Safer by Association

Site:

Completed By:

Position

Date:

Disclaimer: Whilst all reasonable care has been taken in preparing the audit, MPA cannot accept any
liability in relation to the recommendations or guidance made within it. Compliance with any such
recommendation or guidance does not absolve the user from his legal duties under the Health and Safety
at Work etc Act 1974 to form his own site specific assessment of his workplaces and operations and to
provide accordingly for such matters. Responsibility for Health and Safety remains with the MPA Member
company.

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Aims and Objectives
‘Safer by Association’ is a tool to assist MPA member companies in
auditing their Health and Safety systems. Free to MPA Members,
‘SbA’ is offered as a standalone audit that can be carried out in-
house, although member companies are encouraged to take the
option of third-party auditing.
Third party auditing provides an independent view of the
effectiveness of a health and safety system and implementation on
the ground. It will help to identify priority areas on which to focus.
There are two potential third party audit options.
·          One day sample audit to identify key areas that require
improvements in addition to an indication of how these can be
achieved.
·          Comprehensive, multi day audits to identify all shortcomings
and provide an Action Plan.
General layout
The SbA spreadsheet comprises the following pages:
1.        Cover page. User to type Site Name, Auditor Details, and Date.
This is necessary to auto-generate page headings
2.        Readme. This contains instructions for the SbA Audit
3.        Contents
4.        Audit Pages
Five generic sections plus a sector specific section.
Scores must be entered (in the yellow shaded boxes)
1.        0 for a red rating (below standard)
2.        1 for an amber rating (minimum standard)
3.        2 for a green rating (good practice)
Instruction for use.
To print ALL sheets. Go to printing option. Under the ‘print what’
option, select ‘entire workbook’, then OK.
Entering Scores. Data entry points are in the light yellow shaded
column on the right hand side. If a question is not applicable, type NA,
this ensures that the graphic displays an NA (and avoids treating it as a
zero score on the graphic) Scores are;
·          0 for a red rating (below standard)
·          1 for an amber rating (minimum standard)
·          2 for a green rating (good practice)
Totals; at the end of each audit section, there is a summary table that
automatically generates totals from the score entered in the light
yellow boxes.
Graphic. Please note that the radar graph only provides a general
indication of performance. The closer the radar approaches the
outside of the graph (green perimeter), the better the performance.
However, within acceptable group score, be aware that there may be
a ‘hidden’ red score that requires urgent action, for example, a
serious shortcoming such as confined space entry that needs to be
addressed urgently.
Where ‘NA’ is displayed alongside a label on the graph, this indicates
that one of the questions in the Group has been scored as ‘Not
Applicable’.
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 Contacts;
5.          Graphic Page; at a glance visual representation of scores
6.          Summary list of RED Rated Scores (below standard) answers Questions, problems? Contact Tony Entwistle or Colin Mew.
that require priority attention.
tony.entwistle@mineralproducts.org
colin.mew@mineralproducts.org

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 CONTENTS

1. Management Policy and Vision Policy Setting 3. Communication and Planning Communication
Leadership Planning and Setting Standards
Accountability and Responsibility
4. Organisation and Training Safety Representatives
2. Operational Standards and Procedures The Risk Management Process Safety Committee
Fire SHE Information
Confined Spaces Training
Manual Handling
Working Time Regulations 5. Audit, Monitor and Review Sample Fixed Plant Inspection
Lone Workers Measuring Performance
Tools and Equipment Inspections, Audits and Reviews
Structral Survey Incidents
Plant
Working at Height 6. Quarry Specific Management
Isolation and Guarding Health and Safety Document
PPE Excavations and Tips
Vehicles Drilling and Blasting
Drivers Mobile Plant
Workplace Other Quarry Specific
Slips,Trips and Falls
Occupational Health
Drug and Alcohol
Material Delivery and Tipping
Electrical Services

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 0 12/30/1899

2. Operating Standards and Procedures

Ratings
Issue Enter Score
0 1 2
The Risk Management Process

Risk Assessment The appropriate individuals have not The appropriate individuals have and have received refresher training at least on a two yearly
Training received training in risk assessment received training in risk assessment basis. 0

Observations and remedial actions:

Preliminary Task Tasks have not been identified for
Identification purposes of risk assessment.
Observations and remedial actions:
Procedure for There is no procedure in place for
completing risk completing risk assessments for the
assessments tasks that have been identified.
Observations and remedial actions:
Hazards There is evidence that the risk
identification and assessments have not correctly
controls identified the key hazards.
Observations and remedial actions:
Contractor Risk There is no procedure for checking
Assessments/Method contractor's risk assessments and
Statements method statements.
Tasks have been identified for and the list of tasks is regularly reviewed and updated as new
purposes of risk assessment. tasks are identified. 0
and there is a co-ordinated programme to complete
There is a procedure in place for
outstanding risk assessments and for new and expectant
completing risk assessments for the
mothers, young persons, workers whose first language is not 0
tasks that have been identified
English.
and the control measures address those hazards following the
The risk assessments have identified
the key hazards.
hierarchy of control (i.e. eliminate, reduce, isolate, control, 0
PPE, discipline etc)
There is a procedure for checking contractor's risk assessments
and method statements. 0

There is no ‘stop and think’ and employees are trained in hazard awareness and risk
procedure in place (i.e. employees assessment so that they can identify unsafe conditions. They
There is a ‘stop and think’ procedure
Safety Psychology are not obliged to consider the risk of
in place.
are empowered such that they would not commence a task 0
any task on which they are about to that they considered hazardous. Supervisors (and everyone)
proceed). can detect and stop unsafe acts and/or risk behaviours.
Observations and remedial actions:

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 Risk assessments and safe working
practices are not subject to review
and amendment (e.g. periodically, as
Risk assessments and safe working
technology changes, following the and revised information is distributed within the area and
Review
introduction of new legislation,
practices are subject to review and
across disciplines. 0
amendment.
before changes are introduced,
before work recommences, after
tasks have been completed etc).

Observations and remedial actions:

There are no written Safe Systems of There are written Safe Systems of and training has been provided to employees on the Safe
Safe Systems of Work Work for tasks that carry significant Work for tasks that carry significant Systems of Work and this has been recorded. Employees have 0
risk. risk. ready access to documentation on Safe systems of Work.
Observations and remedial actions:

There is no Permit to Work System in

place to ensure that potentially
dangerous work (e.g. Work at Height,
and the system is supervised and monitored to ensure
Confined Space working, work with There is a Permit to Work System in
Permit to Work
asbestos, hot works, certain place.
compliance (e.g. used appropriately and fully completed). 0
Employees have received training which has been recorded.
electrical work, breaking ground,
working with pressurised systems) is
done safely.

Observations and remedial actions:

There is no formal process whereby
competent personnel verify that
Management of
Change
plant and equipment is safe before
being returned to service after
alteration or repair.
Observations and remedial actions:
There is a formal process whereby
and prior to any significant change (process, material,
competent personnel verify that
organisation) a process is in place through which hazards and
plant and equipment is safe before
risks are identified on a timely basis, with the active 0
being returned to service after
contribution of the employees working in these activities.
alteration or repair.

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Fire

and control measures have been implemented. The risk

assessment is regularly updated. Fire detection, fire fighting
equipment, emergency lighting, means of escape, signage etc
There are inadequate fire risk There are adequate fire risk is appropriate and training has been provided. Measures have
Fire
assessments. assessments. been taken to reduce the risk of arson (e.g. improving 0
security,reducing gaps under doors and not storing flammable
materials adjacent to external fences etc). Employees have
received training which has been recorded.

