RIS Ltd Asbestos Site Audit v3

• Document No.

• Audit Title

• Client / Site details

• RIS Job Number

• RIS Contracts Manager

• Conducted on

  Date

• Auditor

• Location
  Address

• Site Supervisor and Site Operatives

Summary of Audit Findings

• Comments

Actions required on site to close out issues.

• Comments

RIS Management Actions

• Auditor to list recommended Management Actions and discuss with RIS Operations Director to agree actions and close out dates.

• Auditors recommended management action to close out

• Auditors recommended management action to close out

• Auditors recommended management action to close out

• Auditors recommended management action to close out

• Auditors recommended management action to close out

Section 1 - Opening Of Audit

1.1 ASB5 and Mandatory Licences

• Check that a Valid ASB5 Notification Form is on site for the works to be audited

• Are the site details on the ASB5 are correct?

  Yes

  No

  N/A

• Is the Audit is within the dates stated on the ASB5?

  Yes

  No

  N/A

• Does the ASB5 clearly describe the planned scope of works?

  Yes

  No

  N/A

• Is there a Suitable POW available on site?

  Yes

  No

  N/A

• Suitable Risk assessment available on site?

  Yes

  No

  N/A

• Is there a copy of the RIS Asbestos Licence on site?

  Yes

  No

  N/A

• Is there an RIS valid Certificate of insurance on site?

  Yes

  No

  N/A

• RIS Waste Carriers Licence on site?

  Yes

  No

  N/A

• F10 on site for CDM 2015 works?

  Yes

  No

  N/A

1.2 - Observation of work practices

• There must be sufficient provision to view activities within the working enclosure to audit and record meaningful observations of the work being undertaken, either by Vision Panel or CCTV?
  
  If there is no means to view work practices (including CCTV that is functioning) then the audit should not continue, and RIS Operations should be informed immediately.

• Are suitable Viewing panels and/or CCTV are in place to sufficiently observe work practices so that all areas of the enclosure are visible so far as is reasonably practicable?<br>Within reason, there should be no areas where work practices cannot be observed and there should be safe access to viewing panels / CCTV

  Yes

  No

  N/A

1.3 - Works in progress

• Will Licensed Asbestos Removal works and associated activities are (or will be) taking place within the enclosure during the audit?<br>

  Yes

  No

  N/A

• ‘Removal works’ includes associated activities such as injection of ACM’s prior to removal, as well as fine cleaning. It does not include pre-smoke test preparation works or the visual inspection prior to clearance air testing. If there are no removal works or associated activities taking place during the audit, then the audit does not continue, and Operations should be informed immediately.
  

Section 2 - Site Management Handover Paperwork

• Has the RIS Site Supervisor been briefed by RIS Contracts Manager and POW signed to this effect?

  Yes

  No

  N/A

• Have all site staff have been recorded and have they signed the POW as being briefed on the planned asbestos work?

  Yes

  No

  N/A

Section 3 – Observed Work Practices and Immediate Site Control: Asbestos Risks

3.1 - Enclosure

• Ensure that the enclosure is in good condition, properly constructed, and maintained so as to prevent the spread of asbestos.
  

• The integrity of the enclosure has been established and maintained and site checks undertaken?<br>

  Yes

  No

  N/A

• Viewing panel sizes meet the minimum requirement of 600mm X 300mm

  Yes

  No

  N/A

• The selection and provision of warning signs are appropriate to the works?

  Yes

  No

  N/A

• The enclosure needs to have been soundly built, maintained and regularly inspected. If there are any flaws or breaches of the enclosure, make a specific note as to the extent. If any remedial works are identified, inform the supervisor immediately - don’t wait until the end of the audit to point this out. Viewing panels should be a minimum of 600 x 300mm panel size. Excessive tape should not unnecessarily restrict the viewing area. Note approximate sizes if they are less than 600 x 300mm. We don’t need to be pedantic about a few millimetres. Bubble viewing panels may appear smaller, though the actual area of the curved surface may well equate to the correct dimensions. Warning signs should include the ‘No Unauthorised Access’ and PPE/RPE signage as a minimum.
  

3.2 - Airlock

• The airlock meets the requirements in terms of size, construction, cleanliness and necessary features.

