Epwin Group Legal Compliance Audit 2023

• Site conducted

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• Conducted on

  Date

• Prepared by

• Location
  Address

• Audit Summary

Health and safety Documentation

• Principal Legislation: The Health & Safety at Work etc Act 1974

• Does the company have a written health and safety policy statement?

  Yes

  No

  N/A

• Has the health and safety policy statement been reviewed and updated?

  Yes

  No

  N/A

• Is the health and safety policy statement signed and dated?

  Yes

  No

  N/A

• Is the health & safety policy statement prominently displayed in the workplace?

  Yes

  No

  N/A

• Are individual responsibilities for health and safety clearly defined?

  Yes

  No

  N/A

• Are the employees aware of the contents of the health & safety policy statement?

  Yes

  No

  N/A

• Are the employees aware of their responsibilities towards health & safety?

  Yes

  No

  N/A

• Does the company have access to the Epwin Groups' health & safety policy arrangements?

  Yes

  No

  N/A

• Is there a health & safety law poster in the workplace?

  Yes

  No

  N/A

• Are the correct details filled in on the health & safety law poster?

  Yes

  No

  N/A

• Is competent advice on managing health and safety issues available to the company?

  Yes

  No

  N/A

• Is there a copy of the current employers liability certificate available for inspection?

  Yes

  No

  N/A

• If a contractor is on site check permit to work (details, hazards etc)

• Do arrangements exist to ensure that contractors are aware of the companys health & safety policy and safe systems of work relevant to the performance of their work?

  Yes

  No

  N/A

• Do arrangements exist to ensure that contractors possess adequate liability insurance prior to work commencing?

  Yes

  No

  N/A

• How are visitors to the building controlled?

  Yes

  No

  N/A

• Are visitors inducted into the building?

  Yes

  No

  N/A

• Other Observations?

• Actions required to rectify.

Asbestos Management

• Principal Legislation The Control of Asbestos Regulations 2012

• Was the premises constructed prior to the year 2000?

  Yes

  No

  N/A

• Have all operatives who need asbestos awareness training had the training?

  Yes

  No

  N/A

• Has the building got an asbestos register?

  Yes

  No

  N/A

• Is the register up to date?

  Yes

  No

  N/A

• Is the management plan up to date?

  Yes

  No

  N/A

• Other Observations?

• Actions required to rectify.

First Aid/Accident Reporting and Investigations

• Principal Legislation: Health & Safety (First Aid) Regulations 1981, Reporting of Diseases & Dangerous Occurrences Regulations 1995

• Has an assessment been made to establish the first aid requirements for the company?

  Yes

  No

  N/A

• Have staff been nominated as Appointed Persons or First Aiders

  Yes

  No

  N/A

• Are there records of all first aid training and is it up to date?

  Yes

  No

  N/A

• Is there a list of first aiders and emergency contact details displayed?

  Yes

  No

  N/A

• Are first aiders identified so that all staff are aware of who they are?

  Yes

  No

  N/A

• Is there a first aid kit/cabinet/room available and accessible?

  Yes

  No

  N/A

• Are employees aware of location of first aid kit(s)?

  Yes

  No

  N/A

• Has a first aid needs risk assessment been completed?

  Yes

  No

  N/A

• Is the first aid kit adequately stocked?

  Yes

  No

  N/A

• Are first aid records kept?

  Yes

  No

  N/A

• Have we informed all staff of the location of first aid kits?

  Yes

  No

  N/A

• Are detailed accident investigation records kept?

  Yes

  No

  N/A

• Are there accident/incident/near miss/Hazard reports?

  Yes

  No

  N/A

• Other Observations?

• Actions required to rectify.

Risk assessment/Training

• Principal Legislation: The Management of Health & Safety at Work Regulations 1999 (MHSWR), The Manual Handling Operations Regulations 1992 (amended 2002), The Work at Height Regulations 2005

• Have risk assessments been completed on potentially dangerous tasks/activities?

  Yes

  No

  N/A

• Have the control measures identified in the risk assessments been acted upon/and are they being followed?

  Yes

  No

  N/A

• Are the risk assessments regularly reviewed to take into account changes in working practice?

  Yes

  No

  N/A

• Do the risk assessments take special account of vulnerable workers such as young persons, new and expectant mothers and any lone workers?

  Yes

  No

  N/A

• Are employees consulted in the risk assessment process?

  Yes

  No

  N/A

• Are the results of the risk assessments recorded and jointly discussed?

  Yes

  No

  N/A

• Are all operations which involve significant health & safety implications the subject of a defined safe system of work?

