Achilles UVDB Verify B2 Audit Report

Transcription

1 Achilles UVDB Verify B2 Audit Report Electrical Oil Services Ltd Date of Audit: Auditor: 06/08/2015 & 07/08/2015 Dan Sellers services for professional procurement Achilles UVDB Verify B2 Protocol Version 10.1

2 EXECUTIVE SUMMAR Supplier ID: Supplier Name: Electrical Oil Services Ltd Auditor(s): Dan Sellers Address: Stanlow Works, Bridges Road Stanlow Ellesmere Port, Cheshire CH65 4WD Tel/Fax: (+44) Audit Date(s): 06/08/2015 & 07/08/2015 Contact Name: Tony O'Regan Title: Plant/SHEQ Manager Introduction: Electrical Oil Services Ltd specialise in the regeneration of oil. They are based in the north west of England but provide services in areas all over the UK and Ireland. The company employs around 5 people. The audit took place at the company office premises and the site location was at Flintshire Bridge converter station where 2 x employees were overseeing vacuuming operations. There were no findings as a result of the audit... AMALGAMATED SCORES Health & Safety Environment Quality CSR Average Amalgamated Scores MSE Percentage Score Site Percentage Score 100% 100% 100% 100% 100% 100% 100% 100% 100% 100%

3 . Section Number Section MSE Percentage Score Site Percentage Score 1 System Assurance and Compliance, 100% Quality Assurance System Assurance and Compliance, 100% Health & Safety System Assurance and Compliance, 100% Environmental Management 2 Quality Control and Assurance 100% 100% Business Integrity and Ethics 100% 100% 4 Employment Practice and Human Rights 100% 5 Training and Capability/Competence 100% 100% Assessment 6 Working Hours 100% 7 Workplace Safety 100% 100% 8 Occupational Health 100% 9 Emergency Planning 100% 100% 10 Site Security 100% 100% 11 Business Continuity 100% 12 Environmental Management 100% 100% 1 Carbon Management 100% 14 Waste Management 100% 100% 15 Selection and Management of the Supply 100% Chain 16 Sourcing of goods and products 100% 17 Use of Work Equipment, Vehicles and 100% 100% Machines 18 Insurance and Warranty 100%

4 Question Number Finding Critical Non-Compliances Question Number Finding Major Non-Compliances Question Number Finding Minor Non-Compliances Question Number Finding Observations Question Number Finding PQQ Discrepancies

5 Question Number Finding Positive Elements

6 1.0 System Assurance and Compliance MSE SITE 1.1 Can the company demonstrate that their Quality Management Systems are assured? Can the company demonstrate that their Health & Safety Management Systems are assured? Can the company demonstrate that their Environmental Management Systems are assured? Does the company have any formal rd party certification for their management systems as awarded by an independent accreditation body for quality, health and safety, environment or social responsibility? Does the company s accreditation apply to more than one country if the company has international operations? (if yes please detail countries) Is the accrediting body registered with the UKAS or other international equivalent? Where rd party accreditation has not been achieved is the company prepared to operate adopt their clients Quality, Health & Safety and Environmental Management Systems? The company have accredited Quality, Health and Safety and Environmental Management Systems certified to ISO 9001, and OHSAS standards. The details are listed below; ISO 9001 accredited through SGS who are UKAS accredited, Certificate GB0/57997 Expiry Date 17 Dec 17. ISO accredited through SGS, Certificate GB06/69099 Expiry Date 17 Dec 17. OHSAS accredited through SGS, Certificate GB09/78611 Expiry Date 17 Dec 17. CQ 1.2 Can the company demonstrate compliances with the Construction, Design and Management Regulations? Does the company undertake any activities that fall under the CDM regulations? Has the company identified and documented its responsibilities as defined within the CDM regulations e.g. CDM Coordinator, Designer, Principal Contractor? NA NA Do company management systems clearly identify processes for meeting and discharging duties as required by the CDM regulations? NA The company does not undertake any activities under CDM. Should the need arise they would work as a sub-contractor never as a principal contractor.

7 1. Has the company identified all permit and licensing requirements applicable to the scope of services provided? Has the company identified the necessary licenses and permits applicable to the scope of services provided? Can the company demonstrate that all applicable licenses and permits are held and in date? Can the company demonstrate it is implementing the requirements of each permit or license that is held? The company presented all permits and licences required to conduct their scope of services. Permit Number ZP58MQ issued by the Environment Agency to Company Registration , Ellesmere Port Transformer Oil Regeneration Plant at Electrical Oil Services Ltd. Authorised since 26 Oct 07. Section Score Quality Control and Assurance MSE SITE 2.1 Does the company have a formally approved Quality Management policy statement? Is the policy statement signed and endorsed by the most senior management representative? Does the policy relate to the company activities? Is the period for review documented? The company presented a Quality policy as part of their certified Quality Management system. The policy was signed and dated by the Managing Director. Quality Policy dated Jan 15.

8 2.2 Has the company formally appointed a representative who has responsibility for Quality management within the company? Auditor to establish the following: Have the competency requirements been clearly documented? Has responsibility been formally assigned and recorded? The company had appointed a representative who has responsibility for quality management within the business. This was the Plant Manager. Their roles and responsibilities were detailed in their job description and Company Structure Chart. Plant/SHEQ Manager Roles and Responsibilities. Company Structure Chart. 2. Does the company use processes or systems for the management and control of documentation? Auditor to establish the following: Is there a documented management procedure for document control? Does the Document Control system identify the key documents requiring management Is there a process in place for withdrawing and re-issuing of updated documents? Does the process include document archiving? (Is there a retrieval process for the archived document) Is there a process or system in place for the secure disposal of confidential documentation? Is there a master list of controlled documents? The company has documented procedures within the HSEQ Manual detailing the management procedure for document control. A master list of all documentation is held. HSEQ Manual Documentation Control.

