British Safety Council Five Star Health and Safety Audit Specification Document

Preparing for the audit In order to get the most benefit from the audit and the time our auditor spends on site, it will be important for the organisation to prepare in advance. Using this specification document, the organisation should identify information they are likely to be asked for, and the persons that the auditor may wish to speak to. Documents should be available quickly, whether that is in paper format or electronically. If held on computer, it would be advisable to print off an index list of what is available, so that the auditor can match the document to a particular element of the audit. The auditor may ask for some paperwork to be printed off for him/her to take away and read off site in preparation for the report. The organisation can be assured that any such documents will be securely held and shredded once the report is complete. Our auditors are flexible and will willingly tackle elements out of order to accommodate certain members of staff who may only be available at certain times; however, it must be remembered that on short duration audits of 2 days, there is very limited time available. Tour of the premises and site This important aspect of the audit should be carried out at an appropriate time, and encompass all aspects of the business. During the tour, the auditor may take the opportunity to talk to employees, contractors and visitors to further verify the evidence required for the completion of the audit. If more than 1 site is included in the audit, the travelling time between sites must be taken into account during early dialogue with the Account Manager. Standardisation The BSC holds an annual auditor meeting, where the audit content and suitability is reviewed including the audit questions, relevance and order of elements and scores allocated to each element. New elements may be added to reflect current trends and best practice. The 5 overall sections of the audit remain the same year on year. Standardisation of acceptable evidence and point scoring takes place at the meeting. Both on-site quality assurance and quality assurance of reports are undertaken. The competency of the auditor The auditors undergo training on the audit protocol which is updated as appropriate. All auditors are registered safety practitioners with IOSH, and maintain their CPD as per the requirements of their membership of this organisation. At the annual auditor meeting, auditors receive both an update of BSC requirements and external CPD from industry specific experts. Auditors in their initial period of work are given additional support by the Audit Manager and are subject to additional quality assurance. Key elements There are currently 17 key elements in the audit. These elements are considered to be essential to the Occupational Health and Safety Management system and this is reflected in that all 17 element scores are above 100.

Specification document for Five Star Audit

Detail Section 1 Safety Organisation 1.1 Safety Policy To determine whether the documented arrangements and procedures are satisfactory in terms of the complexity and size of the business: understood and appropriately communicated to all employees and interested parties and regularly reviewed. 1.2 Competent OH & S assistance and management reporting To assist in the directing, monitoring and co-ordination of the occupational health and safety arrangements. To analyse and report on the status of the occupational health and safety management system and the activities undertaken within the organisation for the previous period. Policy statement on display Organisation charts OH & S arrangements and procedures Management review meeting minutes Evidence of communication Evidence of review Ease of access Updates for field based staff Suitable training commensurate with the risks of the business (Certificate or Diploma or higher) Appraisal and development plans linked to past performance and business plan Contact with all relevant parties Time to do the job Open door policy Reporting lines Personal objectives set appropriately Monitoring of objectives Safety plan developed from audits, risk assessment, previous reports Involvement from senior management Organisation charts Safety tours/inspections OH&S audits Chairing safety meetings Attitude on the shop floor Programmes and campaigns Surveys Questionnaires Score Typical information requirements Suggestions for interview Key element

250

CEO or MD Senior managers H & S advisor

Yes

100

H & S Advisor Consultant

Yes

1.3 Management objectives and planning To clearly designate corporate and individual responsibilities and authorities throughout the occupational health and safety management structure in order to achieve the policy objectives. To encourage a culture that supports and develops occupational health and safety in the workplace.

120

Senior and Line managers

Yes

1.4 Insurance To provide adequate and appropriate insurance cover for both business and personnel. To have in place procedures to ensure that insurance investigations are carried out following an injury or ill health.

