Achilles UVDB Verify B2 Audit Report · Question Evidence: The company have accredited Quality, Health and Safety and Environmental Management Systems certified to ISO 9001, 14001

Achilles UVDB Verify B2 Audit Report

Electrical Oil Services Ltd

Date of Audit:

Auditor: Dan Sellers

06/08/2015 & 07/08/2015

services for professional procurement

www.achilles.com

Achilles UVDB Verify B2 Protocol Version 10.1

Supplier ID:

61864

Supplier Name:

Electrical Oil Services Ltd

Address:

Stanlow Works, Bridges Road

Stanlow Ellesmere Port, Cheshire

CH65 4WD

Tel/Fax:

(+44)8456021003

Audit

Date(s): 06/08/2015 & 07/08/2015

Contact Name:

Tony O'Regan

Title:

Plant/SHEQ Manager

Introduction:

.

MSE Percentage Score Site Percentage Score

100% 100%

100% 100%

100% 100%

100% 100%

.

100% 100%

CSR

Average Amalgamated Scores

EXECUTIVE SUMMARY

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 35 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.

Auditor(s):

Dan Sellers

There were no findings as a result of the audit.

AMALGAMATED SCORES

Health & Safety

Environment

Quality


.

Section

NumberSection MSE Percentage Score Site Percentage Score

System Assurance and Compliance,

Quality Assurance

100%


Health & Safety

100%


Environmental Management

100%

2 Quality Control and Assurance 100% 100%

3 Business Integrity and Ethics 100% 100%

4 Employment Practice and Human Rights 100%

5 Training and Capability/Competence

Assessment

100% 100%

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%

13 Carbon Management 100%

14 Waste Management 100% 100%

15 Selection and Management of the Supply

Chain

100%

16 Sourcing of goods and products 100%

17 Use of Work Equipment, Vehicles and

Machines

100% 100%

18 Insurance and Warranty 100%

1


Question

NumberFinding

Question

NumberFinding

Question

NumberFinding

Question

NumberFinding

Question

NumberFinding

Critical Non-Compliances

Major Non-Compliances

Minor Non-Compliances

Observations

PQQ Discrepancies

Question

NumberFinding

Positive Elements

1.0 System Assurance and Compliance MSE SITE

1.1Can the company demonstrate that their Quality Management Systems are

assured?3

Can the company demonstrate that their Health & Safety Management Systems

are assured?3

Can the company demonstrate that their Environmental Management Systems

are assured?3

The Auditor should establish the following:

Does the company have any formal 3rd party certification for their management systems

as awarded by an independent accreditation body for quality, health and safety,

environment or social responsibility?

Y

Does the company’s accreditation apply to more than one country if the company has

international operations? (if yes please detail countries)Y

Is the accrediting body registered with the UKAS or other international equivalent? Y

Where 3rd party accreditation has not been achieved is the company prepared to operate

adopt their clients Quality, Health & Safety and Environmental Management Systems?Y

Question Evidence:

The company have accredited Quality, Health and Safety and Environmental Management

Systems certified to ISO 9001, 14001 and OHSAS 18001 standards. The details are listed

below;

Documents Presented

ISO 9001 accredited through SGS who are UKAS accredited, Certificate GB03/57997

Expiry Date 17 Dec 17.

ISO 14001 accredited through SGS, Certificate GB06/69099 Expiry Date 17 Dec 17.

OHSAS 18001 accredited through SGS, Certificate GB09/78611 Expiry Date 17 Dec 17.

CQ 1.2Can the company demonstrate compliances with the Construction, Design and

Management Regulations?3


Does the company undertake any activities that fall under the CDM regulations? NA

Has the company identified and documented its responsibilities as defined within the CDM

regulations e.g. CDM Coordinator, Designer, Principal Contractor? NA

Do company management systems clearly identify processes for meeting and discharging

duties as required by the CDM regulations?NA

Question Evidence:

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.

Documents Presented


1.3Has the company identified all permit and licensing requirements applicable to

the scope of services provided?3


Has the company identified the necessary licenses and permits applicable to the scope of

services provided?Y

Can the company demonstrate that all applicable licenses and permits are held and in

date?Y

Can the company demonstrate it is implementing the requirements of each permit or

license that is held?Y

Question Evidence:

The company presented all permits and licences required to conduct their scope of

services.

Documents Presented

Permit Number ZP3538MQ issued by the Environment Agency to Company Registration

3749629, Ellesmere Port Transformer Oil Regeneration Plant at Electrical Oil Services Ltd.

Authorised since 26 Oct 07.

