Audit

Accident and Incident Investigation

OVERALL AIM: The Service has adequate procedures for the reporting, investigation and evaluation of accidents and dangerous occurrences.

EVIDENCE: Incident report forms, discussions with managers/employees/contractors, employee handbook, records on NTC incident data base

REFERENCE: accident and reporting procedures, accident data base

1. There is evidence to demonstrate that accidents/incidents and near misses are reported and recorded to the occupational health and safety team through the incident reporting system?

2. There is evidence to demonstrate how management and supervisory staff are made aware of their responsibilities regarding accident/incident and reporting of near misses?

3. Evidence is available to demonstrate that provision is made to communicate accident and incident reporting process/arrangments where occurrence relates to contractors, visitors and members of the public ?

4. Where accidents and incidents require investigation there are records of the investigation, which detail causation corrective and or preventive action. The investigations has been closed out within the incident reporting system and supporting documentation is uploaded to the incident report

5. Where Investigations require corrective or preventive action, this is reflected in the review and modification of risk assessments, safe systems of work and operating practices which are communicated to those affected by the changes

6. Has analysis of accidents and incidents been undertaken for the service area to identify patterns and trends and recommended preventative and corrective action undertaken to prevent recurrence within local action plans?

Asbestos

OVERALL AIM: The Service can demonstrate that arrangements and procedures for the control of asbestos are complied to ensure that asbestos containing materials in premise(s) occupied do not pose a threat to health and that the risks are appropriately monitored. Where the Service occupies a building(s) which contains asbestos containing material, it has a suitable and sufficient arrangements to ensure a competent duty holder and understand requirements for managing asbestos on site, damage and disturbance and communicates risks where refurbishment work may impact upon the material

EVIDENCE: Site asbestos file, induction records, team meeting minutes, discussions with duty holder, discussions with employees.

REFERENCE: Asbestos policies and procedures

Is there any asbestos on site?

1. Has an Asbestos Duty Holder been appointed to manage asbestos containing materials at the workplace and have they been listed within the Building Service Representative Handbook together with notification for other occupants within the premises?

2. Has the Asbestos Duty Holder received appropriate training to allow him/her to carry out their responsibilities. Is the duty holder able to demonstrate understanding of their role and responsibilities through being able to explain these in relation to the site/ premises?

3. Is the asbestos survey and register held physically on site and is it the most current version corresponding to that held by CAPITA and the Asset Team?

4. Are arrangements in place to ensure that asbestos materials are inspected routinely to verify condition and that the inspections are conducted on the frequency of that specified within the asbestos register which ensures all areas are covered within the scope of the register?

5. The Service/site can demonstrate the mechanism for communicating the asbestos register to contractors prior to any invasive works which may affect the condition of the material. Is there evidence of how this is communicated and recorded, inclusive of where the contractors activity may require implementation of control measures to prevent liberation of fibres or damage to the material?

6. Is there a clearly defined process for emergency arrangements which provide instruction and guidance on the actions to take in the event that asbestos containing material is damaged and disturbed, does this include key emergency contacts and communication to occupants?

7. Can it be evidenced that there are mechanisms for communicating the presence of asbestos within the building to employees and others who occupy the building and the emergency arrangements for who to notify if this has occurred or been observed?

8. Is there a mechanism where the Service/site shall notify the Asset team and or Partners through a notification of change to fabric or plant prior to the work being conducted to ensure that the proposed work does not impact upon the asbestos containing material within the register?

Control of Contractors and Building Works

OVERALL AIM: Control of Contractors information is distributed to relevant people.

EVIDENCE: Control of Contractors procedures

1. Is a person involved in preparing specifications for the work or agreeing that any proposed work is acceptable from the service or site prior to any work commencing?

2. Where contractors are to be used for works, are they assessed as suitable through a process of vetting and approval and that works planned by the service have been communicated through a notification of change?

3. Where major works are planned for the site, has all relevant information about the premises and its occupants and their activities been passed to the contractor and in turn has a pre construction phase plan been received by the occupant prior to work commencing where the works are defined by the Construction Design and Management Regulations?

4. Are meetings held directly with the contractor to discuss the intended work and how it will effect the normal building use with all occupants?

5. Are contractors monitored whilst undertaking the work? Is this recorded? if so, how?

6. Where refurbishment or building work has taken place and has been completed, are copies of the Health and Safety file Held by on the site for future reference?

Control of Substances Hazardous to Health (COSHH)

OVERALL AIM: The service has adequate procedures in place to avoid or reduce to the lowest level

EVIDENCE: COSHH Assessments, training records, discussions with employees/supervisors, inspection of workplace and PPE records, maintenance records

1. How does the service complete COSHH assessments, are they undertaken and documented manually or through the Sypol system ?