30

Certificates of Insurance Minutes of meetings Claims documentation Displayed cover note

HR Claim coordinator

No

F:\Audit\Five Star Audit Specification document.doc Controlled by Audit Manager

Page 3 of 12

Specification document for Five Star Audit

Detail 1.5 Employee consultation, communication and involvement To ensure employee involvement and consultation arrangements are documented and effective. To have procedures in place for ensuring that occupational health and safety information is communicated to and from employees and other interested parties. 1.6 Safety meetings To create a forum in which there are the opportunities to discuss and help resolve safety, health and other related issues and communicate these effectively to those concerned. Score Typical information requirements Minutes of meetings Toolbox talks Briefings Safety plan Audits Inspections Newsletters Award/reward schemes True representation Union/non-union Policy involvement Appropriate training Election procedures Terms of reference Sufficient time Resolution of previous actions O&HS plans Accident book Record of treatment Inspections of first aid kits Training records First aid room Equipment checks Appropriate equipment provided Suggestions for interview Safety representatives Members of the safety team Team leaders, Supervisors, Managers Key element

100

Yes

30

Safety representatives Members of the safety team

No

1.7 First aid facilities and training To ensure that there is adequate first aid cover by means of an annual assessment. To ensure that suitable and sufficient arrangements are in place for providing first aid that is commensurate with the nature and scale of the organisations occupational health and safety risks. To ensure that nominated employees are competent to perform the tasks associated with first aid. 1.8 Documentation and information control To provide up to date and relative information which will assist the organisation to run its SMS programme and keep its employees up to date. To provide a system which ensures all documents are fully traceable, easily retrievable and archived appropriately.

80

First aiders Occupational Health Team

No

40

Contents of safety library Record of borrowing for books etc. Document control system Updates by CD - control

Document controller Librarian

No

1.9 Training To provide adequate training resources which, following appropriate analysis of the business needs, ensure that all OH & S elements are covered throughout the different levels of the organisation.

150

Induction training process Training records Evidence of content of training courses Competency of trainers Course evaluation

HR Training department Consultants

Yes

F:\Audit\Five Star Audit Specification document.doc Controlled by Audit Manager

Page 4 of 12

Specification document for Five Star Audit

Detail 1.10 Occupational Health To ensure that the health of the workforce is monitored and strategies implemented which enhance well being and maintain a healthy balance between work and personal life. Score Typical information requirements Occupational health systems/procedures Records Overseas risk assessment Return to work interviews Return to work plan after long term sick Exit interviews Health campaigns and initiatives Recruitment procedures Application forms Medical questionnaires Medicals Interview training for managers Record keeping Timescales Programmed and/or pre-planned Good checklists Actions monitored for completion Nominated personnel Training All areas covered. Displayed results Audit reports Audit schedules Close out reports Minutes of meetings Safety plan Training for internal auditors Records Purchase order system Petty cash purchases Approved supplier lists Training Supply of machinery regulations Project meetings Authority levels Risk assessment Consideration given to suitability of customers Adequate information for customers Product recall Emergency announcements Publicity Suggestions for interview Occupational health provider HR Key element

145

Yes

1.11 Recruitment and appointment To ensure the selection process has considered all the aspects in relation to the ability of the person, their health, capabilities and the type of work to be carried out. 1.12 Safety Inspections To assist the organisation in confirming that all safety measures are in place and when deviations are found, they are dealt with quickly.

25

HR Line managers

No

80

Safety team members Safety representatives Line Managers Team Leaders

No

1.13 Safety Audit To ensure that the organisation remains confident that the Safety management system is not only suitable and sufficient, but is being used correctly and followed accurately.

80

Internal auditors Safety team members

No

1.14 Procurement To have in place effective health and safety systems for the procurement of plant, equipment and materials to eliminate or reduce the risks to the organisation.

80

Procurement Manager

No

1.15 Product and service safety To ensure that products and services meet best practice requirements and minimise the risks to the end customer and the organisation.

75

Quality department Service engineers Manager

No

F:\Audit\Five Star Audit Specification document.doc Controlled by Audit Manager

Page 5 of 12

Specification document for Five Star Audit

Detail Score Typical information requirements Good relationships Training opportunities Classification of risk factor Badges Formal meetings Briefing sessions Review of performance Pre-work meetings Approval system Questionnaires Tender documentation Authorised access Inspection of accommodation (if applicable) Suitability e.g. working alongside children Security issues Procedures Risk assessments Corrective action procedures Mapping documents Risk registers SWPs Training documents Easy to understand paperwork Evidence of ownership Safety plan Maintenance records Maintenance of hand tools Inspection sheets PUWER assessments Identification and prioritisation Frequencies established Adequate space/access Responsibility assigned Daily checks done by operatives Specific permits - validity Risk assessments Training records Handover procedures between shifts Displayed at site Competency levels Auditing Correspondence with offending contractors Suggestions for interview Key element

1.16 Contractor control To ensure that there are control systems in place to reduce the risk of exposure to the organisations employees and assets by the activities of third parties; and vice versa.

