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SRC 002: Site Audit Construction (Design & Management) Regulations 2015
SRC 002: Site Audit Construction (Design & Management) Regulations 2015
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SRC 002: Site Audit Construction (Design & Management) Regulations 2015

Assessment of site compliance against CDM 2015

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Free SRC 002: Site Audit Construction (Design & Management) Regulations 2015 Checklist

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Title Page

  • Site conducted

  • Conducted on

  • Prepared by

  • Location

Untitled Page

Audit Findings

  • Audit Findings

  • Item No

A. Site Access/Egress and General Site Safety Information

  • Are external approach roads free from mud or obstruction? Any litter issues?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is adequate signage displayed on the approach road to the site?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is access/egress to the site suitable and sufficient for both vehicles and pedestrians?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • On site, are vehicles/plant and pedestrians segregated from each other where reasonably practicable?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are sufficient security arrangements in place to deter and prevent unauthorised entry to the site?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is the site office and layout clearly signed?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is there a H&S Notice board displayed and does it clearly and legibly display the following? • Relevant information such as daily activities and/or top hazards; • Relevant safety bulletins or notices

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is there an Environmental Management Plan (including environmental emergency response) and is it adequate, current, clear, and legible?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is a Traffic Management Plan displayed and is it adequate, current, clear, and legible?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is there an effective booking in/out process in place and is it used correctly?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are speed limits in place and clearly visible and adhered to?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is the internet connection suitable for the Plant operations needs and requirements?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are communication means suitable and available to alert the emergency services? (landline, mobile signal) Is there a direct link to the Fire Service?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

B. First Aid, Fire, and Emergency preparations General

  • Is access for emergency service vehicles clearly indicated, kept clear, and unobstructed at all times?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are First Aid, Fire, and emergency procedures prominently displayed, clear, and legible?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are Emergency Assembly Points suitably located and signed as such?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are all emergency escape routes clearly indicated, kept clear, and unobstructed at all times?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Has the route to the local hospital route been identified and is it clearly displayed?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

C. First Aid

  • Is there an adequate number of First Aid posts suitably located and signed as such?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • How are First Aiders alerted in the event of an accident requiring their assistance?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is the number of trained First Aiders adequate for the size and complexity of the site?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is the standard of training for First Aiders adequate for the perceived risks on the site?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are all shift patterns adequately covered by First Aid provision?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are all first aiders current? Are copies of their qualifications available?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are photos and contact details of First Aiders prominently displayed at suitable locations?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is an Accident Book available and kept up to date?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is the Accident Book managed as per The Health & Safety (First Aid) Regulations and the General Data Protection Regulation (GDPR)?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is the procedure for accident and incident reporting suitable and sufficient and compliant with RIDDOR 2013 and GDPR?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is the provision of First Aid equipment (including safety showers and eyewash stations) suitable and sufficient for the site?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is someone designated responsible for maintaining the first aid equipment?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is all first aid equipment (including safety showers and eyewash stations) in good condition and in date?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • If safety showers and/or eyewash stations are provided, is there a formal procedure for their regular inspection, service, and maintenance, and who is responsible for this?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

D. Fire

  • Is a suitable and sufficient Fire Risk Assessment in place and available? Is it current? Are there any concerns still to be actioned?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is fire detection and alarm equipment suitable and sufficient for all areas of the site?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Can the fire alarm be clearly heard by everyone on the site?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are suitable fire prevention measures in place and complied with? Are there suitable procedures in place for the regular inspection, service, and maintenance of the fire safety systems?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is the number of Fire Marshals/Wardens adequate for the size and complexity of the site?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are photos and contact details of Fire Marshals prominently displayed at suitable locations?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Do all Fire Marshals understand their role and responsibilities?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is there an adequate number of Fire Points suitably located and signed as such throughout the site?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Do all Fire Points contain suitable firefighting equipment and is it in good condition? Do all fire extinguishers have evidence of regular service and inspection (within last 12 months)?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • If fire water tanks are provided, do they contain sufficient quantity, and are they regularly inspected and maintained?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Has practical firefighting training been given to a sufficient number of operatives at the site?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are fire drills with full evacuation regularly practised? What date was the last Fire Drill?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