2. Have COSHH assessments been carried out for all products, substances and processes, detailing control measures and how is this disseminated to employees and others ?

3. Where hazards exist, are the control measures identified in the COSHH assessments implemented and monitored by supervisors/managers? Is the monitoring recorded and corrective preventive action taken where adverse observations are made?

4. Has adequate information, instruction and training been provided for employees using substances that may be hazardous to health? Does this include formal training, notices, briefings, specify means of communication?

5. Does the service hold a COSHH register which details the current hazardous substances, this should include products held and used within the service and also include the release of hazardous substances through work processes e.g. Sanding of wood liberating dust into the air?

6. Are hazardous substances stored securely and are storage locations and containers suitably labelled?

7. Is there a means of identifying and monitoring employees who require health surveillance and is the type of health surveillance specified e.g. Lung function tests and or skin inspection? And are health surveillance records within date for employees?

8. Are there adequate emergency arrangements in place for dealing with spillage, employee contamination e.g eye wash stations and or drench showers or the risk of fire?

9. Are Material Safety Data Sheets and subsequent risk assessments reviewed on a regular basis to ensure they remain current and appropriate?

10. Where PPE and RPE (face fitting requirements where applicable) is provided as a control measure are employees trained or provided with information and instruction in their fitting, inspection and use including a process for reporting defectives and obtaining replacement PPE/RPE?

11. Where LEV or other engineering controls are provided as a control measure, are employees trained or provided with information and instruction in their inspection and use, and has the equipment undergone statutory inspection and testing within the last14 months?

Display Screen Equipment (DSE)

OVERALL AIM: The use of Display Screen Equipment (DSE) is effectively managed and any health risks are identified and adequately controlled.

EVIDENCE: Discussions with employees, inspection of the workplace and equipment, inspection of DSE Assessments

1. Has a DSE Self-Assessment been carried out for each employee designated as a DSE user through the use of the on-line system? and is there a register of users and completed assessments held within the service/ by the employees line manager?

2. Have employees designated as users, received DSE awareness training/instruction, how is this monitored by the line manager to ensure it has been undertaken and training frequency remains in date?

3. Where seating is provided for DSE work stations, is it assessed by the employee or on referral as fully adjustable in both height and backrest to provided good lumber support and suitable for the employee?

4. Where DSE assessments have identified further assessment by a specialist ergonomist or the health and safety team, have the recommendations been undertaken to meet the requirements of the individual's needs and is this recorded on the risk assessment?

5. Are all DSE assessments approved by the relevant manager and have recommendations for corrective/preventive action been completed with a review frequency established and documented?

6. Are employees identified as users, aware that they can request eye tests and does the service make provision for eye tests and prescriptive spectacles?

Electrical Safety

REFERENCE: Health & Safety - Electricty at work regulations

Evidence: records of electrical testing and inspection

1. Fixed electrical installations have been tested and inspected within the last 5 years and records are available for inspection?

2. All portable electrical equipment is identified on a register and has undergone formal inspection and testing?

3. The undertaking of work on electrical switch gear, distribution boards and electrical equipment is subject to a process of permit to work which included electrical isolation and prohibition of working on live electrical systems?

4. The premises has suitable testing and inspection records for lightening conductors?

5. Is there a process for ensuring that new items of fixed and portable electrical equipment is assessed and installed safely within the premises and subject to routine maintenance and inspection?

Emergency Arrangements

Evidence: emergency plans, emergency procedures, notices, briefing records:

OVERALL AIM: Emergency Arrangements are in place and communicated to relevant personnel.

EVIDENCE: Fire risk assessment, training records, fire notices, contractor information

REFERENCE: Health & Safety - Electricty at work regulations

1. Are there plans for dealing with all reasonably foreseeable emergencies and has documented arrangements in place to deal with serious and imminent danger?

2. Are key personnel aware of their responsibility in the event of an emergency to carry out essential actions including incident controller?

3. Are other personnel aware of what to do in the event of an emergency who will control the emergency response and carry out essential actions, such as emergency plant Shut down, contain spillage of hazardous chemicals?

4. Are instructions and information given to employees to ensure their safety in the event of an emergency?

5. Does the workplace undertake evacuation drills and exercises carried out on a regular basis and are records kept?

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

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

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

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

10. Is all equipment provided to deal with emergencies tested, inspected and maintained?

11. Where installed have arrangements been made for the testing and inspection of evacuation chairs, refuge points and intercoms? And are staff provided with training on how to operates evacuation chairs?

Fire Protection

OVERALL AIM: Fire equipment is suitable and sufficient and adequately maintained and inspected

EVIDENCE: Discussion with managers & staff, risk assessments, training records, inspection of work equipment/audits/inspection records

1. Has a fire risk assessment been conducted for the premises and have all actions been addressed or have documented plans in place with timescales for completion or mitigation? Is the assessment held on site and is it the most current version as defined by the Asset programme?

