Section 1- Opening Meeting

Introductions and Scope of the Audit

The purpose of this audit is to assess the current health and safety management systems in place at Unity Partnership and to ensure these systems are working efficiently and are fit for purpose. It will also help to identify areas for improvement and potential weaknesses within the organisation.

Who has got overall responsibility for Health & Safety within the company?

The audit is compiled to specifically look at the following areas:

- Overall Health and Safety Managment
- High-Risk Departments

General Information

Name of Managing Director?

Name of Chief Operating Officer?

Name of Health and Safety Manager?

Total number of staff employed?

Is there a management structure diagram?

Add media

Brief Description of Main Work Activity:

General Notes

Section 2 - Audit Findings

Summary

Policy

Organising Control

Organising Co-operation

Organising Competence

Planning and Implementing

Measuring Performance

Auditing & reviewing performance

Section 3 - Complience Checklist

MODULE 1 : Policy & Statement

1.1 Is it Displayed

1.2 Is it displayed so all can read it?

1.3 Is this easy for all to see?

1.4 Is the Policy Signed ?

1.5 Is the signatory a Director?

1.6 Reviewed in last 12 months ?

1.7 Is there a documented review procedure?

1.8 Is there evidence that this procedure is followed, review log, report etc. ?

1.9 Is the reviewer an employee or an external advisor?

1.10 How are they qualified to review it?

1.11 Policy brought to employees attention ?

1.12 How?

1.13 Signed for as issued above ?

Other Observations

MODULE 2 : Organisation

2.1 Diagram / Chart present ?

2.2 Are the names / roles correct

2.3 Is this covered in the review

2.4 Is this documented ?

2.5 Responsibilities allocated and described ?

2.6 Individual aware of their responsibilities

2.7 How have they been made aware and is this documented ?

2.8 Are they trained to undertake their responsibilities ?

2.9 Is this training documented ?

2.10 What qualification do they hold?

2.11 Competent Person(s) appointed and named?

2.12 What qualification do they hold?

2.13 Is this training documented and certificates provided?

Other Observations

MODULE 3: General Arrangements

3.1 Each area of work/activity addressed ?

3.2 Is this included in the review ?

3.3 Is this documented ?

3.4 Brought to employees attention?

3.5 How?

3.6 Signed for as issued above ?

Other Observations

MODULE 4 : Specific Arrangements
4.1 General / Task Risk Assessment

4.1.1 Are Risk Assessments Produced ?

4.1.2 Are these specific for the task and its place of execution ?

4.1.3 Are these written fresh for each task and its place of execution ? - If no then 4.1.4 must be yes to be compliant If yes go to 4.1.7

4.1.4 Are these based on a generic library? - If yes then 4.1.5 must be yes to be compliant

4.1.5 Are procedures in place to ensure that any generic Risk Assessments are made specific?

4.1.6 Are these procedures documented and evidence available to show this is complied with in practice - Risk Assessments must be available to show that they are made specific – Compliant if yes

4.1.7 Who wrote the base library or the individual Risk Assessment? - If internal must be yes to 4.1.8 (i) (ii) (iii) or (iv) if external must be yes to 4.1.8 (iv) note which then go to 4.10.9 then 4.1.10

4.1.8 What qualification/training do they hold to write Risk Assessments?

4.1.9 Certificate held?

4.1.10 If externally produced are these internally signed off ? - Compliant if yes and signed off by one of the options 4.1.11 (i) (ii) (iii) or (iv) note which

4.1.11 What qualification do they hold to sign off Risk Assessments?

4.1.12 Certificate held?

4.1.13 Brought to employees attention?

4.1.14 How?

4.1.15 Signed for as issued above

4.1.16 Are Risk Assessments dated for their creation

4.1.17 Are Risk Assessments dated for when due for review ?

4.1.18 Are the Risk Assessments in date ?

4.1.19 Is the review process documented and the person assigned aware of these duties?

Other Observations

4.2 COSHH Risk Assessments

4.2.1 Are COSHH Risk Assessments Produced ? - If Yes go to 4.2.2 if N/A then go to Module 4.3

4.2.2 Are these based on the Manufacturer’s Datasheets ?

4.2.3 Manufacturer’s Datasheets the latest revisions?

4.2.4 Who prepared the COSHH Risk Assessments ? - If internal must be yes to 4.2.5 (i) (ii) (iii) or (iv) if external must be yes to 4.2.5 (iv) note which then go to 4.2.7

4.2.5 What qualification do they hold to write COSHH Risk Assessments?

4.2.6 Certificate held?

4.2.7 Brought to employees attention?

4.2.8 How?

4.2.9 Signed for as issued above

4.2.10 Are COSHH Risk Assessments dated for their creation

4.2.11 Are COSHH Risk Assessments dated for when due for review ?

4.2.12 Are the COSHH Risk Assessments in date ?

4.2.13 Are procedures in place to ensure that COSHH Risk Assessments are based on the current Manufacturer’s Datasheet - Compliant if yes and 4.2.16 is also yes to verify this

4.2.14 In this documented ?

4.2.15 Are the COSHH assessments reviewed ?

4.2.16 Are the review procedures documented and evidence available to show this is complied with in practice

4.2.17 Is the person assigned to review COSHH Assessments aware of these duties and is this documented? - Compliant if yes one of the options in 4.2.18 must be selected to be compliant

