Mentor Health and Safety Compliance Plan - V01.01

• Client Name

• Client ID

• Site Address
  Address

• Conducted on

  Date

• Carried out by

• Site Contact

Executive Summary

• Summary Statement

• Compliance Plan Rating System

  Select 80% - 100% Proactive and effective health and safety policies, procedures, controls and systems in place. 70% - 80% Some areas of improvement required in order to ensure complaint and robust health and safety management. 60% - 70% Various areas of improvement required in order to ensure complaint and robust health and safety management. <60% Significant areas of improvement required. High priority actions identified that should be addressed in a timely manner.

  • 80% - 100% Proactive and effective health and safety policies, procedures, controls and systems in place.
  • 70% - 80% Some areas of improvement required in order to ensure complaint and robust health and safety management.
  • 60% - 70% Various areas of improvement required in order to ensure complaint and robust health and safety management.
  • <60% Significant areas of improvement required. High priority actions identified that should be addressed in a timely manner.

• Summary of Findings

  Select Positive Observations High Priority Actions Opportunities for Improvement

  • Positive Observations
  • High Priority Actions
  • Opportunities for Improvement

• Positive Observations identified during the audit:

• High Priority Actions identified during the audit:

• Opportunities for Improvement identified during the audit:

• Your Health and Safety Management System under Company Documents on Mentor Digital provides a range of forms and templates to support health, safety and welfare development under each section covered within this report. A series of e-Learning courses on Mentor Learn via Mentor Digital have also been developed to support any recommended actions on training.

• Disclaimer:
  This document does not constitute nor should it be construed as constituting legal advice. It has been prepared for information purposes only based on oral information provided to Mentor by the Customer.

• Organisational Activities

• Total Number of Employees

• Purpose
  The purpose of this health and safety audit is to ensure that you are meeting the duties imposed on you by the Health and Safety at Work etc. Act 1974 and other statutory requirements.

• Action Plan
  Actions requiring your attention are detailed both in the main body of the audit, as well as summarised in the executive summary.

Priority Definitions

• The recommendations/actions detailed within your action plan are prioritised using a colour system i.e. Major (Red), Minor (Amber) and Opportunity for Improvement (Yellow) risk as explained below.
  
  Major/Red
  · Risk of Death or major injury or multiple major injuries (as defined in RIDDOR) or illness causing long-term disability
  · Risk of very serious or imminent danger
  · There is, has been or will be a significant breach of legislation
  · There is, has been or will be a breach of a Prohibition Notice
  · There is, has been or will be a non-compliance with an Improvement Notice
  · Prohibition Notice or Improvement Notice issued.
  
  Minor/Amber
  · Risk of major injury
  · Risk of major ill-health
  · Risk of multiple minor injuries.
  · Risk of injuries or illness causing short-term disability
  · Where harm will often occur
  · There is, has been or will be a major breach of legislation.
  
  Opportunity for Improvement/Yellow
  · Negligible risk of minor injury or ill health
  · No or very minor breach of legislation
  · Administrative or managerial shortcomings
  · Where best practice can be implemented or improved
  

• Your Health and Safety Management System under Company Documents on https://mentordigital.natwestmentor.co.uk/ provides a range of forms and templates to support health, safety and welfare development under each section covered within this report.
  
  A series of e-Learning courses on Mentor Learn via https://mentordigital.natwestmentor.co.uk/ have also been developed to support any recommended actions on training.

• Health and Safety Policy

  Compliant

  Major Non-conformance

  Minor Non-conformance

  Opportunity for Improvement

• · You must prepare a written health and safety policy (if you have 5 or more employees).
  · It is advised that the health and safety policy is signed and dated by the person with overall responsibility for health and safety.
  · The contents of the health and safety policy must be communicated to all employees and you are advised to keep records of such communication.
  · The health and safety policy must be reviewed on a regular basis and you are advised to keep records of such reviews.
  
  NatWest Mentor has prepared a suitable health and safety policy statement which you will find in your health and safety management system.

• Employers Liability Insurance

  Compliant

  Major Non-conformance

  Minor Non-conformance

  Opportunity for Improvement

• · As you have employees working for the company you must have Employers' Liability (Compulsory Insurance) in place.
  · The certificate for the insurance must be on display or readily accessible to all employees electronically or through other suitable means and be within date. The insurance cover value must be at least £5,000 000.
  · You are also advised to keep copies of previous certificates of insurance for the life of the company or 40 years if greater in case of claims from former or current employees who may have been exposed to a cause of an illness decades earlier.

• Accidents, Incidents and Near Misses

  Compliant

  Major Non-conformance

  Minor Non-conformance

  Opportunity for Improvement

• · It is advised that all accidents/incidents be formally recorded in the accident book.
  · Any accident resulting in a person being unable to work or carry out their normal duties for more than three days following an accident must be formally recorded.
  · It is advised that the accident book be kept in a readily accessible location. Once an entry has been made then this should be removed from the book and placed in a secure location on the premises.
  · It is recommended these records are then are formally reviewed on a regular basis in order to identify any trends and improvements to prevent recurrences. Records should be kept of any such reviews.
  · You are advised to appoint a person to be responsible for ensuring all accidents/incidents are reported in line with RIDDOR and prepare a written accident/incident reporting procedure.

• Your Health and Safety Management System under Company Documents on https://mentordigital.natwestmentor.co.uk/ provides a range of forms and templates to support health, safety and welfare development under each section covered within this report.
  
  A series of e-Learning courses on Mentor Learn via https://mentordigital.natwestmentor.co.uk/ have also been developed to support any recommended actions on training.

• Have suitable and sufficient risk assessments been carried out for all activities where there is a risk of injury, ill health or damage to property?

  Yes

  No

• • It is advised that you conduct a survey to ensure all processes/tasks/activities requiring risk assessment are included. It is recommended that the activities listed be the starting point for your risk assessments.
  • All employees whose role it is to carry out risk assessment should be suitably instructed and trained and it is advised that records are kept to support this. A review programme should be in place to ensure that risk assessments are reviewed on an annual basis or when a significant change or accident/incident occurs.
  • All employees should be given suitable instruction and training on the risk assessment process and the findings of the risk assessments which apply to them. Evidence of such information, instruction and training must be kept.
  • Risk assessments should be available to all employees at all times.
  
