- >50%<75%
- >75%<100%
- 100%

Lifts & Lifting Equipment (LOLER) - Operational self-assessment Audit

Do you have a verified asset list of all lifts within your buildings?
Have all the lifts currently in operation undergone a Statutory Inspection within the past 6 months?
Have all the lifts been subject to maintenance inspections/works within the past 2 months?
Are all recorded immediate defects for lifts being reviewed and actioned in accordance to the KCL LOLER Procedures?
Do you have a verified asset list of all items of lifting equipment under LOLER (MEWPS, Forks, Runway Tracks, eyebolts etc)?
Have all items of lifting equipment currently in use (MEWPS, Forks, hydraulic trolleys etc) undergone a Statutory Inspection within the past 12 months?
Do you have a formal means of managing items of lifting equipment (MEWPS, Forks, Hydraulic Trolleys etc) with expired inspection and testing certificates or those which are deemed unsafe for use?

Quality Audit - LOLER

Do you have a verified asset list of all lifts within your buildings?

Evidence of list ?

Have all the lifts currently in operation undergone a Statutory Inspection within the past 6 months?

Percentage of inspections completed:
- 0%
- >0%<25%
- >25%<50%
- >50%<75%
- >75%<100%
- 100%

Have all the lifts been subject to maintenance inspections/works within the past 2 months?

Percentage of inspections/works completed:
- 0%
- >0%<25%
- >25%<50%
- >50%<75%
- >75%<100%
- 100%

Are all recorded immediate defects for lifts being reviewed and actioned in accordance to the KCL LOLER Procedures?

Percentage of remedial actions completed:
- 0%
- >0%<25%
- >25%<50%
- >50%<75%
- >75%<100%
- 100%

Do you have a verified asset list of all items of lifting equipment under LOLER (MEWPS, Forks, Runway Tracks, eyebolts etc)?

Evidence of list ?

Have all items of lifting equipment currently in use (MEWPS, Forks, hydraulic trolleys etc) undergone a Statutory Inspection within the past 12 months?

Percentage of inspections completed:
- 0%
- >0%<25%
- >25%<50%
- >50%<75%
- >75%<100%
- 100%

Do you have a formal means of managing items of lifting equipment (MEWPS, Forks, Hydraulic Trolleys etc) with expired inspection and testing certificates or those which are deemed unsafe for use?

Evidence of management system?

Pressure Systems & Pressure Vessels (PSSR) - Operational self-assessment Audit

Do you have a verified asset list of all plant under PSSR?
Do all pressure systems have an up-to-date written scheme of examination?
Have all pressure systems been subject to a statutory inspection within the past 12 months or as identified with the written scheme?
Do you have a formal means of managing all items of pressure plant with expired inspection and testing certificates or those which are deemed unsafe for use?

Quality Audit - PSSR

Do you have a verified asset list of all plant under PSSR?

Evidence of list ?

Do all pressure systems have an up-to-date written scheme of examination?

Percentage of systems with WSE:
- 0%
- >0%<25%
- >25%<50%
- >50%<75%
- >75%<100%
- 100%

Have all pressure systems been subject to a statutory inspection within the past 12 months or as identified with the written scheme?

Evidence of certificates on RSA system?
Percentage of certificates:
- 0%
- >0%<25%
- >25%<50%
- >50%<75%
- >75%<100%
- 100%

Do you have a formal means of managing all items of pressure plant with expired inspection and testing certificates or those which are deemed unsafe for use?

