PSM Audit

Observations & Notes

 Date ____________________________

Site: ____________________________

Auditor’s Name:______________________

Instructions:

1. This checklist is not exhaustive; use your experience and judgment during audit.
2. Note your observations & findings with necessary details. If needed use additional
sheets.
3. Attach evidences e.g. Photos, document copies or numbers etc. to substantiate
observations.
4. Take attendance of all audited persons.
 Attendance Sheet

Name Designation Signature

 Element Key Audit Aspects

 Are the PSM Policies, Objectives and

Goals defined and communicated by
senior management & leadership to
entire organisation effectively, this
includes contractors?

 Does the Leadership demonstrate

commitment to PSM Objectives & Goals
Management Leadership & Commitment

by providing adequate resources

(manpower, finance, time)?

 Are PSM KPIs defined, measured and

steered at leadership levels?

 Are employee benefits (e.g. annual

Management Commitment increment, bonus) linked to PSM KPIs?

 Is the PSM organisation (e.g. HSE)

independent of site management
influences i.e. reporting directly to
senior leadership vs. reporting to site
manager?

 Are competencies of core PSM / HSE

positions defined?

 Are competent and experienced

personnel appointed on all approved
PSM/HSE positions?
 Requirements Evidence/Notes
Is the Safety Policy Statement endorsed by
Chief Executive of the Company? Is it
prominently displayed at worksites and in
company documentation, and is regularly
discussed?

Are PSM goals and objectives visible to and

understood by all workers?

Senior Management are visibly committed to

safety. Check for:
– involvement in the appropriate company safety
committees
– carrying out safety ‘walkabouts’ and site visits
– making personal statements on safety
– holding regular, routine safety performance
reviews
– active involvement in incident reviews and
follow-up (incidents include injuries,
emergencies and near misses)
– inclusion of safety as a high priority item during
management and staff meetings
– appropriate resourcing is committed to safety.

Are there company objectives that demonstrate the

priority of Process Safety compared to other
business objectives like production and cost?
Is accountability for Process Safety clearly
identified in roles, responsibilities, and position
descriptions?

Are there appropriate resources available to meet

the Process Safety goals and objectives? 1f Are
there examples of management commitment to
Process Safety at all levels of the organization, e.g.,
directives that state inadvertent loss of process
containment situations must be eliminated?

Are PSM responsibilities clearly defined as part of

position or job descriptions

Do workers understand the scope of issues involved

in PSM?

Does the facility maintain monitoring programs to

track the status of Process Safety?

Are there established goals, targets and key

performance indicators (KPI) for measuring
Process Safety performance?
Is there a process in place to measure Process
Safety performance and take any action that may be
required?

Is there a quality assurance system for all aspects of

work that includes checking, verification,
validation, documentation and configuration
management, as appropriate?

Is there a process in place to allow exceptions in

engineering designs to be managed with
appropriate controls by assigning accountability to
qualified personnel?

Is there a process in place to assign accountability

for construction, commissioning and
decommissioning of facilities?

Is management available to assist in the decision-

making process?

Is there an effective stewardship system in place?

e.g.:
– job descriptions specify safety responsibility,
– clear, safety objectives with measurable targets
(not necessarily numerical),
– regular review of individual performance. Staff
appraisals should include safety as a
performance criterion
Is leadership available to resolve conflicting views
among safety, engineering, maintenance,
production and business managers?

Is there a process in place for conflict resolution on

issues that include Process Safety

Does senior management communicate their

understanding of Process Safety accountability for
their unit and individuals within it?

Are overlapping responsibilities between

individuals/units clearly defined and communicated
to ensure that no gaps exist?

How does the Board of Directors and the Executive

Management Team communicate their expectations
regarded Process Safety performance?

Are the Process Safety goals consistent with other

aspects of the organizational vision or master plan?

Are broad Process Safety goals established by

management?
Do Process Safety goals address the long-term aims
of the company as well as detailed short-term
targets?

How does the Board of Directors and the Executive

Management Team communicate their expectations
regarded Process Safety performance?
Are the Process Safety goals consistent with other
aspects of the organizational vision or master plan?
 Element Key Audit Aspects

 Is there a system in place to collect and

maintain necessary Process Safety
Information?

 Does a system exist to ensure that data

Process Safety Information are accurate, reliable, and up-to-date,
and that process safety information is
available to all personnel who need to
have access to it?

 Is there a program in place and

executed for Process Hazard & risk
Analysis?

 Are the risk tolerability criteria defined?

Are all risks within ALARP or acceptable
Technology

limits?

 Are applicable PHRA tools and

techniques clearly defined and
procedures and mythologies
documented?

