making your smas application what you need to know v2

Outsource Safety

C&G Safety & Environmental Ltd Brewery Yard, Paganhill Lane Cainscross, Stroud Gloucestershire GL5 4JW T. 01453 800100 W. outsource-safety.co.uk [email protected]

C&G Safety offers outsourced and interim health and safety support throughout the UK for construction, industry and the public sector. We work in close partnership with our clients to provide flexible, fixed cost solutions which support your internal teams www.outsource-safety.co.uk | Company Reg. No. 3570003 | VAT Reg. No. 709 4630 31

MAKING YOUR SMAS APPLICATION WHAT YOU NEED TO KNOW!

Advice and guidance for C&G Safety~net clients V2 If you are not a client but find this guide helpful find out more about our support and pricing by calling 01453 800100 or download a copy of our pricing structure at http://www.outsource-safety.co.uk/downloads.html

mailto:[email protected]

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http://www.outsource-safety.co.uk/downloads.html

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We are always happy to assist you with your SMAS application. Here’s what SMAS have to say about C&G Safety & Environmental Ltd.

"As a Registered SSIP Member Scheme, SMAS have a number of contractor companies that use C&G Safety as their external H&S Consultants. It is evident in the way that the documentation is presented to us by these contractor companies that C&G Safety offer appropriate H&S advice and effective support to their Clients during the H&S Assessment process."

In order for your application to be successful you must provide the required documented evidence to demonstrate your ongoing commitment to the management of health and safety in your organisation. Please read the following guidance carefully. Failure to comply, for example, incorrect or omitted information or supporting documents will result in your application being rejected.

Top tip! Create a folder called ’SMAS Application 2015’ so that you can keep tabs on your application, evidence and supporting documents such as certificates etc. All evidence that you supply should be annotated with the question number to which it relates. This will make it easier for the SMAS Auditor to understand what he/she is looking at!

You need to complete the ADMIN SECTION (pages 1 and 2). All sections require completion in full. You should contact your consultant regarding the information required in the section marked External H&S Competent Advice who will be happy to supply you with their information and supporting documentation. Members of our Safety~net scheme please mark box A with an X. The name of the consultancy is C&G Safety & Environmental Ltd our contact telephone number is 01453 800100. SMAS will always contact the retained consultant in order to confirm that we are acting on your behalf.

Section 1, Question 1 – Insert the required information. You must send your full health & safety policy document. Ensure that it is signed and dated. DO NOT CUT SECTIONS OUT OF IT!!!

Top tip! All our safety policies are sent to our clients in pdf format. If you want your MD’s Signature included please send a copy to your consultant and we will gladly add it to the safety policy statement.

Put an X in either B1 or B2 if this is applicable to you. If you select B2 you must send a signed and dated copy of your health & safety policy statement.

Section 1, Question 2 – You should contact your consultant regarding the information required in the section marked Monitoring, Audit & Review. Please contact your consultant who will be happy to supply you with the information and supporting documentation if this is applicable. We can offer monitoring, audits and reviews if this is not something we provide for you currently.



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Section 1, Question 3 – Contractor Control. Please place an X in the appropriate box. You must send (if applicable) a completed copy of your assessment documentation such as a pre-qualification questionnaire (PQQ). Your safety policy document contains a section on Control of Contractors. A copy of a PQQ is available from your consultant if you require one.

Top tip! Tradesmen and other contractors that work for you must have their own health and safety arrangements in place. You should ensure that you have vetted them and added them to your ‘approved supplier’ list. It is important that you issue a PQQ to them and that you have sight of their safety policy, insurances, training certificates and competence certificates. You would also be required to see a signed copy of a risk assessment for the works to be carried out supported where necessary with a method statement.

Section 1, Question 4, 5, & 6 – Method statements, risk assessments and COSHH assessments are in your safety policy document. You must send a minimum of 2 worked examples. They should be completed in full and signed by the person to whom it applies. All our assessments are designed for you to meet this requirement.

Top tip! A copy of the relevant risk assessments should be given to the person(s) carrying out the work. Once they have read them they should sign and date a ‘receipt’ so that you have evidence that you have met your legal obligation. This also applies to method statements and COSHH assessments.

Section 1, Question 7 - Planned H&S Training and information. Safety training is often a stumbling block when it comes to SMAS accreditation. You need to produce a training matrix or plan. It should include all relevant employees and include job titles, the course title, date of training, refresher training dates etc. A good example is provided by SMAS on the application form. You also need to send copies of certificates such as trade training certificates -17th Edition, Gas Safe Register, NVQ’s, City & Guilds, etc. and safety training certificates such as CSCS, Safety passport etc. We can supply you with a blank training matrix document if required.

Top tip! Plant, equipment and machinery competence certificates are a good way of demonstrating a commitment to having a skilled workforce. First Aid and Fire Marshall certificates demonstrate emergency preparedness. If your organisation is a member of any trade associations or other bodies please send copies of those too. You can never send enough certificates!!

Section 1, Question 8 – Senior Management qualifications and experience. Please indicate with an X relevant qualifications and experience. Do not send out of date certificates.

Top tip! Make sure that photocopies or scans are good quality and that issue and expiry dates are clearly visible.

