S3 – Health & Safety Compliance Audit H&SAUD01 · 2020. 2. 28. · Confined spaces Has a confined...

S3 – Health & Safety Compliance Audit H&SAUD01

Health & Safety Risk

Management System

S3 – Health & Safety Compliance Audit H&SAUD01 - 1 / 17 Produced in association with The Institute of Quarrying

Issue 1 : Revision 1 - September 2012 © QMJ Publishing Ltd

Part A - General Information

Site ............................................................................................................................................

Site Address ............................................................................................................................................

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Site Contact ............................................................................................................................................

Auditor ............................................................................................................................................

Assisted by ............................................................................................................................................

Date of Audit ............................................................................................................................................

Report written by ............................................................................................................................................

Report reviewed by ............................................................................................................................................

Date of next audit ............................................................................................................................................

Part B - Executive Summary

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Management System



Part C - Categories

Category Result Number of Number ofcurrent report previous report

A Major non-compliance ............................ ............................

B Minor non-compliance ............................ ............................

C Observation ............................ ............................

Total ............................ ............................

Category Description

A Major: a non-compliance that may result in enforcement action due to breeches with health and safety legislation

B Minor: a non-compliance that is unlikely to result in enforcement action but highlights a failure within any health and safety management system

C Observation: a deviation from good practice which will not result in enforcement action but may improve current health and safety practices

Part D - Action List

Item Category Responsible Date complete

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Management System



Part E - Compliance Audit

Guidance:

➔ A tick (✓) in the Audit Status column indicates conforming items.

➔ A cross (✗) in the Audit Status column indicates non-conforming items. Non-conformances are then graded by placing a ‘1’ in the relevant CAT column.

➔ Any areas that are not audited are marked NA in the Audit Status column.

➔ Any areas which are not applicable which be left blank.

➔ Shaded items indicate an outstanding item from a previous audit.

Example:

No. Subject ItemAudit Status

Cat A

Cat B

Cat C

1 Poster Is a health and safety law poster displayed?

2 Training Has a training matrix been developed?

Part F - Commitment and Policy


Cat A

Cat B

Cat C

1

Access / Egress

Has a plant access survey been undertaken formaintenance duties?

2 Have all remedial actions been put into place?

3

Accident report andinvestigation

Is an accident book available on-site and areentries held in a secure location?

4Are all employees aware of the location of theaccident book and do they have unrestrictedaccess to its location?

5Does the company have a specific procedurefor accident and incident reporting?

6Are all accidents and incidents fullyinvestigated by compentent peole withremedial actions identified and implemented?

7

Alcohol and drugs

Does the company have a clear policy on theconsumption and use of alcohol and drugs?

8Does regular testing of employees take place toidentify breeches of the alcohol and drugpolicy?

9Have employees been informed of the policyand their responsibility to ensure compliance?


Management System




Cat A

Cat B

Cat C

10

Asbestos

Has an asbestos survey been undertaken onthe site?

11Has an asbestos management plan been putinto place?

12Is a site plan available showing locations ofasbestos?

13 Is asbestos clearly marked out on-site?

14Is there a good system for monitoring andreview in place?

15

Authorisations /Appointments

Are all managers/supervisors authorised for theroles they undertake?

16Are driver/operator authorisations in place andup to date?

17Are authorisations in place and up to date tocover mounting, dressing and use of abrasivewheels?

18Has a competent person(s) been appointed tocarry out daily inspections?

19Has a competent person been appointed tochange fuses/reset overloads?

20Has a competent person been appointed tocarry out all electrical maintenance?

21 Are all shotfiring appointments in order?

22

Barriers

Are suitable barriers in place around the site toprevent risk to the public or trespass?

23 Are the barriers maintained?

24Are records kept to show that barriers areinspected and repaired?

25 Are suitable signs erected and maintained?

26

Confined spaces

Has a confined space survey been undertakenfor this site/activity and remedial actionsimplemented?

27Have employees received suitable training inthe safe entry of confined spaces?

28Have management received suitable training inthe management of confined spaces?


Management System




Cat A

Cat B

Cat C

29

Control of contractors

Is an individual file held for each contractorworking on site?

30 Are contractor’s rules available on site?

31Have contractors been fully inducted andauthorised to work on site?

32Have the contractors been assessed forcompetence?

33Has information on site hazards been given tothe contractor?