Observations and remedial actions:

Confined Spaces
Confined spaces have been identified and Safe systems of work have been developed and all staff
Confined spaces have not been and communicated e.g. Confined required to enter the confined space have received training.
Confined Spaces
identified. space register/marked on site There is a specific Emergency Plan for each activity and it is 0
plan/list, signage on site. practiced.
Observations and remedial actions:
Manual Handling
and suitable and sufficient (CE marked, proposed use falls
within SWL marking, satisfactory for terrain and area of use,
employees and safety reps consulted and in good condition)
Manual handling assessments have Manual handling assessments have
Manual Handling
not been carried out. been carried out.
lifting and handling aids have been provided and there is 0
evidence of their use. Employees have been trained in manual
handling techniques and they are trained in the use of lifting
equipment where appropriate.
Observations and remedial actions:
and the lifting assessment has been signed off by the
Lifting operations are not assessed or Lifting operations have been
Lifting Operations
there is not a lifting plan. assessed and there is a lifting plan.
appointed person. Lifting equipment is only operated by 0
appointed persons with the necessary licences.
Observations and remedial actions:

and the regulations are complied with. If employees have

Working Time Hours are monitored for both day
Regulations
Hours are not monitored.
and night work.
opted out their hours are still monitored and managed so that 0
safety is not compromised.
Observations and remedial actions:

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Lone Workers
Lone workers have not been Lone workers have been identified
Lone workers identified or risk assessments have and risk assessments have been and control measures have been put in place. 0
not been carried out for them. carried out for them.
Observations and remedial actions:
Tools and Equipment
Tools and
Equipment; No management and inspection A management and inspection and this tracks tools to ensure that they remain in good
Management and regime is in place. regime is in place. condition. Only the correct tools are used for the job. 0
Inspection
Observations and remedial actions:

Tools and Staff are not trained or appointed

Staff are trained and appointed and
Equipment; Use and (e.g. grinding wheels) or
tools/equipment are maintained.
and records of training and maintenance are auditable. 0
Maintenance tools/equipment are not maintained.

Observations and remedial actions:

There are systems to manage
External (hired in external plant and equipment (e.g. and the plant/equipment is subject to an appropriate
There are no systems to manage
and contractor) plant
external plant and equipment.
there is a formal handover procedure inspection regime and it's use is subject to an adequate risk 0
and equipment which captures compliance assessment.
documentation) .
Observations and remedial actions:

No statutory examinations have been

carried out on Cranes and Lifting
Equipment, Local Exhaust Ventilation
Systems, Hoists and Harnesses for
raising/lowering personnel, Mobile Statutory examinations have been
Statutory and there is an asset register to assist in this process. Proof of
Examinations
Elevating Work Platforms, Ladders carried out and this can be proven by
remedial actions are readily available and auditable. 0
and static access equipment, certification.
Pressure systems, Electrical systems,
Fire protection (including
extinguishers and detectors) and
alarm systems.

Observations and remedial actions:

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Structural survey
with managed close out of any actions identified. A structural
Structural survey There is no structural survey. There is a structural survey.
report is obtained whenever damage is done. 0

Plant

Plant has not been maintained or any Plant has been maintained and any
Maintenance and ans there is a written maintenance schedule and plant is
Integrity
modifications have not been modifications have been approved by
included in the inspection scheme. 0
approved by a competent person. a competent person.

Observations and remedial actions:

Working at Height
There is no site specific risk
Working at Height
assessment for working at height.
Observations and remedial actions:
Isolation & Guarding
There is evidence that the guarding is
Guarding
ineffective.
Observations and remedial actions:
Isolation Procedures There is no written isolation policy
(Electrical & Stored and accompanying procedures; or
Energy, etc) they are inadequate.
Observations and remedial actions:
There are no emergency stops or
Emergency Stops and
Pull wires
pull wires fitted to plant &
equipment. Or they are inadequate.
Observations and remedial actions:
and work is planned and supervised using the hierarchy of
There is a site specific risk
assessment for working at height.
controls. Employees and contractors are trained and 0
competent in the use of the appropriate equipment.
and it has been specifically designed to facilitate maintenance,
Guarding is effective. inspection and cleaning. The guards are in a good state of 0
repair.
There is a written isolation policy
and accompanying procedures: and
and individuals have been trained and signed records are
where appropriate they are
available. There are uniquely identifiable padlocks available;
supported by site specific procedures
spare keys are controlled and holders are identified when keys 0
that include stored energy, shift
are issued. Isolation includes both fixed and mobile plant.
handover and 'forced padlock
removal' etc.
and the emergency stop system has correct signage and is
easily accessible. Pullwires extend to cover both head and tail
Emergency stops and pull wires are
fitted to plant & equipment.
drum assemblies and meet the appropriate standard. There 0
are records of regular tests and remedial action is taken if
appropriate.

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 Other safety devices (e.g. high level
and remedial actions are taken if appropriate. Devices are
alarms, interlocked guards,
Other safety devices are regularly maintained and calibrated. Safety devices are not regularly
Other Safety Devices automatic shut off valves, pressure
tested and recorded. activated as part of normal working practice (e.g. high level 0
relief valves etc) are not regularly
alarms only operate in an emergency situation).
tested.
Observations and remedial actions:
PPE
There is no site specific PPE risk There is a site specific PPE
and employees are aware of what PPE is required for specific
PPE Assessment assessment (and where appropriate assessment, it is up to date and
tasks. 0
task specific PPE risk assessment). effective.
Observations and remedial actions:
There is signage for specific hazards and this takes account of
PPE Signage There is no signage
noise and dust surveys. 0
Observations and remedial actions:
and it's use is enforced (and documented), provision is made
PPE Provision, PPE is provided and signed for and for it's storage and ensuring that it is in good condition, for
Condition and Inadequate PPE is provided. employees have received training in example by regular inspections. PPE meets the appropriate 0
Storage its use. standard and face fit tests have been undertaken (where
appropriate).
Observations and remedial actions:
Vehicles
and vehicles are suitable for their allotted task. Suitable safety
There are vehicle rules, which
devices have been fitted (e.g. FOPS, ROPS, visibility aids for
Vehicle Rules There are no vehicle rules. include daily checks, inspections and
reversing, seat belts, cyclist warning/detection systems etc) 0
defect reporting systems.
and are used. Vehicles are well maintained.
Observations and remedial actions:
Restrictions (e.g. due to height,
Restrictions & Speed width, gradient or overhead power
Limits lines, speed limits) are not clearly
Restrictions are clearly marked. and enforced. 0
marked.
Observations and remedial actions:

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 Vehicle and pedestrian segregation is effective and includes;
Vehicle and Vehicle & pedestrian segregation is One way systems, barriers, vehicle movement management
Vehicle & pedestrian segregation is
Pedestrian
ineffective.
effective but only in limited areas of plans, segregation of light and heavy vehicles and pedestrians, 0
segregation the site. safe pedestrian crossings, reversing has been eliminated or
reduced as far as is reasonably practicable.
Observations and remedial actions:

Unattended vehicles Vehicles are not left secure (e.g.

Keys are removed and vehicles are left secure when left
(those with no driver engine off, keys removed, handbrake
unattended and out of hours . 0
at the controls) on and locked).

Observations and remedial actions:

There are no safe systems of work for and Drivers have received training in the safe systems and the
Sheeting & Tipping
sheeting or tipping.
There are safe systems
systems are enforced. 0
Observations and remedial actions:
Inadequate systems are in place to
Public Footpaths and Systems and signage are in place to mitigate dangers when
Roads
mitigate the dangers of crossing
crossing public roads or footpaths. 0
public roads or footpaths.
Observations and remedial actions:
Contractor vehicles are not subject
Contractor Vehicles to the same rules as company Contractor vehicles are subject to the same rules. 0
vehicles
Observations and remedial actions:
Drivers
All operators are certificated for the
Competence Not all operators are certificated. vehicles they operate and are and the competence of the operator is proven by NVQ/QCF. 0
authorised by the manager.
Observations and remedial actions:
There are no arrangements in place
for Journey Management (e.g. the
and checking driving licences. Owners of vehicles used for
Journey prohibition of excessive combined There are arrangements in place for
Management working and driving times, Journey Management.
business purposes have confirmed the vehicles roadworthiness 0
and insurance cover.
restrictions on the use of mobile
phones whilst driving).
Observations and remedial actions:

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Workplace
Basic provision is not in place, i.e.
drinking water, washing and changing
and welfare provision is available to everyone on site.
Welfare facilities facilities with hot and cold running Basic provision is in place.
Facilities are kept clean and tidy. 0
water, adequate toilets and a
rest/eating area.
Observations and remedial actions:
The working environment is not The working environment is appropriate (e.g. levels of noise,
Environment
appropriate. ventilation, temperature and lighting). 0
Observations and remedial actions:
Slips, trips and falls

The issue of slips, trips and falls is

The issue of slips, trips and falls is
Slips, Trips and Falls
not actively managed
and employees have been trained in avoiding slips, trips and
actively managed (e.g. walkways and
corridors kept clear of obstacles and
falls (e.g. by using stairways, steps and ladders correctly) and 0
measures have been taken to improve the site.
workplaces kept tidy).