2. Are records held on the site for the inspection and testing of of fire extinguishers and other fire fighting equipment e.g. Suppression systems, fire hoses, fire blankets? Are the inspection records in date?

3. Is the emergency lighting regularly examined, tested and inspected and is a log or record kept on site?

4. Have sufficient fire wardens and or marshals been recruited and trained for fire evacuation and are their roles and responsibilities communicated throughout the site?

5. Are arrangements in place to ensure the clear communication of fire evacuation plans and actions for visitors, contractors and visiting employees?

6. Has adequate provision been made to the conduct of Personal Emergency Evacuation plans for those employees and visitors who require support in the event of evacuation and are these plans communicated to employees with a role is supporting evacuation?

7. Are routine fire alarm sounder and call point tests conducted and recorded within the premises with corrective action taken where necessary?

8. Does the premises have regime for routine emergency lighting testing together with a maintenance scheme which includes inspection and testing?

9. Is there a programme of inspection, resting and maintenance of the fire alarm panel and slave panels where appropriate together with records, this should also include inspection and testing of emergency power e.g. Emergency batteries, where applicable?

10. Are there records of inspection and corrective actions for ensuring that fire doors and those leading to final exits are maintained in good repair and are fitted with closing and emergency release devices?

11. Is there a process for ensuring that fire fighting equipment, extinguishers, fire blankets, hose reels and suppression and or sprinkler systems are maintained through a plan or schedule, tested and inspected by a competent at person. Are records of the testing and inspection held on site?

First Aid


Evidence: first aid risk assessment, training certification, records for stock and control for first aid kits

1. Has an assessment been undertaken to identify first aid requirements, does this include equipment, facilities and personnel to enable first aid to be given to employees and where applicable the general public/visitors?

2. Are there an adequate number of trained first aides to meet the circumstances of the premises in relation to occupancy times, number of occupants and degree of risk?

3. First aid supplies are readily available and well stocked in accordance with procedure and guidance?

4. Are there arrangements for ensuring that the contents of first aid kits and facilities (this may also include plaster dispensers or eye wash stations) are fully stocked and within date?

First aid treatment rooms may also include treatment bed, a washbasin with hot and cold running water, privacy screens ad clinical waste receptacles. They may also have lifting devices such as hoists or transfer boards or portable stretcher or treatment tables/bed

5. Where required are there additional requirements for first aid provision controlled, inspected and training provided for employees?

This may include the training of employees in paediatric first aid where children are present, control and administration of medication within health care settings and use of Aed defibrillators where installed?

Gas Systems,Pressure Vessels, Compressed Gases and Liquid Fuel Storage Tanks

OVERALL AIM: The school has adequate procedures for the effective control and management of gas safety.

REFERENCE: Gas Safety Register, Inspection certification

1. Is all gas equipment regularly serviced and maintained in accordance with the frequency requirements for age, condition and work processes involved? Does the equipment have written schemes for examination?

2. Are all appliances subjected to an annual gas safety test and are records maintained on site?

3. Are gas shut off valves installed and are employees aware of its location(s) in the event of emergency?

4. Who provides a competent service for relighting gas appliances and pilot lights and are their records held on site including emergency call out details?

5. Has a written scheme been drawn up for the periodic examination of pressure vessels by a competent person for all protective devices, every pressure vessel and resulting pipework in which a defect may give rise to danger?

6.Where cylinders used for welding/ burning operations are used arrangements should be in place to ensure employees are trained and competent in their use with the cylinders fitted with flash back arrestees and all equipment tested and maintained?

7. provision made for the storage of gas cylinders with arrangements for segregation of oxygen and fuel gases, and are empty cylinders removed or returned to contractors at frequent intervals to prevent a buildup in the storage area?

8. Where LPG storage tanks and other fuel tanks are used e.g gas/oil, arrangements are to be in place for safe storage and have documented processes for storage, filling and emptying and emergency processes, this should include contingencies for spillage (use of bundling and containment for spillage) and delivery devices, together with routine maintenance and inspection records and testing

Housekeeping

EVIDENCE: Discussions with Cleaning organisation, Business Manager, employees, visual inspections

1. Do all occupied areas have a documented cleaning schedule which states the frequency and cleaning activities for the area including the method statement, type of cleaning (these may be periodic including daily weekly and less frequent levels of cleaning e.g. Deep clean) and should be supported with method statements detailing equipment and chemicals/ products used in the cleaning processes together with timescales?

2. Do workshops, offices and other locations where activities are undertaken operate a clear desk or clean as you go process to remove unnecessary waste and clutter at the end of the working day /week?