Section 1, Question 9 (1) – Supervisory Management qualifications and experience. Please indicate with an X relevant qualifications and experience. Do not send out of date certificates.




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Section 1, Question 9 (2) – Supervisory Management qualifications and experience. Please indicate with an X relevant qualifications and experience. Do not send out of date certificates.


Section 1, Question 10 – Employed Staff and or Sub Contractors qualifications and experience. Please indicate with an X relevant qualifications and experience. Do not send out of date certificates.


Section 1, Question 11 – HSE Enforcement – Strike through yes or no whichever is not applicable. If yes mark the relevant box with an X and send the appropriate documents. You will have to send evidence of all actions taken to rectify the issue. If you require assistance on how to best present this information please contact your consultant.

Top tip! Send all correspondance related to the enforcement action including any communication ‘closing out’ the issue from HSE.

Section 1, Question 12 – Accident/Incident Reporting and Reviewing. Policy and procedure is found in the safety policy document. An accident record form is found in the forms package. Contact your consultant if you need a copy. Send details of accident statistics and any remedial action information you may have.

Top tip! Make sure that any completed accident record or investigation forms that are sent relate to an event that appears in the accident book. Before sending make sure that any personal details i.e. names and addresses are obliterated for Data Protection purposes.

Section 1, Question 13 – RIDDOR Actions. Policy and procedure is found in the safety policy document. Send details of the RIDDOR report form that you would have completed online and any remedial action information you may have.

Top tip! Make sure that any completed accident record or investigation forms that are sent relate to an event that appears in the accident book. Before sending make sure that any personal details i.e. names and addresses are obliterated for Data Protection purposes.

Section 1, Question 14 – Consultation and Communication. Policy and procedure is found in the safety policy document. If you have a safety committee that has meetings please send documented minutes. If you informally have meetings or give briefings regarding health and safety please send any supporting documentation. Toolbox talks are available from your consultant if you need them. We can present toolbox talks to your workforce if required. Contact your consultant to discuss this option. If completed ‘in-house’ you must compile a register of toolbox talks with the name of the person giving the talk, date, subject of the talk and the name of those attending. It is essential that the register is signed by all attendees.



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Top tip! Make sure that documents sent cover a period of at leat 6 months and show a regular pattern. Toolbox talks should be added to your training matrix.

Section 1, Question 15 – Internal H&S Competent Advice. Complete the relevant detail and mark the appropriate box(es) with an X. If you have none of these you must explain either in a letter or in an email that you are relying on experience. It may be prudent for the nominated Competent Person to attend an IOSH Managing Safely course.

Top tip! This can be a tricky one as many companies rely solely on consultants to advise them onhealth and safety matters. The nominated Competent Person would benefit from holding some form of health and safety qualification.

Section 1, Question 16 – Asbestos. If not applicable to your business please strike through ‘No’. Asbestos is covered in your safety policy document however you will be expected to produce valid training certificates for managers, supervisors and employees who are likely to be exposed to asbestos.

Top tip! Ensure that everyone is trained. Book training courses before your application is submitted. No certificates – no SMAS.

Sections 2, 3 and 4 (where applicable) – Contact your consultant if you experience any difficulties relating to these issues.

Top tip! Send your application and supporting evidence package to your consultant for review prior to sending to SMAS. Please do not send your application to SMAS until you have had the go ahead from your consultant.



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Example:

Section/question No. Evidence required Signed off Date Admin - Insurances Insurance certificates – scan pdf External H&S Advice CV & certificates – pdf Q 1 Signed Safety Policy Document (in full)



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SMAS is a full member of the (SSIP) SAFETY SCHEMES IN PROCUREMENT FORUM

The WORKSAFE ASSESSMENT SCHEME is a nationally recognised Health and Safety assessment process Please note this questionnaire is required for auditing purposes NO ASSESSMENT will take place unless it is returned, fully completed. Full terms & conditions can be found at the SMAS website www.smasltd.com

Contact Details SMAS Contact: (This will be the SMAS Primary Contact)

Name of person completing this PQQ:

Client Contact: (This will be made available to the Client) Name of person dealing with contracts

Name Insert detail Insert detail Position within the organisation Insert detail Insert detail

Mobile Number Insert detail Insert detail Email addresses Insert detail Insert detail

By signing this document you are declaring that all the answers provided are true to the best of your knowledge and reflect the way your businesses H&S management system operates

Signature Insert detail Date of Application Insert detail

Is this a group application? (Group members should all be named and operate from the same Group H&S Policy)

YES ? If yes: Please contact the SMAS Assessment Team on 01752 697370 to discuss the process, the requirements and the cost NO ?

Are you the Group Leader Company? YES NO If YES: How many companies are members of your group? ?

Please delete whichever is not applicable



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What type of assessment do you require? Please indicate (by ticking the appropriate box/es) the roles, responsibilities and the duties your company will undertake.

Please note payment must be made prior to assessment taking place

Fee for Assessment

Contractor ? Please complete admin & section 1 £150 + VAT (£180) Consultant ? Please complete admin & section 1

Principal Contractor ? Please complete admin & section 1 +

section 2 £185 + VAT (£222) Designer ? Please complete admin & section 1 +

section 3

CDMC ? Please complete admin & section 1 + section 4

Payment method Please indicate how and when payment will be made. (please tick appropriate box and enter payment date)

By Paying Online ? Pay online by Visiting www.smasltd.com Date= ?