Section Score 15

2.0 Quality Control and Assurance MSE SITE

2.1Does the company have a formally approved Quality Management policy

statement?3


Is the policy statement signed and endorsed by the most senior management

representative?Y

Does the policy relate to the company activities? Y

Is the period for review documented? Y

Question Evidence:

The company presented a Quality policy as part of their certified Quality Management

system. The policy was signed and dated by the Managing Director.

Documents Presented

Quality Policy dated Jan 15.


2.2Has the company formally appointed a representative who has responsibility for

Quality management within the company?3

Auditor to establish the following:

Have the competency requirements been clearly documented? Y

Has responsibility been formally assigned and recorded? Y

Question Evidence:

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.

Documents Presented

Plant/SHEQ Manager Roles and Responsibilities.

Company Structure Chart.

2.3Does the company use processes or systems for the management and control of

documentation?3


Is there a documented management procedure for document control? Y

Does the Document Control system identify the key documents requiring management Y

Is there a process in place for withdrawing and re-issuing of updated documents? Y

Does the process include document archiving? (Is there a retrieval process for the

archived document)Y

Is there a process or system in place for the secure disposal of confidential

documentation?Y

Is there a master list of controlled documents? Y

Question Evidence:

The company has documented procedures within the HSEQ Manual detailing the

management procedure for document control. A master list of all documentation is held.

Documents Presented

HSEQ Manual 4.4.5 Documentation Control.


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?

3

That specific Quality Control documentation (as applicable) is included within the company

document control processes.Y

Whether the company undertakes any analysis to monitor the effectiveness of the

procedures in place?Y

Question Evidence:

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.

Documents Presented

The company inspects and tests samples at all stages of the process.

Audit Schedule

2.5Does the company have a controlled and documented process for the hand over

of completed works?3 3


That the company manages the documentation and process of completion of agreed

contractual work.Y Y

Does the company specify how long handover records will be retained? Y Y

Question Evidence:

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.

Documents Presented

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 15.

2.6How does the company guarantee the confidentiality, availability, and integrity

of information and supporting IT systems?3


Does the company have third party certification for IT management? e.g. ISO/IEC 27001 N

Is electronic information backed up on site or remotely? YDoes the company utilise a third party to store confidential data? YDoes the company have protective systems in place to reduce the occurrence of malicious

software/IT downtime? Y

Does the company have a process or procedure relating to the back up of confidential

data?Y

Question Evidence:

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.

Documents Presented


2.7 Does the company have in place an internal auditing/inspection programme? 3 3

The Auditor should establish:

Are the audits at regular/programmed intervals? Y YThat the company has specified a minimum competency level for personnel undertaking

audits / inspections.Y Y

Does the company ensure all areas of the business are covered by this programme? Y Y

Does the internal audit process include contract / customer specific requirements? Y Y

Question Evidence:

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.

Documents Presented

EOS SHEQ Audit Schedule 2015.

2.8

Does the company have a management process in place to review non

conformities/findings identified within: first, second and third party audit

programmes?

3

The Auditor should establish:

Are key personnel assigned to ensure findings are closed out? YIs a register kept of all outstanding issues and is it subject to regular review? YDoes the company have a mechanism in place to manage the close out of audit

outcomes?Y

Does the company have a mechanism in place to ensure assessor that defects / NCRs are

closed out to satisfy applicable designs / specifications?Y

Question Evidence:

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.

Documents Presented

Manufacturing Audit 7 Jul 15.


2.9Does the company utilise information /data obtained as a result of the internal

audit/inspection programme to improve business process?3

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?Y

Is the information communicated to stakeholders /shareholders and the management

team (Post Analysis)?Y

Question Evidence:

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.

Documents Presented

Section Score 27 6

3.0 Business Integrity and Ethics

3.1

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?

3

Does the procedure define a clear and logical structure of how the company would deal

with potential problems such as this?Y

Would the company involve the police in the event the policy is breached? YDo workers sign a declaration agreeing that they have read and understood the content

and will abide by the policy?Y

Question Evidence:

The company Anti-Bribery Policy is detailed within the Company Handbook in section 23.

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.

Documents Presented

Company Handbook, Anti Bribery Policy.


3.2

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)?

3 3


Is there a formal process / procedure that demonstrates how a worker can make a formal

complaint in confidence?Y Y

Is the complaint reported to an independent party? Y YCan the company demonstrate how the policy has been communicated to all categories of

worker?Y Y

Question Evidence:

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.

Documents Presented

Whistleblowing policy.

Section Score 6 3

4.0 Employment Practice and Human Rights

4.1Is there a process or system to ensure that personnel recruited are entitled to

work in the country of operation?3


Can the company demonstrate understanding of the relevant laws regarding the

employment of workers who are not from the country of operation?Y

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?

Y

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)

Y

Does the company retain evidence of entitlement to work for at least 3 years after the

individual has left the employer? (Specify if a different period and if this covers temporary

workers)

Y

Were personnel files available for sampling? Y

Question Evidence:

The company held records of employee passports, which were viewed by the auditor.

