Management audit

• Document No.

• Audit Title

• Client / Site

• Conducted on

  Date

• Prepared by

• Location
  Address

• Personnel

Policy

• Does the school/directorate have a written health and safety policy?

  Yes

  No

  N/A

• Signature/authorisation of head of school/directorate

  Yes

  No

  N/A

• Safety intentions and objectives

  Yes

  No

  N/A

• Organisation setting out safety responsibilities of named staff

  Yes

  No

  N/A

• Arrangements/procedures for compliance

  Yes

  No

  N/A

• Responsibility for monitoring

  Yes

  No

  N/A

• Comments

• Is the policy periodically reviewed?

  Yes

  No

  N/A

• Comments

• Is the policy supported by written arrangements for its implementation?

  Yes

  No

  N/A

• Policy refers to specific arrangements

  Yes

  No

  N/A

• Arrangements are authorised

  Yes

  No

  N/A

• Written arrangements are produced and valid for the work being done

  Yes

  No

  N/A

• Comments

• Is the policy supported by a suitable management organisation

  Yes

  No

  N/A

• Names of responsible persons

  Yes

  No

  N/A

• Organisation reflects current staff names

  Yes

  No

  N/A

• Formalises responsibilities

  Yes

  No

  N/A

• Formalises accountabilities and reporting lines

  Yes

  No

  N/A

• Describes tasks and functions to be undertaken

  Yes

  No

  N/A

• Performance is part of review

  Yes

  No

  N/A

• Identifies those with advisory functions

  Yes

  No

  N/A

• Formalises the functions of a safety committee reporting to management

  Yes

  No

  N/A

• Comments

• Is the policy readily available to staff and students

  Yes

  No

  N/A

• Most staff and students are aware of the policy

  Yes

  No

  N/A

• Most staff and students have an up to date copy of the policy

  Yes

  No

  N/A

• Comments

Organisation

• Does the organisation reflect the school/directorate management structure? View and confirm organisation charts with health and safety responsibilities

  Yes

  No

  N/A

• Safety is a primary management function

  Yes

  No

  N/A

• Safety is integral with the management role

  Yes

  No

  N/A

• Comments

• Are the roles of managers within the organisation understood? View and confirm by questions that managers understand their safety responsibilities

  Yes

  No

  N/A

• Most managers (+60%) demonstrate they understand

  Yes

  No

  N/A

• Most managers (+60%) know what tasks and functions they are required to perform

  Yes

  No

  N/A

• Most managers (+60%) know their safety performance is subject to appraisal

  Yes

  No

  N/A

• Most managers (+60%) have received formal training in safety management

  Yes

  No

  N/A

• Comments

• Are managerial responsibilities formalised in job descriptions? View and confirm by questions that generic job descriptions include safety responsibilities

  Yes

  No

  N/A

• Responsibilities are made clear on appointment

  Yes

  No

  N/A

• Responsibilities are redefined if the job changes

  Yes

  No

  N/A

• Comments

• How does management measure safety performance? View and confirm a process for measuring the effective implementation of policies and procedures

  Yes

  No

  N/A

• Standards or KPIs have been agreed and communicated

  Yes

  No

  N/A

• The KPIs are measurable

  Yes

  No

  N/A

• The plan includes a timetable with with intermediate and /or completions dates

  Yes

  No

  N/A

• The plan has been communicated to all managers

  Yes

  No

  N/A

• The plan has been resourced

  Yes

  No

  N/A

• Management receives regular safety reports from safety officers and/or safety committee

  Yes

  No

  N/A

• Those reports are used to update the plan as necessary

  Yes

  No

  N/A

• Comments

• Does the school/directorate management have a reporting and learning culture? View and confirm by discussion a process to create a safety learning culture

  Yes

  No

  N/A

• Staff and students are required and encouraged to report accidents, incidents and near-misses

  Yes

  No

  N/A

• Reports are encouraged to identify defects and deficiencies in school/directorate organisations and arrangements