• The airlock meets the minimum size requirement of 1m x 1m x 2m?

  Yes

  No

  N/A

• Smaller airlock dimensions are detailed and correctly justified in the RIS Plan of Work?<br>

  Yes

  No

  N/A

• The airlock is free from visible asbestos debris?<br>

  Yes

  No

  N/A

• There is suitable provision to clean RPE / coveralls within the airlock (Type H vac, bucket and sponge minimum)?

  Yes

  No

  N/A

• All airlock openings/flaps are suitable and weighted?

  Yes

  No

  N/A

• An inner stage viewing panel is present and of the correct size of 600mm X 300mm?<br>

  Yes

  No

  N/A

• The 1m x 1m x 2m minimum airlock size requirement should be met unless there is a justifiable reason for smaller dimensions and that the reasoning is documented in the Plan of Work. The airlock should be clean, with no sign of any visible asbestos debris whatsoever. Do not enter the airlock to do this. Push open the outer flap. Use a stick or similar to push the next flap. Use the viewing panel to the inner stage for an additional view. With a direct connection, there are often limitations as to how much can be assessed for visible debris, so make observations to the extent that the site conditions and set-up will allow. Suitable provision for RPE decontamination should be appropriately placed, to be either a bucket of water and sponge, or equivalent such as spray bottle and cloth. All airlock openings should be oval or rectangular, with all flaps weighted, and sufficient overlap that the flaps would sufficiently close the openings in the event of NPU failure. A correctly sized viewing panel should be located on the inner stage. If this cannot be achieved, the expectation is for CCTV to be in place instead.

• Any other observation or concern regarding the design, construction or functionality of the airlock to be noted here, including if it should have and could / should have been bigger.

• Comments

3.3 - Baglock

• The baglock meets the minimum requirements in terms of construction, cleanliness and necessary features, and is of minimum size or greater to accommodate large items of waste.

• Has a separate baglock has been provided?

  Yes

  No

  N/A

• The absence of a baglock is correctly justified in the RIS Plan of Work?

  Yes

  No

  N/A

• The baglock meets the minimum size requirement of 1m x 1m x 2m?

  Yes

  No

  N/A

• If the baglock has smaller dimensions, is it correctly justified in the Plan of Work?

  Yes

  No

  N/A

• Is the baglock big enough for the waste size to be removed?

  Yes

  No

  N/A

• Is the baglock free from visible asbestos debris?

  Yes

  No

  N/A

• All baglock openings/flaps are suitable and weighted?

  Yes

  No

  N/A

• An inner stage viewing panel is present and of the correct size of 600mm x 300mm?

  Yes

  No

  N/A

• A separate baglock should be provided unless there is a justifiable reason to not have one, such as insufficient space to attach one. A small amount of waste is not a justifiable reason. Correct justification for not having a baglock should be documented in the Plan of Work. The 1m x 1m x 2m minimum baglock size requirement should be met unless there is a justifiable reason for smaller dimensions and that the reasoning is documented in the Plan of Work. If the waste size would require a baglock exceeding the minimum dimensions, the baglock should be enlarged appropriately. The baglock should be clean, with no sign of any visible asbestos debris whatsoever. Do not enter the baglock to check this, but make observations to the extent that the site conditions and set-up will allow. All baglock openings should be oval or rectangular, with all flaps weighted, and sufficient overlap that the flaps would sufficiently close the openings in the event of NPU failure. A correctly sized viewing panel should be located on the inner stage. If this cannot be achieved, the expectation is for CCTV to be in place instead.

• Other observation

• Any other observation regarding the design, construction or functionality of the baglock to be noted here.

3.4 - General Site Cleanliness

• The site is clean and orderly, including clear transit and waste routes of minimal distance, and clean and tidy vehicle(s) / Equipment Storage.

• Good standards of general house keeping evident to prevent any Slips, trips or falls? Particularly along the waste and transit routes?

  Yes

  No

  N/A

• There is a suitably maintained and signed transit route of minimal distance?

  Yes

  No

  N/A due to a direct connection

• The transit / waste route is free from visible asbestos debris?

  Yes

  No

  N/A

• The company vehicles and/or equipment store are reasonably tidy and clean, with no contamination issues or concerns?

