LELC - Final Review Test 0114

• Review Title

• Client / Site

• Conducted on

  Date

• Prepared by

• Location
  Address

• Personnel

General

• Who has overall and final responsibility for H&S within the organisation and will be responsible for signing the policy statement?

• Who is responsible for ensuring all key positions have deputies so that absences can be dealt with?

• Who will be delegated day-to-day responsibility for ensuring the policy is implemented and responsibilities met?

• Was the 2009 version of the H&S Law Poster clearly displayed at the premises and had employees been advised of its contents?

  Yes

  No

  N/A

• Is the H&S Law Poster clearly displayed and are employees advised of its contents?

  Yes

  No

  N/A

• The poster needs to be displayed in a prominent position at each location that the company occupies. The 1999 version can legally be displayed until 1st April 2014 as long as the information boxes are maintained; after that date only the 2009 poster may be displayed. Older versions of the poster should be removed to avoid any confusion.

• Was a copy of the current Employers’ Liability Compulsory Insurance certificate displayed or readily available at the premises?

  Yes

  No

  N/A

• Does your company have more than one permanent work location?

  Yes

  No

  N/A

• The certificate, or an electronically-held copy, should be readily available at each location where the company undertakes work.

• Have there been any adverse reports/action following enforcing authority and/or insurers visits?

  Yes

  No

  N/A

• Were Legal Updates being received by the company and action taken to address issues relevant to the business?

  Yes

  No

  N/A

Accidents & First Aid

• A minimum of one competent person must be appointed to help the company manage first-aid needs, who upholds this duty?

• Had a first-aid needs assessment been completed?

  Yes

  No

  N/A

• Identifying risk factors and potential outcomes helps employers determine their training requirements accordingly and to accommodate any diversity within the workforce, including those working at other locations and provision of cover for qualified persons when on leave or otherwise absent.

• How many trained first-aiders did the company employ?

• Was there suitable provision of readily accessible first-aid supplies?

  Yes

  No

  N/A

• The first-aid needs assessment should identify what type of injuries may occur across the company, which will in turn indicate the quantity, type and location of resources that should be provided.

• Were first-aid supplies being checked and replenished when depleted or out of date?

  Yes

  No

  N/A

• A suitably competent person should be appointed to manage and replenish first-aid supplies.

• Was a suitable accident record book available for employees to record workplace incidents?

  Yes

  No

  N/A

• An accident record book must be maintained where there are more than ten employees; ease of access to the record book will help facilitate prompt recording of incidents.

• Were employees encouraged by management to record all incidents, including near-misses?

  Yes

  No

  N/A

• Near misses are still accidents, only where no harm or loss occurred; management need to be made aware of all accidents that occur in the workplace in order that they can identify any changes that need to be made.

• Were completed entries being removed from the book and stored in line with Data Protection requirements?

  Yes

  No

  N/A

• Records must be removed from the book and kept in a secure location in order to comply with the Dat Protection Act.

• Were incidents investigated and any necessary remedial action taken?

  Yes

  No

  N/A

• Identifying both the immediate and root causes of incidents allows management to make improvements deigned to prevent a reoccurrence.

• Were accident statistics collated and reviewed?

  Yes

  No

  N/A

• By collating and reviewing accident data, management can compare performance between different time periods/areas of the business and may also identify patterns/trends that require further attention.

• Did management understand the requirement to report certain types of incident under RIDDOR?

  Yes

  No

  N/A

• All major injuries, incidents that lead to more than seven days absence from work, certain diseases/illnesses and significant near-miss events need to be reported to the HSE via their website at www.hse.gov.uk – see Guidance section of the Policy Manual for further details.

• Were first-aid notices displayed at the company’s premises?

  Yes

  No

  N/A

• Every employer has to inform employees of the company’s first-aid arrangements; notices are a simple means of fulfilling this duty.

• Had first-aid arrangements for all categories of persons been considered?

  Yes

  No

  N/A

• Employers need to consider lone or isolated workers, those engaged remotely at other or various sites, members of the public accessing their property, any known persons with specific first-aid needs, etc.

• Potential resources can be found within the Policy Manual being prepared by LELC as follows;
  Guidance (CD Only) ; Accident Investigation, First-aid at Work, First-aid for Sharps Injuries, Reporting of Injuries, Diseases & Dangerous Occurrences Regulations (RIDDOR)
  Records & Forms (CD Only); Accident Summary
  Responsibilities (Manual 1, part 2); Accidents & First-aid
  Arrangements (Manual 1, part 3); Accident Reporting & Investigation, First-aid

Consultation & Communication

• Who has overall responsibility for ensuring that adequate communication and consultation opportunities are provided by the company?

• Had arrangements been made to facilitate communication of safety-related information between management and the wider workforce or relevant third parties?

  Yes

  No

  N/A

• Effective communication is important in all organisations when a task and its associated responsibilities are handed over to another person or work team.

• Had steps been taken to facilitate consultation on safety-related matters between management and the wider workforce or any relevant third parties?

  Yes

  No

  N/A

• Employers have a duty to consult with their employees, or their representatives, on health and safety matters. The extent of those duties will depend on whether employees are members of trade union/s recognised by the employer.

• Were safety signs appropriate for the risks identified, in good condition and compliant with legislation?

  Yes

  No

  N/A

• Employers must provide safety signs if there is a significant risk that can't be avoided or controlled in any other way; signs should meet the requirements of legislation and be kept in good condition, free from damage or obstruction with reviewed to ensure they remain relevant, accurate and legible.

• Potential resources can be found within the Policy Manual being prepared by LELC as follows;
  Records & Forms (CD Only); Health & Safety Meeting Record
  Responsibilities (Manual 1, part 2); Consultation & Communication
  Arrangements (Manual 1, part 3); Consultation with Employees

Contractors

• Who has overall responsibility for appointing and managing contractors required to work on behalf of the company?

• Do the company have a system in place to check a contractor’s competence/suitability for the work being planned?