  Please contact your consultant for details of Risk Assessment training that can be provided by NatWest Mentor.
  
  A series of e-Learning courses on Mentor Learn via https://mentordigital.natwestmentor.co.uk/ have also been developed to support any recommended actions on training.

• Are all employees whose role it is to carry out risk assessment suitably instructed and trained and are records are kept to support this?

  Yes

  No

• • All employees whose role it is to carry out risk assessment should be suitably instructed and trained and it is advised that records are kept to support this.

• Are all employees given suitable information, instruction and training on the risk assessment process and the findings of the risk assessments which apply to them? Is evidence of such training recorded and available?

  Yes

  No

• • It is advised that all employees should be given suitable information, instruction and training on the risk assessment process and the findings of the risk assessments which apply to them. Evidence of such training should be kept.

• Is there a review programme in place to ensure that risk assessments are reviewed on an annual basis or when a significant change or accident/incident occurs.

  Yes

  No

• • It is advised that a risk assessment review programme be implemented to ensure that risk assessments are reviewed on an annual basis or when a significant change or accident/incident occurs.

• Your Health and Safety Management System under Company Documents on https://mentordigital.natwestmentor.co.uk/ provides a range of forms and templates to support health, safety and welfare development under each section covered within this report.
  
  A series of e-Learning courses on Mentor Learn via https://mentordigital.natwestmentor.co.uk/ have also been developed to support any recommended actions on training.

• Is the Control of Substances Hazardous to Health (COSHH) relevant to the company?

  Yes

  No

• During the call the client stated that COSHH was not relevant to any of the company's processes or activities.

• Have all hazardous substances been formally identified, with COSHH assessments completed and records held?

  Yes

  No

• In order to ensure compliant and robust COSHH management, you should:
  · ensure that all substances used or produced are identified and recorded.
  · obtain SDSs for all substances used as good practice; but where a significant health or safety risk exists, SDSs should be obtained on an urgent basis.
  · complete COSHH risk assessments on all activities or processes involving hazardous substances.

• Following the COSHH assessments, have robust controls been implemented?

  Yes

  No

• · when the COSHH assessments have been undertaken you should review the findings and develop and implement the controls required. Thereafter you should then ensure these are subject to regular reviews.

• Have employees involved in the use of hazardous substances been adequately trained?

  Yes

  No

• · you should provide all employees whose activities involve hazardous substances with adequate information, instruction and training on an urgent basis and that such provision is recorded.

• Do any of the hazardous substances identified on site require a Local Exhaust Ventilation (LEV) system to protect employee's and others health e.g. visitors, contractors etc?

  Yes

  No

• Has an effective LEV system been installed, with regular examination and testing undertaken by a competent person and records held?

  Yes

  No

• · You must provide LEV to protect your employees and others health, and ensure that this equipment is thoroughly examined and tested every 14 months by a competent person, with records held.

• During the audit, the client stated that no hazardous substances on site require an LEV system.

• If any of the COSHH assessments have identified the need for a health surveillance program, has this been implemented effectively with records held?

  Yes

  No

  N/A

• · You must introduce a programme of health surveillance, including referrals to a health professional, to monitor your employee’s exposure to hazardous substances in the working environment.

• During the audit, the client stated that no hazardous substances on site require a health surveillance program.

• Has a 'Responsible Person' been formally identified?

  Yes

  No

• You must appoint a 'Responsible Person'. You’re responsible for fire safety in business or other non-domestic premises if you’re:
  
  - an employer
  - the owner
  - the landlord
  - an occupier
  - anyone else with control of the premises, for example a facilities manager, building manager, managing agent or risk assessor
  You’re known as the ‘responsible person’. If there’s more than one responsible person, you have to work together to meet your responsibilities.
  
  The Fire Safety Order also applies if you have paying guests, for example if you run a bed and breakfast, guesthouse or let a self-catering property.

• Responsible Person:

• Has a formal Fire Risk Assessment been conducted?

  Yes

  No

• · You must undertake a fire risk assessment on an urgent basis, taking into account all potential fire risks within the business.
  · Once the fire risk assessment has been completed you are advised to review and revise your assessment either annually or when you have reason to suspect it is no longer current.
  · You must train all employees on your fire procedures and communicate the findings of the fire risk assessment to all employees and others at risk.

• Name of Assessor:

• Date of Fire Risk Assessment:

  Date

• Has an emergency evacuation plan been drawn up and implemented? Is this regularly tested with records held?

  Yes

  No

• · You must draw up and implement an emergency evacuation plan.
  · You are advised to test your evacuation procedure on a regular basis and then introduce periodic tests of the procedure thereafter. You are also advised to record the results of these tests.

• Date of last emergency evacuation:

  Date

• If deemed necessary, is automatic fire detection available on site?

  Yes

  No

• · following the fire risk assessment you must implement any recommendations involving fire alarm systems.

• Is the fire alarm system subject to regular servicing and maintenance with records held?

  Yes

  No

• • You must ensure that any installed automatic fire detection systems are subject to regular servicing and maintenance with records held. This may include weekly tests, as well as annual servicing conducted by a competent contractor.

• Name of Servicing Contractor:

• Date of Last Service:

  Date

• Is fire fighting equipment available on site, and is this regularly maintained with records held?

  Yes

  No

• · following the fire risk assessment, you must ensure that any firefighting equipment recommendations are installed at the premises and it is regularly maintained through at least annual checks by a competent person.

• Name of Servicing Contractor:

• Date of Last Service:

  Date

• Is emergency lighting available on site? Is it subject to regular servicing and maintenance by a competent contractor?

  Yes

  No

• · following the fire risk assessment, you must ensure that any emergency lighting recommendations are installed at the premises and it is regularly maintained by a competent person.

• Name of Servicing Contractor:

• Date of Last Service:

  Date

• Is emergency lighting subject to monthly function tests?<br><br>• These are also known as ‘flick tests’, they are a short functional test simulating failure of the mains power supply which ensures the lamp switches on and illuminates correctly.

  Yes

  No

• · you must ensure that any emergency lighting on site is checked monthly for functionality, with records held.

• Is there a regime in place to ensure the integrity of portable appliances?