E. Other Emergencies and Preparedness

  • Are adequate procedures in place to ensure safety in the event of a power failure?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are adequate procedures in place to warn and control of a significant gas escape or uncontrolled release of gas?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are adequate procedures in place to warn and control of a significant chemical leak, spillage, and/or uncontrolled release of a substance?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are adequate procedures in place to warn and control any potential issues caused by natural forces such as floods or severe thunderstorms?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is suitable lightning protection in place and does it cover all relevant areas of the site?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are emergency shutdown procedures in place for any plant and are these procedures clearly displayed or available?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is authority required to perform an emergency shutdown of any plant if required? If so, who by?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Have all relevant personnel been suitably trained to perform an emergency shutdown if required? Provide evidence

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is a formal restart procedure in place following an emergency shutdown and what authority is required prior to initiation?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

F. Static Plant, Machinery and Equipment, and Portable Electrical Equipment

  • Does all static plant, machinery, and equipment appear to be in good condition?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is all applicable plant, machinery and equipment inspected and maintained as per PUWER 98, and is evidence available?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are all required inspection, maintenance, service, and compliance events forecasted and arranged?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are records available for all completed inspection, maintenance, service, and compliance events?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are there any outstanding maintenance, service, inspection, or compliance events? If so, provide details

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is there a current single calibration register maintained that lists all applicable tools, equipment, machinery, and plant? Are there any items overdue calibration?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is there a suitable procedure for fault reporting and does it include feedback to the originator?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Does the fault reporting procedure have a priority system whereby faults must be resolved within a stated timeframe?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Do all operatives fully understand the fault reporting system and how to use it?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are electrical extension cables used and if so, are they of an appropriate grade and voltage and CE/UKCA marked?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is PAT testing carried out for all applicable equipment and is a register kept of all inspection results? (new equipment requires a visual inspection only recording)

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are all fixed electrical installations regularly inspected and an Electrical Installation Condition Report produced (EICR) also referred to as a Periodic Inspection? (portable cabins used as permanent installations also meet this requirement). Provide date of last inspections and type of inspection

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is there a quarantine area for applicable items that are awaiting service, inspection, calibration, repair, or replacement?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

Is there a system of auditable and documented authority from senior management for any maintenance work or activity outside of the normal intended operation that includes changes or adjustments?

  • Are RAMS, Safe Working Instructions, Safe Systems of Work or equivalent available and complied with for all work processes and/or activities?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is a robust and suitable Permit to Work system in place and does everyone fully understand and comply with it?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Does the Permit to Work cover all required tasks and activities? Is there a comprehensive list of all activities that require a PTW?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are there any discrepancies with any previously completed permits?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is the LOTO procedure in place and used effectively where required?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are suitable precautions in place for detecting over pressurisation and raising an alarm?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

G. Mobile plant/vehicles

  • Are receipt inspections carried out and recorded for all hired in plant? (visual inspection only)

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are daily operator prestart checks of mobile plant completed, and are records retained and available?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is the equipment being serviced in line with the maintenance schedule, is the operator carrying out the required greasing up and oil checks etc? Is evidence of this available?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is a suitable fault reporting system in place and used effectively?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are there any obvious faults or defects apparent on any plant or vehicles and if so, have they been reported?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is there an operator manual in the cab of the plant? Is it correct for the type and model of machine and clear and legible?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Where applicable, is there a load rating chart fixed in the cab and is it clear and legible?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are Flashing Beacons in use on all site plant and vehicles?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are any audible or visual reversing alarms fitted and functional?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are seat belts worn? Are green beacons used to indicate this?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are keys removed from the plant or vehicle when not in use, and are they kept secure?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is all plant operated by competent persons and is evidence available of this?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

H. Training/Competence

  • Is there a comprehensive training matrix in place, available and maintained that shows all training completed, and forecasted renewal and refresher dates?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are refresher training carried out at suitable intervals and is this recorded?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is all inhouse training adequate with details suitably documented and recorded? Does it include a means and criteria for assessing and measuring competence?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is all plant operated by qualified, current, and competent operators? Are records of qualifications and/or competence available and are they current?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are there any areas of work activity that operatives and/or management have not been suitably trained?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Have all relevant persons been adequately trained in the PTW and LOTO systems and has this been recorded?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Have all staff on site received basic training on emergency procedures and are records retained?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are toolbox talks regularly carried out and records retained and available? What was the topic of the last talk and when?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is the induction process suitable and sufficient for site staff, contractors and visitors, and are adequate records kept?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Have all personnel working at or visiting the plant been suitably inducted?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are copies of training certificates & relevant qualification cards for employees, agency staff & subcontractors retained?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