Documents Presented


4.2Are all employees including temporary or seasonal workers issued with a

contract containing details of their employment?3

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

Question Evidence:

The company does not utilise seasonal or temporary workers.

Documents Presented

4.3 Does the company use employment agencies or labour companies? 3


Does the supplier verify the competencies/capabilities of all agency-supplied labour prior

to being supplied to them?Y

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? Y

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?Y

Question Evidence:

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.

Documents Presented

Passport of employee hired through agency viewed by auditor.

4.4 Are trade unions present within the company? 3

Which Unions are represented within the company? Y

If no unions are allowed, this is to be recorded and a reason provided by the company. NA

If no unions are allowed, does the company prevent workers from forming any other

mechanism for collective bargaining?NA

Question Evidence:

The company has employees who are members of the Unite and Prospect union.

Documents Presented

Section Score 12


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)

3 3


Are records of induction held? Y YWhat mechanisms are used for induction delivery?

That the induction process covers at least:

Company structure Y YRoles and responsibilities Y YTraining and competency requirements Y YRelevant legislative and regulatory requirements Y YSite-specific requirements e.g. welfare facilities/safety risks Y YEmergency procedures e.g. warning signals/first aid issues Y YCode of Conduct Y Y

Accident/hazard reporting - what to do Y YIs there a documented period for reinducting / rebriefing personnel and applicable

personnel?Y Y

Question Evidence:

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.

Documents Presented

New Employee Induction sheet, 12 Jun 15.

New Employee Induction sheet, 30 Mar 15.

Site inductions had been carried out by the principal contractor.

5.2Has the company identified all work activities relating to their scope of service

that requires formal training?3 3


Is a training matrix is in place for all categories of worker? Y YIf the company does not utilise a matrix format do they have any other system to record

what training is required for each job?Y Y

Does the training process confirm competency/capability requirements as well as training

needs?Y Y

What systems does the company have in place to identify new training requirements

relating to changes in scope of services being provided?

Question Evidence:

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.

Documents Presented

Manufacturing Training Records

Plant HSEQ Training Records 24 Feb 15.


5.3Is there a system in place to ensure that existing training certificates /licences

held by individuals are checked and validated on a regular basis?3


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?

Y

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)

Y

Question Evidence:

The training record is reviewed regularly and any qualifications that are due to expire are

renewed if necessary.

Documents Presented

Training matrix including expiry dates of qualifications and competencies.

5.4Has the company defined training standards for its workforce based on in-house

or national /industry standards?3


Are the levels required by the company documented? YWhere competency/capability standards have been developed; are they signed off by a

competent professional or Head of Department?Y

Does the programme cover all categories of worker? YDoes 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.

Y

Question Evidence:

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.

Documents Presented

Company Training Records.


5.5Does the company have programmes in place for the re-assessment/re-training

of personnel?3


Is there a schedule for re-assessment? YAre personnel records up to date (Auditor to take a sample)? YIf reliant on an external party, is there a system in place to monitor the effectiveness of

the company used?Y

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?Y

Does the company monitor the effectiveness of the training programmes provided? Y

Question Evidence:

The company conducts refresher training when required and regular toolbox talks.

Documents Presented

Team brief w/c 13 July.

Section Score 15 6

6.0 Working Hours

6.1Does the company keep records of all workers standard and overtime working

hours? 3

Are time sheets subject to accuracy checks? Y

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.Y

Specify average working week YDoes the company experience peaks and troughs throughout the year where working

hours fluctuate? (Specify timescales)Y

Is any overtime undertaken on a voluntary basis? Y

Question Evidence:

The company operate a 37 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.

Documents Presented

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 3


7.0 Workplace Safety

CQ 7.1Does the company have established processes to ensure compliance to legal and

other legislative requirements that are applicable?3

Auditor to validate the following:

Demonstrate organisational subscriptions YHas the company established, implemented and maintained procedures to identify and

access all legal and other requirements.Y

Question Evidence:

The company has a legal register detailing the legislation, key elements of the legislation

that effect business operations and the control measures in place.

Documents Presented

EOS Health and Safety Legal Register.

7.2Does the company have a policy statement relating to the provision of a safe

working environment?3 3

Does it demonstrate a commitment to continually improving workplace safety? Y YDoes 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?Y Y

Is it endorsed and supported by the most senior management within the company? Y Y

Is the policy on display anywhere within the company? Poster/intranet etc. Y Y

Is the policy and its contents formally issued to employees, subcontractors and suppliers? Y Y

Question Evidence:

Safety, Health and Environmental Policy signed and dated by the Managing Director, Jan

15. All company policies were displayed inside the premises on site.

Documents Presented

SHE Policy.