  Yes

  No

  N/A

• The transit route (if there is no direct connection of DCU) should be of minimal distance considering the individual site conditions and circumstances, suitably maintained and signposted. The waste route should be suitably free from general waste, and certainly free from any visible asbestos debris. Company vehicles and/or stores should be reasonably tidy, and certainly with no situation giving rise to concerns regarding contamination (e.g. no waste in unsegregated parts of vans, vacuum cleaners double bagged when transported or in storage, etc.). Equipment storage would also include items such as RPE when not in use.

3.5 - Asbestos Removal Technique

• Controlled asbestos removal has been observed, including the use of suitable dust suppression methods, and with waste appropriately bagged.

• The asbestos dust suppression method in use is suitable for the ACM being removed?<br>

  Yes

  No

  N/A

• The removal procedure observed is suitable for the ACM being removed?<br>

  Yes

  No

  N/A

• Waste is properly and promptly bagged?

  Yes

  No

  N/A

• The dust suppression and removal procedure observed must be the most correct and suitable for the ACM being removed. This is based on your observation of the works. Waste should not be allowed to accumulate, but should be promptly bagged/wrapped. The stage of the works may be that no waste has been generated yet, or that final cleaning is being undertaken, in which case this part will not be applicable.

3.6 - RPE & PPE

• RPE and PPE is suitable for the task and correctly worn and identified in the RIS POW?

• RPE is suitable for the planned task(s) to be undertaken?

  Yes

  No

  N/A

• Enclosure overalls are type 5/6?

  Yes

  No

  N/A

• Transit overalls are type 5/6 ?

  Yes

  No

  N/A

• At the time of the audit is all RPE and PPE being properly worn?

  Yes

  No

  N/A

• Suitable Enclosure and Transit boots being used?

  Yes

  No

  N/A

• All PPE / RPE should be of the appropriate type and standard for the tasks being observed, and properly worn (e.g. overalls not tucked into boots, Hoods up and over RPE / No holes in coveralls etc.).

3.7 - Air Managment

• Air management allows for sufficient air changes and air movement through the enclosure, with airlock flap deviation indicating sufficient airflow through the airlock.
  

• The enclosure design allows for ideal air management?

  Yes

  No

  N/A

• The NPU air movers installed provide sufficient air changes / airflow and size as per RIS POW? (Minimum 1500 cfm)

  Yes

  No

  N/A

• There is sufficient airlock flap deviation to indicate adequate airflow through the airlock?

  Yes

  No

  N/A

• Additional air inlets are suitably positioned and in use (where applicable)?

  Yes

  No

  N/A

• Principles of ideal (or near to ideal) air management should be demonstrated in the design of the enclosure, the number, capacity and location of NPU’s, and suitable provision of inlet(s) for replacement air to achieve the required number of air changes. The airlock flap deviation should be sufficient to demonstrate sufficient airflow is being maintained through the airlock.

3.8 - Plant and Equipment

• Plant and equipment is suitable and sufficient for the work, is properly located and being correctly used.

• There are a minimum of 2 H-type vacuum cleaners on site?

  Yes

  No

  N/A

• The number and capacity of NPU’s matches the Plan of Work?

  Yes

  No

  N/A

• Each NPU is either located outside the working enclosure, or sheeted out if inside the enclosure?

  Yes

  No

  N/A

• There is a functional non-return flap on each NPU exhaust?

  Yes

  No

  Not accessible

• Extracted air from each NPU is vented outside?<br>

  Yes

  No

  N/A

• On very small jobs the second vacuum cleaner doesn’t necessarily have to be in use, though must be available on site for use if required. The NPU’s should be correctly fitted to the enclosure. Should circumstances require the NPU(s) to be located within the working area, the unit(s) should be completely sheeted out (not just a polythene sheet over) with only the prefilter exposed to the working area. Where accessible, check the NPU’s have functioning non-return flaps on the exhaust outlet. Extracted air should be vented outside where reasonably practicable. If not reasonably practicable, the expectation is that the exhaust air is regularly monitored by the analyst.

3.9 - DCU

• The DCU must be fully functional, maintained, operational, equipped and suitably positioned as per the POW
  

• Arrangements for DCU are

  Select Direct Connection Transit arrangements

  • Direct Connection
  • Transit arrangements

• DCU Pre Set up checks completed and recorded?