  Yes

  No

  N/A

• Employers need to satisfy themselves that any given contractor can do the job safely and without risks to health by making enquiries about the competence of the contractor, including trade memberships, insurance, health and safety documentation, etc.

• Does the company review contractor competence on an annual basis?

  Yes

  No

  N/A

• Only by revisiting contractor credentials can the company be confident that those selected remain abreast of current requirements as some evidence, such as insurance and trade memberships, will be time limited.

• Does the company exchange Risk Assessments and Method Statements (RAMS) information with contractors?

  Yes

  No

  N/A

• Both the company and any contractors used have responsibilities under health and safety law; the level of risk will depend on the nature and complexity of the work and the company needs to exchange relevant information with contractors and work with them in order to coordinate activities and ensure the work can be done safely and without risks to health.

• Potential resources can be found within the Policy Manual being prepared by LELC as follows;
  Guidance (CD Only) ; CDM Client Responsibilities, CDM Contractor Responsibilities
  Records & Forms (CD Only); Appraisal of Contractors
  Responsibilities (Manual 1, part 2); Contractors
  Arrangements (Manual 1, part 3); Contractors

Fire Safety

• Who has been designated as the competent person/s to assist the Responsible Person with fire safety management?

• Was a fire safety log available for the premises?

  Yes

  No

  N/A

• Employers must develop and maintain adequate and appropriate fire safety measures to remove or reduce the risk; keeping relevant information in a fire safety log promotes ease of access to the documents that form part of the controls designed to keep people, premises, stock and equipment safe from fire.

• Who has overall responsibility (the Responsible Person) for fire safety management within the company?

• Had a fire risk assessment been completed for the premises by a suitably competent person?

  Yes

  No

  N/A

• Undertaking a fire risk assessment is a legal requirement; the process should provide an appraisal of potential fire hazards at the company’s premises and identify the number/location of persons potentially at risk. The assessment should evaluate the risks arising from the hazards, identify if existing fire precautions were adequate and any measures needed to further remove or reduce the fire risk.

• Did the assessment consider risks associated with adjacent premises and/or other users of the building?

  Yes

  No

  N/A

• Where the presence/activities of others impacts upon the business there needs to be a coordinated fire safety plan to make sure people on or around the premises are safe.

• Was there a suitable means of raising the alarm at the premises?

  Yes

  No

  N/A

• The nature of the premises and the degree of risk will determine what type of alarm/detection system is the most appropriate to consider. Fires need to be detected quickly and an adequate warning given.

• Was evidence seen to indicate that alarms were being maintained & tested in line with current guidance?<br>

  Yes

  No

  N/A

• Alarm systems should be subject to a maintenance contract and examined in line with British Standards guidance; unless the specifics of the system require otherwise this normally consists of a minimum of a daily visual check of the alarm panel, weekly testing from different call points and a six-monthly inspection by a suitably competent engineer.

• Was evidence seen to indicate that evacuation drills were being carried out in line with current guidance?

  Yes

  No

  N/A

• At least one, and preferably two, practice evacuations should be undertaken in any twelve month period, with the results being recorded and any issues addressed. The assembly pint needs to be adequate for the number of persons likely to use it and located away from other hazards where further retreat is possible.

• Had the extinguishers at the premises been inspected by competent persons within the previous twelve months?

  Yes

  No

  N/A

• Extinguishers should be subject to a maintenance contract and examined in line with British Standards guidance; normally this consists of a minimum of an annual thorough examination by a suitably competent person and period discharge and refilling, dependant on contents type.

• Were extinguishers located/mounted in line with current guidance and kept free of obstructions?

  Yes

  No

  N/A

• Free-standing extinguishers are more likely to be moved or go missing that mounted ones; they also pose a greater risk of causing injury if knocked over. Clear and immediate access to extinguishers needs to be maintained at all times as any delay in tackling a fire can be crucial.

• Were extinguishers subject to condition checks in line with current guidance?

  Yes

  No

  N/A

• Every extinguisher should undergo condition checks at intervals not exceeding 30 days, with the aim being to help identify any loss, damage, tampering or other failures of the equipment.

• Did escape routes lead in alternative directions, were they kept clear of obstruction and were suitably wide and as short as was practically possible?

  Yes

  No

  N/A

• Escape routes should lead to a place of safety (usually outside the building) as quickly and easily as possible and provision should be sufficient to ensure that persons cannot be trapped in any one part of the building; they need to be of adequate width for the number of persons likely to use them and free of clutter.

• Had fire signage been provided at the premises?

  Yes

  No

  N/A

• Fire safety signs need to contain a pictogramme indicating the action to be taken and provision should be such that persons unfamiliar with the premises can quickly and easily determine a route of escape.

• Were final exit doors readily accessible and able to open freely?

  Yes

  No

  N/A

• Final exit doors should open in the direction of travel, and should not be fitted with locks or other devices that need to be disabled at times when the premises are occupied.

• Were exit doors subjected to periodic functionality checks?

  Yes

  No

  N/A

• Final exit doors should be periodically checked to ensure they continue to function as intended.

• Unless held open with an automated device linked to the alarm system, were internal fire doors kept shut?

  Yes

  No

  N/A

• Where fire doors have been identified as a suitable control measure against the spread of smoke and flame within the premises, management should ensure that the system is not defeated by staff choosing to keep such doors in the open position.

• Were fire doors checked to ensure they closed fully and remained in good condition?

  Yes

  No

  N/A

• Fire doors need to close fully into the rebate and form an effective seal to prevent the spread of flame and smoke from one compartment of the building to another.

• Had emergency lighting provision been assessed and, where deemed necessary, installed?

  Yes

  No

  N/A

• The primary purpose of emergency lighting is to illuminate escape routes but it can also be provided to illuminate signs and other safety equipment. The size and type of the premises - and the risk to the occupants - will determine the complexity of any emergency lighting required.