  Yes

  No

• · You should identify and record all portable electrical appliances in use.
  · You should ensure that an appropriate programme of user checks, formal visual inspection and/or combined inspection and testing is implemented for all portable electrical appliances.
  · You are advised to keep records of all such inspections and testing.

• Is this conducted internally or externally?

  Internally

  Externally

• Detail the frequency of the checks conducted and the competency of those undertaking such inspections.

• Name of contractor:

• Date of last test:

  Date

• Is a Dangerous Substances and Explosive Atmospheres (DSEAR) Assessment required for the on site processes or activities?

  Yes

  No

• During the call, the client stated that a DSEAR Assessment was not required.

• Has a DSEAR Assessment been conducted by a competent contractor?

  Yes

  No

• In order to ensure compliant and robust DSEAR management, you should:
  · ensure that all substances used or produced are identified and recorded
  · where a significant health or safety risk exists, obtain SDSs for all substances used
  · complete DSEAR risk assessments on all dangerous substances on an urgent basis then regularly review them

• DSEAR Assessor:

• Date of DSEAR Assessment:

  Date

• Following the DSEAR assessment, have robust controls been implemented, including emergency evacuation procedures?

  Yes

  No

• · ensure that where identified in the DSEAR risk assessments, procedures are put in place to ensure that all risks are reduced so far as is reasonably practicable.
  · ensure that plans and procedures are put in place to ensure that all possible emergency situations can be dealt with.

• Have all employees involved in the use of dangerous substances been adequately trained with records held?

  Yes

  No

• · you must provide adequate information, instruction and training to all employees whose activities involve dangerous substances and that such provision is recorded.

• Your Health and Safety Management System under Company Documents on https://mentordigital.natwestmentor.co.uk/ provides a range of forms and templates to support health, safety and welfare development under each section covered within this report.
  
  A series of e-Learning courses on Mentor Learn via https://mentordigital.natwestmentor.co.uk/ have also been developed to support any recommended actions on training.

• Does the company have a named person responsible for the day to day management of Health and Safety, and are they competent to fulfil this role?

  Yes

  No

• Competent H&S Representative:

• It is essential that a competent person be appointed for the day to day management of health and safety.

• Which course(s) would be best suited to the companies needs?

  Select IOSH Managing Safely IOSH Safety for Senior Executives and Directors RoSPA Managing Safely

  • IOSH Managing Safely
  • IOSH Safety for Senior Executives and Directors
  • RoSPA Managing Safely

• 

• 

• 

• Has the company conducted a formal analysis of its training requirements?<br><br>• This may include a training matrix, training tracker or training needs analysis.

  Yes

  No

• · It is advised that you undertake a formal training needs analysis and update this on a regular basis. This may include but is not limited to:
  o induction training
  o job specific training
  o management and supervisory training
  o specialist health and safety training (such as risk assessment, first aid etc.) and refresher training

• Have employees received suitable and sufficient training that enables them to carry out their roles in a competent manner?

  Yes

  No

• · It is advised that following a training needs analysis, any employees identified as requiring training to conduct their roles in a safe manner, are provided with adequate information, instruction and training by a competent and reputable trainer, with records held to support this.

• Is health and safety training included in the new employee induction process?

  Yes

  No

• · It is advised that health and safety should form an integral part of any new employee induction and formal records kept to support this.

• Are formal records held for all health and safety related information, instruction and training?

  Yes

  No

• · You are advised to record all information, instruction and training provided to ensure employees can carry out their duties and responsibilities in a safe manner.

• Please contact your consultant for details of health and safety training that can be provided by NatWest Mentor.
  
  A series of e-Learning courses on Mentor Learn via https://mentordigital.natwestmentor.co.uk/ have also been developed to support any recommended actions on training, which includes but is not limited to:
  
  • Abrasive wheels
  • Asbestos awareness
  • DSE
  • Electrical safety
  • First aid
  • Fire safety
  • COSHH
  • Lone working
  • Manual Handling
  • Noise
  • PPE
  • Risk assessment
  • Working at height
  

  

• Your Health and Safety Management System under Company Documents on https://mentordigital.natwestmentor.co.uk/ provides a range of forms and templates to support health, safety and welfare development under each section covered within this report.
  
  A series of e-Learning courses on Mentor Learn via https://mentordigital.natwestmentor.co.uk/ have also been developed to support any recommended actions on training.

• Are measures in place for effective communication and consultation with employees on matters of health and safety?

  Yes

  No

• · It is advised that you consult and communicate on matters of health and safety with your employees and record formally any such communication.
  
  Some examples of consultation and communication may include: health and safety committees, agenda item(s) on management/employee meetings, health and safety notice boards, health and safety newsletters and health and safety posters.

• Is employee communication and consultation formally recorded and available for review?

  Yes

  No

• · It is advised that any such communication and consultation is formally recorded and available for review.
  
  Some examples of consultation and communication may include: health and safety committees, agenda item(s) on management/employee meetings, health and safety notice boards, health and safety newsletters and health and safety posters.

• Your Health and Safety Management System under Company Documents on https://mentordigital.natwestmentor.co.uk/ provides a range of forms and templates to support health, safety and welfare development under each section covered within this report.
  
  A series of e-Learning courses on Mentor Learn via https://mentordigital.natwestmentor.co.uk/ have also been developed to support any recommended actions on training.

• Is there a formal contractor selection process in order to determine competence? Are records held to support this?<br><br>Records may include:<br>• Approved contractor register<br>• Qualifications<br>• Skills<br>• Experience<br>• Professional Membership<br>• H&S questionnaires

  Yes

  No

  N/A

• · It is advised that you produce a register of contractors.
  · It is advised that you assess the competence, health and safety arrangements, and performance of contractors prior to engagement.
  · It is advised that records of this communication are kept.
  
  The following supporting documents are available in your Health and Safety Management System under Company Documents on https://mentordigital.natwestmentor.co.uk/
  
  • Contractor Works Register
  • How to Choose a Competent Contractor
  • Contractor Questionnaire and Approval Form
  • Approved Contractor List

• Detail why robust contractor control is not applicable:

• Do contractors provide risk assessments/method statements prior to commencing work? Are these formally reviewed and recorded?

  Yes

  No

  N/A

• · It is advised that your contractors provide you with any appropriate risk assessments/method statements prior to commencing the work. Such documentation should be formally reviewed and recorded.