  Yes

  No

  N/A

• Valid GAS SAFE Certificate available (within the past 12 months)?

  Yes

  No

  N/A

• Valid NICEIC Electrical Safety Certificate Available from with the last 12 Months?

  Yes

  No

  N/A

• Previous air test available in the DCU?

  Yes

  No

  N/A

• CO Monitor fitted and working?

  Yes

  No

  N/A

• Is a direct connection the most suitable option?

  Yes

  No

  N/A

• The NPU on the DCU is functioning?

  Yes

  No

  N/A

• DCU Lighting and heating are functioning and sufficient?

  Yes

  No

  N/A

• There is heated water to the shower(s)?

  Yes

  No

  N/A

• The DCU is suitably stocked with consumables (e.g. nail brush, towels, shower gel,)?

  Yes

  No

  N/A

• There are sufficient type 5/6 Coveralls and RPE filters available?

  Yes

  No

  N/A

• There are sufficient showerheads for the number of RIS personnel on site?

  Yes

  No

  N/A

• Is there a suitable mirror in the clean end?

  Yes

  No

  N/A

• The DCU is as clean as is reasonably practicable?

  Yes

  No

  N/A

• Waste water is filtered and discharged either directly or via containers to drain?

  Yes

  No

  N/A

• External dirty end and internal doors are all self-closing and working?

  Yes

  No

  N/A

• DCU doors are marked (including the prohibited entry and mandatory PPE signage) where required?

  Yes

  No

  N/A

• If connected to mains electrical 240v, is a 30 milliamp RCD being used?

  Yes

  No

  N/A

• Is the earth spike available and being used?

  Yes

  No

  N/A

• Any other observation or concern regarding the decontamination unit should be noted here.

• A direct connection should be the first consideration on any job, with a transit arrangement an acceptable second option if circumstances require it. The DCU should be fully functional, equipped, stocked and fit for purpose. All doors, with the exception of the external clean end door, should be tested to ensure they are fully self-closing, where
  these doors are readily accessible to check. The external dirty end door should display the ‘No Unauthorised Access’ sign and the mandatory RPE and PPE signage. The external clean end door should display the ‘No Unauthorised Access’ sign, and the internal clean to shower door should display the mandatory RPE and PPE signage (though the RPE and PPE signage is permissible on the external clean end door). Even if the unit has signs of being well used, it should nevertheless be as clean as is reasonably practicable.
  

3.10 - Waste Arrangements

• Waste storage is secure and segregated as appropriate.
  

• Waste is not being allowed to accumulate?

  Yes

  No

  N/A

• Waste Containment is secure?

  Yes

  No

  N/A

• Waste is segregated from equipment?

  Yes

  No

  N/A

• What are the waste arrangements?

  Select RIS Vehicle Sulo Bin Enclosed & secure Asbestos Waste Skip Wait and Load

  • RIS Vehicle Sulo Bin
  • Enclosed & secure Asbestos Waste Skip
  • Wait and Load

• Whether the waste is being stored in a segregated section of an RIS company van, or in a skip, the containment should be secure/locked when not being accessed.

3.11- Emergency Arrangements

• There are suitable arrangements in place to deal with typical emergencies that may arise at this particular site, and employees are aware of such arrangements.

• Suitable arrangements are in place/evident?<br>

  Yes

  No

  N/A

• Employees are sufficiently aware of the arrangements?

  Yes

  No

  N/A

• There is a suitably stocked First Aid kit available for use on the site.

  Yes

  No

  N/A

• This is a check that arrangements are in place and that these arrangements have been communicated to the workforce. There needs to be at least a basic awareness (though not looking for expertise) of generic company procedures as well as those that are site specific, e.g. what happens if there is an accidental spillage of waste on the bag run, or, where is the muster point on this site? For practicality, questioning should be to workers not in the enclosure. The first aid kit should be clean and reasonably stocked (including plasters!). On some sites there is insistence that first aid provision is only provided through the client or main contractor.

3.12

• Other observations relating to asbestos risks.

• Any other observation or concern relating to asbestos risks to be noted here.