3. Are there instructions and equipment/ materials for clearing liquid spillages in the event of accidental release and are these conspicuously identified for employees and instruction provided on what appropriate action to take in the event of spillage?

4. Are there suitable and sufficient waste receptacles and is there a schedule for emptying and removal which is communicated to employees, this may also consider the removal of additional waste following works or other activities above common waste contracts?

5. Is there a process in lace to the containment and removal of hazardous/ waste and is the process communicated to all employees?

6. What is the mechanism for monitoring effectiveness of housekeeping and cleaning around the premises, does this include formal inspection and recording of findings with corrective actions allocated together with timelines for completion?

Control of Legionella and Water Hygiene

EVIDENCE: Health & Safety Guidance - L8 The Prevention and Control of Legionellosis

1. Has a risk assessment been conducted for the presence of legionella within the premises which idea fires the source of risk, includes a scheme for preventing or controlling the risk? And is a copy of the assessment and scheme held within the premises?

2. Is someone identified as competent for your premises in relation to Legionella and if so has consideration been given to a deputy ? Also what training information and instruction is provided?

3. Is there a register which details the scheme of work for routine sampling and testing, this may be present as a register or other document and should include, precautionary treatments, monitoring results and remedial works? How are these monitored within the premises?

4. Are there management plans to implement and manage control measures? With accountable employees and competent contractors?

5. Are all records in relation to legionella kept for a minimum of 2 years and are they held within the premises?

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

7. Is property management aware of the intended work?

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

9. Is there provision for potable (drinking water) water and is this supplied from the rising main or a sealed cistern where this is not possible?

Lifts & Lifting Equipment

OVERALL AIM: Adequate procedures for the effective control and management of lifts and lifting equipment including inspection and maintenance.

EVIDENCE: Inspection records, maintenance records, discussions with managers/employees/contractors

REFERENCE: HSE Guidance INDG339 'Thorough Inspection & Testing & Testing of Lifts' and HSE Information sheet 'How the lifting operations and lifting equipment regulations apply to health & social care'

Are there any lifts or lifting equipment?

1. Are there risk assessments and records maintained for all lifts and lifting equipment held on the premises or in cases where mobile equipment is used by the service?

2. Is there a register of all lifting equipment and is there a copy of the initial and subsequent test certificate available?

3. Is all lifting equipment subject to statutory examinations as specified in frequency in accordance with the regulations; 6 months for people handling equipment and annually for for other equipment, does this include ancillary devices such as chains, slings and other devices? Also is there a documented scheme of inspection drawn up by a competent person who conducts the examination?

4. Who are the suitably trained persons who have adequate knowledge and experience of planning lifting operations and what training do they have to demonstrate competancy?

5. Where cranes , hoists and jigs are used do operators receive appropriate training for the equipment provided and hold a current certificate?

6. Where a forklift truck is used, have all operators received formal training and do they hold the appropriate certification for the equipment used?

7. Are records of maintenance and examination of fork lift trucks held in the premises or within the service?

8. Are are there records of pre use inspections of lifting equipment including checklists and defect reporting?

9. Where passenger or goods lifts are present in the premises, are there processes in place for emergencies such as failure to operate and evacuation?

10. Where mechanical lifting aids are provided e.g. Sack barrows, powered pedestrian stackers, pallet trucks etc, is there training information and instruction provided to operate them safely and does the equipment undergo pre use inspection?

Lone Working

OVERALL AIM: Suitable measures are in place to identify lone workers and ensure that the risks associated with lone working are fully understood and managed to their lowest level practicable.

EVIDENCE: Specific risk assessments, evidence of awareness and training, background information on individual mop/service users, mobile phones or other means of summoning assistance provided

1. Have individuals or groups of employees been identified as lone workers and have the risks from lone working been quantified, if so how is this maintained?

2. Have specific risk assessments been undertaken identifying the risks associated with lone working? Are they suitable and sufficient?

3. When working with or visiting members of the public/service users, etc is there a process in place whereby as much information is gathered on the individual before visiting commences?

4. Are there protocols in place where the lone worker records their whereabouts and is required to call in at the end of their planned activity?

5. Is someone within the workplace identified as having responsibility for taking appropriate action if an individual does fails to report or raises an alarm?

6. Have all employees been trained and are aware of the lone working procedures in place and their responsibility for working within them?

7. Are employees who work alone provided with adequate means of contacting their base, manager or other assistance in the event of an emergency?

8. Are employees aware of the need to report to their manager and record all incidents or near misses that they experience whilst lone working?

Manual Handling and Lifting Operations

OVERALL AIM: Adequate procedures in place to ensure that all manual handling and lifting operations are avoided or the risks are minimised to reduce workplace injuries.