• Was the emergency lighting system subject to functionality checks in line with current guidance?

  Yes

  No

  N/A

• Had smoke/heat detection provision been assessed and, where necessary, installed, maintained and tested?

  Yes

  No

  N/A

• Were systems subject to functionality checks in line with current guidance?

  Yes

  No

  N/A

• Potential resources can be found within the Policy Manual being prepared by LELC as follows;
  Guidance (CD Only) ; Fire Safety – Good Practice
  Responsibilities (Manual 1, part 2); Fire
  Arrangements (Manual 1, part 3); Fire

Hazard Management

• Who has overall responsibility within the company for managing hazardous substances and other health hazards arising from the work undertaken?

• Did the company maintain an up-to-date Hazardous Substance inventory?

  Yes

  No

  N/A

• The logical starting point to managing this area of risk is to identify all substances with the potential to cause harm that may potentially be encountered, then maintain a record of what has been assessed and when, ensuring any new substances introduced also receive a suitable and sufficient assessment.

• Had hazardous substance Material Safety Data Sheets relative to the company’s activities been collated and retained?

  Yes

  No

  N/A

• Collating MSDS is a starting point to any substance review, but does not constitute an assessment in itself; factors such as the manner, frequency and duration of use also need to be considered.

• Had the risks to health from substances associated with the company’s activities been assessed and the findings implemented?

  Yes

  No

  N/A

• All substances that are potentially hazardous need to be assessed and controlled as a statutory requirement under the Control of Substances Hazardous to Health (COSHH) Regulations; the HSE actively takes enforcement action against those who haven’t carried out assessments or acted on the findings.

• In addition to substances used directly, had the by-products of other activities and any naturally occurring hazards also been considered?

  Yes

  No

  N/A

• The company needs to identify where harmful fumes, fibres or dust that may be encountered directly or through their own actions - such as heating, drilling, cutting, etc. - along with organisms (such as bacteria) that have the potential to pose a risk to health.

• Had action been taken by the company to reduce exposure below legal limits, where applicable, and to the lowest practical level in all cases?

  Yes

  No

  N/A

• COSHH regulations require that employers prevent their employees being exposed to hazardous substances or, where this is not reasonably practicable, they must adequately control the amount of exposure to prevent ill-health from occurring.

• Was there adequate provision for the safe storage AND DISPOSAL of hazardous substances?

  Yes

  No

  N/A

• In addition to considering how substances are used, employers must control risks created by the manner, volume, location, etc of substances stored, identify suitable policies to deal with any incidents e.g spills or leaks)and how substances are to be disposed of when no longer required.

• Was any local exhaust ventilation (provided as a hazards control measure) subject to a suitable schedule of checks, tests and inspections?

  Yes

  No

  N/A

• Where an LEV is installed as a control measure against exposure to hazardous substances, it must be checked to ensure it functions correctly (free of obstructions etc.) and subject to a statutory thorough examination by a suitably competent person at intervals no greater than every 14 months.

• HAVE EMPLOYEES BEEN ADVISED OF THE FINDINGS AND any additional requirements (E.G. FIRST-AID) associated with substance exposure been considered?

  Yes

  No

  N/A

• Employers must advise their employees on the findings of any COSHH assessments and provide suitable and sufficient information, instruction and training to allow risk to be managed. Additional precautions (e.g. eye wash stations) should be installed and maintained as appropriate.

• Where exposure to any of the following additional hazards had been identified as a potentially significant issue, were adequate controls being implemented?

  Safe

  At Risk

  N/A

• Noise?

  Safe

  At Risk

  N/A

• As the effects of noise-induced hearing damage are irreversible, it is important that measures are taken to ensure employees or relevant third parties are not exposed to excessive noise.

• Vibration?

  Safe

  At Risk

  N/A

• Employers must manage exposure to vibration, both hand-arm - known to cause long-term painful damage to the hands and fingers - and whole-body, where shocks and/or jolts can cause various health conditions including severe back pain.

• Dust?

  Safe

  At Risk

  N/A

• Dust exposure can cause a number of health conditions depending on its component parts, including sensitisation (which can vary from person to person), respiratory disease or cancer and therefore needs to be carefully managed, even if exposure may only be short-term.

• ASBESTOS?

  Safe

  At Risk

  N/A

• Asbestos is the single greatest cause of work-related deaths in the UK. Any employee who may be exposed to asbestos at work must be provided with adequate training and resources to know what to do in order to protect themselves and others.

• LEAD?

  Safe

  At Risk

  N/A

• Working with lead can cause headaches, stomach pains, anemia, kidney damage, nerve and brain damage and infertility. Employers must control worker exposure to lead through assessing risk and introducing appropriate control measures, including air monitoring and health surveillance where exposure is potentially significant.

• Radiation?

  Safe

  At Risk

  N/A

• Radiation occurs in many forms – ionising radiation occurs in medical processes (such as x-rays) or naturally in the ground as Radon and non-ionising radiation in found in daylight, UV or Infra-red, amongst others. Potential exposure needs to be assessed in order that it can be managed accordingly.

• Extremes of temperature?

  Safe

  At Risk

  N/A

• Extremes of temperature can quickly have a detrimental effect on an employee’s welfare, dependant on the task being undertaken and individual capacity of the workers involved; as it is not possible to place an exact value on when people will be at risk, situations will need to be reviewed and monitored on a case-by-case basis.

• Manual handling?

  Safe

  At Risk

  N/A

• Incorrect manual handling is one of the most common causes of injury at work. Employers must avoid the need for hazardous manual handling, so far as is reasonably practicable, and assess the risk of injury where it cannot be avoided, taking appropriate steps to reduce the risk of injury by considering the task itself, the capacity of the individual, the nature of the load and the environment where the activity will take place.

• Confined space working?