Evidence of management system?
A procedure for action in case of imminent danger? (Reporting to the enforcing authority within 14 days under the regs by a competent person)

Fire Safety Maintenance - Operational self-assessment Audit

Are weekly Housekeeping Inspections being conducted for all buildings and in accordance with the Directorate’s Procedures?
Do you have verified schematics identifying all fire dampers within your buildings?
Have all your fire dampers undergone a test or inspection within the past 2 years?
Do you have a verified set of schematics of all ventilation ducts, inlets & outlets for all your buildings?
Have all your ventilation ducts, inlet & outlets been subject to inspections or cleaning within the past 5 years?
Do you have a verified asset list of all kitchen cooker hoods and extracts?
Have all kitchen cooker hoods, extracts and filters been cleaned/inspected within the past 14 months?
Do you have a verified asset list of all fire doors within your buildings?
Have all fire doors been subject to maintenance inspections in accordance with PPM schedules or within the past 12 months?
Do you have a verified asset list of all emergency lighting units?
Have all your emergency lighting systems been subject to a 1 hour and 3 hour test within the past 12 months?

Quality Audit - Fire Safety Maintenance

Are weekly Housekeeping Inspections being conducted for all buildings and in accordance with the Directorate’s Procedures?

Evidence of records?
Percentage of buildings with inspection records:
- 0%
- >0%<25%
- >25%<50%
- >50%<75%
- >75%<100%
- 100%

Do you have verified schematics identifying all fire dampers within your buildings?

Evidence of schematics?
Percentage of buildings with schematics:
- 0%
- >0%<25%
- >25%<50%
- >50%<75%
- >75%<100%
- 100%

Have all your fire dampers undergone a test or inspection within the past 2 years?

Evidence of records?
Percentage with inspection records:
- 0%
- >0%<25%
- >25%<50%
- >50%<75%
- >75%<100%
- 100%

Do you have a verified set of schematics of all ventilation ducts, inlets & outlets for all your buildings?

Evidence of schematics?
Percentage of buildings with schematics:
- 0%
- >0%<25%
- >25%<50%
- >50%<75%
- >75%<100%
- 100%

Have all your ventilation ducts, inlet & outlets been subject to inspections or cleaning within the past 5 years?

Evidence of records?
Percentage with inspection records:
- 0%
- >0%<25%
- >25%<50%
- >50%<75%
- >75%<100%
- 100%

Do you have a verified asset list of all kitchen cooker hoods and extracts?

Evidence of list?

Have all kitchen cooker hoods, extracts and filters been cleaned/inspected within the past 14 months?

Evidence of records?
Percentage with inspection records:
- 0%
- >0%<25%
- >25%<50%
- >50%<75%
- >75%<100%
- 100%

Do you have a verified asset list of all fire doors within your buildings?

Evidence of list?

Have all fire doors been subject to maintenance inspections in accordance with PPM schedules or within the past 12 months?

Evidence of records?
Percentage with inspection records:
- 0%
- >0%<25%
- >25%<50%
- >50%<75%
- >75%<100%
- 100%

Do you have a verified asset list of all emergency lighting units?

Evidence of list?

Have all your emergency lighting systems been subject to a 1 hour and 3 hour test within the past 12 months?

Evidence of records?
Percentage with inspection records:
- 0%
- >0%<25%
- >25%<50%
- >50%<75%
- >75%<100%
- 100%

Work Equipment (PUWER) - Operational self-assessment Audit

Do you have an asset list of all equipment (excluding access equipment) provided to your staff which are subject to testing and inspections under PUWER?
Do you have a formal means of managing all items of work equipment as above with expired inspection and testing logs or those which are deemed unsafe for use?
Do you have a list of all ladders, step ladders and mobile towers?
Have all ladders, step ladders and mobile towers been subject to regular testing, inspections and tagging?
Do you have a formal means of managing ladders, step ladders and mobile towers with expired inspection tags or which are deemed unsafe for use?

Quality Audit - PUWER

Do you have an asset list of all equipment (excluding access equipment) provided to your staff which are subject to testing and inspections under PUWER?

Evidence of list?

Do you have a formal means of managing all items of work equipment as above with expired inspection and testing logs or those which are deemed unsafe for use?

Evidence of management system?

Do you have a list of all ladders, step ladders and mobile towers?

Evidence of list?

Have all ladders, step ladders and mobile towers been subject to regular testing, inspections and tagging?