By Phone ? Credit/Debit Card Phone Payment Please call 01752 697370

Date= ?

By Cheque ? Enclose with response; cheques payable to SMAS Ltd

Date= ?

Please delete whichever is not applicable



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ADMIN SECTION (TO BE COMPLETED BY ALL APPLICANTS) Insurances: Photocopies of the organisations current insurance schedules must be provided (enter details in the table below)

References: This is about companies your organisation is undertaking work with at present or has recently worked for. You should provide references of two companies that will vouch for you as a safe company regarding H&S practices, please provide all the details as requested below)

External H&S Competent Advice Provide information on how your company obtains external H&S advice and details of your organisation’s external competent advisors

Appropriate Insurances: Provide proof of the appropriate insurances held by your organisation

A Proof of appropriate insurances held by this organisation are supplied with this application

Employers Liability (if appropriate)

Expiry Date ? Sum

Insured £ ?

Public Liability (mandatory) Expiry Date ? Sum

Insured £ ?

Contractors All Risk (Principal Contractors Only)

Expiry Date ? Sum

Insured £ ?

Professional Indemnity Insurances

Expiry Date ? Sum

Insured £ ?

Reference 1 : Name of Company

Insert detail

Contact Name Insert detail Position within that organisation

Insert detail

Email address Insert detail Telephone Number Insert detail

Reference 2 : Name of Company Insert detail

Contact Name Insert detail Position within that organisation

Insert detail

Email address Insert detail Telephone Number Insert detail

External H&S Competent Advice:

A This organisation has a Retained Contract with an external H&S Company Provide date and details of last business with your external H+S advisor

X

B This organisation uses an external H&S Company on a “as required” basis without a retained contract Provide date and details of last business with your external H+S advisor

Provide full contact details of your advisors in the table below (they will be contacted to clarify the services they provide) Name of H&S Consultancy C&G Safety & Environmental Ltd X



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H&S Consultant Insert your Consultants name X Contact Telephone No 01453 800100 X Email address Insert your Consultants email address X A copy of their CV is provided X A copy of their H&S Qualifications / H&S Certificates is provided X C This organisation DOES NOT use an external H&S Company

D This organisation has its own in house H&S Manager / H&S Advisor / H&S Team

E Other (Please explain in a covering letter or email)



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Guidance Notes • Each question offers a series of potential answers or asks for contact names etc, please select those

answers which are applicable and respond accordingly with supporting documentation/proof. • Place an X in all relevant box(es) and send supporting evidence by EMAIL, CD, memory Stick, Post or in

Dropbox Scopes:

Scope Sections Contractor Section 1: Questions 1-16 Consultant Section 1: Questions 1-16 Principal Contractor Section 1: Questions 1-16 & Section 2: Questions 2/1 –

2/18 Designer Section 1: Questions 1-16 & Section 3: Questions 3/1 –

3/7 CDMC Section 1: Questions 1-16 & Section 4: Questions 4/1 –

4/9 Queries on your Responses

• If you deem that any questions are not applicable or your organisation cannot answer those questions, please tick the option “other” which is available in all questions.

• Please ensure we receive an explanation of the reasoning behind your decision(s), this will ensure that the assessment team takes your circumstances into account when undertaking the assessment.

Full Approval

• Companies achieving FULL APPROVAL will be notified via the email address of the SMAS Primary Contact provided by you (page 1 “Name of person completing this questionnaire).

• We will send you a confirmation email, a VAT paid receipt, the Worksafe Certificate valid for 12 months and the SMAS Worksafe Logo.

Non Approval/Failed Assessment

• Companies NOT achieving FULL APPROVAL will be notified of the reasons and the requirements for further information via the email address and contact telephone numbers provided by you.

• You will be expected to provide re-assessment information promptly and within 14-28 days. • Failure to supply the full amount of further information as requested (after 28 days) will result in a

Failed Assessment. • Please contact the SMAS Assessment Team on 01752 697370 if you are having difficulties during this

part of the assessment. Group Application

• Please contact the SMAS Assessment Team on 01752 697370 to discuss the process, the requirements and the cost.

• You can use a group application if all members of the group operate from a named common group H&S Policy or you require certificates for individual office address locations.

Submitting Your Application



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• You should return this fully completed H&S questionnaire as soon as possible, along with all relevant supporting documentation by Email, Post or Dropbox:

• By Email to: [email protected] • by Post to: New Assessments, SMAS LTD, Office 42A Estover Close, Forrester’s Business Park, Estover,

Plymouth, PL6 7PL • Dropbox: Send us the link from your dropbox account and we will deal with the assessment from

there Contacting SMAS:

• Companies and/or your designated H&S Appointed Person/Consultancy can contact SMAS at any time during the assessment process, on 01752 697370 or email [email protected]

Assessment Fees:

• The fee structure for the assessments is shown on page one. • Please indicate on page one how you are choosing to pay for the assessment. • All fees are payable prior to the assessment taking place. • SMAS do not charge companies re-assessment fees during the same assessment process provided re-

assessment information requested is provided within the stipulated timeframe of 14-28 days.