I. Personal Protective Equipment (PPE)

  • Is there a register of PPE issued to individuals that shows type of PPE issued, date of issue, date of renewal (if applicable), and record of training in its use and care?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is there a register of breathing apparatus issued to individuals that shows type of apparatus issued, date of issue, date of testing, inspection and maintenance, and record of training in its use and care?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are the mandatory 3 monthly air quality tests of the compressed air to breathing apparatus carried out and recorded, and do these tests include water and dew point measurements?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is a record of Face Fit testing available within the previous 3 years for all applicable operatives and management? Does it relate to the type of PPE used?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is the correct type of PPE available for each hazard and are operatives trained to use it?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is PPE used correctly where applicable, and is it maintained, and stored correctly?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is a stock of PPE available for replacement as required or for visitors/delivery drivers etc?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are Vehicle Marshals, Slinger/Signallers and Banksmen adequately recognisable as such?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

J. Welfare

  • Do the provided facilities comply with The Workplace (Health, Safety and Welfare) Regulations 1992?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are the facilities suitable and sufficient for the number of expected users?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are the facilities maintained in a clean, hygienic condition?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is food stored in way to prevent the attraction of vermin?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is appropriate health, safety, and environment, information displayed in welfare areas?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are smoking areas provided for those that smoke? (not mandatory)

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • When applicable, are adequate COVID control precautions implemented and used effectively?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

K. Environment

  • Is there a site waste management plan in place? Does it include waste streaming?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Housekeeping is the site clean and tidy? Free from excessive litter, waste, and debris?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is there an effective Environment Emergency Response Plan in place?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Have all staff been trained in the Emergency Response Plan? (Provide details)

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is there any evidence of leaks or spills of any fuels, oils, or other substances?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • If fuel and/or oils are stored, is the bunding suitable and sufficient and empty of water or contaminants?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are suitable quantities of spill response bins/bags available to support the works being undertaken and in refuelling areas?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are plant nappies and/or drip trays used to contain minor leaks or spills?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are vehicles and plant switched off when idle where reasonably practicable to do so?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

L. Control of Substances Hazardous to Health (COSHH)

  • Is there an up to date COSHH register and are all substances listed on it?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are all substance containers clearly and correctly marked and contents identified?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Have COSHH assessments been completed and Safety Data Sheets (SDS) made available for all substances on site that present a significant risk?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are there any residual risks or risks remaining that are not adequately controlled?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are appropriate first aid facilities provided in COSHH storage areas? (showers, eyewash etc)

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is air monitoring and/or health surveillance required for exposure to any substances? If so, is there evidence of it implemented and carried out?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are any local exhaust ventilation (LEV) systems installed and are they inspected and maintained as per legislation and HSE guidance? (Thorough examination and test every 14 months as per COSHH Reg 9 and HSG 258)

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are all substances stored as per the requirements and/or recommendations of the SDS?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are gas cylinders stored in accordance with BCGA COP 44 2016?(stored upright, weather protected, ventilated, different types and full and empty separated, quantities, and correct distance from buildings etc)

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are flammable liquids stored as per HSG51? (The Storage of Flammable Liquids in Containers)

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are adequate control measures in place to contain spillage and prevent ground contamination?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are adequate hygiene measures in place to protect against bacterial and viral infections, pathogens, and Zoonoses?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

M. Confined Spaces

  • Are there confined spaces on site?

  • Have any Confined Space areas been clearly identified with the correct signage?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are suitable documented procedures in place for all activities in confined spaces?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Do the procedures above include atmospheric testing, communication, ventilation, permits and Respiratory Protective Equipment (RPE)?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are all radios, tools, and electrical equipment intrinsically safe for any activities carried out in Confined Spaces?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is there a valid and tested rescue plan in place for activities in Confined Spaces?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

N. Lifting Operations

  • Do lifting operations take place on site?

  • Is a Permit to Work used for all lifting operations?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are lifting plans produced for each lifting operation? (Provide evidence)

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is an appointed person designated to control the lifting operations?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is there a lifting equipment register in place that includes current certificates for all lifting equipment and accessories?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is all applicable plant, machinery and equipment inspected and maintained as per LOLER 98, and is evidence available?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is all lifting equipment being stored, and used correctly?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

O. Work at Height

  • Do working at height operations take place on site?

