The Controls list provides you with a template list of the mandatory controls for ISO standards. You can easily add operational controls such as systems, checklists and documents to provide a complete overview of your management system controls.

PLANNING OF THE MANAGEMENT SYSTEM

DOCUMENTED INFORMATION 

The MS (Management System) is the collective term used to describe the occupational activities (processes) and written information to control and reflect this (policies, manuals, procedures, arrangements, forms, etc.). 

Instructional documents, such as policy statements, manuals, handbooks, procedures, flow charts, etc.., guide the organisation’s requirements and how processes should function. 

Working documents include forms, spreadsheets, databases, drawings, etc.  These may be project or time-specific, and information may be added, thus creating “records”. 

Documented information (documents and records) can exist in hard copy and electronic format. 

Note: Documents under the scope of this MS (Management System) and documents that impact quality and the environment (ISO 14001) will be controlled via processes and procedures. Documents outside of the scope will be governed by the relevant departments of The Organisation and will not be the responsibility of this (Management System). The Organisation will monitor the validity of such documents through the internal auditing process.

Control of Documents 

Documents should show adequate identification to determine their identity and revision status.  This may include a title, date, version, approver and reference number.  A master list of instructional documents shall be maintained, which summarises all relevant document identification, indicating the latest version, the date of the newest revision/review and a record of the person(s) approving the adequacy of each document for use. 

Working documentation (forms, spreadsheets, databases, etc.) may not be listed via a central register. However, it is still vital that they are adequately controlled. This can be achieved through; logical naming, revision control, removal or marking of obsolete versions and the holding of master copies for reference. 

DOCUMENTS FORMAT

The MS (Management System) documents are managed in 3 ways:

1. The MS (Management System) procedures and some records are kept on the company’s server. 
2. Some Registers are organised, maintained and revised in the MS (Management System) Toolbox Tool
3. The legal and other requirements are kept in the Legal Register

All the MS (Management System) documentation has specific access rights defined by the MS Manager. Employees have access to certain documents, but only the MS Manager can amend the documentation. 

When a document is revised, a person’s actions to respond to the changes shall be issued with hard or electronic copies or received communication informing them of the changes introduced. 

DOCUMENTS OF EXTERNAL ORIGIN 

When clients or other third-party organisations provide documents, these shall be subject to reasonable control about their nature and importance.  Where incoming hard copy or electronic documents are supplier/time-specific (for example, catalogues, technical product information, etc.), these are to be suitably named, filed, and circulated.  If subsequent revisions are received, obsolete versions shall be removed. 

CONTROL OF HARD-COPY RECORDS 

Physical records generated from the operational activity shall be stored under suitable conditions and adequately protected to ensure that they remain legible, readily identifiable and retrievable. 

The Organisation retains very few hard copy records, as most are electronic.  Any hard copy records, for example:

• Supplier Delivery Notes 
• Purchase orders 
• Waste Transfer Notes (ISO 14001)
• Other documents that are relevant

CONTROL OF ELECTRONIC RECORDS 

Computer records created during the process are permanently retained on the Organisation server. 

MS (MANAGEMENT SYSTEM) TOOLBOX TOOL UPDATES

The registers are continually updated to reflect current risks, controls, and corrective actions. reviewed at least once a year by top management during the management review. Because the tables are all linked to each other, the study of one table will lead to assessments of the remaining ones.

The members or guests of the Team site can edit the MS (Management System) toolbox. Since the information access is restricted to a group of people, the MS (Management System) Manager extracts the relevant information and discloses it to the team.

All the changes made to the tables are recorded by the MS (Management System) Toolbox, using the function “Version history”:

EMERGENCY PREPAREDNESS (ISO 14001)

INTRODUCTION 

The organisation should devise strategies for emergencies at both company locations and temporary sites (including construction projects, occupied premises, void works etc.).  The Safety Officer will identify key hazards/risks and develop appropriate emergency response plans.  Consideration of the following is essential during the planning stage:

• Hazard identification/assessment for the area of response
• Training needs for crucial staff
• Emergency resources needed
• Communication systems needed
• Emergency response procedure for the type of situation
• Communication – telephone numbers, means of raising alarm
• Debriefing and post-traumatic stress procedure

Through the Aspects & Impact process and Risk and Opportunity Register, the Organisation identifies potential emergency situations and accidents that can impact(s) on the environment and how it will respond to them, including, if appropriate and practicable, testing of emergency situations. The controls for mitigating the associated risks are also set out in the aspects register. 