  Safe

  At Risk

  N/A

• Any substantially enclosed place where serious injury can occur from hazardous substances or conditions can be considered a confined space. Where risk assessment identifies risks of serious injury from work in confined spaces there is a duty to avoid entry (where possible) or, if entry is unavoidable, follow a safe system of work and put in place adequate emergency arrangements before starting work.

• Lone working?

  Safe

  At Risk

  N/A

• There is no specific law prohibiting lone working however, where risk assessment indicates that lone working is overly hazardous, it must be avoided; suitable controls need to be put in place to manage risk when lone working has been deemed acceptable and identified as necessary.

• Work at height?

  Safe

  At Risk

  N/A

• Regulations apply to all work at height where there is a risk of a fall liable to cause personal injury to ensure that any such work is properly planned and organised with those involved in the work being suitably competent; the risks must be assessed (including any work from fragile surfaces) and properly controlled with only appropriate inspected and maintained work equipment selected and used.

• Had the requirements to undertake health surveillance to manage issues within the workforce been considered?

  Yes

  No

  N/A

• A programme of health surveillance needs to be considered where there is an identified hazard to health and a significant risk is attached to associated activities; health surveillance is not always a legal requirement, however it must be undertaken where the relevant regulations require so.

• Did the company operate a permit to work system to help control hazards in the workplace?

  Yes

  No

  N/A

• A permit-to-work system is a formal written system used to control certain activities that are potentially hazardous by documenting the work to be done and the precautions to be taken. Permits-to-work provide a clear record that all foreseeable hazards have been considered and are essential for many maintenance activities, only allowing work to start only after safe procedures have been defined.

• Lloyds to quote for providing a Noise Survey?

• Lloyds to quote for providing a Dust Monitoring?

• Resources to assist with managing this area of risk can be found within the Policy Manual being prepared by LELC as follows;
  Guidance (CD Only) ; Asbestos – Control & Management, Control of Lead at Work Regulations, Control of Noise at Work Regulations, First-aid at Work, First-aid for Sharps Injuries, Hand-arm and Whole-body Vibration, Health Surveillance, Legionella Bacteria in Water Systems, Leptospirosis (Weil’s disease), Lone Working, New & Expectant Mothers, Personal Protective Equipment, Safe Disposal of Clinical Waste, Safety in the Use of Gas Cutting & Welding Equipment, Thermal Discomfort at Work, Work at Height Regulations, Work in Confined Spaces, Young Persons
  Forms & Records (CD Only); Access Equipment Inspection Form, Night Worker Health Questionnaire, Permit to Work (Contractors)
  Responsibilities (Manual 1, part 2); Accidents & First-aid, Consultation & Communication, Contractors, Health Hazards, Health Surveillance, Personal Protective Equipment, Risk Assessments, Supervision, Training
  Arrangements (Manual 1, part 3); Asbestos, Confined Spaces, Consultation with Employees, First-aid, Hazardous Substances, Health Surveillance, Infections Control, Lone Working, Manual Handling, Noise, Personal protective Equipment, Radon, Risk Management, Work at Height, Young Persons
  Risk Assessments (Manual 2); General Risk (part 1), Manual Handling (part 3), Hazardous Substances (part 4)

Monitoring of safety standards

• Were there plans in place to deal with spillages?

  Yes

  No

  N/A

• Duty holders at a premise must ensure people can move around safely; removing spillages promptly and having effective arrangements for both routine cleaning and dealing with spills helps ensure compliance with this duty.

• Was all waste stored in suitable containers whilst awaiting the appropriate means of removal from site?

  Yes

  No

  N/A

• Regulations require that, so far as is reasonably practicable, waste materials are not allowed to accumulate in a workplace except in suitable receptacles. Further measures will be necessary if the nature of the waste being stored is hazardous in its own right.

• Who has overall responsibility for monitoring the safety standards at the company’s premises?

• Who has overall responsibility for monitoring the safety standards on work undertaken away from base?

• Were housekeeping standards of an acceptable standard on the day?

  Yes

  No

  N/A

• Addressing housekeeping issues can lead to the removal of redundant items from the premises and create more space for items that genuinely need to be retained; it also improves the safety of persons using the premises and employees generally react positively to an improvement in standards within the workplace whilst an untidy and unsafe environment increases risk and lowers morale.

• Was sufficient space provided to allow work activities to be undertaken safely and in relative comfort?

  Yes

  No

  N/A

• Regulations require that every room where persons work have sufficient floor area, height and unoccupied space for purposes of health, safety and welfare.
  

• Had walkways/stairways been clearly identified and were they being maintained to standards designed to minimise slip & trip hazards? <br>

  Yes

  No

  N/A

• Reducing slip, trip and fall hazards helps protect the workforce and makes sound business sense; these types of incidents remain one of the highest single contributing factors to accident statistics within the UK and lead to a significant amount of lost time events. Areas used by pedestrians should be monitored for signs of deterioriation and plant, equipment and any hazards reported; connecting services should be sited/stored in such a manner that they do not interfere with the safe passage of persons at the premises.

• Were level changes readily identifiable in order that slip and trip hazards could be minimised.

  Yes

  No

  N/A

• The relatively low cost of highlighting slopes, steps and other level changes through the use of contrasting colours on the different levels compares favourably to the cost of one trip or fall accident.

• Was illumination provision at the site adequate for the tasks likely to be performed at/around the premises?

  Yes

  No

  N/A

• Providing the correct levels of illumination is important for the health and safety of everyone using the workplace; tasks can be undertaken in greater safety when hazards are easier to spot. Poor lighting can not only lead to increased risk of injury, it may also cause symptoms like eyestrain, migraine & headaches.

• Were there plans in place to maintain safety standards and business continuity in the event of bad weather?

  Yes

  No

  N/A

• Duty holders need to take additional steps when weather affects access to/use of their premises, placing persons at additional risk. An assessment of the site should be undertaken to identify areas that need to be tackled as a priority, with weather conditions monitored and hazards managed as they occur.