7.3Does the company have a person who has delegated responsibility for workplace

and product safety?3

Are the corporate responsibilities for this person defined in a job description? YDoes the delegated person holds qualifications / professional memberships appropriate to

the role e.g. Nebosh / IOSH / IIRSM?Y

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?Y

Does the company split the responsibility for workplace and product safety? (Specify how

this works)NA

Question Evidence:

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.

Documents Presented

IOSH Grad Membership Number 147093, from 11 Feb 11.

SHEQ Manager Job Description.

NEBOSH Diploma, awarded 6 Apr 2010.

7.4

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?

3 3

Does senior management take part in random and programmed safety

inspections/tours/audits?Y Y

Does the company commit to establishing measurable objective and targets to ensure

continued improvement aimed at elimination of work related injury and illness?Y Y

Is there evidence to support performance monitoring of these objectives? Y Y

Question Evidence:

The SHEQ manager conducts weekly tours and inspections and incorporates health and

safety issues and items into them.

Documents Presented

Flintshire Bridge site safety tours 6 Aug 15.


CQ 7.5Does the company have control measures in place to reduce / remove identified

Health and Safety Risks3 3

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?Y Y

Has the company developed its methodology for hazard identification, risk assessment

and risk control, based on operational experience?Y Y

Does the company use all forms of Risk Assessment including; Generic, Dynamic, site

specific etc.? (Auditor to detail the risk control processes in place)Y Y

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?Y Y

Question Evidence:

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.

Documents Presented

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 237

CQ 7.6Does the company have a communication process to provide guidance to the

workforce on workplace safety issues?3 3

Auditor to confirm the following:

Does the company utilise a variety of different methods of communication? (Specify

methods used)Y Y

Does the company keep a formal record of all communication/briefings issued? Y Y

Does the company verify that mechanisms for communication with personnel with poor /

non-local language skills are appropriate and that hazards are understood?Y Y

How does the company ensure subcontractors are included within briefing and

communication programmes?Y Y

Does the company have forums / committees / groups or other mechanisms to enable the

communication and discussion of safety issues?Y Y

Question Evidence:

The SHEQ manager communicates any health and safety issues through notice boards,

local network and Plant Briefs.

Documents Presented

Plant Brief incorporating SHE issues. Dated 15 Jun 15.

Toolbox Talk Manual .


7.7Does the company develop and implement initiatives to improve workplace

safety?3 3

Auditor to confirm the following:

Can the organisation demonstrate how it identifies and quantifies areas of improvement

relating to Health & Safety?Y Y

Can the organisation demonstrate how it develops programmes to rectify and improve

upon Health & Safety performance?Y Y

Are workers rewarded for developing and implementing workplace safety initiatives? (Can

be financial/award of gifts etc.)Y Y

Does the company have a Behavioural Safety programme in place? Y Y

Question Evidence:

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.

Documents Presented

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?

3 3

Auditor to validate/evaluate the following:

Were issue lists provided as evidence? Y YCan the company demonstrate that all workers have been given guidance on the proper

handling, storage and use of PPE? Y Y

Is there a period of time for the retention of PPE records? Y Y

Is there a methodology used to identify type of equipment that needs to be used? Y Y

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?

Y Y

Is there a disciplinary procedure linked to failure to wear required PPE? Y YWhen self employed workers/ sub contractors attend site with their own equipment does

the company check its suitability?Y Y

Can the company demonstrate that all PPE is issued free of charge to all workers? Y Y

Question Evidence:

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.

Documents Presented

PPE Register viewed by auditor.

PPE provisions were adequate on site with spares held.


7.9Can the company demonstrate that they have assessed the hazards associated

with applicable chemicals and/or hazardous substances?3 3

Auditor to validate:

Does the company have a process or system in place to ensure that up to date data

sheets are obtained?Y Y

Are all copies of data sheets retained in a register? Y YDoes the company have a process for ensuring MSDS and supporting assessments are

available to the emergency services (including first aid trained personnel) where

necessary?

Y Y

Question Evidence:

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.

Documents Presented

COSHH register and Material Safety Data Sheet File.

LAB01 Acetone.

LAB22 Hydronaul Coulomat A.

7.10Is there a system in place for the correct handling and storage of hazardous

substances and goods? 3 3


Is there any site storage of flammable materials including fossil fuels/LPG/auto gas? Y Y

Can the company demonstrate they utilise appropriate containment on site needed to

retain leakage from storage vessels? (Bunds/Reinforced walls)Y Y

Is there a programme in place to assess the integrity/suitability of the storage areas? Y Y

Does the company employ a No Smoking policy in open areas? Y Y

Does the company have spill kits available for use? Y Y

Question Evidence:

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.