9 2.4 Does the company have documented processes for the control and production of Q.C. (Quality Control) Plans /Procedures /Inspection documentation / Testing documents and competence of staff involved? That specific Quality Control documentation (as applicable) is included within the company document control processes. Whether the company undertakes any analysis to monitor the effectiveness of the procedures in place? The company have documented procedures for the control of quality within the business. Audits are undertaken and feedback is obtained. Audits incorporate non-conformance analysis in order to demonstrate the effectiveness of the quality controls. The company inspects and tests samples at all stages of the process. Audit Schedule 2.5 Does the company have a controlled and documented process for the hand over of completed works? That the company manages the documentation and process of completion of agreed contractual work. Does the company specify how long handover records will be retained? Following the refurbishment of the oil, the product is tested to BSI 148 standard. A certificate of compliance is attached to the customers' product. On site, work was checked by the principal contractor prior to completion. Certificate of Oil Analysis: Reclaimed Insulating Oil - BS 148:2009. Dated 4 Aug 15. Certificate of Oil Analysis: Unused Insulating Oil - IEC 60296:2012 Dated 5 Aug How does the company guarantee the confidentiality, availability, and integrity of information and supporting IT systems? Auditor to establish the following: Does the company have third party certification for IT management? e.g. ISO/IEC Is electronic information backed up on site or remotely? Does the company utilise a third party to store confidential data? Does the company have protective systems in place to reduce the occurrence of malicious software/it downtime? Does the company have a process or procedure relating to the back up of confidential data? N The company utilise a third party to control the IT system. They monitor the back ups that are conducted to tape every night. The Financial Controller/Operations Manager is responsible for taking the back ups off site.

10 2.7 Does the company have in place an internal auditing/inspection programme? The Auditor should establish: Are the audits at regular/programmed intervals? That the company has specified a minimum competency level for personnel undertaking audits / inspections. Does the company ensure all areas of the business are covered by this programme? Does the internal audit process include contract / customer specific requirements? The company has an internal audit programme which is controlled and conducted by the SHEQ Manager. The last audit, which covered all aspects of the business, was conducted on the 7 Jul 15. EOS SHEQ Audit Schedule Does the company have a management process in place to review non conformities/findings identified within: first, second and third party audit programmes? The Auditor should establish: Are key personnel assigned to ensure findings are closed out? Is a register kept of all outstanding issues and is it subject to regular review? Does the company have a mechanism in place to manage the close out of audit outcomes? Does the company have a mechanism in place to ensure assessor that defects / NCRs are closed out to satisfy applicable designs / specifications? The company schedule raises observations and non-compliances and the audits are maintained. Any NCR's are recorded and the audit remains open until they are closed out. Manufacturing Audit 7 Jul 15.

11 2.9 Does the company utilise information /data obtained as a result of the internal audit/inspection programme to improve business process? Auditor to validate the following: Is analysis of evidence/findings communicated to the relevant departments/nominated management representatives as part of an overall improvement programme? Is the information communicated to stakeholders /shareholders and the management team (Post Analysis)? The information collated from audits is recorded and communicated to the management system as deemed relevant depending on the issues raised. Management reviews are conducted annually. Section Score Business Integrity and Ethics.1 Does the company have a formal procedure in place in the event a member of the workforce breaches company rules regarding bribery, soliciting for money, intimidation or extortion for monetary gain in order to influence decision making? Does the procedure define a clear and logical structure of how the company would deal with potential problems such as this? Would the company involve the police in the event the policy is breached? Do workers sign a declaration agreeing that they have read and understood the content and will abide by the policy? The company Anti-Bribery Policy is detailed within the Company Handbook in section 2. The company stated that the police would be contacted if necessary as a result of a breach. All employees have a company handbook and all have signed to say they have received it. Company Handbook, Anti Bribery Policy.

12 .2 If a worker advises senior management of improper conduct either as a result of corruption, bullying/harassment, breaches of safe working practice, environmental issues; can the company demonstrate that the worker would be protected and the information treated confidentially (whistle blowing policy)? Auditor to establish the following: Is there a formal process / procedure that demonstrates how a worker can make a formal complaint in confidence? Is the complaint reported to an independent party? Can the company demonstrate how the policy has been communicated to all categories of worker? A Whistleblowing Policy is contained within the Employee Handbook. The policy details how a worker can make a complaint. On site, employees had the employee handbook to reference. Whistleblowing policy. Section Score Employment Practice and Human Rights 4.1 Is there a process or system to ensure that personnel recruited are entitled to work in the country of operation? Can the company demonstrate understanding of the relevant laws regarding the employment of workers who are not from the country of operation? Are all legal requirements followed when employing workers who have the legal ability to work within the country of operation e.g. as specified through the Asylum, Immigration and Nationality Act? Is evidence used to validate the individual s identity and eligibility to work such as; birth certificates, passports, identity cards, social security numbers etc.? (Please detail and if copies are retained) Does the company retain evidence of entitlement to work for at least years after the individual has left the employer? (Specify if a different period and if this covers temporary workers) Were personnel files available for sampling? The company held records of employee passports, which were viewed by the auditor.