Section 4 – Observed Work Practices and Immediate Site Control: Non-Asbestos Risks

4.1 - Non asbestos site risks

• For significant non-asbestos risks on site, appropriate controls are being used / in place (excluding substances)
  

• Work at height

  Yes

  No

  N/A

• Live Services

  Yes

  No

  N/A

• Manual Handling

  Yes

  No

  N/A

• Noise

  Yes

  No

  N/A

• Hand Arm Vibration

  Yes

  No

  N/A

• Workplace transport

  Yes

  No

  N/A

• If appropriate controls are in place, then it is likely that there has been some assessment of the risks for this to be so. This standard is only concerned with these actual control measures, regardless of what might be included in the written risk assessment. The risks listed are significant, and if they are present on site then appropriate controls should be in place. Make notes regarding any significant risks that are not sufficiently controlled, and the extent of the deficiency.

• Other

• Any other significant non-asbestos risks that are lacking appropriate controls should be detailed here.

4.2 - COSHH

• For significant risks from substances introduced to site (or existing on site), appropriate controls are being used / in place / available

• Substances have been identified?

  Yes

  No

  N/A

• COSHH assessments are available?

  Yes

  No

  N/A

• Controls are in place / available?

  Yes

  No

  N/A

• This should include substances introduced to the site (e.g. spray adhesive, expanding foam, fibre suppressant, smoke machine fluid) as well as any substances already existing on the site. Controls identified in the COSHH assessments should be in place or available on site. If just the Material Safety Data Sheets are presented to you as a COSHH Assessment, then this is insufficient. The information contained within the data sheets should have been used to make an assessment of the actual risks to health.

4.3

• Other observations relating to non-asbestos risks.
  

• Any other observation or concern relating to non-asbestos risks to be noted here.

Section 5 - Plan of Work

5.1- Site drawing(s)

• The sketch plan clearly shows all the required details.
  

• Location of ACM's

  Yes

  No

  N/A

• Outline of enclosure

  Yes

  No

  N/A

• Adjacent areas

  Yes

  No

  N/A

• Airlock location

  Yes

  No

  N/A

• Baglock location

  Yes

  No

  N/A

• NPU location(s)

  Yes

  No

  N/A

• Viewing panel / cctv locations

  Yes

  No

  N/A

• DCU location

  Yes

  No

  N/A

• Transit route

  Yes

  No

  N/A

• Waste route

  Yes

  No

  N/A

• Waste skip / waste van

  Yes

  No

  N/A

• All of the features listed should be on the sketch plan, with the possible exception of the baglock (if space limitations require the airlock to double up as a baglock), or the transit route (if the DCU is directly connected to the enclosure). Please also make a note if the sketch plan is unclear, a poor copy or too small to clearly show all the required details.

5.2 - Site set up

• The actual site set-up matches the sketch plan.

• The features shown on the sketch plan have all been implemented in the site set-up?

  Yes

  No

  N/A

• The site set-up should mirror what is shown on the sketch plan. Minor differences (e.g. DCU rotated 90 degrees) are not really an issue. Omissions and additions would require amendments to the sketch plan and recorded as such.
  

5.3 - Plan of work

• The conditions, arrangements, practices and controls observed on site match those stated in the Plan of Work.
  

• The site supervisor is the supervisor named in the Plan of Work and ASB5?

  Yes

  No

  N/A

• The type of RPE being used matches that detailed in the Plan of Work (or Standard Procedures)

  Yes

  No

  N/A

• The construction of the enclosure(s) and airlock(s) matches that detailed in the Plan of Work (or Standard Procedures)

  Yes

  No

  N/A

• The dust suppression method observed matches that detailed in the Plan of Work

  Yes

  No

  N/A

• The removal procedure observed matches that detailed in the Plan of Work

  Yes

  No

  N/A

• The colours of overalls match those stated in the Plan of Work (or Standard Procedures) (Red for Enclosure work / Blue for Transiting / white for general site work)?

  Yes

  No

  N/A

• The Plan of Work, and any amendments to it, form a live document that should be kept up to date at all times. Therefore, you should find that the Plan of Work accurately mirrors what you have observed. This standard is all about assessing adherence to the Plan of Work by the site team. The information would mostly be found in the Plan of Work, supplemented by the Standard Procedures.