Documents Presented

Spillage Procedure: SHE011.

All storage of materials on site was managed by the principal contractor.


7.11In the event of an injury in the workplace can the company demonstrate they

have adequate emergency first aid facilities onsite?3 3

Are medical points with facilities located throughout the workplace? Y YDoes the company provide facilities when working away from the main office? Y Y

Are qualified emergency first aid personnel easily identified e.g. badges / different

coloured uniform / pictures on the notice boards? (Specify quantity of personnel)Y Y

Are subcontractors/temporary/agency workers allowed to use these facilities? Y Y

Question Evidence:

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.

Documents Presented

First aid kits, quarterly inspection, eye wash.

7.12Does the company have arrangements in place for investigating and reporting of

Accidents and Incidents and Near Misses in their worksites?3 3


Does the company have a nominated person who reports all accidents and incidents to

government agencies and where applicable a corporate Head Office?Y Y

Does the company maintain records of accidents and incidents (This includes safety &

environmental incidents)?Y Y

Does the company have a documented process for undertaking investigations into

accidents/incidents and near miss occurrence?Y Y

Does the company produce and analyse Accident and Incident Statistics? Y Y

Can the company demonstrate that lessons have been learned and applied from

incidents? The auditor should record what improvements have been implemented.Y Y

Has the company had any prohibition or Improvement notices in the last 5 years?

(auditor to check http://www.hse.gov.uk/notices/ as part of audit)N N

Has the company had any HSE Prosecutions within the last 5 years?

(auditor to check http://www.hse.gov.uk/prosecutions/ as part of audit)N N

Jump to Accident and Incident Statistics

Question Evidence:

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.

Documents Presented

Section Score 36 30


8.0 Occupational Health

8.1Does the company have a nominated person who has responsibility for

occupational health / industrial hygiene?3

Does this person have defined responsibilities as part of the management system? Y

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?

Y

If an accountable person is not identified within the company, what systems are in place

to ensure the health and hygiene of employees?Y

Question Evidence:

The SHEQ Manager and Field Services Co-ordinator are responsible for Health

surveillance.

Documents Presented

CQ 8.2Does the company undertake any Health (medical) Surveillance

screening/monitoring/testing of their workforce?3

Is the screening part of the pre employment selection criteria? Y

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?Y

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?

Y

Does the company and subcontractors have documented processes for ensuring

employee fitness for work? Do requirements include Drug and Alcohol testing?Y

Question Evidence:

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.

Documents Presented

Record of Health Surveillance 26 Jun 15.

Employee handbook section 16 Drugs and Alcohol Policy.

Section Score 6


9.0 Emergency Planning

9.1Does the company have a controlled process for the identification and

implementation of emergency arrangements? 3 3

Does the company have controlled processes for the identification and implementation of

work site specific emergency arrangements?Y Y

Are site specific emergency arrangements communicated to all applicable personnel? Y Y

Can the company demonstrate that they have tested the effectiveness of their emergency

arrangements?Y Y

Does the company mandate minimum competency levels and minimum resource levels

within the documented emergency arrangements?Y Y

Has the company quantified minimum medical provision and support within the

emergency plan?Y Y

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?

Y Y

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)Y Y

Question Evidence:

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.

Documents Presented

EOS accident management plan reviewed Oct 2014. Procedures for emergencies during

and outside normal working hours were detailed.

Drill Report 16 Jun 15.

Section Score 3 3

10.0 Site Security

10.1Does the company ensure the security of the work site both during work and

non working hours?3 3

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

Question Evidence:

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.

Documents Presented


10.2 Does the company utilise CCTV to monitor workplace security? 3 3


Confirm the numbers of cameras on site and if fixed or mobile type used. Y Y

Are government permits required and in place for CCTV systems? Y Y

Question Evidence:

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.

Documents Presented

10.3Are security personnel employed directly by the company or engaged via a third

party and how are they distinguishable from other members of the workforce?3 3


Do they undertake programmed patrols of all work sites? Y YHow does the company ensure the competency and legitimacy of security personnel and

does this include Security Industry Association (SIA) licensing?Y Y

Can the company demonstrate that site based security personnel have been inducted to

the operational working sites that they patrol?Y

Question Evidence:

All security personnel that are employed by the third party security company have been

inducted to the business and are SIA licensed.

Documents Presented

Ellesmere Port and Nesting Security.

Section Score 9 9


11.0 Business Continuity

11.1Does the Company have formal arrangements in place for the implementation of

a business continuity management plan? 3

Is a formal plan in place? (Specify if localised arrangement only or part of multinational

group)Y

Has the plan been subject to trial or simulation? YDoes the plan cover areas that could result in the total loss of operations? (such as

terrorist threats, natural disasters, power cuts, etc.)Y

Can the company demonstrate all reasonable emergency situations have been identified?