13 4.2 Are all employees including temporary or seasonal workers issued with a contract containing details of their employment? Were personnel files available for review and to validate that workers are issued with a contract detailing information about their employment terms, payment, and type of employment and working hours including temporary or seasonal workers? (Please detail) NA The company does not utilise seasonal or temporary workers. 4. Does the company use employment agencies or labour companies? Does the supplier verify the competencies/capabilities of all agency-supplied labour prior to being supplied to them? Does the company have a process to ensure that agency personnel have not worked hours in excess of legislative and regulatory limits before attending their work site? If workers are utilised via recruitment agencies or labour companies, are checks made to verify that all workers are entitled to work in the specified country? The company uses employment agencies. All personnel employed through the agency go through the same induction process as every other employee. The company held a copy of the passports of those employed through the agency. Passport of employee hired through agency viewed by auditor. 4.4 Are trade unions present within the company? Which Unions are represented within the company? If no unions are allowed, this is to be recorded and a reason provided by the company. If no unions are allowed, does the company prevent workers from forming any other mechanism for collective bargaining? NA NA The company has employees who are members of the Unite and Prospect union. Section Score 12

14 5.0 Training and Capability/Competence Assessment CQ 5.1 Does the company induct new workers into the business when they first start on site? (This should include employees, sub-contractors, self employed and visitors) Are records of induction held? What mechanisms are used for induction delivery? That the induction process covers at least: Company structure Roles and responsibilities Training and competency requirements Relevant legislative and regulatory requirements Site-specific requirements e.g. welfare facilities/safety risks Emergency procedures e.g. warning signals/first aid issues Code of Conduct Accident/hazard reporting - what to do Is there a documented period for reinducting / rebriefing personnel and applicable personnel? The company inducts all new employees with an Introduction to company procedure over 2 days. Records of inductions are held. Understanding of emergency procedures and site safety rules are included. New Employee Induction sheet, 12 Jun 15. New Employee Induction sheet, 0 Mar 15. Site inductions had been carried out by the principal contractor. 5.2 Has the company identified all work activities relating to their scope of service that requires formal training? Is a training matrix is in place for all categories of worker? If the company does not utilise a matrix format do they have any other system to record what training is required for each job? Does the training process confirm competency/capability requirements as well as training needs? What systems does the company have in place to identify new training requirements relating to changes in scope of services being provided? The company has a training matrix that incorporates the whole business. A record of employees' qualifications and accreditations gained externally is kept and an in house competency sheet detailing the level of competency at specific activities is also detailed. Manufacturing Training Records Plant HSEQ Training Records 24 Feb 15.

15 5. Is there a system in place to ensure that existing training certificates /licences held by individuals are checked and validated on a regular basis? Are licences for operating plant and equipment or for specific trades checked for validity when presented by new workers joining the company who already possess the certification? Does the company have a means of identifying certification expiry/re-training dates and also, where necessary, competency assessment due dates?(can be electronic/manual or notification by training organisation) The training record is reviewed regularly and any qualifications that are due to expire are renewed if necessary. Training matrix including expiry dates of qualifications and competencies. 5.4 Has the company defined training standards for its workforce based on in-house or national /industry standards? Are the levels required by the company documented? Where competency/capability standards have been developed; are they signed off by a competent professional or Head of Department? Does the programme cover all categories of worker? Does the company use a numerical process to evaluate a workers capability when progressing against a specific standard? E.g. pass marks, matrix approach with cumulated scores to meet specific standard. The company has mandatory training for fire safety and manual handling for all employees. The records and competencies are signed off and reviewed by the SHEQ Manager. Company Training Records.

16 5.5 Does the company have programmes in place for the re-assessment/re-training of personnel? Is there a schedule for re-assessment? Are personnel records up to date (Auditor to take a sample)? If reliant on an external party, is there a system in place to monitor the effectiveness of the company used? Are remote (Individuals who work on sites or areas away from the main head office e.g. site tradesperson, lorry drivers) workers advised of their need to be re-assessed? Does the company monitor the effectiveness of the training programmes provided? The company conducts refresher training when required and regular toolbox talks. Team brief w/c 1 July. Section Score Working Hours 6.1 Does the company keep records of all workers standard and overtime working hours? Are time sheets subject to accuracy checks? Provide details of all shifts and days worked including any differences by other categories of staff e.g. security work longer hours than office /white collar staff. Specify average working week Does the company experience peaks and troughs throughout the year where working hours fluctuate? (Specify timescales) Is any overtime undertaken on a voluntary basis? The company operate a 7 hour working week. For shift operators overtime is compulsory and is detailed in the contract. Workforce agreements have been signed to agree to working over 48 hour weeks. Workforce Agreement between EOS and the relevant employees. The agreement details exclusions and/or modifications of Working Time Regulations and is signed by the employees that is applicable to. Section Score

17 7.0 Workplace Safety CQ 7.1 Does the company have established processes to ensure compliance to legal and other legislative requirements that are applicable? Auditor to validate the following: Demonstrate organisational subscriptions Has the company established, implemented and maintained procedures to identify and access all legal and other requirements. The company has a legal register detailing the legislation, key elements of the legislation that effect business operations and the control measures in place. EOS Health and Safety Legal Register. 7.2 Does the company have a policy statement relating to the provision of a safe working environment? Does it demonstrate a commitment to continually improving workplace safety? Does the policy extend to not only workers but also third parties and people who are not employed but may be affected by the company s activities? Is it endorsed and supported by the most senior management within the company? Is the policy on display anywhere within the company? Poster/intranet etc. Is the policy and its contents formally issued to employees, subcontractors and suppliers? Safety, Health and Environmental Policy signed and dated by the Managing Director, Jan 15. All company policies were displayed inside the premises on site. SHE Policy.