• Do contractors receive a health and safety induction before before commencing work with records held?

  Yes

  No

  N/A

• · It is advised that you formally communicate your health and safety arrangements to all contractors and inform them of any risks they may be exposed to.
  · It is advised that records of this communication are kept.
  
  The following supporting documents are available in your Health and Safety Management System under Company Documents on https://mentordigital.natwestmentor.co.uk/
  
  • How to Provide Information to Contractors
  • Site Health and Safety Induction Form

• Your Health and Safety Management System under Company Documents on https://mentordigital.natwestmentor.co.uk/ provides a range of forms and templates to support health, safety and welfare development under each section covered within this report.
  
  A series of e-Learning courses on Mentor Learn via https://mentordigital.natwestmentor.co.uk/ have also been developed to support any recommended actions on training.

• Are landlord and tenants responsibilities relevant to the company?

  Yes

  No

• Who has overall responsibility for the fixed electrical systems?

  Landlord

  Tenant

  Not Known

• Has an Electrical Installation Condition Report (EICR) been conducted and was it available for inspection?

  Yes

  No

• Name of Contractor

• Date of Report

  Date

• Overall Condition

  Satisfactory

  Unsatisfactory

• · A suitably competent person must inspect and report on the condition of any electrical installations (building wiring systems) at regular intervals commensurate with risks present or the requirements of insurers.
  · You must ensure that reports to support the inspections are kept and available.

• Has an Electrical Installation Condition Report (EICR) been conducted and was it available for inspection?

  Yes

  No

• Name of Contractor

• Date of Report

  Date

• Overall Condition

  Satisfactory

  Unsatisfactory

• · A suitably competent person must inspect and report on the condition of any electrical installations (building wiring systems) at regular intervals commensurate with risks present or the requirements of insurers.
  · You must ensure that reports to support the inspections are kept and available.

• · You must clarify Electrical Installation Condition responsibilities immediately and ensure the testing is completed by a competent person.
  · A suitably competent person must inspect and report on the condition of any electrical installations (building wiring systems) at regular intervals commensurate with risks present or the requirements of insurers.
  · You must ensure that reports to support the inspections are kept and available.

• Who has overall responsibility for gas systems?

  Landlord

  Tenant

  Not Known

• Has an annual gas safety inspection been carried out by a Gas Safe contractor?

  Yes

  No

• Name of Contractor

• Date of Report

  Date

• Overall Condition

  Pass

  Fail

• · Gas appliances must be maintained in good order and a gas safety check carried out annually by a Gas Safe contractor.
  · You must ensure that reports to support the inspections are kept and available.

• Has an annual gas safety inspection been carried out by a Gas Safe contractor?

  Yes

  No

• Name of Contractor

• Date of Report

  Date

• Overall Condition

  Pass

  Fail

• · Gas appliances must be maintained in good order and a gas safety check carried out annually by a Gas Safe contractor.
  · You must ensure that reports to support the inspections are kept and available.

• · You must clarify gas system responsibilities immediately and ensure the testing is completed by a competent person.
  · Gas appliances must be maintained in good order and a gas safety check carried out annually by a Gas Safe contractor.
  · You must ensure that reports to support the inspections are kept and available.

• During the call, the client stated that neither landlord nor tenant responsibilities apply to the company.

• Has an Electrical Installation Condition Report (EICR) been conducted by a competent contractor on all fixed electrical systems?

  Yes

  No

• · A suitably competent person must inspect and report on the condition of any electrical installations (building wiring systems) at regular intervals commensurate with risks present or the requirements of insurers.
  · You must ensure that reports to support the inspections are kept and available.

• Where applicable, has an annual gas safety inspection been carried out by a Gas Safe contractor?

  Yes

  No

• · Gas appliances must be maintained in good order and a gas safety check carried out annually by a Gas Safe contractor.
  · You must ensure that reports to support the inspections are kept and available.

• Is food safety relevant to the company?

  Yes

  No

• Has the company registered all food establishments with their local Environmental Health and kept them up to date with any changes, and where applicable, have establishments handling products of animal origin been approved to trade by the competent authority under the Foods of Animal Origin Regulations (EC853/2004).

  Yes

  No

• · You must ensure that you have registered all food establishments with your local Environmental Health Department and, where applicable approved to trade, for all establishments handling products of animal origin by the competent authority under the Foods of Animal Origin Regulations (EC853/2004).

• Are all employees that are involved in food handling effectively trained, with refresher training conducted at appropriate timescales and records held?

  Yes

  No

• · You are advised to undertake a training needs analysis and provide all necessary training including refresher training and appropriately document this for all food handlers (i.e. all persons who prepare/handle/cook or serve food).

• Is there a Food Safety Management System in place?

  Yes

  No

• · You are advised to put in place and implement a food safety management system based on Hazard Analysis and Critical Control Point (HACCP) principles by appropriate means.

• Is there an appropriate cleaning schedule in place, with evidence available to support this?

  Yes

  No

• · You are advised to put in place appropriate cleaning schedules and document this by appropriate means.

• Are daily opening and closing fridge and freezer checks undertaken, with evidence available to support this?

  Yes

  No

• · You are advised to put in place daily opening and closing recorded temperature checks of fridges and freezers, ensuring corrective actions taken and monitor for compliance.

• Are cooked/reheated/hot holding food temperature checks undertaken, with evidence available to help demonstrate this?

  Yes

  No

• · You are advised to undertake cooked/reheated/hot holding food temperature checks of high risk foods immediately by appropriate means.

• Are temperature probes calibrated monthly, with evidence available to demonstrate this? Are disinfectant wipes used correctly?

  Yes

  No

• · You are advised to undertake calibrations on temperature probes monthly and document this by appropriate means.
  · You must ensure disinfectant wipes are used appropriately.

• Is stock rotation evident through visual inspection?

  Yes

  No

• · You are advised to fully implement a stock rotation regime and monitor for compliance.

  Yes

  No

• During the call, the client stated that food safety was not relevant to the company.

• Your Health and Safety Management System under Company Documents on https://mentordigital.natwestmentor.co.uk/ provides a range of forms and templates to support health, safety and welfare development under each section covered within this report.
  
