Audit Summary
What are the main risks identified from the audit?
Areas to follow up:
Audit score:
Overall audit summary:
Background/Previous Audit Notes
EA check complete?
HSE check complete?
VOSA check complete?
Any other relevant checks under taken?
Has a Dunn and Bradstreet risk review been undertaken?
Have the company Directors been subject to a Director check?
Registered company name:
Managing Director:
Does the SP have a parent company?
Does the SP have any subsidiary companies?
Section 1.0 Licences & Permits
Definition:
1.11 Does the SP have a valid waste carriers licence?
Name of registered carrier:
Registered as:
Registration number:
- Head Office
- Main Site
- Secondary Site
Date of registration:
Date of expiry:
1.12 Does the SP have a valid site permit or exemption?
1.13 Is the SP registered as a hazardous waste producer?
1.21 Does the SP have an operators licence?
1.22 Does the SP have valid MOT certificates? (2 examples)
Test certificate number:
Vehicle:
Start date:
End date:
1.23 Does the SP have a weigh bridge calibration certificate?
1.24 Are the SP's vehicles fitted with GPS tracking systems?
1.25 Are the SP's vehicles fitted with a Safe Cycle system? (e.g. FORS scheme in London)
Section 2.0 Insurances
Definition:
2.11 Does the SP have valid insurance documentation?
Type of Insurance:
Insurer:
Policy holder:
Policy number:
Issue date:
Expiry date:
Section 3.0 Waste Transfer Notes
Definition:
3.11 What is the SP's primary SIC code?
3.12 What is the SP's secondary SIC code?
3.13 Does the SP maintain waste transfer notes?
Site name:
Date:
EWC code:
SIC code:
Commitment to waste heirachy:
Description of the waste:
Waste producer details:
Signature of waste producer:
Waste transferee details:
Signature of waste transferee:
Final disposal details:
Signature of final disposal:
3.14 Has the SP heard of EDOC?
Section 4.0 Investigations
All comments given below are the answers provided by the Service Provider. SP signature is required to confirm the information provided in Section 4.0 is correct to the best of their knowledge.
Definition:
4.11Has the SP received any complaints from local businesses or residents?
4.21 Has the SP been issued with any improvement notices or breaches of legislation over the last 12 months?
4.31 Has the SP reported any RIDDOR incidents?
Section 5.0 Policies
Definition:
5.11 Does the SP have a Health and Safety Policy statement?
5.12 Does the SP have an Environmental Policy statement?
5.13 Does the SP have a Quality Policy?
5.14 Does the SP have a Data Protection Policy?
5.15 Does the SP have a Corporate Social Responsibility Policy?
5.16 Does the SP have an Equal Opportunities Policy?
5.17 Does the SP have a Lone Working Policy?
5.21 Does the SP have a designated Health and Safety representative?
5.22 Does the SP have a Health and Safety handbook?
5.31 Has the SP carried out risk assessments?
5.41 Does the SP have a Business Continuity/ Disaster Plan?
Section 6.0 Procedures
Definition:
6.11 Does the SP have any emergency procedures in place?
6.12 Does the SP conduct routine emergency drills? (Document evidence)
6.13 Are employees required to wear PPE whilst on site?
6.14 Does the SP have a written accident reporting procedure?
6.14 Has the SP produced Method Statements/Safe Working Practises/ Safe Operating Procedures?
Section 7.0 Training
Definition:
7.11 How does the SP communicate policies and procedures to employees?
7.12 Does the SP have an induction process for new employees?
7.13 Does the SP provide regular training for employees?
7.14 Does the SP have a training matrix?
Section 8.0 Waste Streams
Definition:
What M&S waste streams do the SP handle?
What process does the SP use on site?
What waste streams are produced at the end of the process?
8.21 Does the SP produce any residual waste from M&S waste?
Section 9.0 Sub-Contractors
Definition:
The risk ranking for the contractors identified in the following section is subject to change if the sub-contractors are identified as a high risk.
9.11 Does the SP utilise sub-contractors/ third parties on M&S waste? (For each waste stream and hauliers)
Name of contractor:
Waste handled:
How does the SP choose a contractor?
How does the SP monitor their sub contractors?
Are KPIs set?
Does the Sub contractor require and audit?
Section 10.0 Certificates/Awards
Definition:
10.11 Does the SP have any certifications?
Type of certificate:
Start date:
Expiry date:
10.21 Does the SP have any awards?
Type of award:
Start date:
Expiry date:
Section 11.0 Site Inspection
Definition:
11.11 Is the site secure? (Give details)
11.12 Are visitors requested to sign in and off site?
11.13 Is the site clean and well maintained? (Give details)
11.21 Is PPE used correctly in site?
11.22 Are site speed limits adhered to?
11.23 Is the waste stacked correctly?
11.24 Are there any designated walkways?
11.25 Do they have spillage kits?
11.26 Are there designated fire points?
11.27 Is there a safe means of escape?
11.28 Is the SP displaying the correct H&S poster?
11.31 Any general observations?
Signatures
12.0 Can the SP confirm that they conform to M&S's zero waste to landfill policy?