18 7. Does the company have a person who has delegated responsibility for workplace and product safety? Are the corporate responsibilities for this person defined in a job description? Does the delegated person holds qualifications / professional memberships appropriate to the role e.g. Nebosh / IOSH / IIRSM? If the company is part of a larger group is there a corporate reporting structure from the local facility to the Group Head responsible for Safety? Does the company split the responsibility for workplace and product safety? (Specify how this works) NA The SHEQ Manager was responsible for Safety matters in the business and his duties defined in their job specification. The SHEQ Manager held Graduate IOSH status. IOSH Grad Membership Number 14709, from 11 Feb 11. SHEQ Manager Job Description. NEBOSH Diploma, awarded 6 Apr Can the company demonstrate that the senior management team take a proactive role in the continuous improvement of health, safety and industrial hygiene within the company? Does senior management take part in random and programmed safety inspections/tours/audits? Does the company commit to establishing measurable objective and targets to ensure continued improvement aimed at elimination of work related injury and illness? Is there evidence to support performance monitoring of these objectives? The SHEQ manager conducts weekly tours and inspections and incorporates health and safety issues and items into them. Flintshire Bridge site safety tours 6 Aug 15.

19 CQ 7.5 Does the company have control measures in place to reduce / remove identified Health and Safety Risks The Auditor should establish if the following are in place: Has the organisation established, implemented and maintained documented procedures to identify hazards/impacts and assess risks? Has the company developed its methodology for hazard identification, risk assessment and risk control, based on operational experience? Does the company use all forms of Risk Assessment including; Generic, Dynamic, site specific etc.? (Auditor to detail the risk control processes in place) Does the company have a process to manage works completed under a permit to work system issued by the company or by a principle contractor? Generic Risk Assessments are stored to be used for examples for different sites in the future. All risk assessments are job/site/task specific change depending on the place the works are being carried out. In addition to site risk assessments and method statements, there are point of work risk assessments which are for the individual to check that they have all items they are required to have prior to carrying out the work. General Risk Assessment: Blending of Inhibited Transformer Oil, Assessment No: EOS-17. Reviewed 14 Oct 14, next review 14 Oct 15. (Site) Principal RAMS: FLIB 27 CQ 7.6 Does the company have a communication process to provide guidance to the workforce on workplace safety issues? Auditor to confirm the following: Does the company utilise a variety of different methods of communication? (Specify methods used) Does the company keep a formal record of all communication/briefings issued? Does the company verify that mechanisms for communication with personnel with poor / non-local language skills are appropriate and that hazards are understood? How does the company ensure subcontractors are included within briefing and communication programmes? Does the company have forums / committees / groups or other mechanisms to enable the communication and discussion of safety issues? The SHEQ manager communicates any health and safety issues through notice boards, local network and Plant Briefs. Plant Brief incorporating SHE issues. Dated 15 Jun 15. Toolbox Talk Manual.

20 7.7 Does the company develop and implement initiatives to improve workplace safety? Auditor to confirm the following: Can the organisation demonstrate how it identifies and quantifies areas of improvement relating to Health & Safety? Can the organisation demonstrate how it develops programmes to rectify and improve upon Health & Safety performance? Are workers rewarded for developing and implementing workplace safety initiatives? (Can be financial/award of gifts etc.) Does the company have a Behavioural Safety programme in place? The company has implemented and managed an incentive scheme to improve Company Health and Safety Performance and awareness. This included the immediate reporting of unsafe acts, correct wear of PPE, completing all mandatory training and supporting SHEQ initiatives. Attachment 1: Incentive Scheme 2015, SHE Bonus Criteria. CQ 7.8 Can the company demonstrate that they issue appropriate Personal Protective Equipment (PPE) to all workers (migrant workers, contract/ labour, full-time) that may be exposed to workplace hazards? Auditor to validate/evaluate the following: Were issue lists provided as evidence? Can the company demonstrate that all workers have been given guidance on the proper handling, storage and use of PPE? Is there a period of time for the retention of PPE records? Is there a methodology used to identify type of equipment that needs to be used? Does the company issue agency labour with PPE (with records of issue retained) or if not does the company retain records of inspection of Agency labour PPE documenting that it meets the company s standards and legislative requirements? Is there a disciplinary procedure linked to failure to wear required PPE? When self employed workers/ sub contractors attend site with their own equipment does the company check its suitability? Can the company demonstrate that all PPE is issued free of charge to all workers? PPE Register viewed and kept for each employee. Spares are stored on the premises, hard hats are replaced annually and boots are replaced every 6 months. PPE Register viewed by auditor. PPE provisions were adequate on site with spares held.