  A series of e-Learning courses on Mentor Learn via https://mentordigital.natwestmentor.co.uk/ have also been developed to support any recommended actions on training.

• Have first aid requirements been formally identified with employees adequately trained?

  Yes

  No

• · You must formally identify your first aid requirements and ensure that persons who carry out first aid are appropriately trained and certified and you are advised to keep records of this training.

• Are suitable first aid provisions provided and proportionate to the level of risk?

  Yes

  No

• · You must provide adequate and appropriate first aid equipment in order to meet your needs.

• Are first aid arrangements and available provisions effectively communicated to all employees?

  Yes

  No

• · First aid information should be communicated to all employees and they must be updated of any subsequent changes in arrangements.

• Is driving at work relevant to the company?

  Yes

  No

• Is driving at work included in the formal risk assessment process?

  Yes

  No

• · You must carry out suitable and sufficient risk assessments on all driving activities.

• Are safe systems work in place for all high-risk driving activities?

  Yes

  No

• · You must develop and put in place safe systems of work for all high-risk driving activities.
  · You are advised to encourage all other employees who drive at work to have regular health checks.
  · You are advised to obtain evidence that all vehicles have adequate insurance for business purposes, a valid Road Fund Licence, evidence of roadworthiness e.g. Service Record and, if applicable, current MOT Certificate.

• Are all drivers appropriately trained with records held?

  Yes

  No

• · You must ensure that all drivers are appropriately trained and that records are kept to support this.

• Are LGV drivers employed by the company?

  Yes

  No

• Do group two and three LGV license holders undergo regular fitness checks?

  Yes

  No

• · If you have group two and three LGV licence holders they must undergo a fitness check. The DVLA guidelines on frequency of assessment are as follows:
  o On application for the licence
  o Pre-employment
  o On renewal of the licence
  o At the age of 45, and every five years thereafter.

• During the call, the client stated that no driving of any kind was undertaken by employees, during work hours, for work purposes.

• Workplace Transport

  Compliant

  Major Non-conformance

  Minor Non-conformance

  Opportunity for Improvement

• In order to ensure compliant and robust workplace transport management, you should:
  
  · identify all your workplace transport and all the tasks they are involved in and document all findings.
  · complete a suitable and sufficient risk assessment all workplace transport activities.
  · ensure that all high-risk workplace transport activities identified by risk assessment have safe systems of work.
  · ensure that all employees are appropriately trained and that this can be evidenced through relevant training records.

• Your Health and Safety Management System under Company Documents on https://mentordigital.natwestmentor.co.uk/ provides a range of forms and templates to support health, safety and welfare development under each section covered within this report.
  
  A series of e-Learning courses on Mentor Learn via https://mentordigital.natwestmentor.co.uk/ have also been developed to support any recommended actions on training.

People

• Alcohol, Drugs and Substance Misuse

  Compliant

  Major Non-conformance

  Minor Non-conformance

  Opportunity for Improvement

• · It is advised that all managers and supervisors are trained in alcohol, drugs and substance misuse awareness and that they are aware of the actions to take. It is advised that you keep formal records of all such training.
  · It is advised that you communicate the policy/strategy to all employees and ensure records are kept of this communication.

• Does the company undertake any lone working?<br> <br>• Lone workers are defined as employees who undertake work by themselves, without close or direct supervision, on behalf of a company.

  Yes

  No

• Lone Working

  Compliant

  Major Non-conformance

  Minor Non-conformance

  Opportunity for Improvement

• · All lone workers and all their activities must be identified.
  · You must carry out risk assessments on all lone working activities.
  · Safe systems of work must be introduced for all such workers.
  · All lone workers must be provided with sufficient information, instruction and training to ensure their safety at work.
  · You must ensure that all such risk assessments are available at all times.

• During the call, the client stated that no lone working of any kind was undertaken by employees.

• Under any circumstances, does the company employee young people or children?

  Yes

  No

• Young People and Children

  Compliant

  Major Non-conformance

  Minor Non-conformance

  Opportunity for Improvement

• · Detailed risk assessments covering all risks from activities affecting young people and children must be undertaken on all occasions and records of these assessments kept.
  · Arrangements should be made to ensure that these are always shared with relevant parties.
  · You must ensure that all young people and children are provided with suitable information, instruction and training
  · You are also advised to keep records of this provision.

• During the call, the client stated that under no circumstances do they employee young persons of children.

• Under any circumstances, does the company employee disabled workers?

  Yes

  No

• Disabled Workers

  Compliant

  Major Non-conformance

  Minor Non-conformance

  Opportunity for Improvement

• · All such vulnerable persons and their work activities must be identified.
  · All disabled workers must be provided with sufficient information, instruction and training to ensure their health and safety at work.
  · Safe systems of work must be introduced for all such workers.
  · It is also advised that you keep records of the provision of all information, instruction and training to disabled workers.
  · You must carry out specific risk assessments on all activities undertaken by disabled persons.
  · You must ensure the specific needs of disabled workers are included within your fire risk assessment and you must prepare a PEEP for all disabled workers requiring evacuation assistance.
  · It is advised that you keep records of the provision of all information, instruction and training to disabled workers.

• During the call, the client stated that they do not currently employee disabled persons.

• Do any workers currently employed by the company undertake home working as defined by the HSE:<br><br>• You're a home worker if you permanently work from your home or split your working time between the workplace and home (sometimes called hybrid working).

  Yes

  No

• Home Working

  Compliant

  Major Non-conformance

  Minor Non-conformance

  Opportunity for Improvement

• · Detailed risk assessments must be undertaken for all activities where there is a significant risk to health and safety with records held.
  · All homeworkers must be provided with sufficient information, instruction and training to ensure their safety while working at home.
  · It is advised that you keep formal records of all such training.

• During the audit, the client stated that no workers under their employment are classed as 'home workers.'

• Does the company have, or potentially have in the future, new or expectant mothers?

  Yes

  No

• New and Expectant Mothers

  Compliant

  Major Non-conformance

  Minor Non-conformance

  Opportunity for Improvement

• · All such vulnerable people and their activities must be identified.
  · A detailed risk assessment that covers all risks from new and expectant mothers' activities must be undertaken.
  · Where identified in your risk assessments, you must implement any reasonable adjustments to the activities and workplace of the new and expectant mother to ensure risks to her and her child are kept to a minimum.
  · It is advised that all new and expectant mothers must be provided with sufficient information, instruction and training to ensure their safety at work and formal records kept.

