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UOB AUDIT HIGH LEVEL
UOB AUDIT HIGH LEVEL
University Of Bath

UOB AUDIT HIGH LEVEL

High level audit derived from HSG65

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Free UOB AUDIT HIGH LEVEL Checklist

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AUDIT DETAILS

Cover Page

  • Document No.

  • The audit title should use the standard format of: 'department name' 'year' & 'document status'

  • Audit title

  • Department name

  • Hazards examined

  • Information collection started

  • Information collection closed

  • Prepared by

  • Document status

AUDIT INFORMATION

Department

  • Department full name

    • COMMENTARY

  • Comment

Summary

    Summary

  • Summary

Auditor

  • Lead auditor

  • Second auditors

    • AUDITOR

  • Second auditor

  • Site visits

Site visit made

  • Date site visit made

  • Additional site visits made

    • SITE VISIT

  • Date additional site visit made

  • Reason for additional visit

  • Hazards examined

Hazards examined and exclusions

  • Record the hazards specifically included or excluded from this audit.

    • HAZARD

  • Hazard specifically examined and considered in this audit

  • Areas examined

Areas examined and exclusions

  • Record the areas specifically included or excluded from this audit.

    • AREA

  • Area specifically examined and considered in this audit

  • Documents examined

Documents examined and exclusions

  • Documents examined or consulted during this audit

    • DOCUMENT

  • Documents examined or consulted during this audit

  • People interviewed

People interviewed and consulted and exclusions

  • Persons interviewed or consulted during this audit

    • PERSON

  • Person interviewed or consulted during this audit

COMMITMENT

Arrangements for health & safety

  • Arrangements included in this audit

  • The Department has formal written arrangements for managing health and safety and controlling hazards

  • The Department arrangements address the management and control of the selected hazard (either specifically or generically)

  • The Department arrangements are dated and signed by the Head of Department

  • The Department arrangements are reviewed at a suitable interval

  • Arrangements notes

    • NOTES

  • Notes

Objectives for health and safety

  • Objectives included in this audit

  • The Department has formal objectives for health and safety.

  • The Departmental objectives address the management or control of the selected hazard.

  • The objectives are clearly defined and prioritised

  • The objectives have been allocated to a specific person and resources have been provided to meet the objective

  • Objectives notes

    • NOTES

  • Notes

Standards for health and safety

  • Standards included in this audit

  • The Department has adopted relevant standards for the management of health and safety and the control of hazards

  • The Department has adopted relevant standards for the management and control of the selected hazard

  • The Department can report on the source of the adopted standards and the authority of the source

  • Standards notes

    • NOTES

  • Notes

ORGANISATION CONTROL

Health and safety appointments

  • Appointments included in this audit

  • The Department has appointed people to fill key health & safety roles (such as Departmental Safety Coordinator)

  • Head of Department

  • Departmental Safety Coordinator

  • Departmental Safety Team

  • Radiation Protection Supervisor

  • Laser Safety Supervisor

  • The Department has appointed a supervisor or coordinator for the selected hazard

  • Appointments notes

    • NOTES

  • Notes

Responsibilities for health & safety

  • Responsibilities included in this audit

  • The Department has delegated responsibilities for health & safety

  • The Department has delegated responsibilities for the selected hazard

  • Completing and implementing risk assessments

  • Providing information, instruction, & training

  • Providing supervision

  • Measuring health and safety performance

  • Tracking remedial actions

  • Reporting on the hazard to the head of department or safety team

  • Reviewing health and safety performance

  • Responsibilities notes

    • NOTES

  • Notes

ORGANISATION COOPERATION

Staff involvement with health & safety

  • Staff involvement included in this audit

  • Staff have a forum for influencing health and safety matters and decisions

  • The staff forum has been used by staff to raise health & safety matters

  • The staff forum has been used to influence or involve staff with the selected hazard

  • The forum activities include:

  • Forum has influenced planning & implementation, including risk assessments

  • Forum has influenced monitoring activities

  • Forum has influenced reviews of health and safety

  • Staff cooperation notes

    • NOTES

  • Notes

Student involvement with health and safety

  • Studentinvolvement included in this audit

  • Students have a forum for influencing health and safety matters and decisions

  • The student forum has been used by students to raise health and safety issues.

  • The student forum has been used to influence or involve staff with the selected hazard

  • The forum activities include:

  • Forum has influenced planning & implementation, including risk assessments

  • Forum has influenced monitoring activities

  • Forum has influenced reviews of health and safety

  • Student cooperation notes

    • NOTES

  • Notes

ORGANISATION COMMUNICATION

Communication of health & safety matters

  • Communication included in this audit

  • The Department can demonstrate that it has communicated key health & safety information to staff and (if applicable) to students

  • The Department can demonstrate that it has communicated key health & safety information about the selected hazard to staff and (if applicable) to students

  • The information communicated to staff and students includes:

  • Departmental commitment to health & safety

  • Objectives for health & safety

  • Adopted or adapted standards for health & safety

  • The minutes and decisions of the Departmental Safety Team

  • The arrangements for health and safety, either in total of selected sections relevant to particular staff or students

  • Significant findings of risk assessments and other planning activities

  • Risk control systems adopted to maintain workplace controls

  • The results of performance monitoring and any remedial actions taken as a result

  • The results of health & safety reviews

  • Communication notes

    • NOTES

  • Notes

ORGANISATION COMPETENCE

Induction programme for health & safety

  • Induction included in this audit

  • The Department can demonstrate that it has a formal health & safety induction programme for new staff and (if applicable) students

  • The Department can demonstrate that it has an induction programme for new staff and (if applicable) for students exposed to the selected hazard

  • The health & safety induction programme is supported by a list of the matters to be covered

  • The health & safety induction programme has records of induction

  • Induction notes

    • NOTES

  • Notes

Training programme for health & safety

  • Training included in this audit

  • This section is concerning with health & safety information, instruction and training given to enhance staff or student competence.