  Yes

  No

  N/A

• There is a no fault culture to encourage reporting

  Yes

  No

  N/A

• Each report is logged and followed up by nominated persons to recommend remedial options for improvement

  Yes

  No

  N/A

• Each incident is investigated

  Yes

  No

  N/A

• Management receives and acts upon recommendations

  Yes

  No

  N/A

• Improvements are made

  Yes

  No

  N/A

• Comments

• How are advisory responsibility assigned? View and confirm arrangements for the appointment of safety officers etc

  Yes

  No

  N/A

• Appointments are made in writing

  Yes

  No

  N/A

• Advisory responsibilities and activities / areas are made clear and understood

  Yes

  No

  N/A

• Delegated authority is made clear and is understood

  Yes

  No

  N/A

• Sufficient time is allowed for the role

  Yes

  No

  N/A

• A clear reporting line to management is in place

  Yes

  No

  N/A

• Have received formal training in safety

  Yes

  No

  N/A

• Comments

• Does the school/directorate have a safety committee

  Yes

  No

  N/A

• The safety committee has a clearly defined role

  Yes

  No

  N/A

• Terms of reference

  Yes

  No

  N/A

• Role emphasises and advisory and monitoring function

  Yes

  No

  N/A

• The role is understood by its members

  Yes

  No

  N/A

• The committee is chaired by a senior manager

  Yes

  No

  N/A

• The committee meets regularly (at least twice a year)

  Yes

  No

  N/A

• Its papers, minutes and recommendations are communicated to management

  Yes

  No

  N/A

• It includes representatives from all sections and staff groups

  Yes

  No

  N/A

• It makes clear and consistent recommendations for management action

  Yes

  No

  N/A

• It reports directly to the head of school or the executive committee

  Yes

  No

  N/A

• It monitors safety performance and advises the head of school at least annually

  Yes

  No

  N/A

• It receives and comments on self inspection reports

  Yes

  No

  N/A

• It receives and comments on incident reports and investigations to prevent recurrences

  Yes

  No

  N/A

• Comments

Competence

• How are staff and students trained in their safety responsibilities and procedures

  Yes

  No

  N/A

• There is a procedure to identify individual safety training or qualification needs

  Yes

  No

  N/A

• Training needs and timetables are agreed and the training is provided

  Yes

  No

  N/A

• All staff receive safety induction training within 10 days of appointment

  Yes

  No

  N/A

• Students receive appropriate safety induction (annually or on a course by course basis)

  Yes

  No

  N/A

• Staff receive further training if their job and/or responsibilities change significantly

  Yes

  No

  N/A

• Managers and supervisors receive safety training

  Yes

  No

  N/A

• Safety committee members and those with advisory safety function receive training

  Yes

  No

  N/A

• Training includes legal duties, college and school requirements, procedures and standards

  Yes

  No

  N/A

• Training is provided for risk managers and assessor a

  Yes

  No

  N/A

• Training is provided for those involved in self inspection

  Yes

  No

  N/A

• The effectiveness of safety training is monitored

  Yes

  No

  N/A

• Records of staff training are maintained

  Yes

  No

  N/A

• Comments

Planning

• Does the school have a safety plan?

  Yes

  No

  N/A

• A plan exists and sets out specific targets

  Yes

  No

  N/A

• The plan is integral with business plans

  Yes

  No

  N/A

• The plan identifies specific, measurable, achievable objectives

  Yes

  No

  N/A

• There is an emergency plan for managing foreseeable incidents to mitigate damage

  Yes

  No

  N/A

• There is a business or recovery plan to facilitate return to normal operations

  Yes

  No

  N/A

• Is there a timetable for delivering the plan?

  Yes

  No

  N/A

• Responsibility for delivering the plan is assigned to named individuals

  Yes

  No

  N/A

• Individual performance is monitored to measure progress

  Yes

  No

  N/A

• Comments

• Is there a formal self inspection programme?