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SECTION 1 (TO BE COMPLETED BY ALL APPLICANTS) Place an X in all relevant boxes and send in supporting documentation

Question 1: H&S Policy & H&S Policy Statement: Provide a copy of the full H&S policy and Policy statement signed by a senior person within the last 12 months

A A full H&S policy is provided for assessment, showing organisation, responsibilities and arrangements X

Details of who signed the policy statement of intent are shown below • Name of Person signing H&S Policy

Statement of Intent Insert name

• Position within organisation Insert position • What date was the H&S Policy

Statement signed Insert date

B

This option may also be used if the organisation has less than 5 employees: (Please read through the optional statements and select either option B1 or B2 if it is correct and applicable to the way H&S managed within your organisation)

B1

We only ever work for large/principal contractors clients & we abide by their H&S management policies & systems

?

B2 We have our own H&S Policy Statement (Copy enclosed) ?

C Other (Please explain in a covering letter or email)

Question 2: Monitoring, Audit & Review: Provide evidence, or an explanation, of how your organisation monitor’s, audits and reviews your H&S Policy & Procedures on a regular basis. Please do not send BLANK Forms

A The organisation uses an internal H&S competent person to undertake this role: Evidence of their activity is enclosed for assessment

B The organisation uses an external H&S competent person to undertake this role: Evidence of their monitoring, auditing and reviewing activity is enclosed for assessment

X

C Records of site inspections by responsible persons or internal/external health and safety advisors are enclosed for assessment

X

D Formal audit reports by internal or external auditors / audit bodies are enclosed for assessment ?

E

This option may also be used if the organisation has less than 5 employees: (Please read through the optional statement and select if it is correct and applicable to the way you Monitor, Audit & Review your organisations H&S Management system)

optional statement We only ever work for large/principal contractor clients, and we are monitored on a regular basis by them. Any H&S info passes to us by them is incorporated into our H&S Management system as applicable. We review & re-sign our H&S systems annually & upon receipt of applicable information from our large/principal contractors clients

?



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F Other (Please explain in a covering letter or email)

Question 3: Contractor Control: Provide a copy of how your organisation assesses the H&S competency of your subcontractors. Please do not send BLANK Forms

A This organisation DOES NOT use sub-contractors at all ?

B The organisation uses sub-contractor companies (a recently used example of your assessment process must be provided)

?

C The organisation uses labour only personnel (a recently used example of your assessment process must be provided)

?

D Other (Please explain in a covering letter or email) ?

Question 4: Method Statements: Question 5: Risk Assessments : Question 6: COSHH Assessments : Provide recent worked examples of all three elements produced by your organisation: Please do not send BLANK Forms or Material Safety Data Sheets

A This organisation uses up to date Method Statements and recent worked examples used by the organisation is being provided for assessment (minimum of two examples)

X

B

This organisation uses up to date Risk Assessments and a set of recent worked examples used by the organisation is being provided for assessment (examples should be relevant to the method statements)

X

C

This organisation uses up to date COSHH Assessments and a set of recent worked examples used by the organisation is being provided for assessment (examples should be relevant to the method statements)

X

D Other (Please explain in a covering letter or email)



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Question 7: Planned H&S Training and information: You should have in place, and implement, training arrangements and refresher training to ensure your employees have the skills and understanding necessary to discharge their duties as contractors, designers or CDM co-ordinators.

A The organisation must provide an up to date H&S training Matrix: Showing the H&S training qualifications that staff and subcontractors already have.

?

B

The organisation must provide an up to date H&S Training Plan Showing the H&S training requirements of members of staff for the next twelve months.

(The H&S training plan should be signed by the Senior Person within the business and where applicable the nominated H&S Consultant/Consultancy involve with the proposed training)

?

Example layout for a simple H&S training Matrix: (If you do not have your own training matrix please use the template below as a guide on what minimum information we require)

Names of Management & Supervisors Trade Qualifications CSCS or CISRS or

equivalent Card No CSCS or CISRS or

equivalent Expiry date SMSTS

Expiry date SSSTS

Expiry Date Asbestos Training

expiry date

Names of Employed Staff & Subcontractors Trade Qualifications CSCS or CISRS or

equivalent Card No CSCS or CISRS or

equivalent Expiry date Basic/ Induction

H&S Management Other H&S Training Asbestos Training expiry date



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Question 8: Senior Management: Senior Management personnel are expected to have the appropriate management qualifications and experience for the assigned tasks, to ensure there is controlled and competent management. Please indicate the levels of H&S training the senior persons receive and the H&S qualifications they already have.

Who is the Senior Person responsible for H&S within the organisation

Insert detail

Position within organisation Insert detail No of years relevant experience

?

A Up to date H&S advice received on a regular basis from the competent person/consultancy X

B Proof of CSCS card (or equivalent) certificates is being provided

CSCS or CISRS or equivalent Card No

?

CSCS or CISRS or equivalent Expiry date

C Proof of trade training certificates is being provided ?

D

Site Managers Safety Training Scheme (SMSTS) certificates are being provided

SMSTS Certificate No

? SMSTS Expiry date

E

Site Supervisors Safety Training Scheme (SSSTS) certificates are being provided

SSSTS Certificate No ?

SSSTS Expiry date ?