Observations and remedial actions:

Occupational Health

An effective Occupational Hygiene programme has been

implemented (e.g. covering noise, dust, silica results reported
A limited occupational health
Occupational Health No occupational health programme to MPA, substances with WELs, dermatitis inducing materials,
Programme has been established.
programme is in place covering the
carcinogens, work related upper limb disorders, vibration, 0
usual agents e.g. Noise and Dust.
radiation, ergonomic). Control measures are reviewed in light
of the results from the occupational health programme.

Observations and remedial actions:

Dust There is no risk assessment for dust.
Observations and remedial actions:
Noise There is no risk assessment for noise. There is a risk assessment for noise. when equipment, tools and machinery are purchased.
Observations and remedial actions:
Vibration (including There is no risk assessment for
whole body) vibration.
Observations and remedial actions:
and control measures have been implemented to protect
There is a risk assessment for dust. employees and contractors. Employees and contractors have 0
been trained. Appropriate PPE signage has been provided.
and control measures have been implemented to protect
employees and contractors. Noise is considered as a factor
0
Employees and contractors have been trained. Appropriate
signage has been provided.
and control measures have been implemented to protect
There is a risk assessment for employees and contractors. Vibration is considered as a factor
vibration. when equipment, tools and machinery are purchased. 0
Employees and contractors have been trained.

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 Hazardous There is a COSHH assessment and and control measures have been implemented to protect
Substances
There is no COSHH assessment.
corresponding data sheets. employees and contractors; and they have been trained. 0
Observations and remedial actions:
and a management plan has been put in place and asbestos has
Asbestos The site has not been surveyed. The site has been surveyed. been clearly labelled. Employees and contractors have been 0
trained.
Observations and remedial actions:
Comprehensive DSE assessments have been completed that
No DSE assessments have been
cover workstations including equipment, furniture and the
completed or equipment does not
DSE assessments are inadequate. work environment, the job being done and the special needs of
Display Screen meet the minimum standard (e.g.
Equipment adjustable chair, suitable lighting,
Equipment meets the minimum the individual; and there are regular breaks/changes in 0
standard. activity. Employees have received information and training on
clear, readable and adjustable
how to use their VDU and workstation safely. Remedial actions
screens etc).
have been instigated.
Observations and remedial actions:
and employees are aware of the procedures for reporting
Stress There is no stress policy. There is a stress policy. stress. Managers are aware of their responsibilities and the 0
means of controlling stress.
Observations and remedial actions:

There are no risk assessments for

other factors affecting health (e.g.
substances with WELs, dermatitis and control measures have been implemented to protect
Other Health Risks
inducing materials, carcinogens,
There are risk assessments.
employees and contractors; and they have been trained. 0
Leptospirosis, Legionnaires,
radiation, ergonomic)

Observations and remedial actions:

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Drug and Alcohol
Drug and Alcohol There is no written drug and alcohol There is a written drug and alcohol and the policy has been communicated to employees and
Policy policy. policy. contractors. Disciplinary action is taken for non-compliance. 0
Observations and remedial actions:
Material Delivery/Tipping
and remedial actions have been put into place. Silos and their
Risk assessments have not been Risk assessments have been
Material associated systems (e.g. pressure relief valves, filter systems,
Delivery/Tipping
completed for tipping points or silo completed for tipping points and silo
automatic shut off valves, high level alarms) are suitable and 0
deliveries. deliveries.
sufficient and are regularly maintained.
Observations and remedial actions:
and are required to sign in and out. Safety rules have been
Visitors are directed where to park
Visitors Visitors are not managed.
and report.
drawn up to protect visitors and these are communicated to 0
them.
Observations and remedial actions:
Electrical
Not all electrical equipment is part
Inspection and All electrical equipment is part of an and defects are recorded and actions arising have been closed
Maintenance
of an inspection and maintenance
inspection and maintenance scheme. out within an appropriate timescale. 0
scheme.
Observations and remedial actions:
Electricians have not been appointed
Electricians have been appointed and
Appointments or they have not been vetted for
vetted.
and only trained electricians undertake electrical work. 0
competence.
Observations and remedial actions:
Portable appliances have not been They have been PAT tested and there is a register and a written scheme of maintenance. Tools
PAT Testing
PAT tested or labelled labelled operate at 110V. 0
Observations and remedial actions:
Isolators, Panels & Electrical isolators, panels & boards Electrical isolators, panels and
Boards are not marked boards are marked
Electrical isolators, panels and boards are clearly marked. 0
Observations and remedial actions:
The provision of emergency lighting
The provision of emergency lighting has been risk assessed and
Emergency Lighting
has not been risk assessed. emergency lighting has been
and the emergency lighting is maintained and inspected. 0
provided where appropriate.
Observations and remedial actions:

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 Are not locked or are used for Are locked, not used for storage and
Substations and and only authorised personnel have access. They are furnished
electric rooms
storage or are dusty, or do not have are kept clean and are appropriately
with fire extinguishers and emergency lighting. 0
signage. signed.
Observations and remedial actions:
Services
Services and pipes are not accurately Services and pipes are accurately and are located before work commences e.g. using CAT scan
Cables and pipes
located on a site plan. located on a site plan and Permit to Work system. 0
Observations and remedial actions:
Overhead power lines have not been
adequately protected e.g. by the use
Overhead Power Overhead power lines have been
Lines
of goalposts set at suitable distances
adequately protected.
and they have adequate signage. 0
(6 metres minimum, more if vehicles
travel at speed).
Observations and remedial actions:

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 Summary Table
Red Amber Green Score
THE RISK MANAGEMENT PROCESS (entered in spreadsheet)
Risk Assessment Training 0 1 2 0
Preliminary Task Identification 0 1 2 0
Procedure for completing risk assessments 0 1 2 0
Hazards identification and controls 0 1 2 0
Contractor Risk Assessments/Method Statements 0 1 2 0
Safety Psychology 0 1 2 0
Review 0 1 2 0
Safe Systems of Work 0 1 2 0
Permit to Work 0 1 2 0
Management of Change 0 1 2 0
TOTAL 0 10 20 0

ISOLATION & GUARDING

Guarding 0 1 2 0
Isolation Procedures (Electrical & Stored Energy, etc) 0 1 2 0
Emergency Stops and Pull wires 0 1 2 0
Other Safety Devices 0 1 2 0
TOTAL 0 4 8 0

VEHICLES & DRIVERS

Vehicle Rules 0 1 2 0
Restrictions & Speed Limits 0 1 2 0
Vehicle and Pedestrian segregation 0 1 2 0
Unattended vehicles (those with no driver at the controls) 0 1 2 0
Sheeting & Tipping 0 1 2 0
Public Footpaths and Roads 0 1 2 0
Contractor Vehicles 0 1 2 0
Competence 0 1 2 0
Journey Management 0 1 2 0
TOTAL 0 9 18 0

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WORK AT HEIGHT
Work at Height 0 1 2 0
TOTAL 0 1 2 0