34Is a safety check list/monitoring system inplace?

35Is a contractor’s vehicle/mobile plant checklistin place?

36Is a certificate of competence available for eachcontractor’s employee?

37Have contractors passed through the passportscheme?

38

Have task/site specific risk assessments andmethod statements been made available by thecontractor and approved prior to workcommencing?

39 Have permit to work documents been issued?

40Do all contractors currently being used haveadequate level of public liability insurance?

41Is there a procedure for construction, designmanagement (CDM) and are relevantemployees fully aware of its requirements?

42

Core documents

Can access be made to the health and safetymanagement system?

43

Are copies of the following rules available?• Workplace • Site specific• Vehicle, including competence, security of

keys, speed limits, traffic routes, inspection &reporting of defects

• Health, safety and environmental policy

44Are signed receipts for rules held for allemployees?

45Is there a company standard filing system inplace?

46Have personal document files been issued toemployees?


Management System




Cat A

Cat B

Cat C

47

COSHH

Has a product/substance list been preparedand cross-referenced for site employees?

48Are product data sheets held and haveassessments been completed for allsubstances?

49Have all remedial actions identified beenpassed onto a management action plan?

50Are COSHH information sheets explained andprovided to each employee for each productthey encounter?

51Are survey results (personal/fixed point)available and have they been explained toemployees?

52Are maintenance records held for all LEV &control equipment?

53Are all chemicals including acids, oils &lubricants and admixtures safely stored andsecured?

54

Display screenequipment

Have DSE assessments been undertaken foridentified employees?

55Have these employees received suitabletraining on the safe use of their VDU and thecorrect set up of their workstation?

56Have all remedial actions identified by the DSEassessment been rectified?

57Are all DSE users aware of the specificprocedure on display screen equipment?

58

ElectricityLow Voltage

Is there a scheme for examination and testingin place?

59 Are reports of tests/inspection up to date?

60Are remedial actions being rectified in line withthe stated timescales?

61Are all portable electrical equipment tests indate?

62

Electricity HighVoltage

Is there a scheme for examination and testingin place?

63Has all HV equipment been inspected/maintained and reports held?

64Is all HV work undertaken under a permit towork with authorisation from the approved HVcontractor?


Management System




Cat A

Cat B

Cat C

65

Electrical switchrooms

Are the switch rooms secure & clearlyidentified?

66Are they free from waste/rubbish and not usedas a store?

67Are warning signs in place on electricalswitchgear, resuscitation, live working/testing,fire procedures?

68 Is suitable fire fighting equipment available?

69Is fire fighting equipment in close proximity towelding activities?

70 Are screens available and routinely used?

71

Emergencyprocedure

Have emergency procedures been preparedfollowing risk assessments?

72Have the emergency procedures been testedwithin the last 12 months and shortfallsremedied?

73Has appropriate rescue equipment beenprovided and training in its use supplied?

74Is the rescue equipment inspected &maintained?

75Has contact been made with the localemergency services to ensure site proceduresare adequate?

76

Excavations

Is there a specific procedure in place for themanagement and control of excavations?

77Are relevant employees aware of this procedureand comply with its contents?

78

Fire fighting

Have all fire and explosive risks been identifiedby a specific fire risk assessment?

79 Are there rules covering hot work in place?

80Are fire equipment points shown on the siteplan?

81 Are the facilities adequate and appropriate?

82Is the equipment regularly checked bothinternally and externally?

83 Is there a no smoking policy in place?


Management System




Cat A

Cat B

Cat C

84

First Aid

Are there an adequate number of trainedpersonnel to provide cover (including duringholidays)?

85 Are the facilities adequate for the site?

86

HGV Drivers

Have all drivers received site induction andsafety training?

87 Are records complete and up to date?

88 Hired in plant

Are all items checked before being put intoservice and included on the daily inspection oras per the company scheme, e.g. electricalmaintenance/inspection?

89

Geotechnical

Are all inspections complete and up to date?

90Have appraisals been completed and passed tothe geotechnical specialist?

91 Is the assessment available on site?

92Have all the recommendations been actedupon?

93 Are records held of all materials tipped?

94 Is a site development plan available?

95 HousekeepingAre there any obvious housekeeping issues thatrequire remedial works, i.e. spillage (especiallytaildrums), waste, workshops, and walkways?