F NEBOSH/ IOSH H&S certificates are being provided ? G Proof of CPD/Institute related training is being provided ?

H

Proof of Asbestos Awareness, Asbestos Management training is being provided

Asbestos Training start date

?

Asbestos Training expiry date

?

I Other (Please explain in a covering letter or email)

Question 9 (1): Supervisory Management: Supervisory Management personnel are expected to have the appropriate supervisory skills, qualifications and experience for the assigned tasks, to ensure there is controlled and competent supervision. Please indicate the levels of H&S training your

Name of nominated supervisor (1) within the organisation

Insert detail


?




?



D Site Managers Safety Training Scheme (SMSTS)

SMSTS Certificate No ?

SMSTS Expiry date



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supervisory personnel receive and the H&S qualifications they already have.

certificates are being provided

E



SSSTS Expiry date ?


H



?


?




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Question 9(2): Supervisory Management: Supervisory Management personnel are expected to have the appropriate supervisory skills, qualifications and experience for the assigned tasks, to ensure there is controlled and competent supervision. Please indicate the levels of H&S training your supervisory personnel receive and the H&S qualifications they already have.

Name of nominated supervisor (2) within the organisation

Insert detail


?




?



D

Site Managers Safety Training Scheme (SMSTS) certificates are being provided

SMSTS Certificate No

? SMSTS Expiry date

E



SSSTS Expiry date ?


H



?


?


Question10: Employed Staff and or Sub Contractors: Employees are expected to have the appropriate qualifications and experience for the assigned tasks, unless they are under controlled and competent supervision.

Please indicate the levels of H&S training your staff and/or your subcontractors receive and the H&S qualifications they already have. A Proof of CSCS card (or equivalent)/certificates is being provided ? B Proof of trade training certificates is being provided ? C Proof of CITB specific training is being provided ? D Proof of NVQ trade training is being provided ? E Proof of plant machinery CPCS type cards is being provided ?

F Proof of specific H&S training is being provided (i.e. Asbestos Awareness) ?

G Proof of other H&S qualifications/certificates is being provided ? H Proof of CPD/Institute related training is being provided ?

I Proof of Asbestos Awareness, Asbestos Management training is being provided (if applicable) ?

J Other (Please explain in a covering letter or email)



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Question 11: HSE Enforcement : Provide Information regarding recent HSE enforcement action taken against your organisation in the last 5 years Provide proof of remedial actions to resolve the issues

A

Has any HSE enforcement action been taken against the organisation in the previous 5 years? Indicate “YES” or “NO”

YES Answer sections B-F below

NO Proceed to next question

B Date of any HSE enforcement action ? C Info on previous prosecutions is being provided for assessment ? D Info on previous prohibitions is being provided for assessment ? E Info on previous improvement orders is being provided for assessment ? F Info on our remedial actions is being provided for assessment ? G Other (Please explain in a covering letter or email)

Question 12: Accident/Incident Reporting and Reviewing: Provide information on your organisations management system regarding accident prevention, accident recording & accident reporting.

A Info on accident/incident reporting procedures is being provided for assessment ?

B Info on the system you have in place for reviewing all accidents/incidents is being provided for assessment ?

C Info on how you record any actions taken as a result of an accident/incident is being provided for assessment ?

D Info on accident statistics is being provided for assessment ?

Question13: RIDDOR Actions: Provide Information regarding recent RIDDOR action taken by your organisation in the last 3 years. Provide proof of remedial actions taken to resolve the issues if applicable

A Has the organisation submitted any RIDDOR reports to the HSE in the last 3 Years? Indicate “YES” or “NO”

YES Answer sections B-F below

NO Proceed to next question

B Date RIDDOR reports sent to the HSE ? C Proof of RIDDOR reports provided for assessment ? D Info on our remedial actions is being provided for assessment ?

E Other (Please explain in a covering letter or email)



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Question 14: Consultation & Communication: Provide proof of how your organisation communicates H&S information to staff and others Please do not send BLANK Forms

A Proof of minutes from safety committee is being provided ? B Proof of minutes from site safety meetings is being provided ? C Proof of toolbox talk attendance by employees is being provided ? D Proof of Safety Alerts and/or memos is being provided ? E Safety Reviews/Briefings/Other ?

F

This option may also be used if the organisation has less than 5 employees: (Please read through the optional statement and select if it is correct and applicable to the way H&S is communicated within your organisation)

optional statement We are a small company with less than 5 employees; communication is generally verbal and not recorded

?

G Other (Please explain in a covering letter or email)

Question 15: Internal H&S Competent Advice: Provide proof of H&S training undertaken by the internal H&S competent person

Who is the nominated Competent Person for H&S within the organisation

Insert detail

Position within organisation Insert detail No of years relevant

experience ?

How do you keep up to date with H&S legislation and/or changes in H&S

AHSE Website

X B

Client Briefings / Client Inductions

X C Trade Associations ? D Professiona

l Institutes ?

The competent persons H&S Training qualifications/situation is shown below:

E Proof of CSCS card (or equivalent)/certificates is being provided ? F Proof of trade training certificates is being provided ?

G Site Managers Safety Training Scheme (SMSTS) certificates are being provided ?

H Site Supervisors Safety Training Scheme (SSSTS) certificates are being provided ?