4.2.20 Are the COSHH Risk Assessments put with the chemicals concerned ?

4.2.21 Are the Chemicals stored as identified in the COSHH Risk Assessment?

4.2.22 Are Gasses stored in a locked cage, preferably outside (Take security into account)

4.2.23 Are the Flammables, paints and thinners limited to 50 litres maximum quantity ?

4.2.24 Are the Flammables stored in a metal lockable ventilated cupboard ?

4.2.25 Is a spill kit available if this is required ?

Other Observations

4.3 Manual Handling

4.3.1 Are Manual Handling Risk Assessments Produced ? - Compliant if yes or if N/A then go to Module 4.4

4.3.2 Who prepared the Manual Handling Risk Assessments? - If internal must be yes to 4.3.3 (i) (ii) (iii) or (iv) if external must be yes to 4.3.3 (iv) note which then go to 4.3.5

4.3.3 What qualification do they hold to write Manual Handling Risk Assessments?

4.3.4 Certificate held?

4.3.5 If externally produced are these internally signed off ?

4.3.7 Brought to employees attention?

4.3.8 How?

4.3.9 Signed for as issued above

4.3.10 Are Manual Handling Risk Assessments dated for their creation

4.3.11 Are Manual Handling Risk Assessments dated for when due for review ?

4.3.12 Are the Manual Handling Risk Assessments in date ?

4.3.13 Are procedures in place to ensure that Manual Handling Risk Assessments are reviewed?

4.3.14 Are these procedures documented and evidence available to show this is complied with in practice

4.3.15 Is the person assigned to review Manual Handling Risk Assessments aware of these duties and is this documented ?

4.3.18 Is Manual Handling Training provided

4.3.19 Is this certified ? and certificates provided

4.3.20 Is Refresher Training Provided ?

4.3.21 Toolbox talk or similar technique used.?

4.3.22 Is this documented ?

4.3.23 Evidence available to show this signed by recipients ?

Other Observations

4.4 Vibration Risk Assessments

4.4.1 Are Vibration Risk Assessments Produced? - Compliant if yes or if N/A selected go to Module 4.5

4.4.2 Are these based on the Vibration value provided in the Manufacturer’s Datasheets ?

4.4.3 Does the Vibration Risk Assessment identify the times to Action and Limit Value ?

4.4.4 Does the Vibration Risk Assessment identify the need for Health Surveillance above the Action Value?

4.4.5 Who prepared the Vibration Risk Assessments ? - If internal must be yes to 4.4.6 (i) (ii) (iii) or (iv) if external must be yes to 4.4.6 (iv) note which

4.4.6 What qualification do they hold to write Vibration Risk Assessments?

4.4.8 Brought to employees attention?

4.4.9 How?

4.4.10 Signed for as issued above

4.4.11 Is Health Surveillance undertaken ?

4.4.12 Does this use the HSE form or an equal one for initial and annual review ?

4.4.13 Does the person receiving the returned forms know to obtain Occupational Health advice if the returned forms identify evidence of Hand Arm Vibration Syndrome ?

4.4.14 Are Records Kept ?

4.4.16 Are the Vibration Risk Assessments Reviewed ?

4.4.16 Are the review procedures documented and evidence available to show this is complied with in practice ?

4.4.17 Is the review process documented and the person assigned aware of these duties?

Other Observations

4.5 Display Screen Equipment

4.5.1 Are Display Screen Equipment Workstation assessments carried out?

4.5.2 Are these recorded and the records kept ?

4.5.3 Does the Workstation Assessment identify a revision date ?

4.5.4 Is a procedure in place to respond to any findings in the Workstation Assessment ?

4.5.5 Is this procedure documented ?

4.5.6 Are these actions recorded ?

4.5.7 Is the person to whom the Workstation Assessments are returned aware of their duty to take action based on the findings of the Workstation Assessment ?

4.5.8 Is Health Surveillance Carried out ?

4.5.9 Are records kept ?

4.5.10 Is the person to whom the completed Health Surveillance Questionnaires are returned Aware of their duties to obtain Occupational Health advice in the light of reported health problems?

4.5.11 Documents provided

Other Observations

4.6 Working at Height

4.6. 1 Do staff work at Height?

4.6. 2 Is working at heights avoided where possible?

4.6. 3 Is work at heights properly planned and organised? E.g. is the work area surveyed for hazards, such as overhead power lines, unsuitable ground conditions, moving machinery parts?

4.6.3 Are work at height risk assessments produced?

4.6.4 Who Prepares the WAH risk assessments?

4.6.5 What qualification / training do they hold to write WAH Assessments?

4.6.6 Brought to employees attention?

4.6.7 How?

4.6.8 Signed for as issued above?

4.6.9 Are WAH risk assessments dated for their creation?

4.6.10 Are WAH risk assessments dated for when due for review?

4.6.11 Are WAH Risk assessments in date?

4.6.12 During work at height is there always a competent person present who can suspend work if conditions change, eg weather, traffic, scope of work?

4.6.13 Are fragile roofs identified, labelled especially where fragility is disguised?

4.6.14 Are warning signs fixed on the approach to fragile roofs?

4.6.15 Is unauthorised access to roofs / roof spaces prevented?

4.6.16 Are ladders only used for light work of short duration?

4.6.17 Are portable ladders secured top and bottom?

4.6.18 makeshift ladders, or other makeshift access equipment is not being used?

4.6.19 Are portable ladders, steps and all other access equipment regularly inspected?

4.6.20 Have workers been trained not to over reach on ladders or work platforms?

4.6.21 Is a written log maintained and access equipment removed from service if broken / damaged?

4.6.22 Are work platforms capable of supporting workers, equipment, materials, the safe working loads indicated and inspected every six months?