• Resources to assist with managing this area of risk can be found within the Policy Manual being prepared by LELC as follows;
  Guidance (CD Only) ; Dangerous Substances & Explosive Atmospheres Regs, Fire Safety – Good Practice, Office Safety
  Forms & Records (CD Only); Hazard Report Form,
  Responsibilities (Manual 1, part 2); Monitoring of Safety Standards, Premises
  Arrangements (Manual 1, part 3); Housekeeping Standards,
  Risk Assessment (Manual 2); General Risk (part 1)

Personel Protective Equipment

• Who in the company has overall responsibility for PPE selection, issue and training?

• Was all PPE reviewed during this attendance appropriate for the task and carrying the appropriate CE marking?

  Yes

  No

  N/A

• When selecting PPE it is important to choose good quality products that suit the wearer and are CE marked in accordance current regulations; compatibility also needs to be considered when more than one piece of PPE is likely to be worn at any one time.

• Were records available covering PPE issue and provision of training in the correct use of what has been issued?

  Yes

  No

  N/A

• Employers need to make sure anyone using PPE is aware of why it is needed, when to use, repair or replace it and how to report any faults or limitations; managers/supervisors should be included be in the training if their job role involves ensuring staff use it correctly. Recording what has been provided allows for easier review should any issues arise.

• Was PPE subject to pre-use checks by the user and, where applicable, more thorough checks by competent persons?

  Yes

  No

  N/A

• Equipment that is kept clean and in good repair is more effective– employees should know how and what to check on their PPE and the company should follow any recommendations the manufacturer makes regarding maintenance, replacement periods and shelf life of equipment.

• Where feasible to do so, is PPE provided on a personal issue basis?

  Yes

  No

  N/A

• Pooling PPE is deemed acceptable as long as the equipment is suitable for both the task and the employees concerned and it is subject to appropriate maintenance and cleaning regimes.

• Are employees provided with adequate storage facilities to keep PPE in when not in use?

  Yes

  No

  N/A

• Ensuring employees look after their PPE and store it correctly when it is not being used not only fulfils this duty but also helps reduce the likelihood of items going missing or being damaged.

• Where any issues with PPE noted during the attendance?

  Yes

  No

  N/A

• Managers/supervisors should be regularly checking that PPE is being used correctly in their area of responsibility and investigating any incidents where it is not. Safety signs are a useful tool in helping provide a reminder of what is required in different situations.

• Is PPE provided and, where necessary, replaced free of charge?

  Yes

  No

  N/A

• Employers cannot ask for money from their staff for PPE however, if employment has been terminated and the PPE is retained without the employer’s permission, the employer may be able to deduct the cost of any replacement from any wages owed as long as this has been made clear in the contract of employment.

• Where Respiratory Protective Equipment (RPE) had been provided, was it suitable for the task and subject to adequate checks and maintenance, including Fit Testing?

  Yes

  No

  N/A

• Ill-fitting RPE will not provide adequate control against exposure to hazardous substances, making it vital that any selected is both adequate and suitable. RPE must be fit tested to ensure exposure is reduced to as low as reasonably practicable, and in any case to an acceptable level below the levels set out in law.

• Resources to assist with managing this area of risk can be found within the Policy Manual being prepared by LELC as follows;
  Guidance (CD Only) ; Personal Protective Equipment
  Responsibilities (Manual 1, part 2); Personal Protective Equipment
  Arrangements (Manual 1, part 3); Personal Protective Equipment
  Risk Assessment (Manual 2); General Risk (part 1) Hazardous Substances (part 5)

Plant and Equipment

• Who has overall responsibility within the company for the procurement, installation, maintenance and operation of plant & equipment?

• Was evidence seen to indicate that the company recognised and assessed risks associated with the SELECTION AND operation of plant & equipment as part of its operational controls?

  Yes

  No

  N/A

• Any business or organisation uses work equipment or is involved in providing work equipment for others to use (e.g. for hire) must manage the risks from that equipment. When providing new work equipment it must conform to minimum legal standards and be CE marked, accompanied by both a Declaration of Conformity and instructions in English, and be free from obvious defects.

• Were records available to indicate that persons using lifting equipment had received suitable and sufficient training?

  Yes

  No

  N/A

• Employers must determine the competence of persons engaged in lifting operations; this is usually done through externally validated training although it can be done in-house when there is access to suitably competent trainers. Individual must also be retrained at appropriate intervals and suitable records maintained.

• Had employees been instructed on what pre-use checks were required and when they were to be undertaken?

  Yes

  No

  N/A

• Any identified control measures required for starting, stopping and controlling equipment need to be functioning correctly for the item to remain safe and, where work equipment is exposed to deteriorating conditions liable to result in dangerous situations, it must be inspected to ensure faults/issues are detected at the earliest opportunity.

• Were records maintained to indicate what checks and tests of plant & equipment had been undertaken?

  Yes

  No

  N/A

• Where a maintenance/inspection log has been identified as a suitable control measure it is important that all appropriate checks are undertaken and that records are kept up to date to demonstrate the fact; checks should include any equipment fitted for use in an emergency, such as emergency stops.

• Were the storage systems subject to checks and inspections in order to assist with identifying damage, with faults reported to management?

  Yes

  No

  N/A

• The frequency of inspections depends on a variety of factors that are particular to the site concerned and should be determined by a nominated person appropriate to the operating conditions of the premises. Issues should be reported as soon as they occur or are discovered, with regular visual inspections undertaken and recorded to help identify any issues that have been missed; additional inspections should be undertaken by a technically competent person at intervals of not more than 12 months.

• Was load tolerance information clearly displayed and understood by those engaged in loading the system?

  Yes

  No

  N/A

• All persons involved in loading a storage system need to know and observe operational limits; racking should have a clear unambiguous notice securely fixed to it, stating the maximum load together with any necessary specified load configurations.

• Were steps being taken to manage/store pallets?