I NEBOSH/ IOSH H&S certificates are being provided ? J Proof of CPD/Institute related training is being provided ? K Other (Please explain in a covering letter or email)

Q16: Asbestos: It is a MANDATORY REQUIREMENT to answer both sections A & B of this Worksafe questionnaire process

A

Will the work that your organisation undertakes involve working on a building built or refurbished before 2000? (Please indicate YES or NO)

YES: Answer Row B

NO: Proceed Row B

B

While performing their normal every day work are you or any of your workers liable to undertake work which may disturb asbestos? (Please indicate YES or NO)

YES: Answer Rows C-G below

NO: Section 1 Completed complete further sections if applicable



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Asbestos H&S Management, Training and information: Confirm if your organisation will be dealing with the potential hazards and risks associated with Asbestos Provide evidence, arrangements, or an explanation, of how your organisation manages the potential hazards and risks associated with Asbestos in your workplaces or work activities. Provide proof of training & instructions given to management, supervisors and staff to deal with the potential hazards and risks associated with Asbestos

All workers who are liable to disturb asbestos during their normal work should be trained so that they can recognise asbestos containing materials and know what to do if they come across them. The training needs to be appropriate for the work and the roles undertaken by individuals.

C This organisation has specific Asbestos H&S arrangements within the H&S Policy: these arrangements cover the organisations procedures to deal with an emergency, e.g. an uncontrolled release of asbestos dust into the workplace and are supplied for assessment

X

D

Management Training: This organisation has undertaken Asbestos Management training for those persons who are required to manage the asbestos safety issues within the business, and proof of their training is supplied for assessment

X

E

Supervisory Training: This organisation has undertaken Supervisory training in Asbestos Awareness for those persons who are in a position to supervise workers while carrying out their normal everyday work, and proof of their training is supplied for assessment

X

F

Staff Training: This organisation has undertaken Asbestos awareness training for those persons who are liable to disturb asbestos while carrying out their normal everyday work, and proof of their training is supplied for assessment X



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SECTION 2 PRINCIPAL CONTRACTOR (Additional Questions for all organisations which undertake that Role) The Principal Contractor, like any other professional construction project appointment, must be competent to deliver and have suitable resources available.

Section 2: Principal Contractors:

Complete this section if your organisation will take on the duty holder role of Principal Contractor

Demonstrating competence: A recently prepared worked example of a full Construction Health & Safety Plan (CHSP) must be included for assessment: (This must include full details of how you intend to satisfy your obligations under Regulations 4 – 7 and Regulations 22 – 44 of The Construction (Design and Management) Regulations 2007).

A

Definition: The duty holder who is required to ensure effective management of health and safety throughout the construction phase of the project. Their main duty is to properly plan, manage and co-ordinate work during the construction phase in order to ensure that hazards are identified and risks are properly controlled.

PRINCIPAL CONTRACTORS: To fulfil the assessment process, please indicate which sections of your Construction H&S Plan (CHSP) satisfy the individual criteria listed below

In CHSP

Page No

2/1

How do you ensure as the Principal Contractor, that your clients are aware of their duties, that for notifiable projects a co-ordinator has been appointed and HSE has been notified before they start work? The principal contractor needs to be aware of the client’s duties, in particular the duty the client has to take reasonable steps to ensure that the arrangements made (by principal contractors and others) allow construction work to be carried out, so far as is reasonably practicable, without risk to the health and safety of any person. This does not mean that the client has any responsibility to manage health and safety in the construction phase – that rests with the principal contractor.

2/2

How do you ensure that you as the Principal Contractor are competent to address the health and safety issues likely to be involved in the management of the construction phase? Principal contractors must be confident that they are competent, both as a company and as individuals involved in the project. Whilst it is preferable to have some form of third-party assessment, the least that the principal contractor should do is to use the criteria in order to carry out a self-assessment.

2/3

How do you ensure as the Principal Contractor, that the construction phase is properly planned, managed and monitored, with adequately resources, competent site management appropriate to the risk and activity? Principal contractors need to ensure that the construction phase is properly planned, managed and monitored. They also need to ensure that they have the right quantity and quality of competent management (SMSTS) and supervision (SSSTS) available.

PLEASE NOTE* We would expect to see copies of valid in date SMSTS/SSSTS or equivalent certification for staff of Principal Contractors for all applications prior to approval in this CDM scope.

2/4

How do you ensure as the Principal Contractor, that every contractor who will work on the project is informed of the minimum time they will be allowed for planning and preparation before they begin work on the site? The principal contractor must recognise that time is a resource and must inform contractors of the amount of time they will be allowed for planning and preparation before they begin work on site.

2/5 How do you ensure as the Principal Contractor, that all contractors are provided with the information about the project that they need to enable them to carry out their work safely and without risks to health? It is the duty of principal contractors to provide contractors with all of the available relevant information they need to enable them to carry out their work safely and without risk to health.

2/6

How do you ensure as the Principal Contractor, the safe working and co-ordination and co-operation between contractors? The principal contractor has a duty to ensure safe working and co-ordination and co-operation between contractors. This is an essential process to ensure that all contractors working on the project are aware, on an on-going basis, of



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what is expected of them, when it will be done and how. It also serves to clarify what risks may arise from the activities of others working nearby. Where there are shared facilities (for example use of scaffold) then this can be agreed so that no unexpected risks are created.

