Information
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Document No.
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Audit Title
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Client / Site
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Conducted on
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Prepared by
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Location
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Personnel
Previous Auditing internal auditing procedure and corrective action procedure
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Is there evidence of previous auditing on site? (E.g. Weekly checks sheets, external auditing)
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Have actions from previous audits been carried out within the timescale given?
Corporate Policies
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Are the following policies clearly displayed? Are these communicated to all relevant employees and contractors?<br><br>Corporate Social Responsibility<br>Health & Safety<br>Energy Policy<br><br>
Objectives & Targets
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Are the site objectives and targets set and reviewed as part of the SAP?
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Are the group objectives & targets on display?
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Have local objectives and targets been set to seek improvements in-line with the group objectives and targets acknowledging business risk and are they on display?
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Do the local objectives and targets seek continual improvement in-line with SMART goals?
Health & Safety - Health and Safety at Work Act 1974
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Is there a copy of the Health and Safety policy available on site and displayed on the notice board?
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Is the Health and safety at work poster complete with up to date information and displayed prominently?
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Is there an organisation plan on site, detailing Health and Safety responsibilities of key members of staff, including site safety reps and fire wardens?
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Are members of staff who have Health and Safety responsibilities fully aware of these? Has training been given and recorded?
Asbestos Procedure (Control of Asbestos Regulations 2012) procedure
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Are there Asbestos Containing Materials (ACM) present on site? (If no move onto next section)
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If yes, has a survey been completed and is a copy of the Asbestos register available on site?
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Have staff who are potentially exposed to asbestos received Asbestos awareness training? <br>Are records of the asbestos awareness training ( SOP and other) held on site?
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Have checks been carried out by a competent contractor within timescales defined in the Asbestos management plan?
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Have routine visual checks been carried out as per the asbestos management plan? Have these been recorded?
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What information is provided to subcontractors planning work on site?
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Has any ACM been removed from site in the last 3 years? If yes, have copies of licenses and hazardous waste consignment note been provided by the contractor to prove competence and correct disposal?
Accident / Incident Procedure for transport related incident reporting of Injuries, Diseases And Dangerous Occurrences Regulations Workplace Safety (Health, Safety and Welfare Regulations)
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Is there a reporting procedure in place to ensure all accidents/incidents are reported to site management immediately?
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Have all accidents / incidents reported been appropriately investigated and timely actions taken to prevent re-occurrence?
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Where an accident has the potential to become RIDDOR reportable, has the site Manager consulted with the Regional H&S Advisor prior to the submission of the report to the HSE?
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Choose two random accidents from the last three months, can the completed paperwork be found quickly and efficiently? Have the actions required been completed and the incident report effectively closed out?
Risk Assessment procedures 4.1and 4.2 Management of Health and Safety at work Regulations
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Are suitable, sufficient and valid risk assessments available on site? How often are they reviewed? Have they been reviewed in the last year?
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Are primary risk assessments being used for site specific tasks?
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How are tasks outside the normal scope of works managed? (Primary risk assessment, authorisation to work)?
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Choose two random tasks ask for Risk Assessments and SOP to verify if it is valid, suitable and sufficient? Are control measures listed in place?
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Is there a Permit to Work system in use for high risk work such as hot work, confined spaces etc?
Lone Working procedure
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Do employees on site undertake lone working at any time?
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If yes, is there a lone working Risk Assessment in place?<br>Has the risk assessment and the control measures were communicated in writing to the relevant employees?
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Is there a suitable system in place for contacting lone workers (eg: phone call every 30 minutes)
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Is there a system in place for checking the suitability of lone workers? (Eg: existing health problems)
Management of Contractors procedure
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Identify the process of managing contractors works, from planning to completion is this suitable and efficient?
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Are contractors Risk Assessments and Method Statements and competency records reviewed prior to works commencing? Is there a set criteria that must be achieved? Is the person responsible for reviewing these competent to do so?
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Is the process whereby site rules and site information can be provided to subcontractor employees (eg: site induction, toolbox talks)? <br><br>Are all contractors inducted via the H&S induction video?
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Are audits, spot checks or safety inspections carried out on contractors works? If yes, are they recorded sufficiently?
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Where contractors works and our own are likely to interface, there a procedure in place to ensure communication between all parties? (Eg: regular meetings, on site discussions etc)
COSHH Control of Substances Hazardous to Health Regulations
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Is there a list of substances being used/held on site?
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Are there completed COSHH assessments available for all substances on the list?