  Yes

  No

  N/A

• Have all employees received induction training and is this documented?

  Yes

  No

  N/A

• Has a training needs analysis been carried out for all employees?

  Yes

  No

  N/A

• Is all health & safety training provided by fully competent personnel?

  Yes

  No

  N/A

• Are training records up to date?

  Yes

  No

  N/A

• Are recorded risk assessments completed for manual handling tasks?

  Yes

  No

  N/A

• Where practicable have efforts been made to eliminate the need for manual handling?

  Yes

  No

  N/A

• Has appropriate employee training in manual handling techniques been provided?

  Yes

  No

  N/A

• Other Observations?

• Actions required to rectify.

Fire safety

• Principal Legislation: Regulatory Reform (Fire Safety) Order 2005

• Has a fire risk assessment been carried out?

  Yes

  No

  N/A

• Have the findings of risk assessment been acted on or being followed?

  Yes

  No

  N/A

• Is there fire logbook and is it kept up to date?

  Yes

  No

  N/A

• Are fire extinguishers in place & within service dates?

  Yes

  No

  N/A

• Are all fire/emergency exit signs in place?

  Yes

  No

  N/A

• Has there been a full fire evacuation in the last 12 months?

  Yes

  No

  N/A

• Are exits clear of obstructions?

  Yes

  No

  N/A

• Are all fire doors shut, but not locked or able to self close in an emergency?

  Yes

  No

  N/A

• Is emergency lighting operable?

  Yes

  No

  N/A

• Are staff fire training records up to date?

  Yes

  No

  N/A

• Does fire equipment appear to be in good condition?

  Yes

  No

  N/A

• Other Observations?

• Actions required to rectify.

Personal protective equipment (PPE)

• Principal Legislation: The Personal Protection Equipment at Work Regulations 1992

• Has an assessment been made of PPE to determine its suitability?

  Yes

  No

  N/A

• Is PPE maintained, replaced or cleaned as appropriate?

  Yes

  No

  N/A

• Have staff received adequate and appropriate information, instruction and training on the use an care of PPE?

  Yes

  No

  N/A

• Are records of PPE issue kept (not including disposable)?

  Yes

  No

  N/A

• Other Observations?

• Actions required to rectify.

Hazardous substances

• Principal Legislation: The Control of Substances Hazardous to Health Regulations 2002 (COSHH)

• Is there a Hazardous Substance register?

  Yes

  No

  N/A

• Is there access to Safety Data Sheets for all chemical products used?

  Yes

  No

  N/A

• Have risk assessments been completed for hazardous substances?

  Yes

  No

  N/A

• Do arrangements exist to review COSHH implications of new products prior to purchase?

  Yes

  No

  N/A

• Are flammable substances stored in small quantities in a fire proof cabinet?

  Yes

  No

  N/A

• Have all employees that are using COSHH products had adequate training to use them?

  Yes

  No

  N/A

• Are arrangements in operation for the provision of health surveillance in appropriate cases?

  Yes

  No

  N/A

• Are there any cooling towers in the building requiring Legionella checks?

  Yes

  No

  N/A

• Does the building have any showers?

  Yes

  No

  N/A

• Is there a procedure for dealing with spillages etc. and have staff been trained in how to do this?

  Yes

  No

  N/A

• Is there any LEV equipment in use and has it been examined in the last 14 months?

  Yes

  No

  N/A

• Other Observations?

• Actions required to rectify.

Office Safety

• Principal Legislation: The Workplace (Health, Safety & Welfare) Regulations 1992, The Health & Safety (Display Screen Equipment) Regulations 1992.

• Are recorded risk assessments completed for workstations of display screen users?

  Yes

  No

  N/A

• Are users offered free eye tests?

  Yes

  No

  N/A

• Is there glare or reflections on computer screens?

  Yes

  No

  N/A

• Are work station layouts suitable?

  Yes

  No

  N/A

• Is lighting adequate for work tasks?

  Yes

  No

  N/A

• Are light fittings clean and in good condition?

  Yes

  No

  N/A

• Are diffuser covers in place and securely fixed where required?

  Yes

  No

  N/A

• Is furniture appropriate and sound?

  Yes

  No

  N/A

• Is air conditioning maintained?

  Yes

  No

  N/A

• Is the office clean and tidy?

  Yes

  No

  N/A

• Are floor coverings sound?

  Yes

  No

  N/A

• Is there adequate ventilation around photocopiers?

  Yes

  No

  N/A

• Are fling cabinets drawers kept closed when not in use?

  Yes

  No

  N/A

• Other Observations?