OCCUPATIONAL HEALTH
Occupational Health Programme 0 1 2 0
Dust 0 1 2 0
Noise 0 1 2 0
Vibration (including whole body) 0 1 2 0
Hazardous Substances 0 1 2 0
Asbestos 0 1 2 0
Display Screen Equipment 0 1 2 0
Stress 0 1 2 0
Other Health Risks 0 1 2 0
Drug and Alcohol Policy 0 1 2 0
TOTAL 0 10 20 0

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OTHER RISKS
Fire 0 1 2 0
Confined Spaces 0 1 2 0
Manual Handling 0 1 2 0
Lifting Operations 0 1 2 0
Working Time Regulations 0 1 2 0
Lone workers 0 1 2 0
Tools and Equipment; Management and Inspection 0 1 2 0
Tools and Equipment; Use and Maintenance 0 1 2 0
External (hired in and contractor) plant and equipment 0 1 2 0
Statutory Examinations 0 1 2 0
Structural survey 0 1 2 0
Maintenance and Integrity 0 1 2 0
PPE Assessment 0 1 2 0
PPE Signage 0 1 2 0
PPE Provision, Condition and Storage 0 1 2 0
Welfare facilities 0 1 2 0
Environment 0 1 2 0
Slips, Trips and Falls 0 1 2 0
Material Delivery/Tipping 0 1 2 0
Visitors 0 1 2 0
Inspection and Maintenance 0 1 2 0
Appointments 0 1 2 0
PAT Testing 0 1 2 0
Isolators, Panels & Boards 0 1 2 0
Emergency Lighting 0 1 2 0
Substations and electric rooms 0 1 2 0
Cables and pipes 0 1 2 0
Overhead Power Lines 0 1 2 0
TOTAL 0 28 56 0

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 0 12/30/1899

1. Management, Policy & Vision

Ratings
Issue Enter Score
0 1 2
Policy Setting
The H&S Policy is clear and up to date and has been
Health & Safety There is a signed and dated H&S
Policy
There is no H&S Policy.
Policy
communicated to employees and contractors. It has been 0
reviewed within the last 2 years.
Observations and remedial actions:
Health & Safety The company has not set any general The company has set general H&S and there is proof that rules have been presented to, and are
Rules H&S rules. rules. understood by the employees. 0
Observations and remedial actions:
Contractor Health & There are no formal contractor H&S Formal contractor H&S rules have and there is proof that rules have been presented to, and are
Safety Rules rules set by the company. been set. understood by the contractors. 0
Observations and remedial actions:
The Policy and H&S Rules The Policy and H&S Rules
and they have equivalent priority to other business issues and
Impact requirements are not considered in requirements are considered in the
everyone is committed to them. 0
the way the business is managed way the business is managed
Observations and remedial actions:
and selection criteria includes up to date H&S Policy, proof of
competence, method statements & risk assessments specific
There is an approved contractors
Contractor Selection There is no approved contractors list.
list.
for the tasks undertaken, up to date insurance, safety 0
passport, references, effective supervision and management
and ideally accident records.
Observations and remedial actions:
Leadership
and there are tangible and measurable examples of
Senior Management does not actively Senior Management actively
Safety Commitment commitment & promotion (e.g. key performance indicators,
& Promotion
promote the company's safety promotes the company's safety
Visible Felt Leadership programme, personal involvement in 0
ambition ambition
incident investigations).
Observations and remedial actions:

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 and they are SMART (Specific, Measurable, Attainable,
Clear Strategy & No Objectives & Targets have been
Targets set.
Objectives & Targets have been set. Relevant and Timebound), continuously monitored, and 0
remedial action is taken where necessary.
Observations and remedial actions:
There is no improvement plan, or it An improvement plan is in place, it
and it is reviewed and updated regularly with the involvement
Improvement Plan: is not being communicated or actions is being communicated and actions
of the SHE committee. 0
are not being closed out are being closed out
Observations and remedial actions:
Accountability and Responsibility
There is no organisation chart and
supporting information on duties,
Organisation, Duty There is an organisation chart and and this is up to date and has been communicated to
and Responsibility
responsibilities, individual
supporting information. employees. 0
authorisations and appointed persons
(and their reliefs).
Observations and remedial actions:
No one has been appointed to be A person has been appointed to be
H&S Competent and the company has appointed a competent person with the
Person
responsible for the management of responsible for the management of
appropriate profile, qualifications and/or experience. 0
H&S. H&S.
Observations and remedial actions:
Line management is not held Line management is held
accountable for H&S by the use of accountable for H&S by the use of
Accountability
trailing indicators such as injury trailing indicators (e.g. incident
and proactive activities (e.g. Near Hits & Close Out rates). 0
rates. rates).
Observations and remedial actions:
and supervisors are making an active contribution to bring
Supervision: H&S activities are not supervised H&S activities are supervised
about improvements. 0
Observations and remedial actions:
Behaviours are not challenged and Behaviours are challenged and and positive behaviours (for example the reporting of near
Consequence System
there is no consequence system negative behaviours are punished hits) are promoted/rewarded. 0
Observations and remedial actions:

20 of 48
 Summary Table
Red Amber Green Score
POLICY SETTING (entered in spreadsheet)
H&S Policy 0 1 2 0
H&S Rules 0 1 2 0
Contractor H&S Rules 0 1 2 0
Impact 0 1 2 0
Contractor Selection 0 1 2 0
TOTAL 0 5 10 0

LEADERSHIP
Safety Commitment & Promotion 0 1 2 0
Clear Targets & Strategy 0 1 2 0
Improvement Plan 0 1 2 0
TOTAL 0 3 6 0

ACCOUNTABILITY & RESPONSIBILITY

Organisation Duty & Responsibilty 0 1 2 0
H&S Competent Person 0 1 2 0
Accountability 0 1 2 0
Supervision 0 1 2 0
Consequence System 0 1 2 0
TOTAL 0 5 10 0

21 of 48
 0 12/30/1899

3. Communication and Planning

Ratings
Issue Enter Score
0 1 2
Communication
There is a notice board containing
safety information including the
There is no notice board containing statutory H&S poster, the employer's and it is dedicated to H&S issues, it is up to date and is in a
Notice Board
safety information. liability insurance certificate, prominent place. 0
contact details of first aiders and
safety representatives.
Observations and remedial actions:
SHE Communication
(e.g. Toolbox talks,
SHE communications are sporadic or SHE Communications are regular and include contractors. They
safety alerts, There is inadequate SHE
company campaigns communications.
are only delivered through posting on are communicated by via face to face meetings, briefings, 0
notice boards. Toolbox Talks etc.
etc) to all key
stakeholders
Observations and remedial actions:

Employees are made aware of policy

Policy & Procedure Employees are not made aware of
Changes policy and procedural changes.
and procedural changes (for
example by issue of document,
Employees are encouraged to contribute to system changes
personal booklet or letter, training,
toolbox talks, team briefings or
and are required to confirm receipt of policy and procedural 0
change information.
similar, mail shots or personal letters
to home, Notice boards, company
intranet.).

Observations and remedial actions:

22 of 48
Planning and Setting Standards

There is no awareness of when the

CDM regulations apply (e.g. when
building, civil engineering or
Construction, engineering construction is
There is awareness. (and where such work has been
(Design and undertaken) or the responsibilities
Management) therein (e.g. management
undertaken there is a management process that has been 0
formally documented).
Regulations arrangements, allowing sufficient
time, safe design, cooperation/
communication and notifiable
projects).

Observations and remedial actions:

and there is a purchasing policy to ensure equipment (e.g.
Safer by Design) , facilities and amenities conform as a
There is no process to integrate H&S There is a process to integrate H&S
Design Phase
into the design phase. into the design phase.
minimum to relevant legislation, standards or codes of 0
practice. New sites, equipment or products are assessed for
safety prior to purchase.
Observations and remedial actions:

There is a written emergency plan.

and it is regularly updated and all
major risks and issues such as
assembly points, identification of
Emergency Plan There is no written emergency plan. location, means of communication,
accounting for personnel etc have
been considered. There is liaison
with emergency services where
appropriate.
and the emergency plan is communicated to employees every
year and to contractors on arrival and is displayed prominently
in a public place. Responsibilities are clearly assigned and 0
communicated. The means of alerting the emergency services
are reliable.