Percentage of ladders viewed with current tags:
- 0%
- >0%<25%
- >25%<50%
- >50%<75%
- >75%<100%
- 100%

Do you have a formal means of managing ladders, step ladders and mobile towers with expired inspection tags or which are deemed unsafe for use?

Evidence of management system?

Risk Management - Operational self-assessment Audit

Have all team members been provided with access to the Directorate’s Health & Safety Arrangements Document?
Have all team members been provided with access to the Directorate’s Health & Safety Arrangements Document?
Have the Directorate’s Operational and Safety Procedures been implemented throughout your teams?
Are suitable health & safety arrangements in place which include named persons for: Risk Assessors, DSE Assessors, Fire Evacuation Marshals, first aiders, permit raisers etc?
Have all persons with Health & Safety Responsibilities identified as above been suitably trained?
Are all Health & Safety and Statutory training records up to date?
Do you have a verified list of all planned maintenance activities?
Have all planned maintenance activities been assessed with a suitable and sufficient risk assessment?
Have all team members read and understood the findings within the planned maintenance risk assessments?
Do you have a formal process for assessing and recording hazards associated with reactive maintenance works?
Have all the correct types of PPE (as identified in the risk assessments) been provided to your teams?
Do you have an asset list of all PPE issued to your teams?
Are all items of issued PPE subject to regular tests or inspections?
Do you have a formal means of managing PPE with expired inspection/testing logs or which are deemed unfit for purpose?

Quality Audit - Risk Management

Have all team members been provided with access to the Directorate’s Health & Safety Arrangements Document?

Evidence of records?
Percentage of people interviewed with access:
- 0%
- >0%<25%
- >25%<50%
- >50%<75%
- >75%<100%
- 100%

Have all team members been provided with access to the Directorate’s Safe System of Working Document?

Evidence of records?
Percentage of people interviewed with access:
- 0%
- >0%<25%
- >25%<50%
- >50%<75%
- >75%<100%
- 100%

Have the Directorate’s Operational and Safety Procedures been implemented throughout your teams?

Evidence of procedures?
Percentage of procedures implemented:
- 0%
- >0%<25%
- >25%<50%
- >50%<75%
- >75%<100%
- 100%

Are suitable health & safety arrangements in place which include named persons for: Risk Assessors, DSE Assessors, Fire Evacuation Marshals, first aiders, permit raisers etc?

Evidence of records?
Percentage of records of named persons:
- 0%
- >0%<25%
- >25%<50%
- >50%<75%
- >75%<100%
- 100%

Have all persons with Health & Safety Responsibilities identified as above been suitably trained?

Evidence of training records?
Percentage of persons trained:
- 0%
- >0%<25%
- >25%<50%
- >50%<75%
- >75%<100%
- 100%

Are all Health & Safety and Statutory training records up to date?

Evidence of training records?
Percentage of training records seen:
- 0%
- >0%<25%
- >25%<50%
- >50%<75%
- >75%<100%
- 100%

Do you have a verified list of all planned maintenance activities?

Evidence of list ?

Have all planned maintenance activities been assessed with a suitable and sufficient risk assessment?

Evidence of risk assessments?
Have the assessments been completed with unique numbers, signatures both of assessor and manager?

Risk Assessment Methodology:

Do the assessments identify the hazards associated with the activity?
Do the assessments take the working environment into consideration, are they specific?
Do the assessments identify who may be harmed and how?
Have the assessments followed the hierarchy of control?
Do the assessments identify the control measures/safe systems of work?
If PPE has been identified has the appropriate type and standard been specified?
Do the assessments bear a review date?
Are the risk assessments complete?
Percentage of completed risk assessments:
- 0%
- >0%<25%
- >25%<50%
- >50%<75%
- >75%<100%
- 100%
Percentage of completed risk assessments using College forms:
- 0%
- >0%<25%
- >25%<50%
- >50%<75%
- >75%<100%
- 100%

Have all team members read and understood the findings within the planned maintenance risk assessments?