4.6.23 Are work platforms with edge protection, such as tower scaffolds, cherry pickers, scaffolding always used?

4.6.24 Are measures always taken to prevent falling objects injuring others as a result of working at heights

4.6.25 Is fixed edge protection provided to prevent falls where working at heights cannot be avoided?

4.6.26 Have all workers who work at heights been assessed as competent or closely supervised by someone who is competent?

4.6.27 During work at height activities are the following hazards controlled?

4.6.28 Employee falling from height

4.6.29 Employee falling through a fragile roof

4.6.30 Objects falling on employees / members of the public

4.6.31 Slipping / collapsing access equipment

4.6.32 Slips / trips on elevated access ways

4.6.33 Where the risk of falls cannot be eliminated are safety harnesses, fall arrest devices or safety nets used as required? (Safety nets protect those working in the space below, fall arrest equipment and safety harnesses require specialist training as well as statutory inspection every 6 months)

4.6.34 Are anchorage points for safety harnesses and ladders provided, used and regularly inspected?

Other Observations

4.7 Lone Working / Violence and Aggression

4.7.1 Do staff work alone?

4.7.2 Do you have a Lone Working Policy?

4.7.3 Are staff made aware of it?

4.7.4 How?

4.7.5 Do staff work outside normal office hours?

4.7.6 Do staff meet with clients in isolated locations?

4.7.7 Is there enough security provision?

4.7.8 Is there poor access to the building?

4.7.9 Do staff activities involve working in confined spaces?

4.7.10 Do staff activities involve handling dangerous substances?

4.7.11 Do you provide joint working for high risk activities (i.e. in confined spaces and with dangerous substances)?

4.7.12 Do you carry out regular supervisor or colleague checks during activities?

4.7.13 Do you use entrance security systems (i.e. digital locks or swipe cards)?

4.7.14 Is there security lighting around access points and parking areas?

4.7.15 Have you installed panic buttons linked to manned locations?

4.7.16 Do you use reporting checking in systems?

4.7.17 Do staff have access to a telephone or communication system?

4.7.18 Do staff have information and training on basic personal safety?

4.7.19 Are staff trained in strategies for preventing and managing violence?

4.7.20 Do staff have access to forms for reporting incidents or near misses and appreciate the need for this procedure?

4.7.22 Do staff carry out visits in high risk locations (i.e. areas with high crime rates)?

4.7.23 Do staff carry out visits in isolated rural areas?

4.7.24 Do staff use public transport?

4.7.25 Do staff leave their details of where they are lone working?

4.7.26 Do staff visit unfamiliar clients or relatives?

4.7.27 Do staff visit a high risk or unstable or unpredictable client group?

4.7.28 Do staff carry out visits during unsocial hours?

4.7.29 Do staff carry valuables or equipment?

4.7.30 Do you provide accompanied visits when there are concerns about safety?

4.7.31 Do you include potential or known risk factors in referral documents and records?

4.7.32 Do you ask for or share risk information with other professionals and agencies?

4.7.33 Are there systems for monitoring staff whereabouts and regularly reporting to base?

4.7.34 Have you issued mobile phones or other communication devices?

Other Observations

MODULE 5 : Personal Protective Equipment

5.1 Is Personal Protective Equipment Required?

5.2 Is Personal Protective Equipment freely provided without charge?

5.3 Are procedures in place to ensure adequate stocks or timely delivery or availability?

5.4 Is this procedure documented ?

5.5 Are procedures in place to ensure recording of issue ?

5.6 Is this procedure documented ?

5.7 Are records of issue kept

5.8 Is the Personal Protective Equipment issued based on the requirements of Risk Assessments

5.9 Do employees know how to obtain replacement PPE ?

5.10 Is this documented ?

5.11 How?

5.12 Do employees know to report faulty or damaged PPE and have this replaced ?

5.13 Is this documented

5.14 How?

5.15 Are employees trained on the correct way to put on PPE ?

5.16 How?

5.17 Is a place to store PPE made available ?

Other Observations

MODULE 6 : First Aid & Accident Procedures

6.1 Is First Aid Cover provided appropriate for the numbers and the activities of the company? - if Yes – and 6.2, 6.3 and 6.4 completed and the numbers are correct. If there are no employees or all employed on site (contractor only) go to 6.11 on then Module 7

6.2 Number of Employees

6.3 Type of activity – Hazard. -Low <25 Low 25 - 50 Low 50 + High <25 High 25 - 50 High 50 +

6.4 Type of First Aid Personnel

Appointed Person

First Aid at Work (FAW)

Emergency First Aid at Work (EFAW)

6.5 Are first aid boxes provided in appropriate locations ?

6.6 Are procedures in place to ensure the first aid boxes are kept stocked ?

6.7 Is this documented ?

6.8 Is the person responsible for keeping the first aid boxes stocked aware of their duties ?

6.9 Is an accident book freely available?

6.10 Is this of the current type with removable records for secure filing ?

6.11 Are procedures in place to ensure RIDDOR accidents are investigated ?

6.12 Is this documented ?

6.13 Is this a fully internal investigation or is the assistance of an external advisor sought - If external advisors brought in go to 6.18, 6.19 and 6.20 if internal complete 6.14, 6.15, 6.16 and 6.17 then go to 6.20

6.14 Is the person responsible for investigating accidents aware of their duties and trained if fully internal or knows how to contact the external advisor ?

6.15 Is this documented?

6.16 What qualification do they hold to investigate accidents?

6.17 Certificate held?

6.18 If an external advisor is used are they qualified to conduct Accident Investigations?

6.21 Are procedures in place to ensure RIDDOR reportable accidents are reported ?

6.22 Is the person responsible for this aware of their duties and of the different types and reporting requirements of RIDDOR ?