5.4 - Management Control

• The arrangements in the Plan of Work clearly convey how management have envisaged the work to be carried out
  

• Does the Plan of Work clearly detail when the work is to be carried out, including dates, start/finish times and weekend variations

  Yes

  No

  N/A

• Does the Plan of Work details the analytical company providing the 4-stage clearance?<br>

  Yes

  No

  N/A

• Does the Plan of Work detail who the analytical company is contracted to?<br>

  Yes

  No

  N/A

• Does the Plan of Work (or Standard Procedures) details the enclosure entry and exit procedures?

  Yes

  No

  N/A

• Does the Plan of Work (or Standard Procedures) details the arrangements for smoke testing and witnessing?

  Yes

  No

  N/A

• Does the Plan of Work details the air monitoring arrangements for the duration of the works?

  Yes

  No

  N/A

• Are the arrangements for waste disposal clearly described in the Plan of Work, and evident on site?

  Yes

  No

  N/A

• Does the Plan of Work (or Standard Procedures) detail the method and permissions required to amend the Plan of Work

  Yes

  No

  N/A

• Welfare facilities are detailed in the Plan of Work and are available for use as described

  Yes

  No

  N/A

• This standard also assesses adherence to the Plan of Work, with particular emphasis on how the job has been planned by management.

5.5 - Changes to POW

• Where amendments to the Plan of Work have been required, these have been authorised by the appropriate level of RIS Operational Management?

• Have required amendments to the Plan of Work / Sketch Plan have been made?

  Yes

  No

  N/A

• The required amendments have been correctly authorised where necessary?<br>

  Yes

  No

  N/A

• If amendments have been required they should have been made. If the changes are such that management authorisation was required, there should be a record of which RIS Manager authorised the change and when.

5.6 - Scope of works

• Is the scope of works is adequately described in the Plan of Work, and it matches the site setup?

• The details in the Plan of Work are accurately reflected in the information provided on the ASB5?<br>

  Yes

  No

  N/A

• The ASB5 is a summary of key information extracted from the Plan of Work, and therefore the details in the Plan of Work and on the ASB5 should match. In addition, the details should also match what is seen on site

5.7

• Any other observation or concern relating to the Plan of Work to be noted here.

Section 6 - Measuring and Monitoring

6.1 RPE

• All components of full face RPE are uniquely identifiable, and inspection records are complete for all RPE in use for all staff on site?

• All components of RPE are uniquely identifiable for all staff on site?

  Yes

  No

  N/A

• RPE inspection records available on site and are up to date?

  Yes

  No

  N/A

• Sufficient filters available for the RPE being used?

  Yes

  No

  N/A

• A respirator needs a service record. It cannot have a complete service record unless all parts are identifiable. Each component does not necessarily have to have the same number, just so long as each component is identifiable. This may be by serial number, name or initials etc. Up to date daily RPE inspection records should be available for all workers in the enclosure and anyone else likely to be involved in the works, e.g. waste run. There should also be copies of monthly RPE inspection records on site.

6.2 - Supervisors Site Checks

• All inspection records must be available for inspection by the auditor and are being kept up to date?
  

• Supervisors Site diary completed for each day?

  Yes

  No

  N/A

• Daily attendance sheet and visitors log completed?

  Yes

  No

  N/A

• Daily Exposure Records Completed?

  Yes

  No

  N/A

• TBT Record completed?

  Yes

  No

  N/A

• Enclosure checks?

  Yes

  No

  N/A

• Airlock Checks?

  Yes

  No

  N/A

• Baglock checks?

  Yes

  No

  N/A

• NPU(s)

  Yes

  No

  N/A

• NPU pressure gauge readings

  Yes

  No

  N/A

• NPU anemometer readings

  Yes

  No

  N/A

• Type H Vacuum cleaners

  Yes

  No

  N/A

• Daily DCU checks completed?

  Yes

  No

  N/A

• DCU pressure gauge readings for NPU

  Yes

  No

  N/A

• Blasting / Quilling equipment

  Yes

  No

  N/A

• Scaffolding / mobile towers

  Yes

  No

  N/A

• Valid PASMA card for staff erecting mobile tower scaffolds?

  Yes

  No

  N/A

• Using fixed scaffolding? is there a valid certification within the previous 7 days?