  • The Department can demonstrate that it has a formal health & safety training programme for staff and (if applicable) students

  • The Department can demonstrate that it has a formal health & safety training programme for the selected hazard for staff and (if applicable) students

  • The individual elements of a formal system for delivering information, instruction and training are:

  • A matrix matching posts / post holders with competences needed

  • An assessment identifying where additional information, instruction and training is needed

  • An assessment of training objectives and methods of delivering additional information, instruction and training

  • A past and future schedule for delivering additional information, instruction and training

  • An assessment of the effectiveness of the delivered information, instruction and training

  • The programme gives due consideration to job changes, promotions and covering absences

  • Information, instruction & training notes

    • NOTES

  • Notes

PLANNING

Risk assessment

  • Risk assessment included in this audit

  • The Department has completed risk assessment for the significant hazards within the Department

  • The Department has completed risk assessment for the selected hazards

  • The risk assessment uses a format approved by the University

  • A suitable generic hierarchy of controls - from strongest to weakest - would be eliminate, reduction, isolation, control, personal protective equipment and behaviour changes.

  • The selection of workplace controls follows a hierarchy suitable for the hazard

  • The assessment extends to foreseeable emergency situations (such as equipment failure, spillages or releases, service losses, etc)

  • The assessment includes an action plan for implementation of the assessment. (See also commitment and organisation control).

  • The assessment is subject to periodic review and revision

  • Risk assessment notes

    • NOTES

  • Notes

Maintaining workplace precautions

  • Maintaing workplace precautions included in this audit

  • A risk control system (RCS) is anything done to maintain workplace precautions.

  • The Department has risk control systems that ensure workplace precautions remain effective

  • The Department has risk control systems that ensure workplace precautions for the selected hazard remain effective

  • The elements of a risk control system (RCS) are

  • Controlling what hazards enter the Department

  • Checks or performance measurements of workplace precautions at suitable intervals

  • Systematic planned preventative maintenance (PPM) of workplace precautions

  • Systematic planned replacement or refurbishment of workplace precautions

  • Controlling what hazards exit the Department

  • Maintaining workplace precautions notes

    • NOTES

  • Notes

Implementation

  • Workplace inspections completed as part of the audit

  • The results of inspections will be appended as a separate document. Recommendation arising from inspections will be included in this document.

  • Workplace inspections completed as part of the audit

    • INSPECTIONS

  • Inspection date

  • Hazard specifically examined during the inspection

MONITORING

Proactive monitoring

  • Proactive monitoring included in audit

  • The audit will assign more weight to a planned, systematic inspection programme, but credit will also be given to other proactive programmes such as 'safety tours'. There is no credit for informal inspection programmes.

  • The Department has a planned and systematic inspection programme

  • The inspection programme includes the hazard selected for audit

  • The elements of a planned and systematic inspection programme are:

  • The Department has a schedule of past and future inspections

  • The Department has a schedule of the areas or locations to be inspected

  • The Department has a schedule of the checks to made

  • The Department has a full record of past inspections

  • The records of inspection record who participated in an inspection and the area inspected

  • The inspections result in recommendations for corrective and preventative actions

  • Proactive monitoring notes

    • NOTES

  • Notes

Reactive monitoring

  • Reactive monitoring included in this audit

  • Reactive monitoring refers to the investigation of accidents, incidents and near misses.

    The audit will consider example investigations carried out by the Department and involving other hazards where there are no examples involving the selected hazard.

  • The Department has formal arrangements for the investigation of accidents, incidents and near misses

  • The Department has examples of completed investigations of accidents, incident or near misses

  • Investigations identify the immediate causes of accident, incidents and near misses

  • Investigations identify the underlying causes of accidents, incidents & near misses when appropriate

  • Investigation results are recorded in an appropriate formt

  • Investigations identify appropriate remedial actions and make recommendations to prevent a reoccurrence

  • Reactive monitoring notes

    • NOTES

  • Notes

REVIEW

Remedial actions

  • Remedial actions included in this audit

  • The audit will consider example remedial actions carried out by the Department and involving other hazards where there are no examples involving the selected hazard.

  • Monitoring activities result in recommendations for remedial actions

  • The recommended actions are SMART - specific, measurable, achievable, realistic and timebound

  • Remedial actions are delegated to specific members of staff who have the authority and resources to implement them

  • Remedial actions notes

    • NOTES

  • Notes

Tracking remedial actions

  • Tracking remedial actions included in this audit

  • Remedial actions are tracked to completion

  • The attributes of a tracking system are

  • The Department has a schedule of past and future remedial actions

  • The Department can identify due and overdue remedial actions

  • The Department can report on completed remedial actions

  • Tracking actions notes

    • NOTES

  • Notes

CLOSING

Clarifications

  • Clarifications

  • Further queries and clarifications

    • NOTES

  • Query or clarification required

  • Query or clarification findings

Sign off commentary

  • Auditor sign off

  • Lead auditor

  • Auditor

    • AUDITOR

  • Auditor

  • Auditee sign off

  • Lead auditee

  • Auditee

    • AUDITEE

  • Auditee

RECOMMENDATIONS

Recommendations

  • Add a recommendation or advisory note

    • RECOMMENDATION

  • Recommendation headline

  • Recommendation

  • Person and Department to complete action

  • Agreed deadline for completion

Sign off recommendations

  • Auditor

    • AUDITOR

  • Auditor

  • Auditee

    • AUDITEE

  • Auditee

UOB AUDIT HIGH LEVEL
University Of Bath

UOB AUDIT HIGH LEVEL

High level audit derived from HSG65

Use this Template
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