EVIDENCE: observe work processes and procedures, review assessments against practice, review training records and maintenance records for lifting equipment

EVIDENCE: Specific risk assessments, evidence of training and awareness of risks, incident report forms

1. Are all significant manual handling and lifting operations assessed taking into account the load, the nature of the task, the working environment and the individuals capabilities. Are assessments maintained within a register for these operations which is current and complete?

2. Where significant risks are identified has a specific manual handling assessment been conducted formally and recorded?

3. Where hazards are identified, are there control measures documented and implemented within the risk assessments and are these monitored by supervisory staff and management to ensure they are followed?

4. Have employees received appropriate training and information and or instruction to enable those manual handling tasks to be conducted safely?

5. Where mechanical lifting and carrying Aids are provided to manual handling and lifting operations, are they readily accessible, suitably maintained and serviced where required with operators suitably trained in their use?

6. Are manual handling assessments routinely reviewed to ensure they remain valid, is this set within a schedule and does it include post accident/Ill health?

7. Is there an employee(s) assigned with conducting and reviewing risk assessments and have they received training in how to conduct assessments with acquired knowledge to understand the importance of manual handling techniques and identify safe working methods and to recommend corrective and or preventive action where required?

Management of vehicles and transport Operations

OVERALL AIM: Suitable measures are in place to ensure the effective management of drivers operating on NTC business whether operating liveried fleet road vehicles or in a grey fleet capacity (Using own car for NTC business)

EVIDENCE: Specific risk assessments, evidence of training and awareness and appropriate licensing. Means of checking validity of licences. Vehicle maintain emcee, servicing and checks by operators/drivers

1. Is there a mechanism to ensure that NTC drivers hold the correct licence and competency to operate the vehicles, e.g. Licence category, CPC for PSV vehicles, HGV/LGV ? Are these recorded and monitored to ensure they remain valid? This shall include appropriate information , instruction and training for vehicle use?

2. Is there a mechanism to ensure that a persons fitness to drive or operate a vehicle is judged to match the requirements of the task in accordance with the DVLA?

3. Is the vehicle used in the workplace suitable for purpose and maintained? How does the service ensure the vehicles are in good working order so they remain mechanically sound and any devices such as beacons, function properly? Are there planned preventative maintenance and inspection schedules in place? Are there statutory inspections, MOT certification etc which is based on time or frequency?

4. Do drivers and operators conduct routine inspections, prior to use of the vehicle which are approved prior to use and monitored to ensure they are conducted correctly? Linked to pre use inspections is there an effective mechanism for reporting defects especially those which render the vehicle inoperable or in road worthy, how is this managed?

5. Is there a register of employee who utilise their vehicles for business which includes a process for checking driving licences, insurance and vehicle MOT and Tax and is there a process for monitoring this together with a risk assessment which identifies the context in which employees vehicles can be used or prohibited e.g. Carrying of passengers etc?

6. Are there risk assessments and a register, relating to driver activity which include control measures and manage the risks from route planning, breakdown and recovery, accident or incident, take into account driver fatigue and requirements of tachograph or working time regulations, are there particular hazards managed within the risk assessment relating to the functionality of the vehicle; traffic routes, parking, loading and off loading, carriage of passengers, and particular risks from attachments for specialist vehicles?

7. Are there areas where motor traffic and pedestrians may interact and is this managed through a route plan, risk assessed to ensure that there are suitable vehicle manoeuvring plans, safe segregation of pedestrians and vehicles, adequate provision of warning signage and road markings/ barriers, speed limited and site rules for visitors and deliveries? Is this documented in a risk assessment that is reviewed periodically?

8. Where there are deliveries both internally and by contractors, a process to manage the delivery times, frequencies and a process to ensure safe loading and unloading, parking and operation to prevent risks from other premises users and vehicles?

New and Expectant Mothers

OVERALL AIM: Suitable measures are in place to ensure the health, safety and welfare of new and expectant mothers

EVIDENCE: Specific risk assessments, evidence of training and awareness of risks, incident report forms

1. Are specific risk assessments carried out taking into consideration vulnerable groups including pregnant women and young persons?

2. Are managers aware of the need to modify tasks or consider alternative working arrangements depending on the findings of risk assessment?

3. Are there welfare facilities available for employees who are pregnant or breast feeding?

4. Is there evidence that managers discuss the outcome of the risk assessment with the individual employee?

Noise at work and Hand arm Vibration Control

1. Has the service identified potential noise hazardous areas and or activities or those that may subject employees to hand arm vibration? If so has an assessment of exposure been undertaken of noise or vibration?

2. Is there a risk assessment relating to noise and or hand arm vibration with the aim of establishing means of reducing exposure to below legal tolerable levels? Have the control measures been implemented and are they being proactively monitored and managed?

3. Where noise or hand arm vibration is present within activities have employees been provided with appropriate health surveillance which is managed in terms of frequency in accordance with legal requirements, is this managed and monitored to ensure all employees undergo the surveillance at the correct intervals?