(Specify if this has been documented and by whom)Y

Is the documented plan subject to a regular review? (please detail time frame) Y

Has the company appointed an individual with responsibility for this area? Y

Question Evidence:

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.

Documents Presented

Business Continuity Plan Revision 6, Oct 2014.

Section Score 3

12.0 Environmental Management

12.1 Does the company have an environmental policy statement? 3


Is the policy statement signed and endorsed by the most senior management

representative?Y

Does the policy relate to the company activities? Y

Is it displayed in a prominent position or made available to all interested parties? Y

Commit the company to a continuous improvement programme and ensures compliance

with all relevant environmental legislation or industry guidance?Y

Does it identify how environmental issues will be communicated? Y

Is the period for review detailed? Y

Question Evidence:

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.

Documents Presented

Safety, Health and Environmental Policy, Jan 15.


12.2 Are the company’s environmental management systems documented? 3

The Auditor should establish the system covers the following:

Does the system document the company's environmental responsibilities? YAre details of the communication process detailed? YAre responsibilities clearly defined? YIs there an inspection and audit regime? YAre emergency procedures detailed? YIs there written sections on waste and recycling? Y

Does the company have a policy on sourcing materials / procurement strategy? Y

Is there written sections on the management of subcontractors? YDoes the system detail the measures to be taken in the design process? YDoes the systems establish legal requirements including creation and maintenance of a

register of legislation / changes to legislation?Y

Question Evidence:

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.

Documents Presented

12.3Does the company utilise a variety of sources to ensure the content of the

environmental management system?3


In House expertise? YExternal consultancy? YSubscription services? Y

Government agencies / Local /Municipal Authorities? Y

Question Evidence:

The company utilises a variety of sources to ensure the content and relevance of the EMS.

Documents Presented

SHEQ Manager has IEMA Membership.

Oil Recycling Association e-mail updates viewed by auditor.

Permit Number ZP3538MQ issued by the Environment Agency to Company Registration

3749629, Ellesmere Port Transformer Oil Regeneration Plant at Electrical Oil Services Ltd.

Authorised since 26 Oct 07.


12.4Does the company manage the Aspects and Impacts associated with their scope

of services?3


Are these processes documented in the form of a register or similar? YDoes the company have a formal communication process for communicating the content

of the register?Y

Is there evidence of a periodic assessment and evaluation of the content? Y

Question Evidence:

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.

Documents Presented

Aspects and Impacts register reviewed 20 Sep 14.

CQ 12.5Does the company have control measures in place to reduce/remove identified

environmental risk?3 3


Does the company use data from maintenance programmes / operations to enhance

controls processes?Y Y

Does the Internal auditing regime monitor the control measures in place? Y Y

Are inspections received from government agencies? Y Y

Question Evidence:

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.

Documents Presented

Audits incorporate environmental risks including the validity of the control measures.

Environmental Permit.

EOS Aspects and Impacts Register.

Section Score 15 3


13.0 Carbon Management

13.1 Does the company quantify and report their Greenhouse Gas (GHG) emissions? 3


Can the company provide the total emissions, in terms of tCO2e (tonnes of carbon dioxide

equivalent), that they were responsible for emitting over their standard reporting year?Y

Does the company capture indirect emissions as well as direct emissions e.g. supply

chain?Y

Is this a definitive answer e.g. 2008 calendar year: 12,100 tCO2e? Y

Is the figure published in the form of a standard report, spreadsheet or for larger

companies, published in a CSR or annual report?Y

In the question evidence, please detail the person or persons responsible for reporting? Y

Question Evidence:

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.

Documents Presented

0.051 tCO2, is emitted as a result of total company operations, per tonne of oil

regenerated. Permit for the Environment Agency. Schedule 5 - Reporting, Table 5.3

Performance Parameters. This is reviewed annually, the permit is reviewed every 4 years.

13.2Are follow up actions set in place as part of the monitoring and measuring

process?3


Are new targets set after each review period? Y

Are the follow up actions communicated to all employees? Y

If targets are not achieved, are strategies set in place in order to meet them? Y

Question Evidence:

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.

Documents Presented

Section Score 6


14.0 Waste Management

14.1Does the company have processes or systems in place to manage waste

(Produced as a result of their activities)?3 3


Recycling initiatives? Y Y

Are the systems formal? Y Y

Question Evidence:

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.

Documents Presented

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 14.2Does the company ensure that it disposes of all its waste in a legal and proper

manner?3 3


Does the company use a formal transfer note process? (Specify how this works) Y Y

Do they use licensed waste companies and licensed waste carriers? (Specify if company

has to be subject to government licensing programme)Y Y

Do they have access to up to date waste legislation? Y YIf burying the waste are they using authorised sites? Y Y

Transfer to authorised/licensed waste management company? Y YWhere applicable can the company demonstrate that it complies with the Waste Electrical

and Electronic Equipment (WEEE) Regulations 2013.Y Y

Question Evidence:

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.