  • Is a Permit to Work used for all work at height activities?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Have all relevant staff been appropriately trained to work at height and is evidence of this available?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is the hierarchy of risk control used where applicable? (Avoid, prevent, mitigate)

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are all access to height systems suitable, safe and sufficient and regularly inspected? (stairs, ladders, MEWP’s, etc)

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • If ladders are used, are they of the correct type for use, stored, maintained, and inspected with evidence in a register?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • If scaffold is used, does it comply with applicable legislation and is a record maintained of statutory inspections? (including Haki stairs)

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are excessive materials, tools, or equipment stored correctly and within safe loading limits?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Do all access points at height have selfclosing gates installed to prevent a potential fall from height?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • If trapdoors are used on scaffold or height access systems, are they kept closed where applicable?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • If MEWP’s are used, do they comply with LOLER and PUWER requirements, and are operatives suitably trained, qualified, and competent?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • If MEWP’s are used, are the basket load restrictions adhered to with regards to numbers of people, and weight of tools, equipment, and materials?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are exclusion zones erected and maintained during work at height to prevent injury from dropped objects and contact with machinery?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are hand tools used in elevated work areas tethered to prevent the risk from dropped objects?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are safe unloading/loading arrangements in place which reduce the need to climb onto flatbed lorries or their loads?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

P. Manual Handling

  • Have manual handling assessments been carried out for all operations that present a significant risk or for those that are repetitive?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are mechanical lifting and moving devices used in preference to manual lifting where reasonably practicable?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are all manual handling operations adequately controlled?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Have all operatives received adequate training in manual handling techniques for any tasks that may be required of them and are records available?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

Q. Vibration & Noise

  • Have suitable and sufficient risk assessments been carried out for all potentially applicable items (K factor used?)

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is the risk of Hand Arm Vibration (HAVS) and whole body vibration (WBV) adequately controlled? (Provide details)

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Do all applicable vibratory tools appear to be in good condition and free from defects, and could they be improved to reduce the risk further?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Have all applicable workers received information and training on the risk of HAVS/WBV and the control measures required?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is health surveillance required for HAVS/WBV and if so, is there evidence of this being implemented and carried out?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Have suitable and sufficient noise risk assessments been carried out for all applicable items?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is the risk of Noise Induced Hearing Loss adequately controlled?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are hearing protection zones established, demarcated, and signed? (mandatory where Noise levels are 85dB or over)

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is suitable hearing protection worn in areas where Noise levels are 85dB and over (mandatory)?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is health surveillance required and if so, is there evidence of this being implemented and carried out?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

R. Dangerous Substances and Explosive Atmospheres Regulations (DSEAR)

  • Is DSEAR applicable on this site?

  • Have all substances under DSEAR been identified and suitably recorded?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Has a DSEAR Assessment been completed for all applicable substances and is it suitable and sufficient, regularly reviewed and updated, and available?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are suitable control measures in place for all substances identified under DSEAR?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Have suitable emergency arrangements/plans been developed and implemented for residual risks under DSEAR?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Have all ATEX (ATmospheres EXplosive) zones been identified and are they prominently and clearly marked as such?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Are all tools, machinery, and equipment used in ATEX zones suitable and ATEX rated and/or intrinsically safe?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

S. Structures and Pipework

  • Are all structures in good condition and free from faults, defects, and/or damage?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.

  • Is all pipework marked in accordance with BS1710?

    • 0 - Major Non Conformance: Imminent risk of injury of ill-health or serious breach of legislation which could lead to enforcement action.
    • 1 - Opportunity for Improvement: A potential enhancement, weakness, or potential deficiencies in the Management System, providing a rationale for improvement.1
    • 2 - Compliant with comment: Compliant with legislation and industry standards subject to assessor's comment / advice.
    • 3 - Fully Compliant: Fully compliant with legislation and industry standards.
    • NA - Non Applicable (NA)
    • NV - Not Verified: Auditor cannot confirm implementation of the system because the related activity has not yet occurred to provide objective evidence, or the criterion was not examined during the audit, or evidence could not be provided during the audit. The criterion remains untested and should be considered for inclusion within the scope of subsequent audits.
SRC 002: Site Audit Construction (Design & Management) Regulations 2015
Anonymous

SRC 002: Site Audit Construction (Design & Management) Regulations 2015

Assessment of site compliance against CDM 2015

Use this Template
The templates available in our Public Library have been created by our customers and employees to help get you started using SafetyCulture's solutions. The templates are intended to be used as hypothetical examples only and should not be used as a substitute for professional advice. You should seek your own professional advice to determine if the use of a template is permissible in your workplace or jurisdiction. You should independently determine whether the template is suitable for your circumstances.

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