6.23 Is this documented?

6.24 Is a First Aid Room provided ?

Other Observations

MODULE 6.1: Emergency Preparedness

6.1.1 Does the company have the arrangements in place to deal with all serious and imminent danger?

6.1.2 Are key personnel aware of their responsibility in the event of an emergency?

6.1.3 Are other personnel aware of what to do in the event of an emergency?

6.1.4 Are visitors, contractors and temporary employees made aware of evacuation procedures? If so, how?

6.1.5 Are there written evacuation procedures posted in appropriate locations and are means of escape clearly signed?

6.1.6 Is appropriate equipment available to deal with emergencies and are key personnel trained in its use?

6.1.7 If the workplace is shared, are emergency arrangements communicated and co-coordinated with neighbours?

Other Observations

MODULE 7 - Workplace

7.1 Is the workplace kept at or above the minimum temperature ?

7.2 Are there procedures in place to ensure the workplace is inspected regularly?

7.3 Is this procedure documented ?

7.4 Is the person responsible for carrying out these inspections aware of their duties?

7.5 What qualification do they hold to inspect the workplace ?

7.6 Certificate provided ?

7.7 Does the procedure call for an external inspection to be carried out ?

7.8 Is the person who carries out the external inspection qualified to do so ?

7.9 Is the fixed electrical installation tested within the last 5 years

7.10 NIC/EIC Certificates provided ?

7.11 Are the portable electrical appliances PAT tested and in date

7.12 Are the items labelled or a is a schedule provided

7.13 Do any power sockets appear to be overloaded?

7.14 Any damaged conduit or trunking?

7.15 Cable management acceptable?

7.16 Any unauthorised private equipment being used?

7.17 Is there evidence that monthly inspections of the external lighting is being carried out?

7.18 Electrical Panels clearly marked and unobstructed, restricted access?

7.19 Are Welfare facilities provided ?

7.20 Are procedures in place to ensure these are kept clean and adequately stocked ?

7.21 Are these procedures documented?

7.22 Are records kept ?

7.23 Are the numbers of toilets and wash basins sufficient for the numbers of Men and Women at work ?

7.24 Number of men at work

7.25 Number of women at work

7.26 7.21 Facilities for Men? (List)

7.27 7.22 Facilities for Women or for mixed use? (List)

7.28 Are they provided with hot and cold running water ?

7.29 Are the facilities well lit ?

7.30 Are the facilities ventilated ?

7.31 Is soap or other hand cleanser provided

7.32 Are means of drying the hands provided ?

7.33 Is drinking water provided ?

7.34 Is a seating area provided for the employees to take meal breaks with washing facilities provided nearby ?

7.35 Are facilities in place to allow employees to heat food and to heat water for hot drinks ?

7.36 Are showering facilities provided?

7.37 Are work areas adequately lit?

7.38 Are arrangements in place for reporting defects to the building and remedial action carried out?

7.39 Anti-slip surfaces provided where appropriate?

7.40 Are all staircases fitted with handrails/guardrails?

7.41 Is the perimeter wall/fence/railings in a good state of repair?

7.42 Is the external waste area clearly identified/secure/away from the main building?

7.43 Have relevant staff received training in Confined Spaces?

7.44 Is there evidence that daily checks of significant building related risks are carried out?

7.45 Is there evidence that an Energy Performance of Buildings inspection has been carried out?

7.46 Is there evidence that regular inspections of External Areas are being carried out?

7.47 Corridors/halls/walkways clear of debris and obstructions?

7.48 All spills cleaned up speedily?

7.49 Carpets in good condition? (No holes or curled edges)

Other Observations

MODULE 8 : Fire Precautions

8.1 Has the company documented fire precautions?

8.2 Fire Action signs in place in the workplace ?

8.3 Is the muster point / fire assembly point designated ?

8.4 Are these brought to employees attention?

8.5 How?

8.6 Signed for as issued above?

8.7 Responsible person appointed ?

8.8 Is this person aware of their duties ?

8.9 Is this documented ?

8.10 Have fire Marshall(s) and Deputy(s) been appointed ?

8.11 Are these people aware of their duties ?

8.12 Have these people been trained or provided with sufficient information to allow them to carry out their duty safely ?

How?

8.14 Proof of the training given held ?

8.15 Fire Fighting Equipment in place ?

8.16 Fire Fighting Equipment maintained ?

8.17 Records Kept ?

8.18 Timed Fire Evacuation Drills Held every 6 Months

8.19 Records kept ?

8.20 Emergency Lighting Provided?

8.21 Is this tested ?

8.22 Records Kept ?

8.23 Fire Alarm System Or devices in place

8.24 Is this tested ?

8.25 Records Kept ?

8.26 Fire Detection System in place ?

8.27 Is this tested ?

8.28 Records Kept ?

8.29 Has a Fire Risk Assessment been carried out ?

8.30 Is the person who carried out the Fire Risk Assessment qualified to do so ?

8.31 What qualification / Training do they hold to carry out Fire Risk Assessments ?

8.32 Certificate Provided ?

8.33 Are procedures in place to review this ?

8.34 Are these procedures documented ?

Other Observations

MODULE 9 : Asbestos Management

9.1 Do you own or rent your premises or are you in serviced offices ?

9.2 Was the property built or refurbished before the year 2000

9.3 Have you had a Management Survey (or a previous type 2 Survey) done ?

9.4 Is this documented and the report held on the premises?

9.5 Where Asbestos has been identified are strategies in place to prevent this from harming any employee and from being accidentally disturbed ?