  Yes

  No

  N/A

• The programme of self inspections is agreed and communicated to managers and advisory persons

  Yes

  No

  N/A

• Planned frequency of inspections is according to risk levels

  Yes

  No

  N/A

• Inspections are based on systematic checklists

  Yes

  No

  N/A

• Inspections are undertaken by appropriately trained persons

  Yes

  No

  N/A

• Senior management participate in the inspections

  Yes

  No

  N/A

• Inspection reports are agreed and signed off by appropriate manager

  Yes

  No

  N/A

• Deficiencies are corrected by management in a timely manner

  Yes

  No

  N/A

• The adequacy of the inspection programme is monitored by the safety committee

  Yes

  No

  N/A

• Comments

• How are staff consulted on safety issues?

  Yes

  No

  N/A

• A consultation procedure is authorised by the head of school and responsibility for its delivery assigned

  Yes

  No

  N/A

• Safety information is actively publicised

  Yes

  No

  N/A

• Safety committee papers are made widely available

  Yes

  No

  N/A

• Dedicated web pages or intranet that a provide information are kept updated

  Yes

  No

  N/A

• Lessons from accident investigations and self inspections are widely communicated

  Yes

  No

  N/A

• The views of staff are sought in drawing up safety arrangements, eg for training

  Yes

  No

  N/A

• Relevant staff are consulted during risk assessment process

  Yes

  No

  N/A

• All documents except those of a personal nature relating to safety are made available upon request

  Yes

  No

  N/A

• Third party safety reports, except of a personal nature, are made available to safety committee members or to all staff

  Yes

  No

  N/A

• Staff know to whom they should report defects or deficiencies in safety standards or procedures

  Yes

  No

  N/A

• Staff know what to do in the event of an emergency

  Yes

  No

  N/A

• Comments

Arrangements

• Have the school's activities, functions or processes been subject to risk assessment? View and confirm a selection of risk assessments for selected areas and activities. <br>Most (+60%) risk assessments:

  Yes

  No

  N/A

• Identify and list all the hazards

  Yes

  No

  N/A

• Identify unusually hazardous activities

  Yes

  No

  N/A

• Evaluate likelihood and consequences of harm

  Yes

  No

  N/A

• Identify persons at risk

  Yes

  No

  N/A

• Identify persons at special risk

  Yes

  No

  N/A

• Identify activities that may affect the general public

  Yes

  No

  N/A

• Identify risk controls and safe working practices

  Yes

  No

  N/A

• Identify emergency procedures for foreseeable incidents

  Yes

  No

  N/A

• Persons involved with activities are consulted

  Yes

  No

  N/A

• Findings are recorded

  Yes

  No

  N/A

• Findings are provided to operators

  Yes

  No

  N/A

• Assessments are reviewed and updated

  Yes

  No

  N/A

• Are consistent with written codes or procedures for the activity

  Yes

  No

  N/A

• Classify the level of residual risk

  Yes

  No

  N/A

• Are included In a school risk register

  Yes

  No

  N/A

• Are completed by competent risk assessors

  Yes

  No

  N/A

• Are signed off appropriate risk managers

  Yes

  No

  N/A

• Comments

• Have appropriate hazard controls been identified and implemented?

  Yes

  No

  N/A

• Controls are appropriate to the nature and level of risk

  Yes

  No

  N/A

• Controls are listed in the risk assessment

  Yes

  No

  N/A

• Controls reflect the hierarchy of prevention, protection and mitigation

  Yes

  No

  N/A

• Controls are not solely dependent on personal protective equipment

  Yes

  No

  N/A

• Staff and students are trained in the proper use of controls

  Yes

  No

  N/A

• Controls are described in written local codes or practice or safe working procedures

  Yes

  No

  N/A

• Staff and students comply with controls

  Yes

  No

  N/A

• Comments

• How are hazard controls maintained

  Yes

  No

  N/A

• Engineering controls are maintained, examined and tested at required intervals

  Yes

  No

  N/A

• Records of maintenance, inspection and testing are kept

  Yes

  No

  N/A

• Engineering controls function effectively

  Yes

  No

  N/A

• Engineering controls comply with relevant BS

  Yes

  No

  N/A