4. Where hearing protection is provided is it assessed as suitable for the noise source and are employees provided with a readily available supply of hearing protection and the ability to replace these should they become defective?

5. Are employees provided with suitable and sufficient information training and instruction to understand the risks to health from noise and hand arm vibration and their roles and responsibilities in compliant with arrangements as directed through the risk assessment, safe systems of work and results of monitoring?

Personal Protective Equipment (PPE)

OVERALL AIM: Are procedures in place to provide suitable Personal Protective Equipment (PPE) to all employees who may be exposed to a risk to their health & safety that is not adequately controlled by other means.

EVIDENCE: Inspect risk assessments & specific PPE assessments, discussions with employees/supervisors, checks on PPE, storage & maintenance records

1. Evidence of specific/task personal protective equipment assessment including the suitability of the equipment?

2. Is a record kept of the assessment?

3. Is there a procedure evident to ensure that PPE is maintained through regular inspection of equipment for defects and or damage?

4. Where applicable are records kept of maintenance, tests and inspections?

5. Is there provision for the safe storage of PPE and processes and equipment made available for cleaning and process for replacement readily to hand?

6. Are employees trained in the use of PPE and records held for the training received?

7. Is the use of PPE adequately monitored and supervised and is this recorded?

Play & Sports Areas / Activities

EVIDENCE: Inspection checklists, discussions with managers and employees

REFERENCE: AfPE Guidance information

1. Adequate space for size of class and activities conducted?

2. Are windows opening onto external walkways / play areas restricted? Are barriers in place?

3. Is safety glazing to BS 6206 or glazing filmed in the vulnerable areas? (e.g. panes > 250mm wide in or adjacent to doors, PE areas, etc)

4. Are pathways / walkways stable underfoot and without significant trip hazards? (e.g. no potholes, no raised/sunken slabs)

5. Is outdoor play equipment adequately maintained and in good condition? (checked annually by competent person, weekly checks by site staff)

6. Is there sufficient storage space and is it reasonably tidy?

7. Are playing fields / pitches visually inspected before use and free from hazardous materials?

8. Is PE Equipment inspected within the past 12 months by a competent person? Are regular informal checks conducted by staff?

9. Are inflatables, temporary structures e.g. Inflatable play equipment and gazebos, certificates, maintained and conform to processes to ensure they are erected and managed during use with commensurate risk assessments and procedures?

Workplace, Health, Safety and Welfare

EVIDENCE:

1. Are inspections carried out of the workplace and activities using a defined checklist and are records maintained of inspections together with corrective actions?

2. Has an assessment been carried out to identify the risks of moving vehicles/machinery and people?

3. Are storage racks and shelving secured to prevent collapse and are they subject to inspection for signs of damage or overloading?

4. Is there adequate ventilation (fresh air) through work areas?

5. Is the ambient temperature between 16-24 Celsius?

6. is there adequate lighting at work to provide a safe working environment, allowing the work to be done efficiently and safely? If not is there a process for provision of mobile and or temporary lighting e.g mobile working on a remote site or in hours of darkness? Are these conditions documented through risk assessment and safe systems of work together with provision of the correct safe lighting equipment?

7. Have work areas been evaluated for occupation, taking into account activities and ancillary equipment within the area to prevent congestion and free movement of people?

8. Have all risks of falls or falling items been assessed with adequate precautions in Place?

9. Is there a process to ensure that premises are adequately secure and a means to identify visitors are checked prior to admittance including a signing in/out register and readily provided identity badges?

10. Has consideration been given to make reasonable adjustments to enable disabled access for employees and visitors? This may include physical access, but equally all aspects of your services across the full range of physical features such as; steps, stairways, kerbs, exterior surfaces and paving, parking areas, building entrances and exits, internal and external doors, gates, toilets and washing facilities, public facilities, lighting and ventilation, lifts and other mechanical devices?

Risk Assessments

OVERALL AIM: Risk Assessments have been completed by a competent person and readily available to all. They are reviewed when required.

EVIDENCE: Discussions with manager, employees, training records, documentation

1. Are suitable and sufficient task based risk assessments carried out and recorded which focus on significant risks as a priority, these include; activity or operation being undertaken, a statement of significant hazards identified, the control measures in place and the extent that they control the risk?

2. Are written risk assessments recorded, these should be held within a register and be defined for periodic review ?

3. Have appropriate risk control measures been implemented so that they reduce the likelihood of injury, reduce the number of people exposed to the risk and or reduce the severity of the injury?

4. Evidence of risk assessment outcome also detail physical and other controls, i.e. training/method statements/health surveillance/PPE, safe systems of work?