• During the call, the client stated that the company does not have, and is not expecting to employ, new or expectant mothers.

• Your Health and Safety Management System under Company Documents on https://mentordigital.natwestmentor.co.uk/ provides a range of forms and templates to support health, safety and welfare development under each section covered within this report.
  
  A series of e-Learning courses on Mentor Learn via https://mentordigital.natwestmentor.co.uk/ have also been developed to support any recommended actions on training.

• Was the premises constructed after 2000?

  Yes

  No

• Although during the call it was stated that the premises was constructed after 2000 making the likelihood of ACMs low, if you suspect work equipment or additions to the fabric of the building may contain ACMs you are advised to have an asbestos survey.

• Has a detailed asbestos survey of the premises been conducted by a UKAS accredited contractor?

  Yes

  No

• Name of Contractor:

• Date of Survey:

  Date

• Has a risk assessment in line with the findings of the survey been undertaken?

  Yes

  No

• · You should complete a risk assessment in line with the findings of the survey and your management plan and then discuss the findings of the asbestos survey, risk assessment and subsequent controls with employees, customers and contractors that could be affected by the presence of ACMs.

• Have employees that are at risk of exposure to asbestos been adequately trained with records held?

  Yes

  No

• · you must ensure that employees at risk of asbestos exposure are adequately trained with records held.

• · You should arrange for a detailed survey to be undertaken by a UKAS accredited organisation.
  · A plan should be developed and maintained that identifies the measures to manage all ACMs at the premises.

• Does the company have any peripatetic workers that may be at risk of asbestos exposure?

  Yes

  No

• During the call, the client stated that they have no peripatetic workers that may be at risk of asbestos exposure.

• Do peripatetic workers have written procedures to follow in the event that they believe there is asbestos or ACMs present in the area in which they are working which was not previously identified?

  Yes

  No

• · You must ensure you have a procedure for peripatetic workers to follow in the event that they suspect the presence of asbestos or ACMs in the area they are working which was not previously identified to them.

• Your Health and Safety Management System under Company Documents on https://mentordigital.natwestmentor.co.uk/ provides a range of forms and templates to support health, safety and welfare development under each section covered within this report.
  
  A series of e-Learning courses on Mentor Learn via https://mentordigital.natwestmentor.co.uk/ have also been developed to support any recommended actions on training.

• Personal Protective Equipment (PPE)

  Compliant

  Major Non-conformance

  Minor Non-conformance

  Opportunity for Improvement

• In order to ensure compliant and robust PPE management, you should:
  · complete a risk assessment which includes how the personal protective equipment (PPE) is suitable and sufficient in terms of its fit, comfort and compatibility with other items of PPE used simultaneously.
  · ensure that all employees and other relevant workers are appropriately trained and that this can be evidenced through an Employee Training Record form.
  · set up a maintenance programme and evidence this through up to date records.
  · set up a formal fault reporting and replacement system and ensure that all employees and other relevant workers are aware of the correct procedure.
  · set up an effective monitoring regime after employees and other relevant workers have been refreshed on why they are wearing PPE and are informed of the consequences of ignoring this training.

• Manual Handling

  Compliant

  Major Non-conformance

  Minor Non-conformance

  Opportunity for Improvement

• In order to ensure compliant and robust manual handling operations, you should:
  · review your manual handling operations to ensure that all operations are identified.
  · complete suitable and sufficient risk assessments on all unavoidable manual handling operations.
  · ensure that all employees have been provided with sufficient information, instruction and training on approved, safe, manual handling techniques to ensure their health and safety whilst undertaking these tasks.

• Storage and Stacking

  Compliant

  Major Non-conformance

  Minor Non-conformance

  Opportunity for Improvement

• In order to ensure compliant and robust storage and stacking management, you should:
  · review your storage and stacking arrangements and install suitable systems.
  · ensure that all racking is secure and installed to the manufacturers' instructions.
  · introduce a maintenance system on all storage systems to ensure any defects are identified and remedied, and keep records to demonstrate the procedure.
  · where pallet racking is installed, ensure that a thorough examination is conducted on an annual basis by a SEMA approved racking inspector.
  · ensure all employees working with storage systems are suitably trained and you are advised to keep records of the training.

• Your Health and Safety Management System under Company Documents on https://mentordigital.natwestmentor.co.uk/ provides a range of forms and templates to support health, safety and welfare development under each section covered within this report.
  
  A series of e-Learning courses on Mentor Learn via https://mentordigital.natwestmentor.co.uk/ have also been developed to support any recommended actions on training.

• Is the Provision and Use of Work Equipment Regulations (PUWER) relevant to the company?

  Yes

  No

• During the call, the client stated that they do not use work equipment for any aspect of the company.

• Summary of equipment used:

• Has all work equipment been identified and recorded on an inventory, and is such equipment suitable by design, construction and adaptation for the actual work it is provided for?

  Yes

  No

• · You are advised to identify all work equipment in use and record on an inventory.
  · You must review the use of all work equipment on an urgent basis to ensure that they are all suitable by design and safely installed.

• Has all work equipment been risk assessed, with controls implemented; including Safe Systems of Work (SSoW)?

  Yes

  No

• · You must complete risk assessments on all work equipment to identify suitable controls including safe systems of work (SSoW).

• Has information, instruction, training and supervision been provided to operators for work equipment that they use in their day-to-day activities, with records of training are available?

  Yes

  No

• · You are advised to review your Training Needs Analysis to ensure that sufficient instruction and training has been provided, with records held.

• Are moving parts adequately guarded and evidence available to show all guards are subjected to regular inspection and PPM as identified under the risk assessment?

  Yes

  No

• · You must ensure all guarding is in place as designed or identified under the work equipment risk assessment, and subjected to regular inspection and PPM.

• Is there a Planned Preventative Maintenance (PPM) schedule in place for relevant work equipment; and is carried out by a competent person with evidence available?

  Yes

  No

• · You must introduce a work equipment maintenance programme and where required introduce specific inspections of work equipment by a competent person and ensure records are maintained.