150

Contract co-ordinator Members of safety team Engineering/ Maintenance Manager Facilities Manager

Yes

1.17 Risk assessment and safe working practices To identify hazards and assess risks to workers and others who may be affected by the undertakings of the organisation. Once assessed, to provide safe working procedures to be followed. To have a system in place that monitors working practices and ensures that they are carried out in a safe manner.

250

Risk assessors Line managers Safety team members

Yes

Section 2 Management Control Systems 2.1 Work Equipment (including hand tools) To ensure that procedures are in place for the provision and safe use of work equipment throughout the organisation, including both administrative and operational areas. Maintenance engineer Contractor Safety team members

120

Yes

2.2 Permit to Work To ensure that all high risk activities are carried out in a controlled and safe manner.

150

Authoriser of permits

Yes

F:\Audit\Five Star Audit Specification document.doc Controlled by Audit Manager

Page 6 of 12

Specification document for Five Star Audit

Detail 2.3 Safe isolation systems and equipment controls To ensure that equipment is made safe under particular circumstances, such as when maintenance is being carried out or when an unsafe condition develop and to ensure all equipment has adequate controls for its safe operation that are accessible and clearly marked. 2.4 Access Equipment To ensure that adequate inspection and examination systems are in place so that defects, damage or wear can be detected and remedied before they result in an unacceptable risk to those required to work above or below ground level. 2.5 Working at height To check that systems are in place to protect the employee/contractor who is working at height; and ensure that arrangements are in place to rescue an ill or injured person, or someone whose fall has been arrested. Score Typical information requirements Systems correspond to permit to work system Training Suitable equipment provided System understood by all Records kept Monitoring Try/test the method Matrix of the isolation philosophy Ladder register Equipment log Inspection schedules Maintenance records Tagging system Training records Maintenance records for fall arrest equipment Facilities for restraint anchors Consideration of mass protection. Use of MEWPS etc. Colour coding Tagging Corrective actions closed out Storage and housekeeping inspections Issue and control Statutory examination Close out of corrective action Re-test of fixed equipment after re-location Disposal of defective equipment Training for lifting techniques and crane use. Suggestions for interview Key element

100

Engineers/ maintenance staff Line managers

Yes

55

Engineering staff Facilities staff

No

70

Appropriate staff

No

2.6 Lifting equipment and operations To ensure that procedures are in place for the provision and safe use of lifting equipment and its operation, the recording of statutory inspection and the timely action taken to correct identified remedial work.

75

Crane/FLT/ equipment operators

No

2.7 Pressure systems and portable gas containers To ensure that there are procedures in place for the examination, inspection, maintenance and safe operation of all pressurised plant and equipment. 75

Written inspection schemes Insurers reports Corrective action close-out Identification of valves etc. SWPs displayed Flash-back arrestors for portable gas Modifications identified on the written scheme

Engineering staff

No

F:\Audit\Five Star Audit Specification document.doc Controlled by Audit Manager

Page 7 of 12

Specification document for Five Star Audit

Detail Score Typical information requirements Training matrices Inspection schedules Cleaning regimes Storage facilities Refresher training in a timely manner Key policy (unauthorised use theft movement) Mobile phones policy hands-free kits Copying driving licences annually Endorsement notification to HR policy Driver policy/procedures Training for drivers who do excessive mileage Medicals for drivers COSHH assessment Lists of substances Training records Data points Records Maintenance Records Maintenance Suggestions for interview Key element

2.8 Mobile work equipment To ensure that there are procedures in place for the examination, inspection, maintenance and safe operation of all mobile (manual and self propelled) plant and equipment.

90

Drivers Line managers HR Fleet management

No

2.9 Hazardous substance control To control the exposure of persons and the environment to substances hazardous to health; to prevent injury, illness or damage. 2.10 Radiation sources To have in place procedures and suitably qualified personnel to control exposure to all sources of ionising radiation. 2.11 Non ionising radiation To have procedures in place to control exposure of nonionising radiation. 2.12 Portable electrical equipment To have systems and controls in place to prevent the risk of electrocution from portable powered equipment and ensure that such items are checked prior to use and then at suitable intervals.

