Moat Contractor Audit

Information

Scope of Operations

Briefly describe the type of work carried out by the contractor on behalf of Moat and identify those tasks/services specific to the contract.

Is there a statement of intent signed and dated within a reasonable time frame?
Is the organisational structure shown?
Is the statement specific to the contractor?
Are individual responsibilities broadly identified?
Is the policy statement communicated to all employees?
Does the policy identify the person/position with ultimate responsibility for H&S?
Are there documented arrangements for proving competent H&S advice?
Are there documented H&S aims and objectives?
Is there a documented commitment to the H&S of employees, customers and the public?
Are there documented arrangements for measuring H&S performance?
Is there a documented commitment to training, instruction and supervision?
Description of H&S arrangements specific to Moat
Comments on Policy Documentation

There should be good evidence that the risk management process is adequate and that suitable risk assessment practice is implemented
Is there adequate evidence of identification of hazards associated with operations carried out on behalf of Moat?
Does the process identify and list significant risks and record how these arise through these operations?
Does the process evaluate and prioritise residual risk?
Are all at risk groups identified. These should include the contractor, sub-contractors, Moat staff, residents and members of the public.
Does the RA process identify the need to put controls in place to eliminate or mitigate risks to as low as is reasonably practicable?
Is there an adequate process to ensure risk assessments are disseminated to employees?
Are there adequate processes for ensuring control measures are monitored and remain effective?
Is there evidence of a range of risk assessments specific to the companies undertaking under this contract? These may include: Work at Heights, Asbestos, COSHH, fire, electrical, power tools, noise and vibration, LOLER, driving, lone working and Manual Handling
Comments on risk assessments

Ascertain that the contractor has adequate procedures and controls to ensure that all employees or persons engaged are suitably qualified in all respects
Are competence requirements set for key posts?
Is there an adequate process to ensure there is suitable induction and other H&S training
Is there an adequate process for evaluating training needs?
Is there an adequate process for managing sub-standard H&S performance?
Is there an adequate process for maintaining training and competency records?
Comments on Competence

The contractor must have a process for communication and consultation on matters relating to H&S and is required to promptly notify Moat with regard to certain occurrences. Check that the process is effective and identify how the process is implemented.
This could include meetings, briefings, notices and letters.
Areas covered should include: H&S policy, arrangements, procedures, RA's, emergency instructions, accidents & incidents, inspection results and audit findings.
How issues raised by Moat residents are handled
Is there an adequate process for effective communication and consultation with employees and sub-contractors?
Is there an adequate process for effective communication with Moat? Including the arrangements to promptly notify Moat regarding any enforcement notice, order or direction, prohibition or charge relating to performance or delivery of the contracted service, or that adversely affects the service delivery or operation.
Is there an adequate process for effective communication with interested third parties, including how issues raised by Moat residents are handled?
Comments on Communication and Consultation

Verify that adequate provision has been made to ensure all incidents and near misses are reported and investigated
Is there an adequate process for reporting incidents and near misses?
Are there adequate arrangements for immediate notification to Moat of serious incidents whilst working on the Moat contract?
Are there adequate arrangements for reporting incidents to the HSE and Moat?
Is there an adequate process for incident investigation?
Are there adequate arrangements for communicating investigation findings to Moat?
Are incident reports linked to remedial actions?
Are incidents analysed to identify trends?
Comments on Incident Reporting

Is there an adequate process for identifying potential emergency situations, assessing the associated risk and implementing arrangements for dealing with them? These should include: Loss of offices Loss of IT Vehicle Incidents Assaults Major Incidents
Comments on Planning for Emergencies

Verify that the contractor has a suitable process for monitoring, auditing and reviewing its H&S performance! And that remedial actions are taken.
Are there adequate arrangements for measuring H&S performance against targets?
Are there adequate arrangements for monitoring contract operations? E.g. Reports and documents such as safety inspections and audit results
Is there a suitable procedure for internal or external audit of H&S compliance?
Is there adequate evidence of competence for those carrying out Auditing, monitoring and reviews?
Are there adequate arrangements for reviewing H&S procedures and documents?
Is there an adequate process for identifying and implementing remedial actions from audits?
Are there adequate arrangements for reporting findings to senior management?
Comments on Monitoring and Auditing

Check to ensure that adequate provisions have been made for the following:
Conforming with Moat's asbestos policy
Protecting residents and members of the public
Conforming with the requirements of CDM regs
Managing sub-contractors
Are there adequate arrangements for the applicable miscellaneous items
Signature of auditor
Signature of auditee