• Has a process for reporting defects and faults been effectively communicated to the workforce?

  Yes

  No

• · You must communicate the process for reporting defects and faults, to ensure that all employees are made aware and record.

• Your Health and Safety Management System under Company Documents on https://mentordigital.natwestmentor.co.uk/ provides a range of forms and templates to support health, safety and welfare development under each section covered within this report.
  
  A series of e-Learning courses on Mentor Learn via https://mentordigital.natwestmentor.co.uk/ have also been developed to support any recommended actions on training.

• Is the Lifting Operations and Lifting Equipment Regulations (LOLER) relevant to the company?

  Yes

  No

• During the call, the client stated that they do not use lifting equipment for any aspect of the company.

• Summary of lifting equipment used:

• Has all lifting equipment and accessories been identified and recorded on an inventory?

  Yes

  No

• · You are advised to identify all lifting equipment and accessories in use and record on an inventory.

• Have risk assessments been carried out for the use of all lifting equipment and accessories?

  Yes

  No

• · You must complete risk assessments on all lifting equipment and accessories to identify suitable controls.

• Has information, instruction, training and supervision been given to all employees who use lifting equipment and are they appointed in writing, with records available?

  Yes

  No

• · The Training Needs Analysis should be reviewed to ensure that all employees are given the correct level of information, instruction and training.
  · They must also all be appointed in writing.

• Are there arrangements in place for the testing and thorough examination of lifting equipment at relevant intervals by a competent person.

  Yes

  No

• · You must ensure that all relevant equipment and accessories are tested and thoroughly examined at the relevant intervals by a competent person.

• Has a process for reporting defective lifting equipment been adopted and effectively communicated to the workforce?

  Yes

  No

• · You must communicate the process for reporting defective lifting equipment to ensure that all employees are made aware and keep records.

• Your Health and Safety Management System under Company Documents on https://mentordigital.natwestmentor.co.uk/ provides a range of forms and templates to support health, safety and welfare development under each section covered within this report.
  
  A series of e-Learning courses on Mentor Learn via https://mentordigital.natwestmentor.co.uk/ have also been developed to support any recommended actions on training.

• Workplace Welfare

  Compliant

  Major Non-conformance

  Minor Non-conformance

  Opportunity for Improvement

• In order to ensure compliant and suitable welfare facilities, as a minimum you should:
  
  • if required, implement a safe system of work to minimise the risk of internal traffic coming into contact with pedestrians.
  • ensure that you implement suitable maintenance programmes to ensure the workplace is in a good and maintained condition at all times and records kept of any such maintenance activity.
  • ensure that effective ventilation is provided in enclosed workplaces.
  • review your workplace temperatures to ensure you maintain suitable and sufficient temperatures for your workplace and the nature of the tasks being performed.
  • provide appropriate lighting levels so that employees can carry out their duties safely.
  • ensure that all toilet and washing facilities are cleaned regularly and kept in good condition.
  • ensure that you provide a sufficient number of toilet and washing facilities.
  • provide your employees with an adequate supply of clean drinking water at all times.
  • ensure that you maintain a clean workplace with good control over housekeeping.
  • provide suitable and sufficient facilities for employees to take rest and meal breaks.
  • ensure that suitable storage is made available for employees to store their clothing and personal items.

• Slips, Trips and Falls

  Compliant

  Major Non-conformance

  Minor Non-conformance

  Opportunity for Improvement

• In order to ensure compliant and robust slips, trips and falls management, you should:
  
  · complete a risk assessment.
  · carry out housekeeping inspections.
  · review how the business deals with in-house spills.
  · identify appropriate footwear and make all employees aware of business requirements.
  · ensure adequate controls are put in place to deal with such hazards.
  · review how the business deals with wet floors.

• Display Screen Equipment (DSE)

  Compliant

  Major Non-conformance

  Minor Non-conformance

  Opportunity for Improvement

• In order to ensure compliant and robust DSE management, you should:
  
  · ensure that all workstations are covered by risk assessments.
  · ensure that robust training and information is given to all users of DSE.
  · provide guidance on the use of DSE to employees to ensure that they can take breaks and have periodic changes in activity.
  · ensure that the arrangements for eye and eye sight tests, as well as the provision of corrective appliances are communicated to all users.

• Does the company undertake any working at height?<br><br>Work at height means work in any place where, if there were no precautions in place, a person could fall a distance liable to cause personal injury. For example, you are working at height if you: <br><br>• are working on a ladder or a flat roof; <br>• could fall through a fragile surface; <br>• could fall into an opening in a floor or a hole in the ground.

  Yes

  No

• During the call, the client stated that no working at height was undertaken.

• Have all working at height activities been formally identified and risk assessed, with evidence to support this?

  Yes

  No

• · You must complete a survey to identify all working at height activities.
  · You must complete a suitable and sufficient risk assessment.

• Are all working at height activities properly planned, organised and is this documented?

  Yes

  No

• · You must ensure that all working at height activities are well planned, organised and documented.
  
  What do you need to consider when planning work at height? The following are all requirements in law that you need to consider when planning and undertaking work at height. You must:
  • take account of weather conditions that could compromise worker safety;
  • check that the place (e.g. a roof) where work at height is to be undertaken is safe. Each place where people will work at height needs to be checked every time, before use;
  • stop materials or objects from falling or, if it is not reasonably practicable to prevent objects falling, take suitable and sufficient measures to make sure no one can be injured, e.g. use exclusion zones to keep people away or mesh on scaffold to stop materials such as bricks falling off;
  • store materials and objects safely so they won’t cause injury if they are disturbed or collapse;
  • plan for emergencies and rescue, e.g. agree a set procedure for evacuation. Think about foreseeable situations and make sure employees know the emergency procedures. Don’t just rely entirely on the emergency services for rescue in your plan.

• Are all employees involved in working at height trained and competent, and this training and their competence is documented?

  Yes

  No

• · You must ensure that all employees are appropriately trained and that this can be evidenced.

• Is equipment used for working at height appropriately inspected and are there documents to support this?

  Yes

  No

• · You must ensure that all equipment is inspected and that documents are available to support this.