9.6 Are these procedures documented ?

9.7 Have these procedures been brought to employees attention ?

9.8 How?

9.9 Signed for as isued abouve?

9.10 Do any of your employees work in an environment where they may encounter asbestos ?

9.11 Have they received Asbestos Awareness Training ?

9.12 Are certificates held ?

9.13 Is annual refresher training carried out ?

9.14 Is this documented ?

Other Observations

MODULE 10 : Work Equipment

10.1 Do you use equipment which requires formal training to use safely ?

10.1 : Abrasive Wheels

10.1.1 Do you use abrasive Wheels

10.1.2 Are those who use abrasive wheels trained in how to use them ?

10.1.3 Is this training documented ?

10.1.4 Is refresher training provided ?

10.1.5 Is this documented ?

Other Observations

10.2 : Mobile Alloy Access Towers

10.2.1 Do you use Mobile Alloy Access Towers ?

10.2.2 Are those who use Mobile Alloy Access Towers trained to PASMA / CITB Standards ?

10.2.3 Do the trained employees carry their cards and are the certificates held on file ?

10.2.4 Are procedures in place to ensure that retraining is carried out as the cards expire ?

10.2.5 Is this documented ?

Other Observations

10.3 : Mobile Elevating Work Platform (MEWP)

10.3.1 Do you use Mobile Elevating Work Platforms ?

10.3.2 Are those who use Mobile Elevating Work Platforms trained to IPAF / CITB Standards ?

10.3.3 Do the trained employees carry their cards and are the certificates held on file ?

10.3.4 Are procedures in place to ensure that retraining is carried out as the cards expire ?

10.3.5 Is this documented ?

Other Observations

10.4 : Work Equipment Inspection

10.4.1 Do you have equipment which requires inspection ?

10.4.2 Do you have procedures in place to ensure equipment is inspected ?

10.4.3 Are these documented ?

10.4.4 Do these include both your own equipment and any which you may hire ?

10.4.5 Are the inspection sheets held on file ?

Other Observations

10.5 : Company Vehicles

10.5.1 Do your employees drive company vehicles ?

10.5.2 Do you have a written policy for driving Company vehicles ?

10.5.3 Is this documented ?

10.5.4 Has this policy been brought to the employees’ attention ?

10.5.5 How?

10.5.6 Signed for as issued above ?

10.5.7 Do you require the employee to annually submit their license to be copied and held on file ?

10.5.8 Records kept on file ?

Other Observations

MODULE 11 : Consultation with employees

11.1 Do you display the HSE Law poster ?

11.2 Is this filled in with the necessary details ?

11.3 Do You consult formally or informally with your employees ?

11.4 Do employees know how to raise health and safety matters ?

11.5 How?

11.6 Do you keep records of these informal meetings ?

11.7 Are these records on file ?

11.8 Have representative(s) been chosen by the employees themselves either by consent or election ?

11.9 Do these employee(s) understand their role as a representative of their colleagues ?

11.10 Are procedures in place to ensure scheduled meetings are held and also that additional meetings may be called by either management or a representative if necessary ?

11.11 Are these documented ?

11.12 Are minutes taken ?

11.13 Are these kept on file ?

Other Observations

MODULE 12: Safe Procurement
Specifying a contract

12.1 Are significant health and safety risks are associated with the service or activity considered?

12.2 Are health and safety responsibilities clear for clients and contractor?

12.3 Are health and safety competencies required by those delivering the service or activity – including directors and managers - considered?

12.4 Do contracts specify how health and safety risks be managed within the service or activity?

12.5 Is prequalifi cation assessment utilised? e.g. Safety Schemes in Procurement (SSIP), Contractor Health and Safety Assessment Scheme (CHAS) PAS 91?

12.6 Are health and safety targets appropriate, and how performance be measured e.g. leading and lagging, proactive and reactive indicators?

12.7 What evidence is required to demonstrate effective health and safety management in delivering the contract?

12.8 Are the monitoring arrangements clearly spelled out in the contract?

Selecting a safe provider

12.10 What process will be used to assess the tenders submitted (e.g. desk top, interview, presentation)?

12.11 Who will check that the tender documents meet health and safety criteria?

12.12 Does the person assessing health and safety compliance have the right skills and knowledge?

12.13 Have the bidders provided acceptable evidence in an appropriate form, as set out in the invitationtotender document?

12.14 Does someone check the bidders have an acceptable health and safety record ?

12.15 Is there a process is there to give feedback on tender submission?

12.17 Is there a process to assist in improving the health and safety performance of bidders?

Monitoring health and safety performance for the life of the contract

12.19 Are there clear communication and reporting lines for health and safety issues between the client and contractor or delivery partners?

12.20 Is performance criteria and information on how will they be audited?

12.21 Who will monitor the contract to assess health and safety performance?

12.22 Is there consideration of what form monitoring take and at what frequency (e.g. regular performance meetings, review of health and safety performance data)?

12.23 Are site visits conducted (where necessary) to monitor health and safety standards?

12.24 If so who is responsible?

12.25 Is there be a process for reporting and responding to poor health and safety standards?

12.26 Are sanctions be applied for poor health and safety performance and who will apply them?

12.27 Are there measures in place to remove a contractor who demonstrates continued poor performance or breach of contract/legislation?