96

Induction and training

Has the site training been correctly identified?

97 Is the training progressing satisfactorily?

98 Are toolbox talks held routinely?

99 Are employees talked through accident alerts?

100Is there a formal induction process in place foremployees?

101Do employees sign to acknowledge theirunderstanding of the induction?

102Do all employees have a record of all trainingundertaken during the course of theiremployment with your company?


Management System




Cat A

Cat B

Cat C

103

Inspection

Is there a plant inspection scheme in place?

104Check the static plant inspection sheet andcompare against the actual physical conditions.

105Check remedial actions are being rectified bythe site supervisor.

106

Isolation and lock off

Is there an adequate isolation and lock offprocedure in place?

107Have all employees and regular contractorsbeen trained in the isolation and lock offprocedure?

108At the time of the audit was isolation/lock offprocedure being followed?

109

Lagoons

Is there a secure boundary around the hazardand are ‘Deep Water’ signs in place?

110 Is suitable rescue equipment available?

111Is there safe access to overflows to allow theclearing of blockages?

112

Legionella

Are static water towers located on-site?

113Are they inspected routinely and identifiedissues rectified immediately?

114

Liftingequipment

Are statutory test certificates held?

115 Are inspections up to date?

116 Is a schedule held and is it up to date?

117Is a system of identification & rectification ofdefects in place and up to date?

118Are all beams clearly marked with the safeworking load (SWL)?

119 Is lifting equipment correctly stored on-site?

120Is lifting equipment tagged and are tags up todate?

121

Lighting

Is internal and external lighting adequate?

122Is emergency lighting (or are personal lamps)provided?


Management System




Cat A

Cat B

Cat C

123

Lone working

Is there a procedure in place for lone working?

124Has this procedure been communicated to allrelevant people?

125

Management review

Check that periodic health and safety reviewsare being completed.

126Review in detail the previous review documentsfor accuracy.

127Review the management action plans andprevious compliance audits to ensure actionsidentified are being addressed.

128

Manual handling

Where appropriate have alternative methods/mechanical assistance been considered/ madeavailable?

129Have manual handling assessments beenundertaken and issues rectified as necessary?

130Has this been backed up by employeesundertaking manual handling training?

131

Mobile plant

Is there an inspection regime in place forinspecting all types of mobile plant?

132Are defects being recorded and rectifiedaccordingly by the site supervisor?

133Has the machine been brake tested, and arethe results satisfactory?

134

Noise

Are noise survey results available?

135Has the information been explained to theworkforce, issued into PDF files and trainingrecords updated?

136Have control measures been implemented toreduce the risk of excessive noise to relevantpeople?

137

Occupational health

Are occupational health arrangements in placefor the employees?

138Is health surveillance undertaken on a periodicbasis?

139Are confirmed ill health cases managed in thecorrect manner?

140

Permit to work

Does the site have a suitable permit to workscheme, is it clearly posted, and does it clearlyoutline the site specific tasks that require apermit?

141Are sufficient numbers of the managementteam trained to issue permits to work?

142Have all employees been trained on what tasksrequire a permit to work?

143Are signs placed on the site stating permits arerequired, i.e. on entry to bins/silos etc.?


Management System




Cat A

Cat B

Cat C

144 Plans

Are plans available that show the following (asappropriate)?• Site demarcation• First aid & fire points• High noise & dust levels• Overhead and underground services• Bulk tanks & cylinders• Traffic flows

145

PPE

Is the correct PPE available for site personnel?

146 Is the PPE being worn?

147Do employees sign to acknowledge receipt ofthe PPE?

148 Is the PPE suitably stored when not in use?

149

Pressure vessels

Are statutory tests/inspections up to date?

150Is a system of identification & rectification ofdefects in place and up to date?

151Is a written scheme of inspection available forall systems?

152Is the safe working pressure clearly displayedby all receivers?

153

Pull wires and emergency stops

Are all conveyors fitted with pull wires?

154Are pull wires and emergency stops tested asper the electrical maintenance schedule?

155Are all emergency stops accessible andcorrectly identified?

156

Radiation

Has a radiation protection advisor/consultantbeen appointed?

157Are controlled areas in place where radiationlevels are high?

158Are specific risk assessments and safe systemsof work in place for working with radiation?

159Have all identified personnel been consulted inthe preparation of the risk assessment and safeworking practice?