• Noise at Work

  Compliant

  Major Non-conformance

  Minor Non-conformance

  Opportunity for Improvement

• In order to ensure compliant and robust noise at work management, you should:
  
  · undertake an initial noise assessment.
  · ensure that the risks to employees from noise at work are assessed by a competent person and that where actions are identified in the risk assessment these are implemented.
  · ensure that your assessment is reviewed regularly, especially if circumstances in the workplace change so that noise exposure levels will be affected.
  · ensure all employees are made aware of the results of noise assessments and the resulting controls.
  · ensure that you provide your employees with adequate information, instruction and training and to maintain records to evidence this training.

• Stress

  Compliant

  Major Non-conformance

  Minor Non-conformance

  Opportunity for Improvement

• In order to ensure compliant and robust stress management, you should:
  
  · be proactive in identifying and dealing with work-related stress.
  · ensure that where risks from stress have been identified you undertake specific stress risk assessments.
  · develop and make available a stress policy.
  · ensure that all managers and employees are provided with sufficient information, instruction and training to ensure that stress related issues are dealt with effectively.
  · ensure that records of all such activity are kept and maintained.
  · provide employees with the opportunity to access a confidential counselling service.

• Your Health and Safety Management System under Company Documents on https://mentordigital.natwestmentor.co.uk/ provides a range of forms and templates to support health, safety and welfare development under each section covered within this report.
  
  A series of e-Learning courses on Mentor Learn via https://mentordigital.natwestmentor.co.uk/ have also been developed to support any recommended actions on training.

• Does any of the company's operations or activities pose a risk of exposure to Legionella?

  Yes

  No

• During the call, the client stated that none of the company's operations or activities pose a risk of exposure to Legionella.

• Has a Responsible Person (RP) been appointed who has sufficient authority, a degree of competence, and knowledge of installations?

  Yes

  No

• · You must appoint a Responsible Person that has sufficient authority, competence and knowledge of the installation to ensure that all operational procedures are carried out effectively and in a timely way.

• Has an initial survey been undertaken which takes into consideration all operations and activities where there is a risk of exposure to Legionella, and has a formal risk assessment been undertaken in line with said operations and activities?

  Yes

  No

• · You must ensure a legionella survey and subsequent risk assessment is undertaken by a competent person.

• Are all employees trained and competent in dealing with the risks of exposure to Legionella and is this training and their competence well documented?

  Yes

  No

• · You must ensure that all employees are appropriately trained and that this can be evidenced through individual training records.

• Are competent contractors selected to carry out any maintenance or testing on water systems, and can this competency be evidenced?

  Yes

  No

• · You must ensure that contractors are assessed for competency and that this can be evidenced if necessary.

• Are there any Cooling Towers or Evaporative Condensers located at the premises?

  Yes

  No

• Has a notification has been sent to the local authority?

  Yes

  No

• · As you have stated you have a Cooling Tower or Evaporative Condenser you are required to notify the local authority.

• The client stated there were no cooling towers or evaporative condensers located at the premises.

• Does the company undertake any Confined Spaces operations or activities?<br><br>A confined space may be one which is both enclosed or largely enclosed and has a reasonably foreseeable specified risk to workers of:<br><br>• fire<br>• explosion<br>• loss of consciousness<br>• asphyxiation<br>• drowning

  Yes

  No

• During the call, the client stated that they do not undertake any work within confined spaces.

• Have confined spaces been formally identified and recorded on a register which states the nature of the hazard and location?

  Yes

  No

• · You are advised to undertake a survey of your premises and list all physical attributes and potential hazards that may give rise to a confined space.

• Have risk assessments on activities involving work in confined spaces been undertaken with safe systems of work developed, implemented and communicated effectively?

  Yes

  No

• · You must undertake and record risk assessments on all activities within confined spaces where there is a significant risk of harm.
  · You must develop and put in place safe systems of work for all activities undertaken within confined spaces.
  · You are further advised to develop a permit to work system where the activity within the confined space is not a routine task.

• Have emergency procedures for work in confined spaces have been developed and tested?

  Yes

  No

• · You must develop and put in place emergency procedures for all work undertaken within confined spaces.
  · You are advised to test your emergency procedures regularly, to ensure they are suitable for all potential emergencies.

• Are employees involved in working within confined spaces adequately trained in all aspects of the work expected of them, including emergency procedures?

  Yes

  No

• · All personnel must receive training in all aspects of the work to be undertaken within confined spaces and the hazards associated with that work.
  · All personnel must receive training in any emergency procedures related to the work and the confined spaces.
  · You are advised to record all such training.

• Your Health and Safety Management System under Company Documents on https://mentordigital.natwestmentor.co.uk/ provides a range of forms and templates to support health, safety and welfare development under each section covered within this report.
  
  A series of e-Learning courses on Mentor Learn via https://mentordigital.natwestmentor.co.uk/ have also been developed to support any recommended actions on training.

Carbon Planner

• Discover a more sustainable future with NatWest Carbon Planner
  Reducing emissions for your business is challenging. With limited resources and multiple priorities, it can be hard to decide where to focus your efforts.
  
  Carbon Planner is FREE and could support you to become a more sustainable and climate conscious organisation, and help you to identify potential cost and carbon savings too. Use it to measure your carbon footprint by answering a few questions, get tailored actions and start building a plan to reduce your emissions.
  
  https://www.natwest.com/business/green-banking/carbon-planner.html

  

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  This document does not constitute nor should it be construed as constituting legal advice. It has been prepared for information purposes only based on observations and written and oral information provided to Mentor by the Customer. To the extent that this document has been prepared following inspection/investigation of the Customer's property or premises, such inspection/investigation was necessarily limited to the parts of the Customer's property or premises which, in Mentor's opinion were reasonably accessible. For the avoidance of any doubt, this document is produced by Mentor on the assumption that any inspection/investigation of those parts which have not been inspected, would not cause Mentor to alter the contents of this document.
  
  This document is prepared on the strict understanding that the Customer accepts, without limitation, that (a) it retains sole responsibility for compliance with all/any relevant health and safety legislation and/or regulations and/or guidance which is in force/has been provided at the date that this document was produced and (b) the provision of this document by Mentor does not in any way amount to/evidence compliance of any such legislation and/or regulations and/or guidance.
  
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• Registered in England and Wales No. 929027.
  Registered Office: 250 Bishopsgate, London EC2M 4AA.
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