  Yes

  No

  N/A

• All pallets should be inspected each time before use, to ensure that they are in a safe condition, with damaged pallets withdraw for repair or destruction. Empty pallets should be carefully handled and not dragged or thrown about; stacks of pallets should be constructed so that they do not pose risk of collapse.

• Had the risks associated with hazardous manual handling been assessed and were they being managed accordingly?

  Yes

  No

  N/A

• Employers must avoid the need for hazardous manual handling, so far as is reasonably practicable, and assess the risk of injury from any hazardous manual handling that can’t be avoided, taking steps to reduce the risk of injury from hazardous manual handling, so far as is reasonably practicable.

• Were handling aids available to assist with manipulating loads and were they being used?

  Yes

  No

  N/A

• Providing and maintaining appropriate handling aids and training employees in their correct use is often an effective means of managing handling risks that cannot be avoided.

• Had the workstations of persons using display screen equipment as a significant part of their duties been reviewed and was it being managed accordingly?

  Yes

  No

  N/A

• Computer workstations and display screen equipment can be associated with neck, shoulder, back or arm pain, as well as with fatigue and eyestrain; these issues can be avoided if employers ensure that users follow effective practice, set up their workstations properly and take breaks during prolonged use.

• Where lifting equipment was present, was there evidence that its use had been risk assessed and that the appropriate planning and competencies were specified?

  Yes

  No

  N/A

• There is a duty to manage and control the use of lifting equipment in order to avoid any injury or damage; lifting operations must be planned properly and involve people who are sufficiently competent and, where necessary, supervised to ensure that they are carried out in a safe manner

• Did records indicate that lifting equipment was suitable and subject to the statutory thorough examination and other checks at appropriate intervals?

  Yes

  No

  N/A

• In addition to the requirements for safe design and construction, all lifting equipment must be clearly marked to indicate the maximum load the equipment can safely lift. As a minimum, lifting equipment must be thoroughly examined before first use (unless there is a valid Declaration of Conformity made less than 12 months earlier) and thereafter every twelve months unless the equipment is used for lifting people, when a six-monthly inspection interval would apply; other conditions, such as re-assembly or deterioration may also require the equipment be re-tested. Users need to undertake pre-use checks on a daily basis on lift trucks, whilst cranes and associated equipment should be subject to inspections and checks on a regular basis, dependant on use. Suitable records must also be maintained.

• Did records indicate that lifting accessories (chains, slings, etc.) were suitable and included in the examination processes?

  Yes

  No

  N/A

• Lifting accessories must clearly indicate the maximum load that can safely be lifted; accessories do not normally need formal inspection, provided that proper pre-use checks are made and they undergo their standard thorough examination. Suitable records must also be maintained.

• Did working practice indicate that forklift drivers were applying their training correctly?

  Yes

  No

  N/A

• When not in use trucks should be parked so they do not present a hazard and the keys removed to prevent unauthorised use; when operational, trucks should be driven in a manner appropriate to the load and the surrounding conditions, with due consideration for other users of the workplace.

• Were records available to indicate that the company trained employees on how to use the plant & equipment available and, where applicable, also maintained records of authorisation and any refresher training provided?

  Yes

  No

  N/A

• Every employee needs to know how to work safely and without risks to health; where the use of work equipment is likely to involve a specific risk to health and safety, steps must be taken to ensure that the use of the equipment is restricted to those people trained and appointed to use it.

• Had safe systems of work been developed, recorded and communicated to users of plant & equipment?

  Yes

  No

  N/A

• People using, supervising or managing the use of work equipment must be provided with adequate, clear health and safety information including, where necessary, written instructions on its safe use.

• Did the company monitor whether guards, where fitted, were used in accordance with the training provided?

  Yes

  No

  N/A

• Employers must take effective measures to prevent access to dangerous parts of machinery, normally by provision of fixed guarding. Where routine access is needed, interlocked guards may be needed to prevent access to the danger zone whilst risk is present and, where this is not possible, any alternative guarding arrangements must protect personnel as far as it is possible to do so. Staff must not interfere with guards and management/supervisor level checks should be undertaken to monitor their effectiveness.

• Was evidence available to indicate what controls were in place to isolate power during cleaning, re-setting, etc?

  Yes

  No

  N/A

• Where appropriate, a suitable means of isolating work equipment from all power sources must be provided with appropriate steps taken to ensure maintenance operations on work equipment can be carried out safely while the equipment is shut down, without exposing those undertaking the work to risk.

• Were written scheme/s available for the company’s pressure system/s?

  Yes

  No

  N/A

• A written scheme of examination is a document containing information about selected items of plant or equipment which form a pressure system, operate under pressure and contain a ‘relevant fluid’ – including liquefied gas or air. An item of plant from the pressure system should be included in a written scheme if its failure could unintentionally release pressure from the system and the resulting release of stored energy could cause injury.

• Had the company engaged competent persons to design and install storage systems for use in line with manufacturers’ guidance/industry standards?

  Yes

  No

  N/A

• A variety of systems are used for storing goods and all storage areas should be specifically designated and clearly marked. The requirements for the safe installation of racking vary according to the type and size of the system, and the nature of the building or area for which it is intended. Safe working loads, heights, widths and equipment tolerances should be set by the designers and manufacturers of the system.

• Resources to assist with managing this area of risk can be found within the Policy Manual being prepared by LELC as follows;
  Guidance (CD Only) ; Asbestos – Control & Management, Electrical Safety, Gas Safety – Installation & Use, Portable Electrical Equipment, Welfare Provisions in the Workplace
  Forms & Records (CD Only); Portable Electrical Equipment Inspection & Test Record
  Responsibilities (Manual 1, part 2); Health Hazards, Premises
  Arrangements (Manual 1, part 3); Asbestos, Electricity, Flammable & Explosive Substances, Work Equipment
  Risk Assessment (Manual 2); General Risk (part 1), Hazardous Substances (part 5)

Premises Management

• Who has overall responsibility within the company for managing issues related to its work premises?

• Are working practices at this location identical to those at other sites?