2/7

How do you ensure as the Principal Contractor, that a suitably developed construction phase health and safety plan is prepared before construction work begins and is developed in discussion with, and communicated to, contractors affected by it? The principal contractors must ensure that a health and safety plan is developed to a suitable stage by their team before construction work begins. The plan must be workable, real and regularly reviewed; it must be sufficiently developed to allow work to commence and properly address early issues such as mobilisation, welfare, demolition and ground works. It is, however, recognised that some trades that begin work later in the construction process may not have identified their contractors at the outset of the project and the health and safety plan must be expanded using their specific knowledge prior to commencing that activity.

2/8

How do you ensure as the Principal Contractor, that the designers and contractors that are engaged in the work are competent and adequately resourced? Principal contractors will need to satisfy themselves of the competency of any party they engage to carry out work for them, including contractors and anyone carrying out design on their behalf. Principal contractors must ensure that anyone they engage is competent and adequately resourced.

2/9

How do you ensure as the Principal Contractor, that suitable welfare facilities are provided from the start of the construction phase? CDM 2007 requires that the principal contractor provides suitable welfare facilities from the start of the project. This must include sanitary conveniences, washing facilities, drinking water, changing rooms and secure storage, facilities for rest such as suitable arrangements to ensure meals can be prepared and eaten and a means of boiling water

2/10

How do you ensure as the Principal Contractor, that reasonable steps to prevent unauthorised access to the site? The principal contractor is responsible for the safety of the site and is therefore responsible for taking reasonable steps to prevent unauthorised access to the site and putting people at risk.

2/11

How do you as the Principal Contractor, prepare and enforce any necessary site rules? Principal contractors must prepare and then subsequently enforce site rules. Any rule must be reasonable and wherever possible agreed with others on site. Site rules can only be enforced if properly communicated

2/12

How do you as the Principal Contractor, provide (copies of or access to) relevant parts of the plan and other information to contractors, including self-employed persons, in sufficient time for them to plan their work? Principal contractors must provide copies of the relevant parts of the health and safety plan and site rules to anyone who needs it (including client, designers and visitors). It should be given in sufficient time for others to be able to brief their staff and to ensure that the information can be integrated within their own health and safety plans.

2/13

How do you ensure as the Principal Contractor, liaison with the CDM co-ordinator on design is carried out during the construction phase, including design by specialist contractors and any implications this may have on the plan? The principal contractor is in charge of the site during the construction phase. There is, however, a likelihood that in many sites, designs will develop after initial construction work has commenced as specialists are identified and input to the design. There is also the possibility that client-led changes result in amendments to the design. In these circumstances, the CDM co-ordinator needs to be satisfied that the design development meets the requirements of the duties of designer and CDM co-ordinator. It must, however, be clearly understood that the principal contractors are responsible for managing site activities and control of all parties contracted to them.

2/14

How do you ensure as the Principal Contractor, that communication with parties under your control is directed via the principal contractor? Principal contractors must provide copies of the relevant parts of the health and safety plan and site rules to anyone who needs it (including client, designers and visitors). It should be given in sufficient time for others to be able to brief their staff and to ensure that the information can be integrated within their own health and safety plans.

2/15 How do you ensure as the Principal Contractor, that you provide the CDM co-ordinator with any information relevant to the health and safety file? Whilst it is the CDM co-ordinator’s duty to compile the health and safety file, there is a duty on the principal contractor to provide promptly any information which is reasonably required.



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2/16 How do you ensure as the Principal Contractor that all the workers are provided with suitable health and safety induction; information and training? It is the principal contractor’s responsibility to ensure that all workers are provided with suitable health and safety induction, information and training.

2/17

How do you ensure as the Principal Contractor, that the workforce is effectively consulted about health and safety matters? The principal contractor has a duty, in common with all other CDM duty holders, to co-operate. The form of such liaising needs to be clearly identified and agreed upon prior to the start of the project. Notes of any agreement or meeting content should be kept.

2/18

How do you as the Principal Contractor, display the completed project notification? It is the duty of the principal contractor to ensure that a properly completed project notification poster is displayed in a prominent place (for example the canteen) or places for a large project. The poster may be purchased from commercial suppliers such as Construction Industry Press or by laminating a copy of the F10 form.

Other ( Please explain in a covering letter or email)



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SECTION 3 DESIGNER SERVICES/ACTIVITIES (Additional Questions for all organisations which undertake that role) The Designer, like any other professional construction project appointment, must be competent to deliver and have suitable resources available. Designers must be able to demonstrate that they are competent and capable of delivering the required service.

Section 3: Designers: Complete this section if your organisation will take on the duty holder role of a Designer

Demonstrating competence: You must provide evidence of qualifications and/or membership of institutions and an explanation of how your organisation, demonstrates that you are competent and adequately resourced to address the health and safety issues likely to be involved with undertaking the role of “The Designer” under CDM 2007 (This must include full details of how you intend to satisfy your obligations under Regulations 4 – 7 and Regulations 11 & 18 of The Construction (Design and Management) Regulations 2007).