Observations and remedial actions:

All types of emergency covered by the plan are practiced at
Emergency Plan Regular fire evacuation drills are
Practice Drills
There are no regular practice drills
held and recorded.
appropriate intervals and plans are reviewed after drills and 0
modified as necessary.
Observations and remedial actions:

23 of 48

Signage Signage on site is inadequate
Observations and remedial actions:
No assessment of first aid provision
First Aid Provision
has been made.
Observations and remedial actions:
Accident reporting There is no accident report book
Observations and remedial actions:
Signage is clear, well positioned, appropriately sized, relevant
and regularly cleaned & reviewed. Signage covers PPE,
Signage is adequate Emergency, Vehicle & Traffic Control, Pipework, Operating 0
Hazards etc. Signage is appropriately categorised in to
Prohibition, Mandatory, Warning and Information.
An assessment of first aid provision and the appropriate number of first aiders are available at all
has been made. First Aiders are times. First aid equipment is inspected and restocked. First 0
trained and equipment is available. Aiders are recognisable and contactable.
and the tear off slips have been removed from the first aid
There is an accident report book and
book and filed. Records are kept for at least three years.
it is completed by the injured party
Procedures are in place for ensuring RIDDORs are reported to 0
or someone acting on their behalf.
the HSE.
24 of 48
 Summary Table
Red Amber Green Score
COMMUNICATIONS & PLANNING (entered in spreadsheet)
Notice Board 0 1 2 0
SHE Communication (e.g. Toolbox talks, safety alerts, company campaig 0 1 2 0
Policy & Procedure Changes 0 1 2 0
Construction, (Design and Management) Regulations 0 1 2 0
Design Phase 0 1 2 0
Emergency Plan 0 1 2 0
Emergency Plan Practice Drills 0 1 2 0
Signage 0 1 2 0
First Aid Provision 0 1 2 0
Accident reporting 0 1 2 0
TOTAL 0 10 20 0

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 0 12/30/1899

4. Organisation and Training

Ratings
Issue Enter Score
0 1 2
Safety Representatives
Safety There is no H&S Representative for There is a H&S Representative for and they are fully trained. Employees know who their H&S
Representative the site (or area). the site (or area). representative is. 0
Observations and remedial actions:
Safety
The H&S Representative is not The H&S Representative is actively and seeks out information to present at committee meetings
Representative
actively participating in site H&S participating in site H&S and makes a positive contribution. 0
Participation
Observations and remedial actions:
Safety Committee
and it meets at planned intervals and the next meeting date
Safety Committee There is no safety committee There is a safety committee
has been agreed 0
Observations and remedial actions:
and it effectively addresses risk assessments, safe working
Safety Committee The safety committee does not have The safety committee does have a
Agenda a formal agenda formal agenda
practice, health and welfare, near hits, incident investigation, 0
training and site inspections, new legislation.
Observations and remedial actions:
Safety Committee and Actions are allocated to individuals and are time bound.
Minutes
No minutes are produced Minutes are produced
Minutes are posted on the H&S Notice Board. 0
Observations and remedial actions:
SHE Information
that contains complete and up to date H&S documentation for
Standard Filing
System
There is no standard filing system. There is a standard filing system. the site/area (or full directions to areas of the site that 0
contain relevant documentation)
Observations and remedial actions:
Employees are able to readily source all H&S information e.g.
Employees are not able to readily Employees are able to readily source an in-house set of legislation, HSE Approved Codes of Practice
Other H&S Resources
source H&S information. limited H&S information. and Guidance, Subscription services, HSE and related websites, 0
H&S specialists.
Observations and remedial actions:

26 of 48
Training
There is systematic induction
training that covers the basics
(emergency, accident management
There is no systematic induction and rules applicable to the job and the opportunity is taken to place a strong emphasis on the
Induction Training
training. position) and the company H&S company's H&S ambition and expected behaviour. 0
Policy and rules for any new
employee or contractor and it is
recorded.
Observations and remedial actions:
and technical training is regularly dedicated to the main health
There is no skill development training
issues and safety risks to the company (e.g. mobile equipment,
to prevent risks related to the job. There is training and there is a
Job Function and isolation, confined spaces, work at height, lifting , fire
Skills
There is no system to ensure the system to ensure that the basics are
prevention etc). There is also training targeted at specific 0
basics are acquired prior to starting acquired and it is recorded.
skills ( e.g. relating to specific equipment such as forklifts or
the job.
specific tasks such as welding).
Observations and remedial actions:
and training to upgrade skills when significant change ( e.g.
Refresher/Update There is refresher training and it is
Training
There is no refresher training.
recorded.
plant modifications, change of organization, new job position, 0
new processes) occurs.
Observations and remedial actions:
Training needs have been assessed
Training needs have not been and training benefits and effectiveness have been evaluated
Plan
assessed and agreed with employees.
and a resourced plan has been
and learning implemented. 0
delivered.
Observations and remedial actions:

27 of 48
 Summary Table
Red Amber Green Score
SAFETY REPS, COMMITTEES & INFO (entered in spreadsheet)
Safety Representative 0 1 2 0
Safety Representative Participation 0 1 2 0
Safety Committee 0 1 2 0
Safety Committee Agenda 0 1 2 0
Safety Committee Minutes 0 1 2 0
Standard Filing System 0 1 2 0
Other H&S Resources 0 1 2 0
TOTAL 0 7 14 0

TRAINING
Induction Training 0 1 2 0
Job Function and Skills 0 1 2 0
Refresher/Update Training 0 1 2 0
Plan 0 1 2 0
TOTAL 0 4 8 0

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 0 12/30/1899

5. Audit, Monitor and Review

Ratings
Issue Enter Score
0 1 2
Sample Fixed Plant Inspection for Self Audit: Inspect a conveyor belt on site and rate findings……..
Guarding is ineffective (e.g. a critical
guard such as a tail or head drum ,
and it has been specifically designed to facilitate maintenance,
belt drive, or return idler guard is
Conveyor guarding
damaged or missing: or access to nip
Guarding is effective. inspection and cleaning. The guards are in a good state of 0
repair.
points and moving machinery is still
possible).
Observations and remedial actions:
There is sufficient wind whip protection to prevent dust
Wind Whip There is no wind whip protection
Protection (e.g. side sheets).
There is some wind whip protection. emissions from the conveyor belt, as identified by a suitable 0
risk assessment.
Observations and remedial actions:
Conveyor crossing and they are clearly signposted, there is adequate guarding
Points (where There are no marked crossing points. There are marked crossing points. and where necessary protection is provided from falling 0
appropriate) material. Hand rails are provided where necessary.
Observations and remedial actions:
Protection from and they are in good condition, adequately secured and free
There is no protection from falling There are plates (or equivalent)to
falling material
material protect from overhead spillage.
from the build up of spilled material. (Height markers are 0
(where appropriate) provided if appropriate)
Observations and remedial actions:
Conveyor spillages
There is visible evidence of There is visible evidence of only Areas around conveyor belts are clean and tidy and free from
And or evidence of
significant spillages and blockages. insignificant spillages and blockages. any evidence of spillages and blockages 0
blockages)
Observations and remedial actions:
and procedures are clearly signposted. The isolation point
There is a clearly marked isolation
Isolation Point There is no clear isolation point
point.
appears capable of complying with written procedures (e.g. 0
padlocks etc can be attached)
Observations and remedial actions:

29 of 48
Measuring Performance
Site H&S The H&S performance of the site is The H&S performance of the site is and the effectiveness of the improvement plan (see under
Performance not monitored monitored. Management, Policy & Vision) is reviewed. 0
Observations and remedial actions:
Results are reported accurately and and they go beyond the legal minimum (for example they
Results are not reported accurately
Results
or on time
on time, in line with company include near hits and other indicators, as opposed to just 0
procedures. RIDDOR reportable incidents.
Observations and remedial actions:
Inspections, Audits and Reviews

No effective inspection regime (e.g.

covering vehicles; machinery
guarding; safety devices such as
reversing aids/interlocks/trip wires;
quarry electrical equipment;
pressure systems; pedestrian routes, An effective regime is in place.
and records have been kept and actions arising have been
Inspection Scheme roadways and any edge protection; Employees are trained and aware of
closed out within an appropriate timescale. 0
excavations and tips; buildings and their role.
other structures, barriers and faces
above working places or roads) is in
place, or employees are not trained
or aware of their role in the
inspections.