Evidence of records?
Percentage of team members who have been recorded as having read and understood:
- 0%
- >0%<25%
- >25%<50%
- >50%<75%
- >75%<100%
- 100%

Do you have a formal process for assessing and recording hazards associated with reactive maintenance works?

Evidence of process?

Have all the correct types of PPE (as identified in the risk assessments) been provided to your teams?

Evidence of records?
Percentage of team members who have been recorded as having received PPE:
- 0%
- >0%<25%
- >25%<50%
- >50%<75%
- >75%<100%
- 100%

Do you have an asset list of all PPE issued to your teams?

Evidence of a list?

Are all items of issued PPE subject to regular tests or inspections?

Evidence of records?
Percentage of PPE (requiring testing and inspection) with records:
- 0%
- >0%<25%
- >25%<50%
- >50%<75%
- >75%<100%
- 100%

Do you have a formal means of managing PPE with expired inspection/testing logs or which are deemed unfit for purpose?

Evidence of management system?

COSHH Operational self-assessment Audit

Do all staff members carrying out (or responsible for instructing) maintenance activities have immediate access to the asbestos register?
Do you have a verified asset list of all chemicals or hazardous substances?
Have all the tasks that involve the use of chemicals or hazardous substances been subject to suitable and sufficient COSHH assessment?
Have Material Safety Data Sheets been provided for all chemicals or hazardous materials for use at work?
Are all identified chemicals or hazardous substances for use at work been provided with suitable storage facilities?
Is there a formal process for managing spillages, accidents or incidents involving the identified chemicals or hazardous substances for use at work?

Quality Audit - COSHH

Do all staff members carrying out (or responsible for instructing) maintenance activities have immediate access to the asbestos register?

Evidence of access?
Percentage of the staff interviewed, witnessed as having access:
- 0%
- >0%<25%
- >25%<50%
- >50%<75%
- >75%<100%
- 100%

Do you have a verified asset list of all chemicals or hazardous substances?

Evidence of list ?

Have all the tasks that involve the use of chemicals or hazardous substances been subject to suitable and sufficient COSHH assessment?

Evidence of COSHH assessments?
Have the assessments been completed with unique numbers, signatures both of assessor and manager?
Do the assessments identify what chemicals or hazardous substances are present?
Do the assessments identify the hazard group of the chemicals or hazardous substance?
Do the assessments identify where and how the chemicals or hazardous substance is used or handled?
Do the assessments identify who may be harmed and how?
Do the assessments identify the amount used and the time of potential exposure?
Do the assessments identify the likelihood of exposure?
Have the assessments followed the hierarchy of control?
Has a safe system of work been identified?
If PPE has been identified has the appropriate type and standard been specified?
If RPE has been identified have the necessary fit tests been carried out and recorded?
Do the assessments bear a review date?
Are the risk assessments complete?
Percentage of completed risk assessments:
- 0%
- >0%<25%
- >25%<50%
- >50%<75%
- >75%<100%
- 100%
Percentage of completed risk assessments using College forms:
- 0%
- >0%<25%
- >25%<50%
- >50%<75%
- >75%<100%
- 100%

Have Material Safety Data Sheets been provided for all chemicals or hazardous materials for use at work?

Percentage of chemicals or hazardous substances with MSDS:
- 0%
- >0%<25%
- >25%<50%
- >50%<75%
- >75%<100%
- 100%

Are all identified chemicals or hazardous substances for use at work been provided with suitable storage facilities?

Percentage of chemicals or hazardous substances in suitable storage facilities:
- 0%
- >0%<25%
- >25%<50%
- >50%<75%
- >75%<100%
- 100%

Is there a formal process for managing spillages, accidents or incidents involving the identified chemicals or hazardous substances for use at work?

Evidence of spillage management system?

Further information and comments

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Conclusions and recommendations

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1st Auditor
2nd Auditor