12.28 If a contractor has to be removed what is the plan to ensure continued safe service delivery?

12.29 Is health and safety performance reported at the end of the contract when extension or renewal is considered?

MODULE 12.1 : Management of Contractors NOT CDM RELATED

12.1.1 Do you have procedures to manage those contractors you may employ to work on your premises ?

12.1.2 Are these procedures documented ?

12.1.3 Do they include checking the contractors competence ?

12.1.4 Is this done in writing by the use of an assessment form they must complete ?

12.1.5 Records held on file ?

12.1.6 Do you induct contractors onto your premises ?

12.1.7 Do you require them to sign as having received induction ?

12.1.8 Is this documented ?

12.1.9 Is a Permit to Work system in place for controlling high risk activities?

Other Observations

MODULE 12.2 : Management of Contractors CDM RELATED

12.2.1 Do you have procedures to manage those contractors you employ to work on site as sub- contractors

12.2.2 Are these procedures documented ?

12.2.3 Do they include checking the contractors competence ?

12.2.4 Is this done in writing by the use of an assessment form they must complete ?

12.2.5 Records held on file ?

Other Observations

MODULE 13 : Preparation of Method Statements

13.1 Do you need to prepare Method Statements ?

13.2 Are there procedures in place to ensure the Method Statements are produced to a consistent template/format

13.3 Do they contain the elements to detail a safe system of work ?

13.4 Is this procedure documented ?

13.5 Is the person responsible for writing Method Statements qualified to do so ?

13.6 How?

13.7 Certificate provided ?

13.8 Are these signed by the employees who will work under them ?

13.9 Are records kept of the signed copies ?

Other Observations

MODULE 14 : Management of Construction Work (CDM)

14.1 Do you act as Principal Contractor as defined in the Construction (Design and Management) Regulations 2015?

14.2 Do you require the contractors under your control to produce Method Statements and accompanying Risk Assessments?

14.3 Do you have assessment procedures to ensure that they contain the elements to detail a safe system of work ?

14.4 Is this procedure documented ?

14.5 Is the person responsible for assessing Method Statements and associated Risk Assessments qualified to do so ?

14.6 How?

14.7 Certificate provided ?

14.8 Do you ensure that these are signed by those who will work under them ?

14.9 Are records kept of the signed copies ?

14.10 Do you have procedures in place for setting people to work ?

14.11 Are these procedures documented ?

14.12 Do you provide welfare facilities to CDM 2015 standards ?

14.13 Do you have procedures to ensure that these are kept in good order throughout the works?

14.14 Are these procedures documented ?

14.15 Are these documents held on file?

14.16 Do you ensure emergency lighting is provided where required ?

14.17 Do you ensure that this is tested ?

14.18 Do you provide 110v site power ?

14.19 Do you ensure that this is tested?

14.20 Do you have procedures to ensure the site is maintained in a tidy and safe condition ?

14.21 Are these procedures documented ?

14.23 Documents on file ?

14.24 Do you have procedures for consulting with those who work on the site ?

14.25 Are these procedures documented ?

14.26 Documents on file ?

14.27 Do you have procedures to ensure that training is provided to all those on site ?

14.28 Are these procedures documented ?

14.29 Documents held on file ?

14.30 Do you have procedures to ensure that information is freely exchanged between all those involved in the project, whether professional team or contractor ?

14.31 Are these procedures documented ?

14.32 Documents held on file ?

14.33 Do you have procedures to prepare traffic management plans for the site?

14.34 Are these procedures documented?

14.35 Documents held on file ?

14.37 Do you have procedures to draw up emergency plans such as fire plans for the site?

14.38 Are these procedures documented ?

14.39 Documents held on file ?

14.40 Are procedures in place to ensure the site is maintained secure ?

14.41 Are these procedures documented ?

14.42 Documents held on file ?

14.43 Are procedures in place to ensure signage is used to warn of construction activities and the required Personal Protective Equipment required to enter site?

14.44 Are these procedures documented ?

14.45 Documents held on file ?

Other Observations

MODULE 15 : Noise

15.1 Do your employees work in an industrial environment, a factory or a warehouse type environment with machinery ?

15.2 Do your employees use hand or machine tools which are noisy ?

15.3 Do your employees work on a construction site ?

15.4 Are your employees exposed to any kind of noise above that experienced in an office ?

15.5 Have you had a noise assessment of your premises undertaken ?

15.6 Was the person who provided you with a noise survey qualified ?

15.7 Did the report presented conform to the HSE guidelines for what is to be considered an acceptable standards of such a report

15.8 Is the report still current. All machinery and processes still the same with the same number of employees as when conducted and the environment also the same ?

15.9 Are there procedures in place to ensure that if required the report will be updated ?

15.10 Are these Documented ?

15.11 Is the person responsible for this aware of their duty ?

15.12 Do you provide hearing protection as required, detailed in the report ?

15.13 Is the issue documented ?

15.14 Have you designated hearing protection zones with correct signage as detailed in the report?

15.15 Do your Risk Assessments consider noise as a hazard ?

15.16 Do The Risk Assessments identify PPE as a control for the noise ?

15.17 Do you provide Hearing Protection suitable for use with the other legally required PPE on site ?

15.18 Is the issue documented ?

Other Observations

MODULE 16: Water Hygiene

16.1 Is there a Water Risk Assessment available for the premises?

16.2 If there is a risk, has a scheme for preventing or controlling the risk been developed for the premises?

16.3 Are there management plans to implement and manage control measures?

16.4 Is there guidance based around L8 for control of legionella available for reference?

16.5 Is someone identified as competent for your premises in relation to Legionella?

16.6 Has the Competent Person for Legionella received appropriate training to allow them to carry out their responsibilities?