21 7.9 Can the company demonstrate that they have assessed the hazards associated with applicable chemicals and/or hazardous substances? Auditor to validate: Does the company have a process or system in place to ensure that up to date data sheets are obtained? Are all copies of data sheets retained in a register? Does the company have a process for ensuring MSDS and supporting assessments are available to the emergency services (including first aid trained personnel) where necessary? The company possesses a COSHH register and associated COSHH assessments. These are stored within the integrated management system and site locations had relevant assessments to hand. COSHH register and Material Safety Data Sheet File. LAB01 Acetone. LAB22 Hydronaul Coulomat A Is there a system in place for the correct handling and storage of hazardous substances and goods? Is there any site storage of flammable materials including fossil fuels/lpg/auto gas? Can the company demonstrate they utilise appropriate containment on site needed to retain leakage from storage vessels? (Bunds/Reinforced walls) Is there a programme in place to assess the integrity/suitability of the storage areas? Does the company employ a No Smoking policy in open areas? Does the company have spill kits available for use? The company has numerous large tanks of oil. The oil containers have both high and low level alarms to alert a loss or spillage. The initial spillage would be contained within a bunded area. Should the bund overflow there is a drainage system in place to capture the excess oil. A no smoking policy is enforced throughout the whole site. Spillage Procedure: SHE011. All storage of materials on site was managed by the principal contractor.

22 7.11 In the event of an injury in the workplace can the company demonstrate they have adequate emergency first aid facilities onsite? Are medical points with facilities located throughout the workplace? Does the company provide facilities when working away from the main office? Are qualified emergency first aid personnel easily identified e.g. badges / different coloured uniform / pictures on the notice boards? (Specify quantity of personnel) Are subcontractors/temporary/agency workers allowed to use these facilities? Adequate numbers of staff were qualified and were identified through posters displayed round the facility. On site, emergency first aid kits and eye wash stations were fully equipped and in date. First aid kits, quarterly inspection, eye wash Does the company have arrangements in place for investigating and reporting of Accidents and Incidents and Near Misses in their worksites? Does the company have a nominated person who reports all accidents and incidents to government agencies and where applicable a corporate Head Office? Does the company maintain records of accidents and incidents (This includes safety & environmental incidents)? Does the company have a documented process for undertaking investigations into accidents/incidents and near miss occurrence? Does the company produce and analyse Accident and Incident Statistics? Can the company demonstrate that lessons have been learned and applied from incidents? The auditor should record what improvements have been implemented. Has the company had any prohibition or Improvement notices in the last 5 years? (auditor to check as part of audit) Has the company had any HSE Prosecutions within the last 5 years? (auditor to check as part of audit) Jump to Accident and Incident Statistics N N N N Accident reporting is collated through an Accident and Incident Reporting Form which includes root causes and learning points. Environmental incidents are included within this report. Near misses are collated in the same form. The SHEQ Manager is responsible for reporting reportable incidents. Section Score 6 0

23 8.0 Occupational Health 8.1 Does the company have a nominated person who has responsibility for occupational health / industrial hygiene? Does this person have defined responsibilities as part of the management system? Does the company use the services of a third party (Can be private or government operated facility) medical centre/hospital for the delivery of occupational/worker health services? If an accountable person is not identified within the company, what systems are in place to ensure the health and hygiene of employees? The SHEQ Manager and Field Services Co-ordinator are responsible for Health surveillance. CQ 8.2 Does the company undertake any Health (medical) Surveillance screening/monitoring/testing of their workforce? Is the screening part of the pre employment selection criteria? Is testing undertaken (either pre employment or periodic) because of the type of work the company undertakes e.g. working with chemicals or noisy environment? Can it be confirmed that the company have implemented controls to prevent workers being exposed to harmful chemical, biological and physical agents/substances/materials that exceed the minimum legal exposure limits? Does the company and subcontractors have documented processes for ensuring employee fitness for work? Do requirements include Drug and Alcohol testing? The company employ a third party to conduct annual health surveillance. The company have conducted testing of the air particles in the working environment and there was no exposure to harmful chemicals. Record of Health Surveillance 26 Jun 15. Employee handbook section 16 Drugs and Alcohol Policy. Section Score 6

24 9.0 Emergency Planning 9.1 Does the company have a controlled process for the identification and implementation of emergency arrangements? Does the company have controlled processes for the identification and implementation of work site specific emergency arrangements? Are site specific emergency arrangements communicated to all applicable personnel? Can the company demonstrate that they have tested the effectiveness of their emergency arrangements? Does the company mandate minimum competency levels and minimum resource levels within the documented emergency arrangements? Has the company quantified minimum medical provision and support within the emergency plan? Can the company demonstrate that they provide visitors/external auditors/ contractors who visit their site with specific information on site safety hazards including emergency evacuations? Is there a programme in place that ensures that all emergency (fire and evacuation) equipment is checked regularly by a competent person? (This can be a third party) Emergency arrangements were explained to the auditor at both the office premises and the site location. Fire extinguishers were checked and found to have in date inspection records. The company conduct regular fire drills. EOS accident management plan reviewed Oct Procedures for emergencies during and outside normal working hours were detailed. Drill Report 16 Jun 15. Section Score 10.0 Site Security 10.1 Does the company ensure the security of the work site both during work and non working hours? The Auditor should establish the following and detail within the question guidance: The auditor will record a description of the processes used e.g. fencing / patrols / lighting / alarms The building premises are manned 24 hours Monday to Friday. The premises is surrounded by perimeter fencing. Access to the site is controlled by a locked electronic gate. Security patrols are conducted every 2 hours by an external security company.