150

COSHH coordinator Line managers Warehouse staff RPS and RPA Line managers Engineering staff Contractors

Yes

75

No

30

No

50

Records

Engineering staff Facilities

No

2.13 Electrical installations and protection equipment To have in place management controls and procedures to ensure that all fixed electrical systems are installed and maintained to avoid the risk of injury and damage. To ensure that adequate equipment and protection is in place and maintained in order to prevent exposure to electricity. To have adequate lighting levels to allow people to operate, use facilities and equipment and move from place to place safely.

100

Maintenance records Drawings

Electrical staff Contractors

Yes

F:\Audit\Five Star Audit Specification document.doc Controlled by Audit Manager

Page 8 of 12

Specification document for Five Star Audit

Detail 2.14 PPE assessment and controls To ensure that adequate controls are in place for the correct provision, training, use and storage of personal protective equipment. To assist in the prevention of injury to: The head and prevent food contamination. The eyes and face. The feet. The body and prevent product contamination. The arm and hands (including cross infection and food hygiene). 2.15 Respiratory protection To ensure that when it is necessary, the correct items are provided, maintained, and stored appropriately and training has been given. 2.16 Management of noise To undertake an assessment programme and have procedures in place to prevent exposure to noise which could result in hearing loss/damage. 2.17 Vibration To have procedures in place to prevent/limit exposure to vibration, which could result in ill-health and permanent disability. 2.18 Manual handling and ergonomics To have in place procedures to prevent the risk of injury/illhealth from manual handling activities. To incorporate ergonomic principles in all aspects of the working environment to prevent injury and ill-health. 2.19 Workstation assessment including DSE To have in place procedures to prevent injury and ill health resulting from working with display screen equipment and/or inappropriately designed workstations. Section 3 Fire control systems 3.1 Competency and co-ordination To have in place a competent, nominated person with the responsibility to advise and manage the procedures to protect/prevent from the risk of fire and other emergencies. Minutes of meetings Briefing documents 60 Fire safety coordinator Safety team members Line managers No 50 Training records Agreement documents Appropriate staff No Score Typical information requirements Suggestions for interview Key element

50

Training records Face fit testing records Cleaning regimes Noise survey/assessment Training records Plan of work where required

Appropriate staff Appropriate staff Safety team members

No

50

No

55

Health surveillance records Stockholm Workshop Scales training Assessments Surveys Training records/programmes Task analysis Assessments Actions closed out

Appropriate staff Safety team members All staff Occupational health provider

No

120

Yes

60

Appropriate staff

No

F:\Audit\Five Star Audit Specification document.doc Controlled by Audit Manager

Page 9 of 12

Specification document for Five Star Audit

Detail 3.2 Fire risk assessment To formally identify the hazards and associated risks of fire within an organisation. 3.3 Alarm systems To ensure that effective systems are in place for the manual or automatic detection of fire and the audible/visual warning of those who may be endangered. 3.4 Fire fighting equipment To ensure that there is fixed and portable fire-fighting equipment available. 3.5 Emergency and escape lighting To ensure that adequate escape/emergency lighting is provided to assist the evacuation of people from a building during conditions of poor visibility. 3.6 Evacuation, drill and instruction To have effective procedures in place to ensure that all personnel on site can evacuate to a safe place in the event of an emergency. 3.7 Fire risk management inspections To have procedures in place to manage and control the risk to the organisation from fire. 3.8 Fire escape routes and exits To ensure that adequate means of escape are provided and maintained for the safe evacuation of people. 3.9 Security To have procedures in place to ensure the security of personnel and premises at the organisation. 3.10 Emergency planning To establish systems and procedures for dealing with emergency situations including contingency arrangements for business recovery. Score 180 Typical information requirements Assessments Actions closed out Consultancy documents Maintenance/test records Briefing documents Audibility checks Provision for those with special needs Maintenance /test records Registers/lists Visual checks Training records Tagging/unique numbering system Maintenance and test records Tagging/unique numbering system Signing in/out Training records Debriefing documents Reports to senior management Liaison with authorities Inspection logs Actions closed out Inspection logs Good demarcation Good signage Signing in procedures Badge/swipe card systems Vehicle control Schedules of patrols Plans Test results Training records Liaison with emergency services Suggestions for interview Appropriate staff Key element Yes