  Yes

  No

  N/A

• Businesses operating at multiple locations can often save time and effort by replicating good practice from site to site, although it must never be taken for granted that what works well in one location will be equally as effective at another.

• Had the asbestos risk at the company’s premises been assessed?

  Yes

  No

  N/A

• The duty to manage asbestos at a commercial premise is enriched in law and requires the dutyholder to take reasonable steps to find out if there are materials containing asbestos in non-domestic premises, and if so, its amount, where it is and what condition it is in; where asbestos is present (and it must be presume to be present unless there is strong evidence that it is not) steps must be taken to prevent exposure.

• Was evidence seen that the fixed electrical wiring system/s at the premises had been inspected and maintained in line with current guidance?

  Yes

  No

  N/A

• Electrical installations must be maintained in a safe condition; this is achieved by a combination of having the system inspected at appropriate intervals by a competent person (electrician) and visual checks of the system appropriate to the business.

• Was there evidence that portable electrical appliances at the premises were included in a regime of checks and tests?

  Yes

  No

  N/A

• Where necessary, a portable appliance test undertaken by a suitably competent persons forms part of an appropriate maintenance plan for appliances; all items should also be subject to regular pre-use visual checks by users and more-thorough periodic checks undertaken at appropriate intervals.

• Was evidence seen that a ‘Single Socket- Single Plug’ rule was in operation?

  Yes

  No

  N/A

• Using multiple adaptors in sockets can overload the system and increase the risk of faults or fire occurring.

• Was there evidence that the gas appliances at the premises were inspected/maintained by suitably competent persons?

  Yes

  No

  N/A

• The frequency of inspections and gas equipment servicing may vary depending on the equipment and its use and businesses should follow manufacturer’s recommendations but, as a general rule, annual inspections are a reasonable minimum frequency, with repairs carried out as necessary; work of this nature should only be undertaken by a Gas Safe registered operatives holding the valid certificates of competence relevant to the particular types of gas work proposed.

• Where the company was using bulk-delivered fuel sources (diesel, LPG, etc.), was the management of associated risk in line with recognised standards?

  Yes

  No

  N/A

• Persons operating sites with bulk tanks of fuel have certain responsibilities including the siting of the tank, ventilation and conditions around the tank, tanker access, security, impact protection and emergency arrangements.

• Were management aware of the means of isolating services in the event of emergency?

  Yes

  No

  N/A

• It is important that all shut-off points for various services are known as isolating the supply may be an important factor in controlling a hazard or reducing risk if they can safely be accessed during an incident.

• Resources to assist with managing this area of risk can be found within the Policy Manual being prepared by LELC as follows;
  Guidance (CD Only) ; Electrical Safety, Forklift Trucks in the Workplace, Lifting Operations & Lifting Equipment Regulations, Pressure Systems Safety Regulations, Provision & Use of Work Equipment Regulations, Safe Operation & Maintenance of Pallet Trucks, Storage Systems – Adjustable Pallet Racking
  Forms & Records (CD Only); Authorisation to Operate Work Equipment Record, Fork Lift Truck Maintenance, Machinery Risk Assessment Record, Operator Machine Checks, Supervisor Daily Checks of Emergency Equipment, Supervisor Machine Checks
  Responsibilities (Manual 1, part 2); Plant & Work Equipment, Risk Assessments
  Arrangements (Manual 1, part 3); Display Screen Equipment, Lifting Equipment, Manual Handling, Pressure Systems, Work Equipment
  Risk Assessment (Manual 2); General Risk (part 1), Manual Handling (part 3), Display Screen Equipment (part 4)

Risk Assessment

• Who has overall responsibility for the undertaking of risk assessments at the company?

• Is the company exempt from recording the findings of risk assessments through having less than 5 employees?

  Yes

  No

  N/A

• If a business has fewer than five employees there is no legal requirement to record the findings of risk assessments in writing, however it is often beneficial to do so even if the law does not require it.

• Did the company’s assessments appear to follow the HSEs ‘Five Steps’ methodology?

  Yes

  No

  N/A

• The ‘Five Steps’ approach can be summarised as identify hazards; decide who might be harmed (and how); evaluate the risks and decide on precautions; record the findings, communicate and implement them and finally; sign the record, periodically review the contents and update where necessary.

• Did the assessment process identify standards that needed to be met in order for risk to be managed effectively?

  Yes

  No

  N/A

• Risk assessments should identify what has to be done to meet standards set out in law; as there cannot be statutory requirements for every activity, it may be necessary to seek out other recognised standards such as HSE guidance/publications, approved codes of practice, British or European Standards, trade association or other relevant guidance, etc.

• Did the company communicate the findings of assessments to the workforce and, where necessary, other relevant parties?

  Yes

  No

  N/A

• Appropriate control measures need to be developed and implemented where the assessment identifies residual risk is significant after steps have been taken to remove or reduce the associated risks to the lowest reasonably practicable level; hazard information and the steps necessary to manage risk must be communicated to relevant persons for the assessment to be effective.

• Did management understand the concept of dynamic risk assessments and ensure these were undertaken & recorded, when necessary?

  Yes

  No

  N/A

• A dynamic assessment considers unforeseen risks and allows changes to existing assessments to be formulated, thus allowing a task to proceed safely when there is disparity between conception and delivery ; recording such changes in writing helps identify what had been decided upon in the event that activities are reviewed or an accident occurs that needs to be investigated.

• Areas of risk that need to be assessed and managed as identified during this attendance

• Asbestos?

• Confined Space Working?

• Driving for Work?

• Electricity?

• Fire & Explosion?

• Gas Safety?

• Hazardous Substances/Diseases?

• Illumination?

• Lifting Equipment/Operations?

• Lone Working?

• Manual Handling?

• New/Expectant Mothers?

• Noise?

• Plant & Equipment?

• Pressure Systems?

• Slips, Trips & Falls?

• Storage Systems?