160

Railway sidings

Are routine inspections undertaken by acompetent person?

161Are employees sufficiently trained on thehazards and control measures associated withworking in a railway siding?


Management System




Cat A

Cat B

Cat C

162

Risk assessment/SWP

Has preliminary task identification beenconducted for all tasks on-site?

163Have risk assessments been carried out andrecorded in respect of all significant hazards?

164Have safe working practices been prepared asa result of the risk assessment?

165Have safe working practices been issued to allemployees’ undertaken tasks. Have they beeninstructed in and understand the content?

166Are both risk assessments and safe workingpractices regularly reviewed?

167Are copies of risk assessments and safeworking practices available to the workforce?

168

Roads & stockbays

Is edge protection in place and correctlymaintained?

169 Are surfaces free of ruts & potholes?

170Are ramps and haul roads correctly designed,constructed and with suitable gradients?

171

Safetyrepresentatives andsafety committees

Is there a safety representative for the area?

172Are health and safety committee meetings heldroutinely and are the minutes posted on thenotice board?

173Are employees regularly updated on theprogress of items raised at the meeting?

174Do committee members carry out regular siteinspections?

175Are these inspections recorded and responsesplaced on the site notice board?

176 Shared sitesIs the site shared with another company? If so,is the company consulted on relevant healthand safety issues?

177

Shotfiring

Is a design and specification available for eachshot?

178Have satisfactory drilling reports beenprepared?

179 Has the charging specification been followed?

180Are use and storage records accurate and up todate?

181 Is the store licence up to date?

182Is the Acquire / Acquire and Keep up to dateand in the company name?


Management System




Cat A

Cat B

Cat C

183

Shotfiring (cont.)

Are the POMSTER IDs up to date and thecertificate current?

184Is the explosive vehicle suitably marked and thebeacon working?

185Is the explosive store and its alarm OK, and arethe keys secure?

186 Is the shotfiring equipment suitably calibrated?

187Is the ammonium nitrate store of adequateconstruction and secure, and is it secure in linewith HSE guidelines?

188Is the detonator box of adequate constructionand secure?

189 Are all tools acceptable?

190Has the manager’s audit checklist beencompleted within the last 6 months (Form13.8F12)?

191

Silos

Are silos protected by high level alarms?

192Has the alarm been checked for correctoperation independent of during delivery?

193Has the pressure relief valve been checked forcorrect operation and cleaned within the lastmonth?

194Have the filters been inspected within the last 3months?

195

Site notice boards

Are they in a suitable location for siteemployees and visitors to view?

196

• H & S law poster available and fullycompleted• Employer’s liability insurance up to date• H & S structure chart (current)• Company safety policy • Emergency procedure• List of first aiders• Items requiring permit to work• Site plans • Manager’s rules• List of approved contractors• Minutes of safety committee & works councilmeetings

197 SmokingDo all smoking arrangements comply withcurrent legislation?

198

Static plant

Is a written scheme of site inspection &maintenance available that covers all staticplant within the site?

199Have individuals been notified of their dutiesand trained accordingly?

200Are defects being recorded and rectifiedaccordingly by the site supervisor?

201Is adequate guarding in place on all conveyorsetc.?


Management System




Cat A

Cat B

Cat C

202

Statutory notices

Has any formal notice been issued by theHealth and Safety Executive (HSE) during thelast 2 years?

203 Have all issues been rectified and corrected?

204

Structures

Has a structural survey been completed?

205Are the remedial actions progressing in line withthe set timescales?

206

Tipping point - plant

Are there suitable stop blocks at plant tippingpoints?

207 Is there a tipping light procedure in place?

208 If fitted, is the chain curtain effective?

209Are pedestrians denied access to the tippingarea during tipping operations?

210 Traffic management

Is the traffic management obvious on arrival?Does it cover where to park and report onarrival?1. Site speed limit2. Traffic flow3. Small/large vehicle/Pedestrian segregation

211 VibrationAre employees using vibrating tools? If so, isthe exposure level reduced to an acceptablelevel?

212

Visitors

Is a visitor’s book held at the site reception?

213 Are visitor’s rules available for issue?

214 Welfare facilitiesAre the welfare facilities on-site in compliancewith the regulations?

215

Working at height

Have employees been adequately trained insafe working at height?