Documents Presented

Waste Removal Contractor Information Spreadsheet.

Frogsons (EA Reg No: CB/SP3318JG, expiry date 4 Mar 16) Hazardous Waste

Consignment Note No: NAR081/F5005. Date 29 Jun 15.

Oil Salvage Ltd (EA Reg No: CB/DP3872BC, expiry date 3 Sep 15) Hazardous Waste

Consignment Note No: NAR0811BE687 4 Feb 2015.


14.3 Does the company store any waste material on site? 3 3


Are they classified as Hazardous? Y YAre they classified as Non Hazardous? Y YAre they classified as non flammable? Y YAre they classified as flammable? Y YAre there quarantine areas to prevent any cross contamination? Y YIf liquid are there adequate spill preventions / containment / spill kits? Y Y

Are inspections undertaken on the controls? Y Y

Question Evidence:

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.

Documents Presented

Spillage kits viewed by auditor.

Section Score 9 9

15.0 Selection and Management of the Supply Chain

15.1Has the company appointed a management representative with overall authority

for subcontractor / supplier selection and management?3


Detail the job title within the question evidence. YAre deputies within the company in the absence of the representative? YDoes the company have a forum, group or committee to review contractor/ supplier

performance?Y

Does the company use a due diligence process e.g. double signatures or similar before a

company can be employed contractually.Y

Question Evidence:

Sub-contractor management and Supply chain management is managed by the Facilities

Operator/Plant Management.

Documents Presented

Company Structure Chart.


15.2 Does the company ensure effective management of their supply chain? 3


Does the company maintain an approved supplier list? YHas the company got a process for the evaluation/ selection of contractors/ suppliers, to

include PQQ, pre start H&S inspections of activities?Y

Has the company identified the minimum levels of insurance applicable and required to be

held by its subcontractors?Y

Does the company specify any accreditations/ requirements e.g. UVDB,

BuildingConfidence?Y

Has the company identified the minimum quality, safety and environmental controls

applicable and required to be held by its supply chain?Y

Is there confirmation of subcontractor competency assurance? Y

Question Evidence:

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.

Documents Presented

Sub Contractors Booklet and Pre-Qualification Questionnaire Log reviewed 30 Jul 15.

15.3 Does the company undertake any reviews of their supply chain performance? 3


Is there a review mechanism? YIs there a method for recording reviews? YIs there a process for rectifying faulty work? YIs there a process to prevent contractors/ suppliers with poor performance continuing to

work for the company, or to instigate improvements?Y

Does the company have a mechanism for periodic monitoring of subcontractors

insurances, licenses and professional memberships?Y

Does the company capture / analyse subcontractors accidents / incidents statistics and

reports?Y

Does the company have a process to investigate contractor/ supplier, Accidents/

Incidents and track actions?Y

Question Evidence:

The company conducts check and reviews regularly. Primary suppliers are used and

supplementary suppliers are utilised if there is a drop in performance levels.

Documents Presented

Approved Supplier List viewed by auditor with company's no longer used highlighted.


15.4 Does the company assess/audit/inspect their supply chain? 3

First Tier YSecond Tier YThird Tier NAFourth Tier NAEntire supply chain YAre audit/inspection personnel employed or are 3rd party auditors used?

Does the company have a process for the recording and monitoring of any corrective

actions raised at subcontractor/supply audits?Y

Question Evidence:

It was noted that the company meets the above process and addresses this through its

integrated management system and Supplier assessment sheets.

Documents Presented

Section Score 12

16.0 Sourcing of goods and products

16.1 Does the company source goods and services locally (where available)? 3

Does the company have to source goods domestically in preference to goods sourced

internationally? (Government or Company mandate)Y

Is there a specified limit or boundary e.g. all companies within 100 km radius? N

Question Evidence:

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.

Documents Presented

Approved Supplier List.

16.2 Does the company have a policy to procure fairly traded goods where available? 3

Auditor to record details. Y

Question Evidence:

The Company had a Sustainability policy in place relating to its procurement of goods and

an Equal Opportunities Policy.

Documents Presented


16.3Does the company work with its top level suppliers to prevent bribery &

corruption throughout its supply chain?3

Auditor to record details. Y

Question Evidence:

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.

Documents Presented

16.4If the company handles materials from legal and sustainable sources, can they

demonstrate chain of custody certification?3

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.NA

Do delivery notes contain a chain of custody certificate? (Specify if this is subject to

verification prior to use)NA

Question Evidence:

The company does not at present handle materials that require a Chain of Custody

certificate.

