Health and Safety

Control Objectives for Health and Safety

(a) To ensure that risk assessment identifies all potential health and safety
implications as the basis for rectifying exposures;
(b) To ensure that all Health and Safety matters are addressed for the
protection of staff, visitors and customers;
(c) To ensure the relevant legislation and regulations are fully complied with;
(d) To ensure that all staff are fully aware of workplace risks, how to utilise
safety equipment and protect themselves;
(e) To ensure that adequate safety equipment and training are provided;
(f) To ensure that machinery and equipment is effectively maintained, safely
installed and protected where necessary;
(g) To provide adequate and operative fire prevention and protection
facilities;
(h) To ensure that building evacuation drills are effective and regularly tested;
(i) To provide adequate security measures for the protection of staff and
visitors;
(j) To ensure that all accidents and incidents are promptly reported;
(k) To ensure that appropriate, sufficient and current insurance cover is in
place;
(l) To provide adequate first aid and medical facilities;
(m) To ensure that adequate hygiene and cleaning standards are maintained;
(n) To ensure that hazardous materials are correctly and safely stored; and
(o) To ensure that all required certifications are obtained from regulatory
bodies.

Risk & Control Issues for Health and Safety

1 Key Issues

1.1 How can management be assured that they have identified and
adequately addressed all Health and Safety risks and hazards within the
organisation?
1.2 Has an authorised and documented Health and Safety Policy been
developed and implemented, and is it maintained up-to-date?
1.3 How can management be certain of compliance with all the relevant
legislation and regulations?
1.4 What processes ensure that staff are fully aware of workplace risks
and how to correctly utilise safety equipment and protect themselves?
1.5 Has sufficient and appropriate safety equipment (i.e. fire
extinguishers, protective clothing, etc.) been provided, and what measures
ensure that it all remains in working order and effective?
1.6 Have sufficient and effective fire prevention and protection systems
been provided, and are they regularly tested?
1.7 Are adequate security measures in place to restrict access to facilities
and protect staff and equipment from attack?
1.8 How can management be certain that all incidents and accidents are
reported and appropriately dealt with?
1.9 Have adequate first aid and medical facilities (equipment and
personnel) been provided, and are supplies replenished when used?
1.10 Are adequate hygiene and cleanliness standards established, and
what mechanisms ensure that the required standards are maintained?
1.11 How can management be assured that adequate and appropriate
insurance cover is provided and maintained?
1.12 What mechanisms ensure that all the required regulatory inspections
are conducted and that the appropriate regulatory certification is obtained?
1.13 How can management be assured that all hazardous materials are
safely, correctly and securely stored?

2 Detailed Issues

2.1 Has management undertaken a risk assessment of health and safety

implications throughout the organisation in order to identify the risks and ensure
that they are addressed?
2.2 Has a health and safety policy been introduced, and have specific
responsibilities for safety issues been allocated?
2.3 What mechanisms prevent non-compliance with the prevailing health and
safety regulations?
2.4 How can management be sure that they maintain an up-to-date awareness
of all the relevant health and safety regulations?
2.5 Are all staff adequately trained in safety matters, including use of
equipment and clothing (and how can management be certain that all the relevant
staff actually receive the appropriate training)?
2.6 Are staff progressively tested on their level of understanding of safety
measures in order to identify further training needs?
2.7 How can management be assured that all the relevant safety equipment is
maintained in working order?
2.8 Are all relevant machines fitted with guards, safety cut-outs, etc. to the
required standard?
2.9 How can management be sure that all computer equipment conforms to
the required standards (i.e. screen radiation levels, etc.)?
2.10 Are building evacuation, fire and security drills regularly conducted and
assessed for effectiveness?
2.11 Are adequate fire alarms and security systems installed, tested and
maintained (and would faults be promptly detected)?
2.12 How can management be assured that all building environmental systems
(i.e. heating, lighting, air conditioning, etc.) are working correctly and to the
required legal standards?
2.13 What mechanisms prevent unauthorised access to buildings and facilities?
2.14 Are the relevant staff (i.e. receptionists, door guards, post room staff,
etc.) aware of the action required in the event of a bomb alert, an attack on the
building, or an suspicious package, etc.?
2.15 What processes ensure that the records of incidents and accidents are fully
and correctly maintained in accordance with any regulatory requirements?
2.16 Are sufficient and suitably trained first aid and medical personnel
available, and how can they be promptly summoned to an incident?
2.17 In the event of an emergency, how can management be certain that all
visitors are accounted for?
2.18 Are transitory safety risks (such as trailing power leads, wet floors due to
cleaning, etc.) adequately addressed?
2.19 How can management be certain that the organisation has sufficient
insurance cover in the event of being sued for negligence with regard to health
and safety conditions?
2.20 What processes ensure that insurance cover is renewed, at the appropriate
level and current?
2.21 What processes ensure that all the required certificates and licences are
obtained to enable the lawful operation of facilities?
2.22 What mechanisms prevent unauthorised access to hazardous materials?
2.23 How is accuracy of data input from other systems (i.e. human resources)
confirmed?
2.24 How is the accuracy of data output to other systems (i.e. estates
management) confirmed?