5. Are risk assessments reviewed following accidents or incidents?

6. Are there written safe systems of work/ method statements for all tasks with a significant risk to health and how are they identified?

7. Are the risk assessments ad safe systems of work communicated to all employees, including instruction and application?

8. Is there evidence of monitoring against use of control measures and safe systems of work and is it recorded?

9. Are employees provided with applicable safety information from risk assessments and safe systems of work; risks arising from the talks, preventative and protective measures, emergency procedures, persons with designated emergency duties and hazards associated with other activities in their workplace?

10. Are there employees who are provided with training to conduct risk assessments?

Health and Safety inspections

1. Are safety inspections carried out by a competent person and evidenced?

2. Does the department inspections have a formal timetable?

3. Is remedial action carried out?

4.Are unresolved issues managed appropriately?

5. Are managers aware of their responsibilities to carry out inspections?

Health and Safety Policy and arrangements

1. Is there a copy of the current version of the Health & Safety Policy available in the area of responsibility?

2. Are all employees aware of the written H&S policy?

3. Are employees aware of their H&S duties and responsibilities?

4. Is there a clear, written allocation of the health and safety responsibilities of all line managers and supervisors in your area of responsibility?

5. Are employees given specific health & safety information? e.g. employee handbook

6. Is health & safety an agenda item at team meetings?

7. How do employees gain access to relevant safety documents and guidance?

8. Is there a process and participation for Health and Safety Representatives to participate in safety forums and meetings and consult on accident investigations and discussions regarding the introduction of new processes and activities?

9. Is there a means of formally reviewing and developing the Service area health and safety action plan and is this communicated to all employees and maintained with routine updates in accordance with timescales set for actions within the plan?

Training and Competency

1. Are training and competency requirements defined for each post/role for employees? How is this maintained?

2. What arrangements are in place for employees and contract staff provided with induction training prior to commencing work?

3. Have training needs analysis been assessed for each post/role? How is this conducted and recorded?

4. Has all mandatory and role specific training been carried out within the appropriate intervals, this would include refresher training ? What arrangements are in place to prevent training dates lapsing?

5. What are the arrangements for maintaining training records and certification? Are they complete and up to date?

Stress

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

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

3. Are managers aware of the procedure to follow regarding stress assessments for work related stress?

4. Are all new employees given a clear outline of job functions and responsibilities?

Swimming Pool Management

OVERALL AIM: All swimming pools should be managed in accordance with HSE Guidance Managing Health & Safety in swimming pools (HSG179) and Pool Water Quality and Standards

EVIDENCE: Look at policies/procedures i.e. NOP & EAP, risk assessments, test records, qualifications and inspect the area.

Is there a swimming pool?

1. Does the school/establishment have a swimming pool policy?

2. Does the policy include the Normal Operating Procedures (NOP) and the Emergency Action Plan (EAP) ?

3. Are staff suitably qualified to carry out pool rescues?

4. Is sufficient rescue equipment and signage in place?

5. Are suitable and sufficient risk assessments available that specifically deal with the issue of pool safety?

6. Can the area be closed off/secured when no staff are in the pool area?

7. Are procedures in place for hiring out to outside organisations?

8. Are pool plant records kept? i.e. water readings - free, combined, PH, Air & Water temperature

9. Does the plant operator hold the ISRM pool plant operators certificate?

10. Are water samples taken each month and tested for micro-organism issues by a UKAS accredited Laboratory? Are records kept of the results?

11. What type of dosing system is in place?

Work at Height

OVERALL AIM: Adequate arrangements to avoid or reduce the risks of people and materials falling from height or through fragile surfaces

EVIDENCE: Discussions with premises manager, employees, inspection of the workplace, inspection of the workplace and equipment, inspection of records

1. Is there awareness of where work at height takes place on the premises and who carries it out?

2. Is there evidence that work at height risks specific to the premises or the site where mobile work takes place has been assessed including existing places of work and work on fragile roofs?

3. Where necessary to work at height, is the work properly planned and supervised by a competent person? Have people who are required to work at height undergone appropriate training?

4. What management checks are carried out to ensure that people working at height are competent?

5. Is there evidence that work equipment has been selected appropriate to the tasks and areas of work?

6. Where equipment is premises based is there awareness and systems to ensure that this equipment is only for use by employees?

7. Is there evidence that equipment for work at height is subject to inspection, examination and test by competent people?

8. Has planning for rescue from work at height situations been taken into account?

9. Is there a means for inspection of of work at height equipment together with provision of safe storage and a means of identification and are employees trained and instructed I how to conduct pre use inspections? Are records held ?

10. Where scaffolding, including tower scaffolds are used are they erected and dismantled in accordance with manufacturers instructions by competent persons? Also is there a means to demonstrate weekly inspections with maintenance of records at the appropriate frequency?

