Epwin Group Legal Compliance Audit

• Site conducted

  Select

• Conducted on

  Date

• Prepared by

• Location
  Address

• Audit Summary

Health and safety policy

• Is there a health and safety policy which is up to date and signed and dated by a senior person in the organisation?

  Yes

  No

  N/A

• Is there evidence that the policy is reviewed at least annually?

  Yes

  No

  N/A

• Has the policy been communicated to all staff?

  Yes

  No

  N/A

• Does the policy contain a general statement containing manageable aims and objectives for the creation of a safe working environment?

  Yes

  No

  N/A

• Is there an organisation chart that depicts the accountability and responsibility of Health & Safety for all staff?

  Yes

  No

  N/A

• Are there arrangements in place for health and safety that identify how staff and managers will operate?

  Yes

  No

  N/A

• Are there arrangements in place for the health, safety and welfare of high-risk groups, i.e. young people, pregnant staff, those with disabilities and others will be assured?

  Yes

  No

  N/A

Information

• Is a current Employers’ Liability insurance certificate on display?

  Yes

  No

  N/A

• Is there a register of the locations where the Liability Insurance and Policies are displayed?

  Yes

  No

  N/A

• Have staff been made aware of the location of the company accident logbook?

  Yes

  No

  N/A

• Is there a copy of the poster “Health & Safety Law - What you should know” on display?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

First aid/accident reporting arrangements

• Is there a procedure in place for dealing with accidents, incidents and near misses?

  Yes

  No

  N/A

• Does the procedure identify when and how accidents/incidents should be reported to the HSE to comply with the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 2013?

  Yes

  No

  N/A

• Are accidents, incidents and near misses adequately investigated to identify root cause and corrective actions?

  Yes

  No

  N/A

• Are accidents reviewed periodically to identify trends?

  Yes

  No

  N/A

• Has a first aid needs risk assessment been completed?

  Yes

  No

  N/A

• Are there first aid kits available?

  Yes

  No

  N/A

• Are checks completed on the kits to ensure that they are kept replenished and in date?

  Yes

  No

  N/A

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

  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

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

  Yes

  No

  N/A

Risk assessment

• is there a procedure in place that details the methodology and requirements for risk assessment?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

• Is there evidence that the hierarchy of controls have been followed for identified control measures?

  Yes

  No

  N/A

• Are identified control measures being followed?

  Yes

  No

  N/A

• Have risk assessments been reviewed within the last twelve months or since significant changes have been made to the workplace/task/activity?

  Yes

  No

  N/A

• Are all risk assessments readily available?

  Yes

  No

  N/A

Fire safety

• Has a fire risk assessment been completed?

  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 there suitable fire extinguishers for the premises and are they regularly serviced and maintained with the results recorded in the fire logbook?

  Yes

  No

  N/A

• Are suitable and sufficient fire safety signs on display?

  Yes

  No

  N/A

• Are all escape routes and fire exits clearly signed and free from obstructions?

  Yes

  No

  N/A

• Do all fire doors operate so that they are self-closing?

  Yes

  No

  N/A

• Is there a fire alarm system and is it regularly serviced and maintained with the results recorded in the fire logbook?

  Yes

  No

  N/A

• Is the fire alarm tested weekly and the results recorded in the fire logbook?

  Yes

  No

  N/A

• Is there a fire drill (at least annually) and are the results recorded in the fire logbook?

  Yes

  No

  N/A

• Have all staff been trained in the action to be taken in the event of a fire?

  Yes

  No

  N/A

Personal protective equipment (PPE)

• Are there arrangements in place that identifies when PPE must be issued?

  Yes

  No

  N/A

• Do risk assessments identify when PPE may be required?

  Yes

  No

  N/A

• Are arrangements in place that identify the precise type/standard necessary to reduce the risks to an acceptable level?

  Yes

  No

  N/A

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

  Yes

  No

  N/A

Hazardous substances

• Are hazardous substances used on site?

  Yes

  No

  N/A

• Has a register of all hazardous substances used on site been prepared?

  Yes

  No

  N/A

• Are the material safety data sheets available?

  Yes

  No

  N/A

• Have COSHH assessments been completed?

  Yes

  No

  N/A

• Have the COSHH assessments been made available to the staff that use the hazardous substances?

  Yes

  No

  N/A

• Have staff been trained in the safe use, storage and disposal of the product?

  Yes

  No

  N/A

• Is appropriate PPE available to those using hazardous substances?

  Yes

  No

  N/A

• Are chemicals kept on site stored correctly?

  Yes

  No

  N/A

• Are all chemicals/potentially hazardous substances kept in containers which clearly identify the product and the associated hazards?

  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

Display screen equipment (DSE)

• Are there arrangements in place that identify how the risks associated with the use of DSE will be managed?

  Yes

  No

  N/A

• Is there a procedure where staff can request eye tests, and where required the purchasing of glasses needed to use DSE safely?

  Yes

  No

  N/A

• Are DSE assessments carried out on all DSE users and if they are requested by staff?

  Yes

  No

  N/A

• Are the findings of DSE assessments being acted on?

  Yes

  No

  N/A

• Have staff received training in how to set up and maintain their workstation?

  Yes

  No

  N/A

Manual handling

• Are there arrangements in place that identifies how the risks associated with manual handling activities will be managed taking into account Task, Individual, Load and Environment?

  Yes

  No

  N/A

• Have risk assessments which address the risks associated with manual handling been completed?

  Yes

  No

  N/A

• Have the findings of the risk assessments been acted on?

  Yes

  No

  N/A

• When identified by risk assessment, have manual handling aids, such as trollies, been purchased?

  Yes

  No

  N/A

• Are manual handling aids being used?

  Yes

  No

  N/A

• Have staff had suitable and sufficient training in safe manual handling techniques and minimising the risks to themselves and others?

  Yes

  No

  N/A

• Are records of any manual handling training being recorded and retained?

  Yes

  No

  N/A

Machinery and work equipment

• Are there arrangements in place that identify the risks associated with the use of work equipment and machinery?

  Yes

  No

  N/A

• Have risk assessments which address the risks associated with the use of work equipment and machinery been completed?

  Yes

  No

  N/A

• Have the findings of the risk assessments been acted on?

  Yes

  No

  N/A

• Have staff been trained in the safe use of any machinery that they use/operate?

  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 carrying out “thorough examinations” of all equipment that requires it, e.g. fork lift trucks, lifting equipment etc.?

  Yes

  No

  N/A

• Are there records of all “thorough examinations”?

  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

• Are portable appliance tests completed in line with HSE guidance?

  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

Workplace

• Are there arrangements in place that identify how the risks found in the workplace are managed?

  Yes

  No

  N/A

• Is there evidence that these arrangements are being followed?

  Yes

  No

  N/A

• Do staff report health and safety related concerns about their workplace to their manager (or others)?

  Yes

  No

  N/A

• Have tests being completed on the electrical installation of the property in the last three years?

  Yes

  No

  N/A

• Have tests and appropriate maintenance work been completed on gas supplied equipment?

  Yes

  No

  N/A

• Are arrangements in place to ensure that walkways are kept clear and are gritted etc. in winter months?

  Yes

  No

  N/A

• Are there arrangements in place to ensure that the workplace is kept clean and hygienic?

  Yes

  No

  N/A

Air

• 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

Environmental

• 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

Waste

• 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

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

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