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Have these assessments been communicated to the workforce? Is the procedure for this sufficient?
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How is COSHH awareness promoted on site? Is the level of information sufficient? (E.g.training, posters, leaflets)
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Are there occupational health arrangements in place? (Eg: per employment screening, medicals, noise and dust exposure etc)
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Choose an ongoing task where a substance is in use, ask to see the COSHH assessment, check the correct PPE is being worn, ask the user some basic questions about the substance they are using. Was this sufficient?
Training and Competence And employees training
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Are all members of staff inducted and records are available on site?
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Is there a valid and up to date training matrix on site? <br>Has gap analysis been carried out and training issues planned for?
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Are the minimum training and certification requirements set out for each job role?
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How does the site management team ensure that safety information and training is provided to all members of the workforce? (E.g.safety briefings, toolbox talk etc)
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Choose two random employees, compare a copy of their role profiles with their current qualifications, training and experience. Are they competent? Are any training needs identified on the training matrix? Have PARs been completed?
Waste Management procedure Environmental Permitting ( England and Wales ) Regulations Pollution Prevention and Control ( Scotland) Regulations Environmental Protection Act 1990 Hazardous Waste ( England and Wales) Regulations
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Following the site tour, could you describe the waste segregation, storage and labeling as being compliant?
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Is the site daily log being completed correctly as set within the site licence and ODMP?
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Duty of Care ( Environmental Protection ( Duty of Care ) Regulations 2011<br><br>Sample 3 waste transfer notes on materials input to the site and 3 for material outputs and record the following:<br>Input -<br>Waste description/ waste producer/ waste carrier registration/ticket number/SIC/ waste hierarchy declaration / Duty of Care note reference number<br><br>Output - <br><br>Waste description / waste carrier/ weigh bridge ticket number /weight/ destination/ the licence number of the destination facility that accepts the material(s)<br><br>Based on the findings, please indicate the state of compliance as a declaration, based on the sample documents!
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Does the site produce hazardous waste? If yes, what is the site registration number and is it valid? <br>Has the hazardous waste producer number being used on the hazardous waste consignment notes?<br>Are records of hazardous waste retrievable and available for the last three years?
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Are records of waste carrier licence and waste transfer note are kept on site in an organised manner?
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Is there is a mechanism on site to prevent over weight vehicles from leaving the site?
Transport 4.9 Transport Act 1968 Goods Vehicle (Licensing of Operators) Act1995 The Road Transport Regulations 2011
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Vehicle operation licence compliance - are the number of vehicles and trailers on-site within the legal numbers permitted?
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Select two random drivers and review their licences and training records.
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Select two vehicles maintenance files and review the service intervals, daily inspection records and defect records.
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Does the vehicle maintenance planner identify a 12 month schedule?
Plant, Equipment and Maintenance Control of noise at work regulations Control of vibration at work regulations Provision and Use of Work Equipment Regulations Lifting Operations and Lifting Equipment Regulations Work at Height Regulations
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Is there an asset register in place on site? Is it up to date? And does it list required inspection dates?
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Are daily visual checks being completed? Is there a programme of written inspections being carried out and recorded?
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Are employees using access equipment for work at height (scaffold, razor decks etc) competent in use? (Eg: PASMA trained when erecting and dismantling scaffold)
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Are harnesses, lanyards and man safe systems in use? If yes, have they been inspected and are users trained and competent?
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Are there ladders in use on site? If yes, are they only used for a short duration work and subject to a routine inspection?
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Are items of plant and equipment stored in line with the manufacturers' recommendations?
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Are all portable electrical items PAT tested?
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Is there a system in place to control the issue of plant and equipment to prevent unauthorised use? (Eg: a sign out sheet)
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Are regimes for statutory inspections managed effectively? (In line with calibration procedure 3.3 calibration and statutory inspections)<br> Are records kept on file and hard copy?
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Choose two items of plant and equipment, are they listed on the asset register? Are they in good condition? Consider storage, how it's used, maintenance schedule, training required for its use etc.
Noise and Vibration Control of Noise at Work Regulations Control of Vibration at Work Regulations Personal Protective Equipment Regulations
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Is there a noise and / or vibration procedure on site?
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Does noise and vibration form part of the Risk Assessment process?
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Where noise is above the exposure action values is there a procedure in place to eliminate, reduce it and protect employees?
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Where vibration is present, is there a procedure in place to prevent employees exceeding the maximum daily exposure limit and inform them of the 'trigger times' for the equipment?