11. Where mobile Elevated Work Platforms are used, through risk assessment, are there arrangements in place to ensure hazards arising from their use are controlled including; entrapment, overturning, falling and collision.

Aspects prior to use for consideration should include; overhead working, ground conditions, guard rails, outriggers, fall arrest, falling objects, weather for external use and handling materials.

Are operators provided with suitable training and information and records of certificate held for operators so they can demonstrate competence and inclusive of visual checks, inspections and servicing

Plant and Work Equipment

OVERALL AIM: Work equipment is suitable and is adequately maintained and inspected. All equipment is suitably constructed and guarded and employees are competent.

EVIDENCE: Discussion with managers/purchasing officers, risk assessments specific to work equipment, discussions with employees, training records, inspection of work equipment departmental plans/audits/inspection records

1. Have risk assessments been carried out on all plant and equipment, and are the risk assessments held on a register and the assessments recorded?

2. Is there a procedure/process and arrangements to ensure the effective maintenance of plant and equipment by competent persons?

3. Is work equipment maintained and inspected either as per the manufacturer's instructions or where the risk assessment dictates. Are adequate records kept of maintenance, inspection and testing?

4. Is workequipment provided with appropriate guards to to prevent operators being exposed to risks e.g. Physical guards, interlocking devices etc? Are these documented upon risk assessments?

5. Have employees received information, instruction & training in the use of work equipment relating to the hazards and risks and are they deemed competent to operate the equipment?

6. Have hazards relating to particular work equipment been identified and adequately controlled to ensure that it is suitable for the processes and condition of use?

7. Is there a process for operators to inspect work equipment prior to use to ensure that ere are no signs of damage or faults that could be safety critical, are these at suitable intervals and recorded with corrective action taken?

8. Is there a process for work equipment in the event of emergency, does this include isolation, emergency shut off switches and how is this communicated?

Observations made from Inspection

ASBESTOS: Unidentified, suspected asbestos, asbestos containing material that is damaged or the risk of damage is present. Unlabelled asbestos containing material. Observed working in areas with asbestos containing material without suitable controls in place

SUBSTANCES HAZARDOUS TO HEALTH: effective storage of hazardous chemicals, correctly labelled and contained chemicals, emergency equipment in place and suitable and sufficient for the risk, control measures including LEV, and other mechanical devices used and operating effectively. PPE and RPE observed being worn and in good condition

DISPLAY SCREEN EQUIPMENT: workstations are observed to be compliant with guidance, lighting, workspace and other environmental factors suitable and sufficent

ELECTRICITY AT WORK: electrical panels have restricted access, are labelled accordingly and kept clear, electrical cables are managed to prevent trailing leads across walkways, cables are not tangled where heat can build up, multi pin sockets and extension leads are restricted to prevent overloading and daisy chaining, no observed damaged sockets, cables etc, Pat testing labels evident and no in authorised equipment in use, electrical cupboards, DB cabinets signed and locked

FIRE PROTECTION: signage is suitable and sufficient in all areas including exit routes and final exits, exits and routes unobstructed, extinguishers mounted correctly and in date, no uncontrolled combustible materials in premises, fire doors and other items of protection operating effectively

FIRST AID: means of contacting first aid is evident, first aid kits fully stocked and components in date, Aed are charged and accessible. Eyewash stations stocked and where bottled , in date

GAS & BOILER HOUSES, COMPRESSED GASES AND CYLINDERS: shut off valves are evident, clear access and has appropriate signage, gas cylinders are segregated and stored securely to prevent theft or damage, boiler houses are free from combustible materials

HOUSEKEEPING: occupied areas are clean and tidy without excessive debris, waste or clutter, rest rooms are hygienic ally clean, waste bins are within capacity and fitted with lids to prevent bird and rodent activity where external, general door, flooring, furnishing and fittings are in good repair to prevent slips, trips falls to other injuries when in contact. Items are stored correctly to prevent over loading of shelves and racking and so they don't present a risk of falling or collapse

LIFTS AND LIFTING EQUIPMENT: lifts are clean and free from debris, signage and means of emergency communication are evident, capacity plates are evident, where slings, chains and other devices are used they are stored correctly to prevent wear and tear etc,

PLAY & SPORTS ACTIVITY AREAS

WORKPLACE WELFARE: lighting, temperature adequate, rest facilities suitable and sufficient including provision of eating, drinking facilities, toilets and washing facilities adequate for occupation, locker storage by gender

STATUTORY NOTICES AND DISPLAY: policy and local HS arrangements and accountable persons displayed, HSE notices displayed, emergency arrangements dislayed

WORKING AT HEIGHT: observed compliance, correct equipment used and in good order

WORK EQUIPMENT: well maintained with operating safety devices intact and in use, no defective equipment, operated correctly

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