A

Definition: Any person (including a client, contractor or other person referred to in CDM 2007) who in the course of furtherance of a business either prepares or modifies a design; or arranges for or instructs someone under their control to do so. The design relates to a structure; or a product, a mechanical or electrical system intended for a particular structure. A person is deemed to prepare a design where a design is prepared by a person under their control.

DESIGNERS:

To fulfil the assessment process, please supply proof of how you manage the designated criteria listed below (This may already be in a purpose made document or within your existing H&S Policy/Arrangements)

Provided for assessment

Page No (if applicable)

3/1

How do you make sure that your staff are competent and adequately resourced to address the health and safety issues likely to be involved in the design? Designers must be confident that they are competent, both as a company and as individuals involved in the project. Whilst it is preferable to have some form of third-party assessment, the least that the designer should do is to use the criteria in order to carry out a self-assessment

3/2

How do you check that clients are aware of their duties? Designers are required to check that their clients are aware of their responsibilities. This would normally be the responsibility of the designer who first had contact with the client, unless other designers have evidence that the client is not aware of their duties. If the designer has pre-existing knowledge of the client’s competence, then that check need not be detailed. It is recommended that you record your actions in this regard.

3/3

How do you ensure when carrying out design work, you avoid foreseeable risks to those involved in the construction and future use of the structure? The process of eliminating hazards and reducing the risks from any remaining hazards will need to be achieved as an integral part of technical or architectural design. However, a closer look at the requirements is required. Designers, in carrying out their work, are required to avoid foreseeable risks to the health and safety of those involved or affected by the construction, use, maintenance and demolition of the structure. In doing so, they must



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eliminate hazards which may give rise to risk and reduce the remaining risks from any hazards. Both these elements must be done ‘so far as is reasonably practicable, taking due account of other relevant design considerations’.

3/4

How do you ensure you eliminate hazards (so far as is reasonably practicable, taking account of other design considerations) and reduce risk associated with those hazards which remain? Having identified the foreseeable risks, designers should, so far as is reasonably practicable, eliminate or reduce those risks.

3/5

How do you provide adequate information about any significant risks associated with the design? A designer is required to take all reasonable steps to provide information about the design to assist other duty holders in complying with their duties under CDM 2007 that is to identify and manage the remaining risks. Remember that the aim of this information is to inform competent persons of the significant risks or design issues, relevant to their area of work, which might not be obvious, are unusual or which might be difficult to manage

3/6

How do you co-ordinate your work with that of others in order to improve the way in which risks are managed and controlled? The ACoP sets out useful and common-sense procedures. No project can be successful if all parties do not co-operate fully. Good co-operation will benefit everyone: strong relationships mean problems can be resolved more quickly.

3/7

Please provide recent worked examples of designer risk assessments

Other (Please explain in a covering letter or email)



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SECTION 4 CDMC SERVICES/ACTIVITIES (Additional Questions for all organisations which undertake that Role) The CDM Co-ordinator, like any other professional construction project appointment, must be competent to deliver and have suitable resources available. CDM Co-ordinators must be able to demonstrate that they are competent and capable of delivering the required service.

Section 4: CDMC’s: Complete this section if your organisation will take on the duty holder role of a CDMC

Demonstrating competence: You should explain how you will deliver competent advice as a CDM co-ordinator for the statements, providing appropriate examples Please provide relevant experience and project-specific information to endorse your responses to these questions

A

Definition: The person appointed to advise and assist the client on how to comply with the CDM Regulations during the project, and to ensure that suitable arrangements are made and implemented for the co-ordination of health and safety measures during planning and preparation for the construction phase.

CDMC: To fulfil the assessment process, please supply proof of how you manage the designated criteria listed below (This may already be in a purpose made document or within your existing H&S Policy/Arrangements)

Provided for assessment

Page No (if applicable)

4/1 Institute Membership: Does the company or personnel within the company have any form of membership with APS? If YES: Please provide copies of the membership certification(s)

4/2 Advice and assistance: How will you provide proactive advice and practical help to the client in response to client and project demands?

4/3

Advising on competence of client appointments, when necessary: How will you provide specific advice, systems or support to the client on how to comply with Regulation 4 and Appendix 4 of the ACoP relating to health and safety resources and competence?

4/4

Co-ordination and co-operation: How will you ensure that suitable arrangements are made and implemented for the co-ordination of health and safety measures during planning and preparation for the construction phase?

4/5

Management arrangements: How will you support the client in identifying and ensuring suitable arrangements for the project, how they will be delivered by the team to achieve project safety and other related client-project benefits, and how they will be reviewed and maintained throughout the life of the project?

4/6

Information management: How will you develop a strategy with the team for maintaining the flow of relevant health and safety-related information throughout the lifetime of the project to make sure that what is needed reaches the right people at the right times? This includes information required by designers, pre-construction information,



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whenever it is required, and information for the health and safety file.

4/7

Design risk management: How will you promote the suitability and compatibility of designs and actively seek the co-operation of designers at all project phases when dealing with the risk consequences of construction and workplace design decisions?

4/8 The start of the construction phase, when required: How will you provide support for the client, advising on the suitability of the principal contractor’s construction phase plan?

4/9

Construction liaison and involvement: How will you encourage and develop links between permanent and temporary works designers and actively liaising with the principal contractor to ensure safe design.

Other (Please explain in a covering letter or email)



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