25 10.2 Does the company utilise CCTV to monitor workplace security? Confirm the numbers of cameras on site and if fixed or mobile type used. Are government permits required and in place for CCTV systems? The business premises is covered by numerous CCTV cameras which feed to the security company. On the site location the principal contractor had CCTV installed. 10. Are security personnel employed directly by the company or engaged via a third party and how are they distinguishable from other members of the workforce? Do they undertake programmed patrols of all work sites? How does the company ensure the competency and legitimacy of security personnel and does this include Security Industry Association (SIA) licensing? Can the company demonstrate that site based security personnel have been inducted to the operational working sites that they patrol? All security personnel that are employed by the third party security company have been inducted to the business and are SIA licensed. Ellesmere Port and Nesting Security. Section Score 9 9

26 11.0 Business Continuity 11.1 Does the Company have formal arrangements in place for the implementation of a business continuity management plan? Is a formal plan in place? (Specify if localised arrangement only or part of multinational group) Has the plan been subject to trial or simulation? Does the plan cover areas that could result in the total loss of operations? (such as terrorist threats, natural disasters, power cuts, etc.) Can the company demonstrate all reasonable emergency situations have been identified? (Specify if this has been documented and by whom) Is the documented plan subject to a regular review? (please detail time frame) Has the company appointed an individual with responsibility for this area? In the event of an emergency the Business Continuity Plan details arrangements for alternative accommodation on the industrial estate. Their contact details are included for this arrangement to be started. The Plan has been subject to simulation due to equipment failure in the past. Business Continuity Plan Revision 6, Oct Section Score 12.0 Environmental Management 12.1 Does the company have an environmental policy statement? Is the policy statement signed and endorsed by the most senior management representative? Does the policy relate to the company activities? Is it displayed in a prominent position or made available to all interested parties? Commit the company to a continuous improvement programme and ensures compliance with all relevant environmental legislation or industry guidance? Does it identify how environmental issues will be communicated? Is the period for review detailed? The Company had an Environmental policy in place as part of their certified Safety Management system signed and dated by the Managing Director. The policy committed to continual improvement. Safety, Health and Environmental Policy, Jan 15.

27 12.2 Are the company s environmental management systems documented? The Auditor should establish the system covers the following: Does the system document the company's environmental responsibilities? Are details of the communication process detailed? Are responsibilities clearly defined? Is there an inspection and audit regime? Are emergency procedures detailed? Is there written sections on waste and recycling? Does the company have a policy on sourcing materials / procurement strategy? Is there written sections on the management of subcontractors? Does the system detail the measures to be taken in the design process? Does the systems establish legal requirements including creation and maintenance of a register of legislation / changes to legislation? The Company operated a certified management system to the ISO14001 standard certified through SGS who are UKAS accredited. There were sections addressing all relevant environmental responsibilities. 12. Does the company utilise a variety of sources to ensure the content of the environmental management system? In House expertise? External consultancy? Subscription services? Government agencies / Local /Municipal Authorities? The company utilises a variety of sources to ensure the content and relevance of the EMS. SHEQ Manager has IEMA Membership. Oil Recycling Association updates viewed by auditor. Permit Number ZP58MQ issued by the Environment Agency to Company Registration , Ellesmere Port Transformer Oil Regeneration Plant at Electrical Oil Services Ltd. Authorised since 26 Oct 07.

28 12.4 Does the company manage the Aspects and Impacts associated with their scope of services? Are these processes documented in the form of a register or similar? Does the company have a formal communication process for communicating the content of the register? Is there evidence of a periodic assessment and evaluation of the content? The company presented an aspects and impacts register. Details of the potential risk and effects of emissions to air, release to water, land, noise, odour and waste were detailed. The content of the register is reviewed annually. Aspects and Impacts register reviewed 20 Sep 14. CQ 12.5 Does the company have control measures in place to reduce/remove identified environmental risk? The Auditor should establish if the following are in place: Does the company use data from maintenance programmes / operations to enhance controls processes? Does the Internal auditing regime monitor the control measures in place? Are inspections received from government agencies? The Company had an Aspects and Impacts register in place and this identified significant aspects and control measures in place. The register was subject to annual review and the results of Non conformance reviews generated further controls. A condition of the environmental permit issued by the EA is that certain emissions are kept to a defined limit. Audits incorporate environmental risks including the validity of the control measures. Environmental Permit. EOS Aspects and Impacts Register. Section Score 15

29 1.0 Carbon Management 1.1 Does the company quantify and report their Greenhouse Gas (GHG) emissions? Can the company provide the total emissions, in terms of tco 2 e (tonnes of carbon dioxide equivalent), that they were responsible for emitting over their standard reporting year? Does the company capture indirect emissions as well as direct emissions e.g. supply chain? Is this a definitive answer e.g calendar year: 12,100 tco 2 e? Is the figure published in the form of a standard report, spreadsheet or for larger companies, published in a CSR or annual report? In the question evidence, please detail the person or persons responsible for reporting? A third party monitor the emissions from the Column Regeneration Process Stack and detail the level of emissions. The business record electricity used and fuel oil litres used tco2, is emitted as a result of total company operations, per tonne of oil regenerated. Permit for the Environment Agency. Schedule 5 - Reporting, Table 5. Performance Parameters. This is reviewed annually, the permit is reviewed every 4 years. 1.2 Are follow up actions set in place as part of the monitoring and measuring process? Are new targets set after each review period? Are the follow up actions communicated to all employees? If targets are not achieved, are strategies set in place in order to meet them? Targets are detailed in an energy efficiency plan and the Environmental Permit. The company's emissions are monitored and limited by the Environment Agency. The environment agency stipulates that a re-check or root cause analysis be carried out should an emission limit be exceeded. Section Score 6