The three potential emergency situations are:

• Fire 
• Flood 
• Accidents at work

A high standard of housekeeping, cleanliness, and tidiness is required to prevent contamination or damage to products or equipment, prevent accidents, and minimise the risk of pollution.

Several responsibilities are associated with general housekeeping. These include:

• All staff are responsible for maintaining a good standard of housekeeping.
• The (Management System) Manager has access to Flood Risk assessment.
• The MS Manager has access to a Fire Risk assessment 
• The MS Manager is responsible for managing planned maintenance schedules.
• The MS Manager must be satisfied that the subcontractors nominated are competent to carry out their work. Where necessary, their competencies will be recorded. 
• The MS Manager or sub-contractors nominated will carry out the work and record the maintenance outcome. 

FIRE

To meet the requirements of the Regulatory Reform (Fire Safety) Order 2005, the Company conducts a Fire Risk Assessment. It applies control measures to ensure that the means of escape, fire detection, warning systems, and firefighting equipment are adequate and properly maintained.

Procedures to be followed in the event of a fire are displayed at strategic points throughout the Company’s offices and facilities. New employees are instructed at their induction on the evacuation routes and assembly points in an emergency. Visitors are made aware of the emergency arrangements and always escorted.

All accesses and fire exits will be kept well lit and clear of stored materials and other obstructions.

Appropriate fire extinguishers will be located at strategic points throughout the Company’s offices and facilities. Employees will be shown these locations and instructed in their use during induction. All firefighting equipment must be maintained in line with the manufacturer’s recommendations.

All office machinery/equipment must be used, maintained, and situated by the manufacturers/supplier’s recommendations. Staff required to use unfamiliar equipment or machinery will be given sufficient instruction/training. Offices and facilities will be planned to avoid the dangers of trailing cables from electric equipment/machinery.

All emergency procedures will be reviewed and amended as necessary and tested at least once annually.

FLOOD

Company premises are reviewed for flood risk – rainwater systems to be maintained in a clear and operational condition. – Any potentially faulty mains water pipes are to be repaired.

Any hazardous chemicals to be moved to a location away from contact with floodwater. (onto high racking)

If a flood breach of chemical storage is encountered, reaching the drain, the water authority may need to be informed.

Consent to pump floodwater out of the excavation may be required.

The supervisor or manager is to coordinate the storage/movement of chemicals.

Chemical storage and potential for flooding to be visually monitored.

FIRST AID

The Company recognises its duties under the Health and Safety (First-Aid) Regulations 1981 (as amended) and the Approved Code of Practice (L74), whereby arrangements must be made for a fair number of employees to receive training in first aid. This will enable them to cope in an emergency situation, emphasising the types of injuries that may be realised in our industry.

Notwithstanding the above, at least one member of every team of employees will be designated as an Appointed Person. Additional training will include courses in First Aid at Work (FAW), Emergency First Aid at Work (EFAW), and specialist training (e.g. AED) as may be appropriate. 

The Company premises shall contain at least one suitably stocked First Aid Box (e.g. BS 5899), which shall be under the control of the Appointed Person, together with appropriate notices displayed giving names, contact details and locations of personnel and equipment.

Periodical inspection will ensure that all first aid kits are kept clean and adequately stocked.

The following table offers guidance on minimum levels of First Aid cover but is no replacement for a thorough risk assessment:

In addition, the following factors will be taken into account:

• Inexperienced workers or employees with disabilities or particular health problems
• Employees who travel a lot, work remotely or work alone
• Employees who work shifts or out of hours
• Premises spread out across buildings/floors
• Workplace remote from emergency medical services
• Employees working at sites occupied by other employers
• Planned and unplanned absences of first aiders/appointed persons
• Members of the public who visit the workplace

CRIMINAL ACTIVITY – THEFT / VANDALISM / SABOTAGE

The company is aware that criminal activity on the premises could be detrimental to operational activities and the local environment. Many physical and electronic security has been employed for both buildings and vehicles.  The lock-up process has been communicated to staff, and the last person to leave will undertake a site walkthrough thoroughly check or security measures. 