50

Appropriate staff

No

50

Appropriate staff

No

50

Appropriate staff

No

80

Appropriate staff Security staff Safety team members Appropriate staff Security staff Safety team members Appropriate staff Security personnel Line Managers

No

50

No

120

Yes

50

No

50

Emergency controller Appropriate staff

No

F:\Audit\Five Star Audit Specification document.doc Controlled by Audit Manager

Page 10 of 12

Specification document for Five Star Audit

Detail Section 4 Measurement and control systems 4.1 Reporting systems To have in place procedures for the reporting of all incidents. 4.2 Investigation procedures To have in place a procedure to ensure that all incidents, including near miss and damage are investigated to prevent re-occurrence. 4.3 Accident statistics and measures of performance To ensure that statistics are maintained to measure the safety performance of the organisation. 4.4 Recognising and managing potential loss areas To identify situations which have a potential to cause injury, ill health and damage, and introduce control measures to prevent occurrence. Section 5 Workplace implementation 5.1 Buildings, floors, passageways and stairs To have procedures to ensure that all workplace buildings are maintained in good order and to ensure that all personnel and materials can move safely around the workplace. Structural survey Evidence of building inspection Evidence of closeout Maintenance records/programme Asbestos survey Records in place Cleaning regimes Surveys carried out by a competent person Actions from the survey closed out Maintenance programme Cleaning regimes (types of window window cleaning Routine practices risk assessment) Defect reporting system Sufficient toilets, provision of sani-bins etc. Clean source of drinking water Facilities to eat and rest etc. Food preparation areas Cleaning regimes Changing facilities Drying facilities Appropriate storage for clothing (to wear PPE) Facilities for pregnant and nursing mothers Facilities Maintenance department Score Typical information requirements Easy to fill-in forms Availability of documents Accident book Actions closed out Well documented procedures Investigation team Checks on risk assessments All statistics by type Noticeboards Annual report Information on websites Trend analysis Incident recall Nominated personnel Discussed at management meetings Liaison with authorities National/industry trends considered Suggestions for interview Safety team members First aiders Members of the team Line managers Safety team members Appropriate personnel Key element

40

No

60

No

60

No

20

Safety team members

No

100

Yes

5.2 Ventilation, heating and lighting To provide sufficient and adequate ventilation, heating and lighting to ensure comfortable levels in all these areas.

30

Facilities Maintenance department

No

5.3 Welfare and hygiene To provide adequate welfare and hygiene facilities for employees and other site personnel.

30

Facilities HR Safety team members Cleaning staff

No

F:\Audit\Five Star Audit Specification document.doc Controlled by Audit Manager

Page 11 of 12

Specification document for Five Star Audit

Detail 5.4 Safety signs and notices To ensure that adequate signage is displayed to warn of danger, hazards, actions to be taken, safe and prohibited areas. Score Typical information requirements Cleaning regimes Replacement programme Pictorial Other languages HASWA poster Demarcation Safe refuge Barriers Training documents Surveys Pedestrian crossings Demarcation One way systems Speed limits Signage Briefing documents Traffic calming Pedestrian crossings Suitability Condition and maintenance Records Used correctly Correct aisle width Overloading Defect reporting system All types shelving/cupboards/racking SWL marked up Records Meetings/minutes Actions closed out Coded Direction of flow Legend displayed Suggestions for interview Safety team Facilities Key element

30

No

5.5 Traffic routes and walkways internal To have procedures in place to ensure that internal routes and walkways are suitable so that vehicles and pedestrians can move around the workplace in a safe and controlled manner. 5.6 Traffic routes and walkways external To have procedures in place to ensure that routes and walkways are suitable so that vehicles and pedestrians can move around external areas in a safe and controlled manner.

50

All staff

No

50

All staff

No

5.7 Stacking and storage To have procedures in place to ensure that the design and maintenance of storage systems is adequate. These procedures should also ensure that materials and objects are stored in a safe and controlled manner.

50

All staff

No

5.8 General housekeeping and waste management To ensure that all office, operational and peripheral areas are maintained in a tidy and clean condition, and all waste is dealt with in an appropriate manner. 5.9 Colour coding plant and pipes To ensure that there are effective procedures for the management and control of waste materials from all departments within the organisation.

50

All staff

No

15

Maintenance/engi neering staff

No

F:\Audit\Five Star Audit Specification document.doc Controlled by Audit Manager

Page 12 of 12