30 14.0 Waste Management 14.1 Does the company have processes or systems in place to manage waste (Produced as a result of their activities)? The Auditor should establish if the following are in place: Recycling initiatives? Are the systems formal? The company have various recycling initiatives in place. All steel oil drums received are reconditioned and all plastic containers are shredded and re-used. Waste oils are sold. Environmental Permit Review, page 24 Waste Recovery, details the recycling and/or recovery of Waste oils, Plastic Drums, Metal Drums, Wooden Pallets and Domestic Waste. Disposal records are maintained. CQ 14.2 Does the company ensure that it disposes of all its waste in a legal and proper manner? Does the company use a formal transfer note process? (Specify how this works) Do they use licensed waste companies and licensed waste carriers? (Specify if company has to be subject to government licensing programme) Do they have access to up to date waste legislation? If burying the waste are they using authorised sites? Transfer to authorised/licensed waste management company? Where applicable can the company demonstrate that it complies with the Waste Electrical and Electronic Equipment (WEEE) Regulations 201. Waste management within the Company was through approved and validated contractors. Waste transfer notes were held for each consignment and a copy of their carriers licence held on file. Waste Removal Contractor Information Spreadsheet. Frogsons (EA Reg No: CB/SP18JG, expiry date 4 Mar 16) Hazardous Waste Consignment Note No: NAR081/F5005. Date 29 Jun 15. Oil Salvage Ltd (EA Reg No: CB/DP872BC, expiry date Sep 15) Hazardous Waste Consignment Note No: NAR0811BE687 4 Feb 2015.

31 14. Does the company store any waste material on site? Are they classified as Hazardous? Are they classified as Non Hazardous? Are they classified as non flammable? Are they classified as flammable? Are there quarantine areas to prevent any cross contamination? If liquid are there adequate spill preventions / containment / spill kits? Are inspections undertaken on the controls? The company has numerous large tanks of oil. The oil containers have both high and low level alarms to alert a loss or spillage. The initial spillage would be contained within a bunded area. Should the bund overflow there is a drainage system in place to capture the excess oil. A no smoking policy is enforced throughout the whole site. All staff conduct mandatory spillage training. Spillage kits viewed by auditor. Section Score Selection and Management of the Supply Chain 15.1 Has the company appointed a management representative with overall authority for subcontractor / supplier selection and management? Detail the job title within the question evidence. Are deputies within the company in the absence of the representative? Does the company have a forum, group or committee to review contractor/ supplier performance? Does the company use a due diligence process e.g. double signatures or similar before a company can be employed contractually. Sub-contractor management and Supply chain management is managed by the Facilities Operator/Plant Management. Company Structure Chart.

32 15.2 Does the company ensure effective management of their supply chain? Does the company maintain an approved supplier list? Has the company got a process for the evaluation/ selection of contractors/ suppliers, to include PQQ, pre start H&S inspections of activities? Has the company identified the minimum levels of insurance applicable and required to be held by its subcontractors? Does the company specify any accreditations/ requirements e.g. UVDB, BuildingConfidence? Has the company identified the minimum quality, safety and environmental controls applicable and required to be held by its supply chain? Is there confirmation of subcontractor competency assurance? A Sub Contractors Booklet and Pre-Qualification Questionnaire Log details all suppliers and sub-contractors details and accreditations including; Company Organogram, ISO Certificates, H&S Policy, Environmental Policy and company Insurance details. Sub Contractors Booklet and Pre-Qualification Questionnaire Log reviewed 0 Jul Does the company undertake any reviews of their supply chain performance? Is there a review mechanism? Is there a method for recording reviews? Is there a process for rectifying faulty work? Is there a process to prevent contractors/ suppliers with poor performance continuing to work for the company, or to instigate improvements? Does the company have a mechanism for periodic monitoring of subcontractors insurances, licenses and professional memberships? Does the company capture / analyse subcontractors accidents / incidents statistics and reports? Does the company have a process to investigate contractor/ supplier, Accidents/ Incidents and track actions? The company conducts check and reviews regularly. Primary suppliers are used and supplementary suppliers are utilised if there is a drop in performance levels. Approved Supplier List viewed by auditor with company's no longer used highlighted.

33 15.4 Does the company assess/audit/inspect their supply chain? First Tier Second Tier Third Tier Fourth Tier Entire supply chain Are audit/inspection personnel employed or are rd party auditors used? Does the company have a process for the recording and monitoring of any corrective actions raised at subcontractor/supply audits? NA NA It was noted that the company meets the above process and addresses this through its integrated management system and Supplier assessment sheets. Section Score Sourcing of goods and products 16.1 Does the company source goods and services locally (where available)? Does the company have to source goods domestically in preference to goods sourced internationally? (Government or Company mandate) Is there a specified limit or boundary e.g. all companies within 100 km radius? N The company uses local suppliers wherever possible. A policy was not written down however, addresses of suppliers and services used by the company were all within a localised area. Approved Supplier List Does the company have a policy to procure fairly traded goods where available? Auditor to record details. The Company had a Sustainability policy in place relating to its procurement of goods and an Equal Opportunities Policy.