• Work at Height?

• Workplace Transport?

• Vibration?

• Young Persons?

• Other?

• ????Areas of risk that need to be assessed and managed as identified during this attendance: Asbestos?,Confined Space Working?, Driving for Work?, Electricity?, Fire & Explosion?, Gas Safety?, Hazardous Substances/Diseases?, Illumination?, Lifting Equipment/Operations?, Lone Working?, Manual Handling?, New/Expectant Mothers?, Noise?, Plant & Equipment?, Pressure Systems?, Slips, Trips & Falls?, Storage Systems?, Work at Height?, Workplace Transport?, Vibration?, Young Persons?

• Resources to assist with managing this area of risk can be found within the Policy Manual being prepared by LELC as follows;
  Responsibilities (Manual 1, part 2); Risk Assessments
  Arrangements (Manual 1, part 3); Risk Management
  Risk Assessments (Manual 2); General Risk (part 1), Fire (part 2), Manual Handling (part 3), DSE (part 4), COSHH (part 5).

Training / Supervision

• Who has overall responsibility for the supervision of employees at the company?

• Who has overall responsibility for the company’s training provision?

• Did the company have written records covering the training that had been provided to their employees?

  Yes

  No

  N/A

• Everyone who works a business needs to know how to work safely and without risks to health. Clear instructions, information and adequate training for employees - this may also include contractors and self-employed people. Some staff may have particular training needs, including new recruits, those changing job roles or taking on extra responsibilities, young employees and health and safety representatives.

• Did the records cover inductions and refresher training?

  Yes

  No

  N/A

• Even if they are skilled/experienced workers, new recruits still need basic induction training into how their new employer undertakes work safely, including arrangements for first aid, fire and evacuation; the structure and delivery of training/refreshers can take many forms, from short-duration training (designed to introduce or re-instate best practice) lasting perhaps just a few minutes, industry standards (such as first-aid or forklift operator) often lasting a day or two, up to formal qualifications (such as NVQs) provided over many months or even years.

• Was evidence seen that the company took steps to ascertain the competence of training providers?

  Yes

  No

  N/A

• Comparing the skills and knowledge needed to work safely against current skills and knowledge will identify any gaps that need to be addressed; selected trainers need to be not only technically competent but also skilled at imparting information in a structured and logical way, and able to devise procedures for confirming trainees fully understand the information provided.

• Resources to assist with managing this area of risk can be found within the Policy Manual being prepared by LELC as follows;
  Guidance (CD Only) ; Training (Health & Safety)
  Responsibilities (Manual 1, part 2); Training
  Arrangements (Manual 1, part 3); Training

Vehicles

• Had the risks faced by those engaged in driving as part of their duties been assessed?

  Yes

  No

  N/A

• Risk assessments for work-related driving should follow the same principles as assessments for other work activities, but also need to consider that any failure is more likely to endanger other people than the majority of risks in the workplace.

• Was evidence seen to indicate that company vehicles were maintained in a roadworthy condition and that pre-use safety checks were undertaken and recorded?

  Yes

  No

  N/A

• Planned maintenance helps reduce the risk of vehicle failure that could lead to safety and business continuity issues, making it important to ensure that appropriate maintenance schedules are in place and that vehicles are regularly checked by a competent person to ensure they are safe.

• Was evidence seen that driver licence checks were undertaken for employees engaged in driving at work?

  Yes

  No

  N/A

• Licence checks help employers ascertain an employees’ continued entitlement to drive the company’s vehicles.

• Was evidence seen that drivers received any training relative to their duties?

  Yes

  No

  N/A

• As a minimum drivers need to be aware of company policy on work-related road safety and what is expected of them; where necessary, that policy will be supplemented with instructions and guidance relative to the tasks to be undertaken and the vehicles used.

• Where private vehicles were used for company business, did the company have any means ensuring that those vehicles were roadworthy and adequately insured?

  Yes

  No

  N/A

• Employers should ensure that privately owned vehicles are not used for work purposes unless they are insured for business use and, where the vehicle is over three years old, they have a valid MOT certificate?

• Was evidence seen to indicate that the risks faced by persons working away from the main premises were being assessed and monitored?

  Yes

  No

  N/A

• Employers are responsible for the health, safety and welfare at work of all their workers (including contractors or self-employed persons working on their behalf) and need to assess the hazards faced by mobile workers and manage risk accordingly.

• Who has overall responsibility for ensuring vehicles used by the company and/or at the company’s premises are managed effectively to minimise risk?

• Had the risks posed by the movement of vehicles within the workplace (including loading/unloading at the roadside) been assessed?

  Yes

  No

  N/A

• Thousands of accidents involving transport in the workplace occur every year in the UK; to manage workplace transport risks effectively, assessments need to consider three key areas - safe site (design and activity), safe vehicle and safe driver.

• Were controls in place to manage workplace transport issues?

  Yes

  No

  N/A

• A well-designed and maintained site with suitable segregation of vehicles and people will make workplace transport accidents less likely, vehicles used in the workplace should be suitable for the purpose for which they are used and the people using it with.

• Resources to assist with managing this area of risk can be found within the Policy Manual being prepared by LELC as follows;
  Guidance (CD Only) ; Carriage of Gas Cylinders in Cars & Vans, Driving at Work, Forklift Trucks in the Workplace, Safe Operationa & Maintenance of Pallet Trucks, Smoke-Free Premises & Vehicles, Tail-lifts on Vehicles – Reducing Falls, Workplace Transport.
  Forms & Records (CD Only); Fork Lift Truck Maintenance, Tractor Inspection Record, Vehicle Inspection Record
  Responsibilities (Manual 1, part 2); Vehicles
  Arrangements (Manual 1, part 3); Alcohol & Drugs, Private Cars Driven for Work, Vehicles at Work
  Risk Assessment (Manual 2); General Risk (part 1)

Sign Off

• On site representative

  Sign

• Auditor's signature

  Sign