Personal Protective Equipment Personal Protective Equipment Regulations
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Does the site have mandatory PPE requirement?
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Based on the site inspection were all staff and contractors seen wearing the correct PPE?
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Is PPE readily available? (Eg: kept in stock)
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How is the issue of PPE recorded? Is it sufficient?
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Have any safety briefings, toolbox talks etc been delivered on the use of PPE and its maintenance?
Fire Safety and First Aid Regulatory Reform (Fire Safety) Order 2005 Fire (Scotland) Act 2005
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Is there a fire evacuation plan in place? Has a fire drill been carried out? What was the date of the last drill and alarm test?
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Is there a fire risk assessment on site? Has it been reviewed regularly?
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When did the site have its last electrical thermographic survey?<br>Were the findings/ recommendations addressed?
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Are there suitable means to alert people in the event of fire? (Eg: speaker system, alarm system, visual alarm for people with hearing difficulties)
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Are fire extinguishers available? Have they been inspected in the last year? Are they suitably positioned and the correct type for the area and its contents?
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Do fire exits lead to a place of safety? Consider lighting, space etc
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Are fire doors to the correct specification?<br>E.g. - FD 30 - fire door 30 minutes integrity & insulation <br>(S) smoke seal<br>RFG 30 /60 fire resisting glazing 30/60 minutes resistance <br>All fire doors must open in the direction of travel
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Are fire exit direction signs correctly positioned, lit and easy to understand / follow?
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Are there trained fire marshals / wardens? Are they sufficient in number for the amount of people in site?
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Are there sufficient first aiders available on site?
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Are there sufficient first aid boxes and eye wash stations and are they kept stocked?
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Is there a suitable system available for getting first aid assistance when required?
General Site Safety Manual Handling Operations Regulations 1993 Employers Liability (Compulsory Insurance) Regulations 1998 Health and Safety at Work Act 1974 Management of Health and Safety at Work Regulations 1999 work at Height Regulations 2009 Electricity at Work Regulations 1989 F-Gas Regulations 2009 Legionnaires' Disease ACOP L8
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Is a site safety plan displayed and does it accurately reflect the current site operations?
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Are near miss incidents and slips, trips and fall hazards identified and reported?
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Has DSEAR been considered? Are there appropriate control measures in place?<br>Is there a DSEAR site register and has the fire/ explosion hazard been identified for activities where there is the potential for contact with LFG or other?
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Is working at height required on site? If yes, give evidence of control measures.
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Has electrical hardwire installation inspection and testing been undertaken an is valid?<br>Does the inspection record available on site?<br>Are the reports finding being addressed?<br>
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Have relevant employees been trained in manual handling?
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Have relevant employees had a Display Screen Equipment assessment?
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Does the site have a Legionella Risk Assessment and is it in date?
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Have all air conditioning units maintained in accordance with the F-Gas Regulations? Are copies of the maintenance contractors available?
Environment
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Does the site have a current CSR policy, is it displayed on notice board?
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Is the Site Environmental Risk Assessment valid and are the risk and control measures reflecting the current operations on site?
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Has the site set and test the Unit Emergency Plans at regular intervals? Are the UEPs valid and appropriate to the site operations?
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Have all relevant staff received Environmental Awareness training?
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Are any substances in use dangerous to the environment? If so are control measures in place?
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Are all stored substances on drip trays or bunded to 110% capacity or 25% of the total volume of the oils/substance?
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Are there spill kits readily available?
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Is there a procedure in place to prevent spillages entering the drains or watercourses? Have all spillages been reported and investigated thoroughly?
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Does the site have or required to have a discharge consent (trade effluent or surface water discharge consent)
Quality
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Is the up to date Quality policy displayed on the notice boards?
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MRF quality output sampling - is the site sampling in line with the requirement of the MRF protocol 24.1.7?
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At the MRF are the output bales material clean from visual contamination and stored in the correct manner as set within the RA and SOP?
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Have all employees received Quality awareness training?
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Is there evidence of quality checks being carried out during and after works?
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Are materials being stored in line with the manufacturers' guidelines?
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Is a suitable system in place for communicating quality requirements to contractors?
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Are standardised forms in use the most current version?
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Select three items of monitoring equipment, are they calibrated and is a certificate of calibration dated within the last year?
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Are Quality issues discussed at site meetings? Are the minutes available?
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Have critical new and existing suppliers and contractors been evaluated in accordance with procedure 16.15.24(b)
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Have all non-conformances raised, been closed out with suitable actions in place to prevent re-occurrence?