Following such an incident, a premises inspection must immediately be carried out to identify any problems/hazards that the incident may have caused (e.g., deliberate spillages, fires, introduced substances, tampering with building infrastructure, theft of substances such as chemicals/fuel, etc.)

Incidents will be reported to authorities, including passing safety/environmental information onto police for any dangerous substances stolen/tampered with.

WASTE MANAGEMENT (ISO 14001)

WASTE DUTY OF CARE 

The ‘Duty of Care’ is a legal principle that says we must take all reasonable steps to ensure the safe management of waste to protect human health and the environment. 

If we give waste to somebody else, we must be sure that they are authorised to take it and transfer, recycle or dispose of it safely and in an environmentally responsible way.  If we break this law, we could be fined an unlimited amount. The duty of care applies to all sites/premises we discard unwanted items and material, even if recycled.

Waste that we produce or potentially encounter generally falls within the following categories; 

• General ‘Municipal’ Waste – (Anything non-hazardous and non-reusable/recyclable, similar to the waste produced in a household) 
• Recyclables (Paper, Card, Metals, etc.) are mixed for segregation by waste companies. 
• Hazardous – (e.g., Certain items classified by EWC code as hazardous) – MUST BE SEGREGATED. 
• Electronic equipment / Lamps / Batteries (Segregated for particular disposal or return to the supplier under WEEE Levy) 

We must take all reasonable steps to fulfil the duty, including segregation where necessary and preventing waste from causing pollution, harm or escaping from our control.   To do this, we must follow the steps below. 

• Aim to, in this order: Reduce, Reuse, Recover or Recycle waste, in preference to Disposal. 
• Ensure waste is held in suitable containers, where it will not be disturbed by persons or the weather. 
• Ensure our Hazardous waste is segregated correctly as it is produced. (do not mix with general waste) 
• Ensure chemical waste is not mixed with other materials or contaminated with rainwater. 
• When we give waste to someone else, we must check they are licensed to accept it. 
• If you suspect that this law is being broken, do not transfer the waste - Inform your manager. 
• We must retain a written record of our waste transfers for three years

Waste contractor licences can be checked online with the EA or the GOV.uk website. 

WASTE MANAGEMENT RECORDS 

When our waste is transferred, both parties must retain a written description of this, either on a ‘per collection’ basis or, in some situations, an annual ‘season ticket’ can cover repeated similar waste collections. 

The Transfer note should include the following information:

• The names and addresses of our organisation (producer) and the waste contractor (receiver) 
• Our nature of business, defined as a SIC (Standard Industrial Classification) 
• The time and date of the transfer (or period covered by an annual transfer note) 
• Where the transfer took place 
• What type of waste is being transferred (written description, such as; ‘mixed municipal waste’) 
• The waste EWC (European Waste Catalogue) code - this is a six-digit classification number 
• How much waste is being transferred and how the waste is contained. (e.g.; ‘8-yard skip’) 
• The driver’s name/signature and vehicle registration number (if applicable) 
• The Waste Carriers Licence number of the receiving contractor 
• A statement that ‘the waste management hierarchy has been considered and applied.’ 

NB:  If hazardous waste is being transferred, additional consignment note requirements apply. 

Our legal responsibility is to ensure that our paperwork is complete and correct, not the waste carrier.

Whenever a load of waste is transported from our sites, you must provide a waste transfer note is completed for each waste type and waste carrier;

• When completing a waste transfer note, please consider the following:
• Our SIC number is … (Which describes our business). 
• The correct EWC (European Waste Catalogue) code. This is a six-digit code that describes our waste (see list below)
• Description of how the waste is contained, e.g. in bags, skips or loose;
• Declaration that you have applied the waste management hierarchy, which means you must consider reusing or recycling the waste before deciding to dispose of it.

We will be verifying if the waste transfer notes are correctly completed during the site audits and clarify any questions you might have.

Sufficient facilities are in place to manage the separate waste streams at relevant functions throughout the organisation. The Organisation will ensure each waste stream is controlled sufficiently to meet its compliance obligations. 

Records are maintained for quantities of waste produced and recycling levels of individual waste streams. 

It is the responsibility of the MS (Management System) Manager to keep relevant records up to date, including waste carrier licences and transfer notes. Detailed descriptions of individual waste carriers used in the Waste Carrier Register are kept.