1. Aims and Objectives

IN STRICTEST CONFIDENCE

1

Compliance Simplified

3

Compliance Assurance :

Asset Data

Standards

Process

Mgmt. Persons

Design Guides :

influence initial

compliance and

at refurbishment

Audit:

Quantitive Perf

Tech Qualitative

Mgmt. Groups

Duties

Understood

: Legislative

Reqs

Arrangements :

Contracts –

compliance

Performance Reqs

Resource

Database

Reporting

General H+S reqs

Specific Legislation

Business Mandatory

Reqs

Business Interpreted

Stds

Overall Standards

Compliance Handbook

TFM ContractSpecialists Contracts

General Performance

KPI

Quantitive Qualitative

Audits

Software/ Database

Process Handbook

Audit Handbook

Capital/ LCR delivered

Compliance

Management Actions

Reporting Menu

Management and Board

Reports

New/RefurbDesign

Guidance

Management Arrangements

The Compliance Approach

5

Compliance

Reports

Legal

Framework

Applicability

test to Business

Policy,

Standards,

Guidance

Supply Chain

Procured

Test and

Certification

Compliance

Database

Industry StdsCurrent/Future

Operating

Conditions

Bus. Standards

Draft defined

Suite of P+S,

Guidance

Comprehensive

Design Guides

TFM

Contract

Specialist

Suppliers

Assets and

Frequency

maintained

Performance

and

Certification

Risk Based

Management

Dynamic

Supplier Mgmt.

Programme

KPI Mgmt.

Procurement and Process

Gaps reviewed and

closed

Structure, Database and

Audit Function Recommendations

as part of Compliance Review

Feedback

Loop

Process Review

and refinement as

function of

Compliance Forum

KEY - Activity Supporting Process

Key Process Step

Key Decision

Legislation and

ACOP ReviewBoard Reports

Assurance

Statement

BRE Exercise

Overall Review by Business –

Determination of

Operating Suite

Audit Function

Data/ System

Audits

Technical

Audit

Compliance

Forum

Independent

Compliance

Review

Compliance

Summaries

Compliance

Process

The Standards and Guidance Delivery Approach

6

Menu of reqd

P+S Data Gather

P+S,

Guidance

developed

Stakeholder

ApprovalPublication Training

Industry StdsCurrent/Future

Operating

Conditions

Bus. Existing

Standards

Draft defined

Suite of P+S,

Guidance

Comprehensive

Design Guides

Impact

Statement

Responsibility

Matrix

Ownership/

Version and

Date controls

Database and

Protection

Guides and

Templates

Process

Mapping

KEY - Activity Supporting Process

Key Process Step

Legislation and

ACOP Review

BRE Exercise

Review

In use

Review

Change and

Date Triggers

Bus. Reqd

Operating

Standards

Guiding

Principles

Legislative /

Process

Updates

Business SME

Engaged

Supply Chain

Engaged

FireElectricalMechanical EnvironmentalBuilding

1. Earthing Systems

2. Electrical Installation

Inspection

3. Emergency Lights High

Voltage Installations

4. Lightning Protection

Systems

5. PCB’s – (old

switchgear)

6. Portable Appliance

Testing

1. Aircon – F Gas

2. Biomass Boilers

3. Cooling Towers

4. Dock Levellers

5. Gas Installation + Appliances

6. Legionella and Water

Hygiene

7. LEV Systems

8. Lifting Equipment (scissor

lifts, lifting beams etc)

9. Lifts

10. LPG – Fixed Systems

11. Microwave Ovens

12. Power operated shutter,

sectional and rapid roll doors

13. Pressure Systems and

Vessels

14. Traffic Barriers, Gates,

Hydraulic Ramps

1. Access Equipment- Fall

arrest etc

2. Asbestos Management

3. Eye Bolts

4. Fixed Ladders and

Gantries

5. Glazing Safety

6. Radiation Safety –

naturally occurring

radiation

7. Window Cradles

1. Control of Substances

Hazardous to Health (COSHH)

Regs 2002

2. Display Energy Certificate

3. Discharge Consents

4. Fuel Facilities and Adblue

5. Grease Traps and Dosing

Systems

6. Hazardous Waste

7. Invasive Weeds (principally

Japanese Knotweed)

8. Oil Interceptors

9. Oil Storage (>200 litres)

10. Oil Storage (Drums < 200l,

Intermediate bulk containers

<1000l)

11. Vehicle Washing and Cleaning

1. ASD Systems (very

early smoke detection)

2. Fire Dampers

3. Fire Detection and

Alarm Systems

4. Fire Doors

5. Fire Fighting

Equipment

6. Fire Risk Assessment

7. Gas Extinguishing

Systems

8. Hydrants and Fire

Risers

9. Pocket Vibrating Fire

Warning Systems

10. Refuge Areas and

Evac. Chairs

11. Smoke Control

Systems and Vents

12. Sprinkler Systems

L1 -High Risk , High Impact – eg : Asbestos

,Legionella, Lifts, Electrical

L2 – Medium Risk, eg : gas , equipment,

L3 - Lower Risk , eg glazing safety, radiation

safety

Why ? – certain assets andactivities warrant additional audit– risk, severity, likelihood andcomplexity of delivery determinethe targets.

Who ? – balance of internal andexternal resource structuredthrough eg HV Mgmt. Team,Compliance Forum,

What ? – quantitive, qualitative, methodology, training (int. and ext.) recording, reporting , benchmark compliance.

Compliance Deep Audit

Volatile, subject to multiple influences, based on 3rd party assessed risk, complex layered delivery with high risk of supply chain failure – DEEP AUDIT NEEDED

Less complex delivery requirements, more fully defined, less risk based and less likelihood of process failure by supply chain – STD Quantitive/ Qualitative Audit suffices?

Proposed Graduated Approach

Typically routine delivery requirements , generic delivery through supply chain/ PiC, low likelihood of process failure. - – STD Quantitive/ Qualitative Audit suffices less frequently.

Heading Asset\ Element Severity Likelihood Complexity

Score/

Indicator L1 L2 L3

Electrical Earthing Systems 5 3 1 9 y

Electrical Electrical Installation Inspection 5 3 4 12 y

Electrical Emergency Lights 2 2 1 5 y

Electrical High Voltage Installations 5 3 5 13 y

Electrical Lightning Protection 5 1 1 7 y

Electrical PCB Old Switchgear 2 1 1 4 y

Electrical Portable Appliance Testing 2 1 1 4 y

Mechanical Aircon - F Gas 1 2 1 4 y

Mechanical Biomass Boilers 2 1 1 4 y

Mechanical Cooling Towers 5 4 5 14 y

Mechanical Dock Levellers 2 1 1 4 y

Audit Level Audit Level Scoring

Audit Level Scoring