  Yes

  No

  N/A

• MEWP’s

  Yes

  No

  N/A

• MEWP Operators have a valid IPAF card for the type of MEWP being used?

  Yes

  No

  N/A

• There should be records kept of all the elements listed, where applicable. These should be up to date at all times.

• Other

• Any other equipment that would require inspection records to be included here.

6.3 - Smoke test of enclosures

• Smoke test record for the enclosure been completed for each enclosure is required, and the witness details match those stated in the Plan of Work?
  

• Has a smoke test record has been completed?

  Yes

  No

  N/A

• Has the smoke test been witnessed by the person / organisation detailed in the Plan of Work?

  Yes

  No

  N/A

• There should be a smoke test record, which should match up with the arrangement in the Plan of Work, including being witnessed as per the RIS Plan of Work. Make a note if witness details do not match. On the rare occasion when a smoke test is not feasible, this should have been determined at the planning stage and a suitable alternative arrangement for checking the integrity of the working enclosure should be detailed in the Plan of Work, and a record kept which shows the arrangement has been followed.

6.4

• Air monitoring and personal sampling has been carried out in an appropriate time period, with a clear indication of the tasks being undertaken during monitoring

• Background / leak tests and/or personal monitoring have been planned for this job according to the Plan of Work

  Yes

  No

  N/A

• It would be reasonable to expect the air monitoring programme to have commenced by the point of audit

  Yes

  No

  N/A

• Air monitoring has been undertaken as proposed

  Yes

  No

  N/A

• Personal air monitoring records provide a clear indication of the tasks being undertaken during monitoring

  Yes

  No

  N/A

• The first item on the checklist determines whether any air monitoring has been planned for the job in addition to the 4 stage clearance. The second and third items test whether this has been done (or arranged) as planned, within reason. Any personal monitoring having been undertaken should also clearly describe what tasks were being undertaken during the monitoring.
  

6.5 - Management Involvement

• Is there is evidence of management involvement to monitor progress and standards on site, through management visit, internal audit or inspection?
  

• Evidence of RIS Management involvement on site since the commencement of works, e.g. site visit as planned and scheduled in the Plan of Work

  Yes

  No

  N/A

• Management involvement was scheduled to have taken place, but there is no evidence of such involvement

  Yes

  No

  N/A

• It would be unreasonable to expect management involvement up to the point of audit, e.g. early stage of contract, or future visit scheduled

  Yes

  No

  N/A

• Remedial action has been taken as a result of the management involvement?

  Yes

  No

  Not Required

• The Plan of Work will often state how often RIS Managers and Directors will visit site as part of planned management of the job. This is a check on whether this has taken place as planned, or otherwise. If a visit has been made, was there an outcome, feedback, remedial action required etc.? Is there evidence of any required action having been implemented?
  

6.6

• Other observations relating to measuring and monitoring

• Any other observation or concern relating to the measuring and monitoring to be noted here.

Section 7 – Supporting Documentation

7.1

• The copy of RIS Standard Operating Procedures on site is current, and matches the version referred to in the Plan of Work
  

• RIS Asbestos Standard Operating Procedures are current?

  Yes

  No

  N/A

• The RIS Plan of Work makes references the RIS Asbestos Standard Operating Procedures?

  Yes

  No

  N/A

• The version number of the Standard Procedures matches the reference in the RIS Plan of Work?

  Yes

  No

  N/A

• The Standard Procedures document on site should be current, so far as you are able to ascertain. The Plan of Work should make reference to the current version of RIS Standard Operational Procedures.
  

7.2 - Plant certification

• Current certificates of thorough test and inspection must be available for all plant on site
  

• NPU(s) on enclosure

  Yes

  No

  N/A

• Type H Vacuum cleaners

  Yes

  No

  N/A

• NPU in DCU

  Yes

  No

  N/A

• Injection machine

  Yes

  No

  N/A

• Quilling / Blasting machine

  Yes

  No

  N/A

• These should all be available on site, with serial numbers matching the equipment being used. A current certificate attached to the equipment is not ideal but acceptable. A sticker on the equipment is NOT acceptable as a certificate of thorough test and inspection!