Observations and remedial actions:

No audits of the H&S management
Audits
system have been undertaken
Observations and remedial actions:
Senior Managers do not review the
Safety Management System to ensure
Reviews
continuing adequacy and
effectiveness
Observations and remedial actions:
and they are to a recognised scheme (e.g. ISRS, RoSPA QSA,
Audits of the H&S management
system have been undertaken.
OSHAS 18001, British Safety Council). Effective reviews of 0
audits produce an improvement plan which is implemented.
Senior Managers review the Safety
Management System to ensure
continuing adequacy and
and changes are instigated as a result. 0
effectiveness

30 of 48
Incidents
Near hits reports are not actively Near hits reports are actively
encouraged or they go uninvestigated encouraged, they are investigated and direct feedback is provided to the person who submitted
Near Hits
or corrective actions are not and corrective actions are the near hit report. 0
undertaken promptly. undertaken promptly.
Observations and remedial actions:
with the aim of identifying the root cause. Any corrective
There is no procedure for There is a procedure for
Accidents
investigating accidents investigating accidents
actions that are identified are taken promptly and any lessons 0
that have been learnt are communicated.
Observations and remedial actions:
and the results are analysed and actions are defined and
Sickness Absence Sickness absence is not monitored. Sickness absence is monitored.
implemented. 0
Observations and remedial actions:

31 of 48
 Summary Table
Red Amber Green Score
SAMPLE FIXED PLANT INSPECTION (entered in spreadsheet)
Conveyor guarding 0 1 2 0
Wind Whip Protection 0 1 2 0
Conveyor crossing Points (where appropriate) 0 1 2 0
Protection from falling material (where appropriate) 0 1 2 0
Conveyor spillages And or evidence of blockages) 0 1 2 0
Isolation Point 0 1 2 0
TOTAL 0 6 12 0

MEASURING PERFORMANCE
Site H&S Performance 0 1 2 0
Results 0 1 2 0
TOTAL 0 2 4 0

INSPECTIONS, AUDITS AND REVIEWS

Inspection Scheme 0 1 2 0
Audits 0 1 2 0
Reviews 0 1 2 0
TOTAL 0 3 6 0

INCIDENTS
Near Hits 0 1 2 0
Accidents 0 1 2 0
Sickness absence is not monitored. 0 1 2 0
TOTAL 0 3 6 0

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 0 12/30/1899

6. Quarry Specific
Ratings
Issue Enter Score
0 1 2
Management
There is no written confirmation There is written confirmation
Entitlement to
Operate the Quarry
proving the entitlement to operate proving the entitlement to operate and it is available on site. 0
the quarry. the quarry.
Observations and remedial actions:
Responsible manager, Quarries 8.1(c)
Appointment of and have signed acceptance and written conformation is
Quarry Operator
and relief 8.1(d) have not been They have been appointed.
available on site. 0
appointed.
Observations and remedial actions:
Appointment of 8.1(e) competent persons have not
Competent Persons been appointed.
They have been appointed. and are sufficient to manage the quarry safely. 0
Observations and remedial actions:
There is no plan showing where the There is a plan showing where the
Quarry Plan
quarry regulations apply quarry regulations apply
and it is up to date and available on site. 0
Observations and remedial actions:

33 of 48
Health and Safety Document

It is written and adequate, i.e. it

sets out in a way that can be
understood by everyone: the design
and how it works: key information
about H&S at the quarry (or
directions as to where this might be and the document has been communicated to employees and
Health and Safety There is no written Health and Safety found) including; how the quarry is contractors and a record has been kept to prove such
Document Document or it is inadequate. managed; the risks and the communication took place. The document is reviewed and 0
measures taken to control them; updated and it is readily available to everyone at the quarry.
rules for excavation & tipping, shot
firing and vehicles; how the work of
employees and contractors is to be
co-ordinated: and the inspection and
maintenance regime.

Observations and remedial actions:

Excavation and Tips

Rules have not been prepared by the

Quarry Operator (or a delegated
The rules are suitable and sufficient and the rules have been communicated to employees and
Appointed Competent Person) or they
to ensure the safe construction and contractors in a simple, relevant and understandable manner:
are unsuitable/insufficient to ensure
Excavation and operation of excavations or tips and a record has been kept to prove such communication took
Tipping Rules
the safe construction and operation
(including stockpiles and lagoons). place: and the rules are being followed. The rules are 0
of excavations or tips (including
The rules provide an overview of reviewed on a regular basis and undergo immediate review if a
stockpiles and lagoons). The rules do
how the quarry is to be developed. significant change in practice has occurred.
not provide an overview of how the
quarry is to be developed.

Observations and remedial actions:

34 of 48
 There is no suitable and sufficient
appraisal undertaken by a competent
Appraisal of
Excavations and Tips
person to determine whether
proposed or existing excavations or
tips represent a significant hazard.
Observations and remedial actions:
Geotechnical Geotechnical assessments have not
Assessment been carried out.
Observations and remedial actions:
Quarry Design There is no quarry development plan.
Observations and remedial actions:
A competent person has not carried
Inspections out regular inspections of excavated
faces/tips.
Observations and remedial actions:
and a signed and dated record of the appraisal is kept and any
There is a suitable and sufficient
appraisal.
significant findings are communicated to employees and 0
contractors.
Assessments have been carried out
where required by a Geotechnical
and actions/recommendations from the assessment have been
Specialist as set out in the Quarries
completed or are being progressed within an agreed timescale. 0
regulations (2 year minimum or
sooner if the specialist specifies)
There is a quarry development plan
that sets out how the quarry is to be
worked and it covers development,
and a copy of the plan is available on site and it is being
extraction, decommissioning and
abandonment. It is based on the
adhered to. The plan is regularly updated and quarry face 0
operatives are consulted.
design criteria from the geotechnical
assessments and it takes account of
risk assessments and rules.
A competent person has carried out
regular inspections e.g. of crests, and a record has been kept to prove such inspections took
faces, toes, watercourse/lagoons place (e.g. photographs) and has been signed off by the 0
behind crests, stockpiles, tips, manager.
benches and haul roads.
35 of 48

Notifiable Management are not aware of their
Excavations and Tips responsibilities.
Observations and remedial actions:
The tipping and excavation rules are
not working in practice (e.g. the
quarry and its equipment are not
well maintained; cracks collapses or
other discoveries raise doubts about
In Practice
the design; there are significant
overhangs in excavations or vertical
faces in tips; there is loose material
on the face which could injure
someone).
Observations and remedial actions:
Drilling & Blasting
Explosives A competent explosives supervisor
Supervisor has not been appointed in writing.
Observations and remedial actions:
Shotfirers, trainee Shotfirers, trainee shotfirers,
shotfirers, storekeepers and others working with
storekeepers and explosives are not competent or have
others working with not been properly trained, appointed
explosives and authorised.
Observations and remedial actions:
Management are aware of their
responsibilities with respect to
notifiable excavations and tips (e.g.
geotechnical assessments, the
requirement to notify HSE of such
tips and excavations, the
and appropriate actions have been taken. 0
requirements to maintain records on
the location and quantities of all
substances accumulated or deposited
at a notifiable tip etc).
The tipping and excavation rules are working in practice: and
any faults have been identified and there is an action plan to 0
remedy them.
A competent explosives supervisor
and they possess the relevant NVQ's/OCF's and have up-to-date
has been appointed in writing to
CPD records. Where there is more than one explosives
organise and supervise the safe and
supervisor, a register is kept which ensures one person is in 0
secure storage, handling and use of
charge at a given time: and this is up to date.
explosives.
They are competent and have been
properly trained, appointed and
and they possess the relevant NVQ's/OCF's and up-to-date CPD
authorised. (Where there is a trainee
records are available. 0
shotfirer they always work under
close supervision.)
36 of 48
 There is not a valid current
Explosives Certificate (fit persons)
"Acquire" (Control of explosives
regulations 1991) or there is not a There is a valid current Explosives Certificate (fit persons)
valid recipient competent authority "Acquire" and a valid recipient competent authority transfer
Licences
transfer document (Supervision of document and any magazine (in use) holds a current valid 0
Transfers of Explosives regulations licence.
1993) or where there is a magazine
(in use) it does not have a current
valid licence.