• Actions required to rectify.

Plant/Work Equipment

• Principal Legislation: Provision & Use of Work Equipment Regulations 1998 (PUWER), Lifting Operations & Lifting Equipment Regulations 1998 (LOLER)

• Is all lifting equipment (e.g. Lift trucks, hoists lifts etc) subject to regular testing by a competent person?

  Yes

  No

  N/A

• Are current inspection certificates available for all lifting devices?

  Yes

  No

  N/A

• Is all work equipment identified and in good condition and suitable for use?

  Yes

  No

  N/A

• Have employees had suitable & sufficient training in the use of their work equipment?

  Yes

  No

  N/A

• Are all guards and interlocks etc. in position and in working order?

  Yes

  No

  N/A

• Is there a system for checking these items on a regular basis?

  Yes

  No

  N/A

• Is there a maintenance schedule for all machinery?

  Yes

  No

  N/A

• Is there a system in place for the formal checking of all pressurised equipment, e.g. compressed air receivers?

  Yes

  No

  N/A

• Are there records of such checks?

  Yes

  No

  N/A

• Other Observations?

• Actions required to rectify.

General Housekeeping

• Principal Legislation: The Workplace (Health, Safety & Welfare) Regulations 1992

• Are work areas clear of rubbish?

  Yes

  No

  N/A

• Are items not in use stored appropriately?

  Yes

  No

  N/A

• Are bins full & overflowing?

  Yes

  No

  N/A

• Is there evidence of general clutter?

  Yes

  No

  N/A

• Other Observations?

• Actions required to rectify.

Walkways, Stairs and Ladders

• Principal Legislation: The Workplace (Health, Safety & Welfare) Regulations 1992

• Are floor areas clean, dry and free from slip/trip hazards?

  Yes

  No

  N/A

• Are walkways kept clear?

  Yes

  No

  N/A

• Are stairs in good condition?

  Yes

  No

  N/A

• Are handrails in place, where required?

  Yes

  No

  N/A

• Are all items used for working at height, e.g. ladders and stepladders, inspected regularly?

  Yes

  No

  N/A

• Are there records of such checks?

  Yes

  No

  N/A

• Are portable ladders in good condition?

  Yes

  No

  N/A

• Are there work areas where fall protection is required?

  Yes

  No

  N/A

• Other Observations?

• Actions required to rectify.

Electrical Safety

• Principal Legislation: The Electricity at Work Regulations 1989

• Are there any broken plugs or outlets?

  Yes

  No

  N/A

• Are there any frayed or damaged leads?

  Yes

  No

  N/A

• Are all fixed wiring installations inspected on a regular basis by a qualified and competent person?

  Yes

  No

  N/A

• Is there evidence of up to date PAT on electrical items?

  Yes

  No

  N/A

• Are there any extension leads across the floor?

  Yes

  No

  N/A

• Are there multiple double adaptors in a series?

  Yes

  No

  N/A

• Are there signs of overloading of power boards, power points?

  Yes

  No

  N/A

• Other Observations?

• Actions required to rectify.

Storage

• Principal Legislation: The Workplace (Health, Safety & Welfare) Regulations 1992

• Are materials stored so they will not fall?

  Yes

  No

  N/A

• Are materials stored so that good manual handling practices can be applied, therefore safe retrieval?

  Yes

  No

  N/A

• Are storage racks/cupboards in sound condition, not overloaded?

  Yes

  No

  N/A

• Are storage racks subject to a SEMA inspection?

  Yes

  No

  N/A

• Last inspection date

  Date

• Are racks free from projection, sharp edges?

  Yes

  No

  N/A

• Are incompatible hazard substances segregated?

  Yes

  No

  N/A

• Other Observations?

• Actions required to rectify.

Welfare Matters

• Principal Legislation: The Workplace (Health, Safety & Welfare) Regulations 1992

• Are toilets clean?

  Yes

  No

  N/A

• Are kitchen facilities/lunchrooms clean?

  Yes

  No

  N/A

• Is drinking water available?

  Yes

  No

  N/A

• Are there washing facilities?

  Yes

  No

  N/A

• Other Observations?

• Actions required to rectify.

Air

• Principal Legislation: Clean Air Act 1993

• Do any of the processes undertaken on site result in fumes or dust being emitted to atmosphere?

  Yes

  No

  N/A

• Does the business have any refrigeration, air-con, fire suppression etc. equipment containing ozone depleting gasses (R22 or similar)?

  Yes

  No

  N/A

• If yes, can the business demonstrate the equipment is maintained by a competent engineer?