7.3 - Site Staff Documentation

• Select a supervisor and an operative, at random. Indicate whether they are in the enclosure or not. You can include anyone on site who is involved in the site works. Permitted exemptions would include the driver who has quite obviously just arrived on site to deliver a piece of equipment, or the Contracts Manager who is attending site in his role as a Contracts Manager. Current medical certificates must be present. If they really have just had a medical and are awaiting the certificate, then RIS would expect a note from RIS Operations to already be present in the site file to cover this. The supervisor and each operative on site should be able to produce either a certificate of competence issued by the Royal Society for the Promotion of Health (RSPH), which is no more than 12 months old or a current training record (new or refresher, valid for 1 year) or evidence of competence derived through Training Needs Analysis by their employer. For the RSPH certificate, level 2 refers to Operatives, and level 3 to Supervisors. Face fit tests should match up to the RPE in actual use. It is not uncommon to find operatives using one type of RPE and having a face fit test certificate for another type. Note that there is no official expiry date for a face fit test. Employees should be clean shaven. If they are in the enclosure, it is not necessary for the auditor to try to observe and confirm this.

• Medical, training/competency and face fit certification for 2 selected employees is valid, relevant, in date, and authenticated where necessary by RIS.

• Name Of Employee 1

• Employee is in the enclosure?

  Yes

  No

  N/A

• Current medical certificate is on site?

  Yes

  No

  N/A

• Evidence of competence (competence certificate less than 12 months old or current UKATA / IATP training certificate or evidence through TNA) is on site?

  Yes

  No

  N/A

• Face fit test certificate is available for the RPE in use? Both for Full face and 1/2 mask RPE

  Yes

  No

  N/A

• Employee is clean shaven?

  Yes

  No

  Unable to check as employee is in enclosure

• Name Of Employee 2

• Employee is in the enclosure

  Yes

  No

  N/A

• Current medical certificate is on site?

  Yes

  No

  N/A

• Evidence of competence (competence certificate less than 12 months old or current training certificate (UKATA /IATP) or evidence through TNA) is on site?

  Yes

  No

  N/A

• Face fit test certificate is available for the RPE in use?

  Yes

  No

  N/A

• Employee is clean shaven?

  Yes

  No

  Unable to check as employee is in enclosure

• For certificates where the name of the company being audited has not been recorded on the certificate by the provider; Has each copy been authenticated by, or under the direction of an RIS Senior Manager / company stamp, with a statement confirming their validity?<br>

  Yes

  No

  N/A

• This requirement applies only to copies of certificates – original certificates need not be authenticated. For auditing purposes, this requirement applies to copies of certificates that do not have the name of the company you are auditing printed on them by the certificate provider. For example, if the certificate was awarded to Joe Bloggs of XYZ Asbestos Ltd, and you are auditing XYZ Asbestos Ltd, then no further action is required for this part of the audit. Where the copy certificate does not bear the name of the company being audited (i.e. no company name, or different company name) then these copies should be verified / authenticated by RIS Operations, with an official company stamp and individually signed and dated by a senior representative of RIS (i.e. not by the site supervisor). There should also be a statement confirming their validity. Indicate yes only if all copy certificates requiring validation were verified or authenticated. Copies of authenticated certificates are acceptable, which is a change from the previous guidance. Stamps that merely state “copy” or “checked” or only display the company name are not sufficient. Some LARC licence holders may opt to provide site packs in electronic format. For site audit purposes, the auditor can / would accept electronic copies of employee certificates, providing they are accessible, in date, and there is a declaration by an authorised person from RIS as the LARC, within the data folder, that the copies provided electronically are verified / authenticated copies. There would be no need for each copy certificate to display the validation stamp, signature etc

7.4 - DCU

• There is evidence of a clearance test certificate for the DCU from the previous job

• A clearance test certificate is available for the DCU in use?

  Yes

  No

  N/A

• It may be difficult to know if the certificate is actually from the previous job, or for a job prior to that. Make a judgement if you think the certificate presented is the most recent or not

7.5

• Other observations relating to supporting documentation

• Any other observation or concern relating to supporting documentation to be noted here.

Section 8 - Additional comments / Notes on overall performance

• Any other notes, observations or explanations can be included here

Supervisor comments on audit

• Insert comments made by the supervisor on the audit performance