34 16. Does the company work with its top level suppliers to prevent bribery & corruption throughout its supply chain? Auditor to record details. The Company presented an Anti Bribery policy to address bribery and corruption measures in the business. Suppliers were required to sign up to the code through the PQQ appraisal form for the approved supplier list If the company handles materials from legal and sustainable sources, can they demonstrate chain of custody certification? Auditor to verify: If purchasing raw materials is there a mandated requirement to use materials that possess a Chain of Custody e.g. Forestry Stewardship Council (FSC) timber. Do delivery notes contain a chain of custody certificate? (Specify if this is subject to verification prior to use) NA NA The company does not at present handle materials that require a Chain of Custody certificate Can the company demonstrate that they actively assess their supply chain for the potential of child labour being involved in the work process? Can the company demonstrate that they ask their suppliers about child labour in the supply chain? If they are sourcing goods where there is a higher probability of children being involved in the work process which can include both forced labour / contractual labour via schools etc.; what processes do they have in place to mitigate this? NA The Company assess it supply chain and use UK and specialist brand leaders for their materials and products and are assured that they are sourced ethically and not from oppressive regimes or using Child Labour. Section Score 15

35 17.0 Use of Work Equipment, Vehicles and Machines CQ 17.1 Does the company have arrangements in place for ensuring that all plant, hand tools and equipment are approved prior to use? The Auditor should establish the existence of a documented process for the maintenance of plant and tools and that maintenance arrangements and records include: Does the company retain any calibration records? Does the company have a process for reporting and repairing defects on plant and equipment? Does the company produce a scheduled maintenance plan for each individual plant item? Does the company use internal staff to maintain and inspect equipment? Are statutory inspections undertaken and valid Test/Inspection Certificates issued by a third party? All equipment that requires calibration is recorded on a spreadsheet held by the SHEQ manager. On site, the equipment being used was found to have in date calibration records detailed below; Interfacial Tensiometer Ser No: 7229F, Cert No: 24401, Expiry date Nov 15. ISL FP9 5G2 Flash Point Ser No: 2271, Cert No: Expiry Date Mar 16. Site Megger Ref No: MPU T4 Calibration expiry date Jan If the company uses equipment from a third party hire company (short or long term), does the company ensure that the equipment is fit for purpose? The auditor should establish that: Does the company have a process for verifying that equipment supplied is fit for purpose? NA Does the company request calibration records when equipment arrives on site? NA Does the company retain copies of certificates of conformity for all tested equipment? NA All fork lift trucks located at the business premises were on hire. LOLER certificates and service records are detailed below; Engineer Field Service Report 21 Apr 15, fork lift. Zurich LOLER report of Thorough Examination. FLT02 Diesel Fork Lift B875B24877L. 2 Jul 15 next inspection due 2 Jul 16. GB07B0529L Electric Fork Lift truck 2 Jul 15, next inspection 2 Jul 16.

36 CQ 17. If the company uses cranes (Fixed or mobile) or other lifting equipment, do they have processes in place to discharge their mandatory checks/thorough examinations? Could the auditor verify that records had been completed and maintained? Are checks/examinations completed by competent/capable persons? Can the company demonstrate compliance with the relevant lifting/safety regulations of their country of operation? The company ensures all equipment is clearly documented. All equipment and accessories, including LOLER certificates and maintenance schedules are retained. Zurich Inspection: Contract No: NNG Date 2 Jul 15. Single Leg Chain Sling Links, x D Shackle Insurance and Warranty Section Score Can the company demonstrate that it has adequate insurance to cover not only its scope of works, also its workforce and surrounding environment? Name of the insurance company Policy Numbers Covers for each claim (Specify category of insurance and currency e.g. US$) Expiry Date Does the Cover include scope of operations? Domestic or International coverage / group or localised coverage. The company held relevant insurance for its activities. The details are listed below; Policy Number: QBE0115A. Expiry Date 1 Jan 16. Public and Products Liability Limit 5m. Employers' liability 10m Can the company demonstrate what form of warranty or guarantee they provide as part of their service package? The auditor shall record the description of the process offered including timescales, any restrictions placed upon customers and if they provide recalls on any products they have installed/produced. Name of the insurance company Policy Numbers Covers for each claim (Specify category of insurance and currency e.g. US$) Expiry Date Does the Cover include scope of operations? Domestic or International coverage / group or localised coverage. NA NA The company does not provide a guarantee or warranty.

37 18. If the insurance cover has been issued to a parent or holding company, how is this process managed in the event of a claim? If supplier operates in a different country from that of their Head Office is the currency of the policy different? Can the company demonstrate there are no excesses or restrictions that limit the company s indemnity? If the Policy has been issued to a Parent or Holding Company, is this discharged to cover the activities of the supplier? Name of the insurance company Policy Numbers Covers for each claim (Specify category of insurance and currency e.g. US$) Expiry Date Does the Cover include scope of operations? Domestic or International coverage / group or localised coverage. NA NA NA NA All insurance was held directly by the company. Section Score 9 END

38 Key Performance Indicators (KPIs) EXPOSURE Current ear ear -1 ear -2 ear - ear -4 Total Manhours worked 8,000 70,200 68,250 68,250 68,250 SAFET Current ear ear -1 ear -2 ear - ear -4 Fatalities HSE Reportable Injuries Lost time incidents (1-7 days) Incidents requiring medical treatment (MTI) Incident requiring first aid Dangerous Occurrences Near Hits/Misses HSE/HSA or equivalent improvement notices HSE/HSA or equivalent prohibition notices HSE/HSA or equivalent prosecutions ENVIRONMENT Minor Non-reportable incidents Reportable incidents Enforcement action i.e. Warning letters, prosecutions Current ear ear -1 ear -2 ear - ear