16.7 Is there evidence that the Water Risk Assessment is reviewed every 2 years?

16.8 Are all records in relation to legionella kept? i.e. temperature checks, flushing of little used outlets etc.

16.9 Is the competent person for legionella involved in any planned work on water or air conditioning systems?

16.10 Are contractors involved in any legionella work monitored? Is this recorded?

16.11 Is there evidence that annual sampling of water supplies is being carried out?

16.12 Is there evidence that annual chlorination of water supplies is being carried out?

16.13 Is there evidence that 6 monthly water tank inspections are being carried out?

Other Observations

MODULE 17 - Stress & Wellbeing

17.1 Is there a stress policy in place?

17.2 Is the stress policy brought to the attention of the staff, and do they know what process to take if they felt they were suffering from work-related stress?

17.3 How?

17.4 Has a stress risk assessment been carried out?

17.5 Is the person who carried out the Stress Risk Assessment qualified to do so ?

17.6 How?

17.7 Would action be taken if someone complained of stress at work?

17.8 - Are managers aware of the procedure to follow regarding stress assessments for work related stress?

17.9 - Are all new employees given a clear outline of job functions and responsibilities?

Other Observations

MODULE 19 - Lifts & Lifting Equipment

19.1 - Are there any lifts or lifting equipment?

19.2 - Are all passenger lifts fitted with safety devices to prevent a person being crushed, trapped, struck or falling from the lift?

19.3 - Are lifts/equipment marked with it's safe working load?

19.4 - Is there a means of raising alarm in all lifts in event of failure, are these tested and recorded?

19.5 - Is there a clear procedure to be followed in event of a person becoming trapped in the lift/equipment and are people competent to follow the procedure?

19.6 - Are all lifts/equipment examined at statutory intervals (every 6 months for people or 12 months for loads only) by competent person, recorded in terms of inspections, maintenance and testing?

19.7 - Has a competent person been appointed and had suitable training to carry out thorough examination and maintenance?

19.8 - Are they impartial in order for them to make an objective assessment of the lift/equipment?

19.9 - Are all remedial measures reported to the duty holder and swift action taken as a result?

19.10 - Are window cleaning hoist/safety eye bolts inspected by a competent person?

Other Observations

MODULE 20 - Automatic Doors/Gates/Barriers

20.1 - Are there any Automatic Doors/Gates/Barriers on site?

25.1 - Is there evidence that regular servicing of Automatic Doors/Gates/Barriers is carried out?

Other Observations

Details of any other H&S issues identified at time of audit and not covered elsewhere:

Details of any High Risk Curriculum Areas inspected during audit:

Issue No.

Department;

Details of Health & Safety Issue identified:

Location (if required)

Photo (if required)

Section 4 - High Risk Departments

Highways

Head of Service / Department

Head of Service / Departments Name?

Number of Staff in Department

Description of work activity undertaken

Risk Assessment

1 Are Risk Assessments Produced ?

2 Are these specific for the task and its place of execution ?

3 Are these written fresh for each task and its place of execution ?

4 Are these based on a generic library?

5 Are procedures in place to ensure that any generic Risk Assessments are made specific?

6 Are these procedures documented and evidence available to show this is complied with in practice - Risk Assessments must be available to show that they are made specific ?

7 Who wrote the base library or the individual Risk Assessment?

8 What qualification/training do they hold to write Risk Assessments?

9 Certificate held?

10 If externally produced are these internally signed off ?

11 What qualification/training do they hold to write Risk Assessments?

12 Certificate held?

13 Brought to employees attention?

14 How?

15 Signed for as issued above?

16 Are Risk Assessments dated for their creation?

17 Are Risk Assessments dated for when due for review ?

18 Are the Risk Assessments in date ?

19 Is the review process documented and the person assigned aware of these duties?

Other Observations

Method Statements / Safe Systems of Work

1 Do you need to prepare Method Statements ?

2 Are there procedures in place to ensure the Method Statements are produced to a consistent template/format

3 Do they contain the elements to detail a safe system of work ?

4 Is this procedure documented ?

5 Is the person responsible for writing Method Statements qualified to do so ?

6 How?

7 Certificate provided ?

8 Are these signed by the employees who will work under them ?

9 Are records kept of the signed copies ?

Other Observations

Working at Height

Do staff work at Height?

1 Is working at heights avoided where possible?

2 Is work at heights properly planned and organised? E.g. is the work area surveyed for hazards, such as overhead power lines, unsuitable ground conditions, moving machinery parts?

3 Are work at height risk assessments produced?

4 Who Prepares the WAH risk assessments?

5 What qualification / training do they hold to write WAH Assessments?

6 Brought to employees attention?

7 How?

8 Signed for as issued above?

9 Are WAH risk assessments dated for their creation?

10 Are WAH risk assessments dated for when due for review?

11 Are WAH Risk assessments in date?

12 During work at height is there always a competent person present who can suspend work if conditions change, eg weather, traffic, scope of work?

13 Are fragile roofs identified, labelled especially where fragility is disguised?

14 Are warning signs fixed on the approach to fragile roofs?

15 Is unauthorised access to roofs / roof spaces prevented?

16 Are ladders only used for light work of short duration?

17 Are portable ladders secured top and bottom?

18 makeshift ladders, or other makeshift access equipment is not being used?

19 Are portable ladders, steps and all other access equipment regularly inspected?

20 Have workers been trained not to over reach on ladders or work platforms?

21 Is a written log maintained and access equipment removed from service if broken / damaged?

22 Are work platforms capable of supporting workers, equipment, materials, the safe working loads indicated and inspected every six months?