  Yes

  No

  N/A

• Does the business have any equipment containing fluorinated greenhouse gasses?

  Yes

  No

  N/A

• If Yes, does the service company hold a full company F-Gas Certificate?

  Yes

  No

  N/A

• Can the business provide evidence that equipment containing gases with Global Warming Potential is serviced in line with legal requirements?

  Yes

  No

  N/A

• Can the business demonstrate the competency of engineers engaged to service / maintain equipment containing gases with Global Warming Potential?

  Yes

  No

  N/A

• Does the business use solvents, classified as VOC’s, in their processes?

  Yes

  No

  N/A

• If yes, how do they measure quantities used to ensure they are below the action threshold?

  Yes

  No

  N/A

• Does the business have any air-conditioning, used for comfort cooling, which has a combined output of more than 12KW?

  Yes

  No

  N/A

• If yes, has an energy inspection (TM44) been carried out?

  Yes

  No

  N/A

• Other Observations?

• Actions required to rectify.

Environmental

• Principal Legislation: Environmental Act 2021

• Are any outputs from the process liable to affect a local SSSI site?

  Yes

  No

  N/A

• Has the business received a visit from the local authority in relation to statutory nuisance complaint?

  Yes

  No

  N/A

• Has the site recently undergone any significant changes in building structure or hired semi-permanent storage containers?

  Yes

  No

  N/A

• If yes, has planning permission been obtained?

  Yes

  No

  N/A

• How is site security managed outside of normal working hours?

• Has the business erected any advertising placards on the external land surrounding the site?

  Yes

  No

  N/A

• If yes, has the necessary authorisations been obtained?

  Yes

  No

  N/A

• Is there evidence to demonstrate that the business has control over substances being brought onto the site and that the appropriate assessments are undertaken?

  Yes

  No

  N/A

• Does the business monitor their energy use and is this information used to drive energy efficiency?

  Yes

  No

  N/A

• Other Observations?

• Actions required to rectify.

Waste

• Principal Legislation: Hazardous Waste (England and Wales) Regulations &

• Is there any electrical equipment on site which contains PCB’s?

  Yes

  No

  N/A

• If yes, has it been registered and are there written plans/procedures for its safe disposal?

  Yes

  No

  N/A

• Has the business registered the site as a producer of hazardous waste?

  Yes

  No

  N/A

• Can the business demonstrate that the Part E’s, on waste consignment notes, are being correctly completed and returned in a timely manner?

  Yes

  No

  N/A

• How can the business ensure that their hazardous waste is being correctly disposed of? (Sample a selection of waste transfer / consignment notes to check that the correct EWC and SIC codes are being applied).

• How does the business manage their waste carriers to ensure that the carrier licenses are current?

• Are staff, with responsibility for overseeing waste removal from site, given appropriate training and instruction?

  Yes

  No

  N/A

• Does the business hold on file a copy of their scrap metal dealers’ licence?

  Yes

  No

  N/A

• How does the business manage their redundant batteries and accumulators?

• Does the site require / have a discharge consent, how are the conditions of the permit managed?

• Does the site use hose pipes or have equipment that use water reservoirs?

  Yes

  No

  N/A

• If yes, is appropriate non-return valves fitted or air gaps used?

  Yes

  No

  N/A

• Other Observations

• Actions required to rectify.

Environmental Visual Inspection

• Is there any evidence to suggest that the activities and condition of the site could give rise to complaints of statutory nuisance?

  Yes

  No

  N/A

• Is there any evidence to suggest an uncontrolled event has taken place which has resulted in the contamination of land?

  Yes

  No

  N/A

• If bunded containment is in use, is it capable of holding 110%, or 25% of the aggregate capacity, of the drums stored upon it?

  Yes

  No

  N/A

• If bunded containment is in use, is it free from material, e.g. rainwater, liable to impede its effectiveness?

  Yes

  No

  N/A

• An inspection of the waste containers in use around the site considers them to be both suitable and sufficient.

  Yes

  No

  N/A

• Waste is correctly segregated; no evidence of cross contamination.

  Yes

  No

  N/A

• WEEE waste is stored securely and kept dry whilst awaiting disposal.

  Yes

  No

  N/A

• Other Observations?

• Actions required to rectify.

Energy Savings Opportunities Scheme

• Does the company have ISO50001?

  Yes

  No

  N/A

• Does the company have an ESOS Report?

  Yes

  No

  N/A

Climate Change Agreement

• Does the business have a Climate Change Agreement?

  Yes

  No

  N/A

• Is the business meeting its CCA target?

  Yes

  No

  N/A