Observations and remedial actions:

There are no or inadequate Safe There are adequate Safe Systems of
Storage, Handling Systems of Working for the safe/ Working (and these are in and the Safe Systems of Working are being followed. Magazines
and Transportation secure storage, transportation and accordance with the relevant and transport are regularly cleaned and inspected. 0
use of explosives; licences).

Observations and remedial actions:

There are adequate shotfiring rules.

that cover; prevention of accidental
initiation; arrangements for
appointments, arrangements for the
provision of suitable shot firing
equipment, the permitted shot firing
times; identification of the danger
There are no or inadequate shotfiring and these have been disseminated to employees and
Shotfiring Rules
rules.
zone for every shot, the location and
contractors and are enforced. 0
construction of the blast shelter, the
warning system, the process for
resuming normal work post blast, the
arrangements for the safe guarding
of charged but unfired shot holes at
the end of the working day, the
procedures for dealing with misfires.

Observations and remedial actions:

37 of 48
 Shotfiring equipment is suitable (e.g.
non-sparking materials used for tools
for piercing cartridges, mixing
explosives or used in shot holes;
circuit testers capable of measuring
resistance of the circuit without
Shotfiring equipment is unsuitable or
adversely affecting detonators; and records are kept of inspections, maintenance and
Shotfiring Equipment it is not inspected or properly
mixing trucks are earthed, calibration (where required). 0
maintained.
detonators and leads are clearly
labelled), inspected (e.g. exploders
and circuit testers inspected in
detail, at least every six months and
after major repair or unexplained
misfire) and properly maintained.

Observations and remedial actions:

There is no tailored blasting
specification for each blast to
Blasting Specification minimise the risk of flyrock and There is a tailored blasting specification. 0
misfires and to ensure faces are left
in a safe and suitable condition.
Observations and remedial actions:

Danger zones (including a plan) are

not determined or kept clear during
blasting; there is not an adequate They are determined, kept clear;
shelter for the shotfirer during there is adequate shelter; visibility is There is proof to back this up (e.g. danger zones, sentry
Danger Zone
blasting; visibility is not considered; trained sentries are positions etc are marked on a site plan). 0
considered; ;trained sentries are not posted.
posted (or there is no record of their
training).

Observations and remedial actions:

38 of 48
 There is no or an inadequate post
Post Blast Check and and appropriate action is taken as a result of the post blast
blast check to determine the state of
Face Condition
the face or if there is a possibility of
There is an adequate check. check e.g. misfires are dealt with safely: and records of such 0
Inspection action exist.
misfires

Observations and remedial actions:

Mobile Plant
Edge protection on
There is no suitable edge protection
roads, stockpiles and
where there are drops or lagoons.
There is suitable protection. and an inspection/ maintenance regime is in place. 0
tips
Observations and remedial actions:

Benches and Haul Roads are not

Benches and Haul suitable (e.g. layout, strength, and they are regularly inspected and maintained and are
Roads surface, width, slope, signs) for the
Benches and Haul Roads are suitable.
signed off by the Quarry Manager. 0
type and size of vehicle used

Observations and remedial actions:

Daily brake and hand brake testing is and backed up with regular tests using electronic equipment
Brake Testing
not carried out.
Daily testing is carried out
e.g. Simret with appropriate records and monitoring of trends. 0

Observations and remedial actions:

The weather is not considered as a
factor when vehicles are used (e.g. and both permanent and condition based control measures are
Weather
should fog, rain, mud, ice or snow
The weather is considered
implemented and included in Vehicle Rules. 0
make conditions unsafe).
Observations and remedial actions:
Other Quarry Specific

Danger areas (e.g. excavations which

may collapse, lagoons and silt ponds;
There is adequate marking and
places where there are quicksand and only people who have been specifically authorised to enter
barriers that clearly identify the
like materials, where people may be for essential purposes and who have been trained in the
Danger Areas
struck by falling material and where
edge of the danger area and make
necessary safeguards, have controlled access to the danger 0
entry impossible without a conscious
people can fall) have not been area.
effort.
adequately marked or there are
inadequate barriers.

Observations and remedial actions:

39 of 48

The provision of barriers has not
Quarry Boundaries been risk assessed or barriers are not trespass by children, which places
appropriate.
Observations and remedial actions:
The provision of escape and rescue
Escape and Rescue facilities has not been risk assessed.
facilities The means of escape and rescue are
inadequate or not maintained.
Observations and remedial actions:
Appropriate barriers have been
provided that are proportionate to
the risk (e.g. in rural areas where
the risk of public access is low;
hedges, trenches and mounds may be
sufficient: at the other extreme,
where there is evidence of persistent
and boundaries are regularly inspected and maintained. 0
them at significant risk,
sophisticated metal paling fences
may be required. Barriers should
always be provided where quarry
boundaries are near to schools,
colleges, shops or a significant
number of homes).
The provision of escape and rescue
facilities has been risk assessed. The and there are suitable means of communication and
means of escape and rescue are appropriate rescue equipment has been provided. 0
adequate and maintained.
40 of 48
 Summary Table
Red Amber Green Score
MANAGEMENT (entered in spreadsheet)
Entitlement to Operate the Quarry 0 1 2 0
Appointment of Quarry Operator 0 1 2 0
Appointment of Competent Persons 0 1 2 0
Quarry Plan 0 1 2 0
Health and Safety Document 0 1 2 0
TOTAL 0 5 10 0

EXCAVATION AND TIPS

Excavation and Tipping Rules 0 1 2 0
Appraisal of Excavations and Tips 0 1 2 0
Geotechnical Assessment 0 1 2 0
Quarry Design 0 1 2 0
Inspections 0 1 2 0
Notifiable Excavations and Tips 0 1 2 0
In Practice 0 1 2 0
TOTAL 0 7 14 0

DRILLING AND BLASTING

Explosives Supervisor 0 1 2 0
Shotfirers, trainee shotfirers, storekeepers and others working with
explosives 0 1 2 0
Licences 0 1 2 0
Storage, Handling and Transportation 0 1 2 0
Shotfiring Rules 0 1 2 0
Shotfiring Equipment 0 1 2 0
Blasting Specification 0 1 2 0
Danger Zone 0 1 2 0
Post Blast Check and Face Condition Inspection 0 1 2 0
TOTAL 0 9 18 0

41 of 48
MOBILE PLANT
Edge protection on roads, stockpiles and tips 0 1 2 0
Benches and Haul Roads 0 1 2 0
Brake Testing 0 1 2 0
Weather 0 1 2 0
TOTAL 0 4 8 0

OTHER QUARRY SPECIFIC

Danger Areas 0 1 2 0
Quarry Boundaries 0 1 2 0
Escape and Rescue facilities 0 1 2 0
TOTAL 0 3 6 0