23 Are work platforms with edge protection, such as tower scaffolds, cherry pickers, scaffolding always used?

24 Are measures always taken to prevent falling objects injuring others as a result of working at heights

25 Is fixed edge protection provided to prevent falls where working at heights cannot be avoided?

26 Have all workers who work at heights been assessed as competent or closely supervised by someone who is competent?

27 During work at height activities are the following hazards controlled?

28 Employee falling from height

29 Employee falling through a fragile roof

30 Objects falling on employees / members of the public

31 Slipping / collapsing access equipment

32 Slips / trips on elevated access ways

33 Where the risk of falls cannot be eliminated are safety harnesses, fall arrest devices or safety nets used as required? (Safety nets protect those working in the space below, fall arrest equipment and safety harnesses require specialist training as well as statutory inspection every 6 months)

34 Are anchorage points for safety harnesses and ladders provided, used and regularly inspected?

Other Observations

Lone Working / Violence and Aggression

1 Do staff work alone?

2 Do you have a Lone Working Policy?

3 Are staff made aware of it?

4 How?

5 Do staff work outside normal office hours?

6 Do staff meet with clients in isolated locations?

7 Is there enough security provision?

8 Is there poor access to the building?

9 Do staff activities involve working in confined spaces?

10 Do staff activities involve handling dangerous substances?

11 Do you provide joint working for high risk activities (i.e. in confined spaces and with dangerous substances)?

12 Do you carry out regular supervisor or colleague checks during activities?

13 Do you use entrance security systems (i.e. digital locks or swipe cards)?

14 Is there security lighting around access points and parking areas?

15 Have you installed panic buttons linked to manned locations?

16 Do you use reporting checking in systems?

17 Do staff have access to a telephone or communication system?

18 Do staff have information and training on basic personal safety?

19 Are staff trained in strategies for preventing and managing violence?

20 Do staff have access to forms for reporting incidents or near misses and appreciate the need for this procedure?

22 Do staff carry out visits in high risk locations (i.e. areas with high crime rates)?

23 Do staff carry out visits in isolated rural areas?

24 Do staff use public transport?

25 Do staff leave their details of where they are lone working?

26 Do staff visit unfamiliar clients or relatives?

27 Do staff visit a high risk or unstable or unpredictable client group?

28 Do staff carry out visits during unsocial hours?

29 Do staff carry valuables or equipment?

30 Do you provide accompanied visits when there are concerns about safety?

31 Do you include potential or known risk factors in referral documents and records?

32 Do you ask for or share risk information with other professionals and agencies?

33 Are there systems for monitoring staff whereabouts and regularly reporting to base?

34 Have you issued mobile phones or other communication devices?

Other Observations

Working on the Highway

1 Is there a 'working on the highway' policy?

2 Are staff aware of it?

3 How?

4 Has the proximity of moving road traffic and construction plant been considered?

5 Have general safety hazards (such as excavations, manual handling, working at height, and so on) been taken into account?

6 Is there noise and vibration from adjacent traffic and construction plant?

7 Is there a chance of skin contact with hazardous substances?

8 Is there a risk of land contamination through use of substances and disposal of waste?

9 Is dust likely to be created by groundworks, cutting or drilling activities?

10 Managerial/supervisory tasks (including pre-planning)

11 Have specific hazards been identified and consideration given on how to eliminate or reduce the risks?

12 Have the significant findings of the risk assessment and the method statement been communicated to the workforce? (Review and update both as necessary and communicate any changes.)

13 Training/competency requirements

14 Is the site manager or supervisor New Roads and Street Work Act (NRSWA) qualified?

15 Is the banksman, who will be controlling plant movements, qualified?

17 Has work been planned and organised in accordance with the requirements of the Code of Practice to the NRSWA?

18 Has work been planned and organised in accordance with further Highways Agency guidance?

20 Has the safety of road users, including pedestrians, been ensured through effective signage?

21 Has the health and safety of all workers been ensured through thorough planning and strong management?

Other Observations

Training

1. Are there clear procedures for the induction and training of new departmental staff?

2. Does the department keep a central record of all health & safety training conducted by colleagues?

3. Is the relevant training of staff current?

4. Are all training needs notified to line management?

Other Observations

First Aid

1. Adequate access to first aid provision at all times? Are staff able to undertake immediate remedial measures whilst waiting for a first aider?

Other Observations

Accident and Incident Reporting

1 Are all relevant accidents/incidents reported to the health and safety team to enable HSE notification within specified time scales?

2 Are all employees aware of their responsibilities regarding accident/incident reporting?

3 Are all accidents/incidents evaluated at least annually, patterns & trends identified and preventative action taken?

4 Do investigations consider compliance with legal standings, failure in performance e.g. following protocol, RA and method statement and is corrective action taken where required?

Safe Procurement / Monitoring of Contractors

Does the department procure services or have responsibility for monitoring contractors?

Specifying a contract

1 Are significant health and safety risks are associated with the service or activity considered?

2 Are health and safety responsibilities clear for clients and contractor?

3 Are health and safety competencies required by those delivering the service or activity – including directors and managers - considered?

4 Do contracts specify how health and safety risks be managed within the service or activity?

5 Is prequalification assessment utilised? e.g. Safety Schemes in Procurement (SSIP), Contractor Health and Safety Assessment Scheme (CHAS) PAS 91?

6 Are health and safety targets appropriate, and how performance be measured e.g. leading and lagging, proactive and reactive indicators?