216Is the correct equipment available for workingat height?


Management System




Cat A

Cat B

Cat C

217

Site notice board

Are they in suitable locations for site employeesand visitors to view?

218 Are they tidy?

219

• H & S law poster available and fullycompleted• Employer’s liability insurance up to date• H & S structure chart (current)• Company safety policy • Emergency procedure• List of first aiders• Items requiring permit to work• Site plans • Manager’s rules• List of approved contractors• Minutes of safety committee & works councilmeetings

Signage

220Traffic managementscheme

Is the traffic management obvious on arrival?Does it cover:• Where to park and report on arrival?• Site speed limit?• Traffic flow?• Small/large vehicle/Pedestrian segregation?

221

General

Need for the use of PPE

222 Location of fire fighting equipment

223 Use of fall prevention equipment

224Headroom/overhead obstructions ((inc.goalposts)

225 Evacuation or muster points

226 Plans

Are plans available that show the following (asappropriate):• Site demarcation?• First aid & fire points?• High noise & dust levels?• Overhead and underground services?• Bulk tanks & cylinders?• Traffic flows?

227 HousekeepingAre there any obvious housekeeping issues thatrequire remedial works, i.e. spillage (especiallytail drums), waste, workshops, walkways?

228

Mobile plant

Check one mobile plant inspection sheet andcheck against the actual physical conditionsincluding reversing aids, lights, seat, seatbelt,cab condition, etc..

229Check further controls are being rectified by thesupervisor.

230Has the machine been brake tested, and arethe results satisfactory?

Part G - Physical Conditions


Management System




Cat A

Cat B

Cat C

231

Roads and edgeprotection

Is edge protection in place and correctlymaintained?

232 Are surfaces free of ruts & potholes?

233Are ramps and haul roads correctly designed,constructed and with suitable gradients?

Fixed Plant and Conveyors

234

Isolation and lock off

Is there an adequate isolation and lock offprocedure in place?

235Have all employees and regular contractorsbeen trained in the isolation and lock offprocedure?

236At the time of the audit was the isolation/lockoff procedure being followed?

237

Pull wires and emergency stops

Are all conveyors fitted with pull wires?

238Are pull wires and emergency stops tested asper the electrical maintenance schedule?

239Are all emergency stops accessible andcorrectly identified?

240 GuardingAre there any obvious guarding defects on theplant?

241

Inspection

Is there a plant inspection scheme in place?

242Check the static plant inspection sheet andcompare against the actual physical conditions.

243Check remedial measures are being actionedby the site supervisor.

244

Structures

Has a structural survey been completed?

245Are the remedial actions progressing in line withthe set timescales?

246Confined spaces survey

Has a confined space survey been undertaken,and are the remedial actions progressing in linewith the set timescales?

247Is there suitable access for emergency recoveryfrom the identified confined spaces?

248

Lighting

Is internal and external lighting adequate?

249Is emergency lighting (or are personal lamps)provided?

250

Lifting equipment

Are all beams clearly marked with the SafeWorking Load (SWL)?

251 Is lifting equipment correctly stored on-site?

252Is lifting equipment tagged and are tags up todate?


Management System




Cat A

Cat B

Cat C

253

Tipping point - plant

Are there suitable stop blocks at plant tippingpoints?

254 Is there a tipping light procedure in place?

255 If fitted, is the chain curtain effective?

256Are pedestrians denied access to the tippingarea during tipping operations?

257

Electrical switchrooms

Are the switch rooms secure?

258 Are they clearly identified?

259Are they free from waste/rubbish, and not usedas a store?

260Are warning signs in place on electricalswitchgear, resuscitation, live working/testing,fire procedures?

261 Is suitable fire fighting equipment available?

262Is fire fighting equipment in close proximity towelding activities?

263 Are screens available and routinely used?

264 ChemicalsAre all chemicals including acids, oils &lubricants and admixtures safely and securelystored?

265 Silos Are silos protected by high level alarms?

266

Lagoons

Is there a secure boundary around the hazardand are ‘Deep Water’ signs in place?

267 Is suitable rescue equipment available?

268Is there safe access to overflows to allow theclearing of blockages?

269

Barriers

Are suitable barriers in place around the site toprevent risk to the public or trespass?

270Are the barriers maintained with suitable signserected?

271Are records kept to show that barriers areinspected and repaired?

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