Documents Presented

16.5Can the company demonstrate that they actively assess their supply chain for

the potential of child labour being involved in the work process?3

Can the company demonstrate that they ask their suppliers about child labour in the

supply chain?Y

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

Question Evidence:

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.

Documents Presented

Section Score 15


17.0 Use of Work Equipment, Vehicles and Machines

CQ 17.1Does the company have arrangements in place for ensuring that all plant, hand

tools and equipment are approved prior to use?3 3

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? Y YDoes the company have a process for reporting and repairing defects on plant and

equipment?Y Y

Does the company produce a scheduled maintenance plan for each individual plant item? Y Y

Does the company use internal staff to maintain and inspect equipment? Y YAre statutory inspections undertaken and valid Test/Inspection Certificates issued by a

third party?Y Y

Question Evidence:

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;

Documents Presented

Interfacial Tensiometer Ser No: 72329F, Cert No: 24401, Expiry date Nov 15.

ISL FP93 5G2 Flash Point Ser No: 2271, Cert No: 107720. Expiry Date Mar 16.

Site Megger Ref No: MPU22-150119-T4 Calibration expiry date Jan 16.

17.2If 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?3 3

The auditor should establish that:

Does the company have a process for verifying that equipment supplied is fit for purpose? Y NA

Does the company request calibration records when equipment arrives on site? Y NA

Does the company retain copies of certificates of conformity for all tested equipment? Y NA

Question Evidence:

All fork lift trucks located at the business premises were on hire. LOLER certificates and

service records are detailed below;

Documents Presented

Engineer Field Service Report 21 Apr 15, fork lift.

Zurich LOLER report of Thorough Examination. FLT02 Diesel Fork Lift B875B24877L. 23

Jul 15 next inspection due 23 Jul 16.

GB07B05293L Electric Fork Lift truck 23 Jul 15, next inspection 23 Jul 16.


CQ 17.3

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?

3 3

Could the auditor verify that records had been completed and maintained? Y YAre checks/examinations completed by competent/capable persons? Y YCan the company demonstrate compliance with the relevant lifting/safety regulations of

their country of operation?Y Y

Question Evidence:

The company ensures all equipment is clearly documented. All equipment and

accessories, including LOLER certificates and maintenance schedules are retained.

Documents Presented

Zurich Inspection: Contract No: NNG04678. Date 23 Jul 15. Single Leg Chain Sling Links,

3 x D Shackle.

Section Score 9 9

18.0 Insurance and Warranty

18.1Can the company demonstrate that it has adequate insurance to cover not only

its scope of works, also its workforce and surrounding environment?3

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.Y

Question Evidence:

The company held relevant insurance for its activities. The details are listed below;

Documents Presented

Policy Number: Y021712QBE0115A. Expiry Date 31 Jan 16. Public and Products Liability

Limit £5m. Employers' liability £10m.

18.2Can the company demonstrate what form of warranty or guarantee they provide

as part of their service package?3

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.

NA


Policy Numbers


Expiry Date


or localised coverage.NA

Question Evidence:

The company does not provide a guarantee or warranty.

Documents Presented


18.3If the insurance cover has been issued to a parent or holding company, how is

this process managed in the event of a claim?3

If supplier operates in a different country from that of their Head Office is the currency of

the policy different?NA

Can the company demonstrate there are no ‘excesses’ or ‘restrictions’ that limit the

company’s indemnity?NA

If the Policy has been issued to a ‘Parent’ or Holding Company, is this discharged to cover

the activities of the supplier?NA


Policy Numbers


Expiry Date


or localised coverage.NA

Question Evidence:

All insurance was held directly by the company.

Documents Presented

Section Score 9

END


Key Performance Indicators (KPIs)

EXPOSURECurrent

YearYear -1 Year -2 Year -3 Year -4

Total Manhours worked 38,000 70,200 68,250 68,250 68,250

SAFETYCurrent


Fatalities 0 0 0 0 0

HSE Reportable Injuries 0 1 0 0 0

Lost time incidents (1-7 days) 0 1 0 0 0

Incidents requiring medical treatment (MTI) 0 0 0 0 0

Incident requiring first aid 0 4 2 5 5

Dangerous Occurrences 0 0 0 0 0

Near Hits/Misses 0 6 9 13 3

HSE/HSA or equivalent improvement notices 0 0 0 0 0

HSE/HSA or equivalent prohibition notices 0 0 0 0 0

HSE/HSA or equivalent prosecutions0 0 0 0 0

ENVIRONMENTCurrent


Minor Non-reportable incidents 0 5 7 10 7

Reportable incidents 0 0 0 0 0

Enforcement action i.e. Warning letters, prosecutions0 0 0 0 0