42 of 48
 Perf o rman c e I nd ic at or

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h ol i c
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Q M obi l e Pl an t Accou nt a bi lit y & R esponsi bi l i ty
Q D rillin g & Bl a sting Risk M a na g em en t Pr oc ess
Q Excav a tion & T i ps Isol atio n & Gu ar di ng
Q Ma nag ement Vehi cles & Dr iv ers
Inc i dent ha ndl i ng Wor k a t Hei g ht
Inspecti ons, a udi t s a nd re v ie w s Occ up a tion a l He alt h
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43 of 48
 LIST OF 'BELOW STANDARD' (RED) ANSWERS
(Note some computer systems may truncate text during printing, if so refer to list in spreadsheet)

y.
set any general H&S rules.
ontractor H&S rules set by the company.
ules requirements are not considered in the way the business is managed
contractors list.
oes not actively promote the company's safety ambition
ets have been set.
ent plan, or it is not being communicated or actions are not being closed out
on chart and supporting information on duties, responsibilities, individual authorisations and appointed persons (and their reliefs).
inted to be responsible for the management of H&S.
ot held accountable for H&S by the use of trailing indicators such as injury rates.
supervised
allenged and there is no consequence system
duals have not received training in risk assessment
dentified for purposes of risk assessment.
in place for completing risk assessments for the tasks that have been identified.
t the risk assessments have not correctly identified the key hazards.
for checking contractor's risk assessments and method statements.
think’ procedure in place (i.e. employees are not obliged to consider the risk of any task on which they are about to proceed).
safe working practices are not subject to review and amendment (e.g. periodically, as technology changes, following the introduction of new legislation, before changes ar
fter tasks have been completed etc).
Safe Systems of Work for tasks that carry significant risk.
Work System in place to ensure that potentially dangerous work (e.g. Work at Height, Confined Space working, work with asbestos, hot works, certain electrical work, bre
sed systems) is done safely.
ocess whereby competent personnel verify that plant and equipment is safe before being returned to service after alteration or repair.
fire risk assessments.
not been identified.
sments have not been carried out.
not assessed or there is not a lifting plan.
ed.

44 of 48
t been identified or risk assessments have not been carried out for them.
nspection regime is in place.
or appointed (e.g. grinding wheels) or tools/equipment are not maintained.
to manage external plant and equipment.
tions have been carried out on Cranes and Lifting Equipment, Local Exhaust Ventilation Systems, Hoists and Harnesses for raising/lowering personnel, Mobile Elevating Wor
pment, Pressure systems, Electrical systems, Fire protection (including extinguishers and detectors) and alarm systems.
survey.
aintained or any modifications have not been approved by a competent person.
ic risk assessment for working at height.
t the guarding is ineffective.
olation policy and accompanying procedures; or they are inadequate.
cy stops or pull wires fitted to plant & equipment. Or they are inadequate.
(e.g. high level alarms, interlocked guards, automatic shut off valves, pressure relief valves etc) are not regularly tested.
ic PPE risk assessment (and where appropriate task specific PPE risk assessment).

ovided.
ules.
to height, width, gradient or overhead power lines, speed limits) are not clearly marked.

segregation is ineffective.
ecure (e.g. engine off, keys removed, handbrake on and locked).
ems of work for sheeting or tipping.
re in place to mitigate the dangers of crossing public roads or footpaths.
e not subject to the same rules as company vehicles
certificated.
ments in place for Journey Management (e.g. the prohibition of excessive combined working and driving times, restrictions on the use of mobile phones whilst driving).
n place, i.e. drinking water, washing and changing facilities with hot and cold running water, adequate toilets and a rest/eating area.
ent is not appropriate.
s and falls is not actively managed
h programme has been established.
ment for dust.

45 of 48
 ment for noise.
ment for vibration.
essment.
surveyed.
ave been completed or equipment does not meet the minimum standard (e.g. adjustable chair, suitable lighting, clear, readable and adjustable screens etc).
cy.
ssments for other factors affecting health (e.g. substances with WELs, dermatitis inducing materials, carcinogens, Leptospirosis, Legionnaires, radiation, ergonomic)
ug and alcohol policy.
not been completed for tipping points or silo deliveries.
ged.
pment is part of an inspection and maintenance scheme.
been appointed or they have not been vetted for competence.
ave not been PAT tested or labelled
anels & boards are not marked
gency lighting has not been risk assessed.
used for storage or are dusty, or do not have signage.
not accurately located on a site plan.
have not been adequately protected e.g. by the use of goalposts set at suitable distances (6 metres minimum, more if vehicles travel at speed).
ard containing safety information.
HE communications.
de aware of policy and procedural changes.
of when the CDM regulations apply (e.g. when building, civil engineering or engineering construction is undertaken) or the responsibilities therein (e.g. management arran
esign, cooperation/ communication and notifiable projects).
integrate H&S into the design phase.
mergency plan.
practice drills
equate
aid provision has been made.
eport book
esentative for the site (or area).
ve is not actively participating in site H&S
mmittee
does not have a formal agenda
ced

46 of 48
 iling system.
e to readily source H&S information.
c induction training.
opment training to prevent risks related to the job. There is no system to ensure the basics are acquired prior to starting the job.
training.
ot been assessed and agreed with employees.
e (e.g. a critical guard such as a tail or head drum , belt drive, or return idler guard is damaged or missing: or access to nip points and moving machinery is still possible).
protection (e.g. side sheets).
crossing points.
from falling material
nce of significant spillages and blockages.
tion point
of the site is not monitored
ed accurately or on time

n regime (e.g. covering vehicles; machinery guarding; safety devices such as reversing aids/interlocks/trip wires; quarry electrical equipment; pressure systems; pedestria
on; excavations and tips; buildings and other structures, barriers and faces above working places or roads) is in place, or employees are not trained or aware of their role i

management system have been undertaken

ot review the Safety Management System to ensure continuing adequacy and effectiveness
not actively encouraged or they go uninvestigated or corrective actions are not undertaken promptly.
for investigating accidents
t monitored.
nfirmation proving the entitlement to operate the quarry.
Quarries 8.1(c) and relief 8.1(d) have not been appointed.
sons have not been appointed.
ing where the quarry regulations apply
ealth and Safety Document or it is inadequate.
repared by the Quarry Operator (or a delegated Appointed Competent Person) or they are unsuitable/insufficient to ensure the safe construction and operation of excava
nd lagoons). The rules do not provide an overview of how the quarry is to be developed.
nd sufficient appraisal undertaken by a competent person to determine whether proposed or existing excavations or tips represent a significant hazard.
ents have not been carried out.
velopment plan.
as not carried out regular inspections of excavated faces/tips.

47 of 48
aware of their responsibilities.
ation rules are not working in practice (e.g. the quarry and its equipment are not well maintained; cracks collapses or other discoveries raise doubts about the design; the
ons or vertical faces in tips; there is loose material on the face which could injure someone).
es supervisor has not been appointed in writing.
otfirers, storekeepers and others working with explosives are not competent or have not been properly trained, appointed and authorised.
rrent Explosives Certificate (fit persons) "Acquire" (Control of explosives regulations 1991) or there is not a valid recipient competent authority transfer document (Superv
1993) or where there is a magazine (in use) it does not have a current valid licence.
quate Safe Systems of Working for the safe/ secure storage, transportation and use of explosives;
quate shotfiring rules.
is unsuitable or it is not inspected or properly maintained.
asting specification for each blast to minimise the risk of flyrock and misfires and to ensure faces are left in a safe and suitable condition.
ng a plan) are not determined or kept clear during blasting; there is not an adequate shelter for the shotfirer during blasting; visibility is not considered; ;trained sentries a
heir training).
equate post blast check to determine the state of the face or if there is a possibility of misfires
dge protection where there are drops or lagoons.
ds are not suitable (e.g. layout, strength, surface, width, slope, signs) for the type and size of vehicle used
brake testing is not carried out.
nsidered as a factor when vehicles are used (e.g. should fog, rain, mud, ice or snow make conditions unsafe).
cavations which may collapse, lagoons and silt ponds; places where there are quicksand like materials, where people may be struck by falling material and where people ca
there are inadequate barriers.
ers has not been risk assessed or barriers are not appropriate.

48 of 48