Outline of monitoring checklist based on an HSE example
The following checklist outlines a number of elements that a client LA may wish to include when monitoring its service provider’s health and safety performance. It incorporates an assessment scale for risk control indicators (used previously by HSE inspectors). These aspects could also be developed for use by service providers when self-monitoring.
Any monitoring checklist should take into consideration both generic and contract-specific hazards and risks. Emphasis should be given to those topics posing the greatest risk to health and safety.
Any monitoring checklist should be developed in consultation with the service provider and workforce.
The frequency of monitoring needs to be determined, but need not be fixed, for instance checks may need to be more frequent at the start of the contract, but with longer intervals as the contract beds down and confidence is gained.
The method of feedback is also important and needs to be agreed between all parties. Feedback needs to be meaningful and proportionate.
The client officers involved in monitoring need to have received sufficient training and be competent to carryout this task, including ensuring that the monitoring is carried out safely and does not in itself increase risks.
The checklist does not replace the need for audit of the service provider, but may be used as evidence during an audit.
A number of the case studies relate to the development and use of monitoring checklists and techniques.
Each risk control indicator should be assessed against the following 1-4 scale (or marked as not applicable). A score of 1 must satisfy all the appropriate criteria of the risk control indicator.
|Full compliance in areas that matter||Broad compliance in areas that matter||Some compliance in areas that matter||Limited or no compliance in areas that matter|
The following tables give examples of possible subject matter for monitoring. These are not exhaustive, and are indicative only.
|Induction training||All new staff (full time, casual and agency) receive sufficient induction training|
|Evidence that client checks induction training is carried out|
|Supervision||Supervisors’ roles are clearly defined|
|Supervisors are aware of their duties and exercise them|
|Evidence that contractor monitors effectiveness of supervision|
|Evidence of effective procedure for reporting defects, non-compliant actions etc|
|Workplace transport: refuse and recycling collection vehicles|
|Management||Risk assessment of activities|
|Evidence of operator training|
|Effective supervision (within collection team)|
|Monitoring of controls by client|
|Organisation of work routes to avoid areas/ times of high risk (eg schools at start/end of day)|
|Elimination/reduction of reversing at depots|
|The vehicles||Do vehicles have 3600 vision where necessary|
|CCTV provided and functioning to observe working area at rear of RCVs and recycling drays|
|Any reversing alarms and beacons fitted are functioning|
|CCTV, mirrors, alarms, beacons, brakes, lights etc checked daily and maintained. Hoist checked daily, examined by competent person and maintained. Records kept|
|Bin and skip hoist controls exclude operator from trapping zone|
|Hoist compatible with the type of container and able to lift on slopes where operated|
|Driver, operators and members of the public||Collection of containers from nearside kerb only, so far as reasonably practicable, to reduce crossing or working within the road|
|Riding on vehicle within cab only, no footboards|
|Trained reversing assistants used when reversing in the vicinity of pedestrians (only if the risk cannot be controlled by safer control measures, eg CCTV)|
|Evidence of manual handling training techniques used for the range of container types collected|
|Ergonomic suitability of the vehicle for sorting/loading, eg height of rave rail, height of sorting surface, placement of stillages|
|Ergonomic suitability of container for anticipated contents (frequency of collection, waste collected)|
|Maintenance of container (wheels, handles etc)|
|Health and welfare|
|Washing and toilet facilities||Wash basins provided and functioning on vehicles|
|The round is organised to permit reasonable access to toilet facilities|
|First aid||Appropriate and sufficient first-aid materials available on vehicle|
|Personal protective equipment|
|High-visibility clothing protected and worn|
|Protective trousers provided and worn when risk of leg cuts, eg collecting bags or when bags are removed from other containers|
|Gloves provided and worn when directly picking up refuse|
|Hearing protection provided and worn when required|