 Are competencies for leading and

Process Hazard & Risk Analysis participating in PHRA techniques
defined and developed within
organization?

 Is there a plan in place for periodic

execution of PHRAs and is being
followed?

 Is there a system in place for monitoring

timely implementation of
recommendations from PHRAs?

 How are delays and deferments in

implementation of PHRA
recommendations handled, does the
management declare it an incident (API
 754)

 Is there are system in place for periodic

review and update of operating
procedures?

 Are all operating procedure current and

updated? Reflecting latest PSI and
Operating Procedures & PHRAs?
Practices
 Are operating procedures covering all
modes of operation, including normal,
shutdown & startup and emergency?

 Are safe upper and lower operating

limits defined?

 Is there a system in place for managing

changes - facility, technology and
Personnel?

 Does the Change Management

Management of Change procedure define type of changes
covered under the subject?

 Does the change management

procedure define the need for PHRAs as
applicable to the change?
Is information necessary for the safe
design, operation and maintenance of the
facility written, reliable, current and easily
accessible by people who need to use it?
Where does the facility store the
documentation to support Process Safety
knowledge?
Does the facility have up-to-date and
available:
– piping and instrument diagrams
(P&IDs);
– data regarding materials of
construction and their suitability to
handle process material;
– data regarding process control
systems, including software integrity;
– data regarding ventilation system
design;
– data regarding critical alarms and
systems;
– data regarding design codes and
standards employed;
– electrical area classification drawings;
and
– plot plan
Does the facility have up-to-date and
available data regarding:
– critical interlocks (systems which
either prevent or mitigate incidents);
– pressure relief and venting systems;
– data regarding relief system design
and design basis;
– Fire and gas detection and protection
equipment;
– emergency isolation valves; and
– effluent treatment systems?
Is there a process to document knowledge
and information gained from plant
experience that is likely to be important for
the future safety of the facility?
Is the knowledge and information
sufficiently catalogued and detailed so that
it is not overlooked or forgotten as
personnel or the organization change?
Is there a structured Hazards & Effect
Management Process in place that defines
which tools and techniques are to be used
in design & operate stage of a project?
Are there clearly defined standards for
engineering, maintenance, construction and
operations which are endorsed by
management?
Are standards are regularly reviewed and
updated as necessary?

Is there a system in place which ensures

conformance with standards? The system
should include Risk Assessment/Hazard
Analysis, and involve review by safety as
well as engineering and operations
management.
Are key standards relevant to operations
available at worksites?

A system exists which ensures

conformance with standards. The system
should include Risk Assessment/Hazard
Analysis, and involve review by safety as
well as engineering and operations
management.
Conformance to Standards is monitored
regularly.
Are hazard reviews completed to ensure
risks associated with hazardous material
and energy have been identified and the
risks are acceptable?
Are adequate capital and other resources
made available to minimize exposure to
workers, the public and the environment to
the effects of hazardous materials and
energy associated with the process?
Are there controls in place to ensure that
fabrication and installation of equipment
corresponds to design intentions and
specifications?
Does the facility have a practice in place to
identify hazards associated with operation
and maintenance of the facility?
Does the facility have access to
practitioners that are trained in hazard
identification methods such as What If,
Checklist, HAZOP, LOPA, Bow-Tie,
FMEA, or Fault Tree Analysis?

Does the facility have a process to reduce

those risks that are deemed unacceptable?
e.g. ALARP demonstration/HSE Case
Is a written procedure required to manage
all changes to the operation of any facility
except replacement in kind?
Does the Management of Change system:
address updating of documentation
including; Process Safety
information, operating procedures,
maintenance procedures, alarm and
interlock settings, and fire
protection systems?
Are critical operating parameters or safe
operating limits readily available to
operations personnel?
Is proposed operation outside current
operating limits subject to prior review and
approval by qualified personnel?

Does the Management of Facility Change

system:
– define facility changes that are not
replacement in kind;
– address major equipment changes
through the Capital Project Review
and Design System;
– address smaller changes and minor
changes, e.g. a cross connection or
instrumentation change;
– require an assessment of hazards and
risks associated with the change;
Does the facility subject permanent
changes to the steps of planning,
organizing, implementation and control in
conjunction with other plant programs such
as the systems for work order, purchase
order, Capital Project Review and Design,
etc.?
Is risk management a part of the systems
for dealing with permanent changes?

Does the facility subject temporary changes

to conditions similar to those that apply to
permanent changes?

Is there a programme which systematically

identifies which operations require written
procedures, and updates the list routinely?
Do written procedures exist for all
identified routine operations which are:
– compatible with the design intent

– easily understandable and usable

– readily available at the site where
the operation will take place
– regularly reviewed and updated,
including consultation with the
staff using the pro- cedure
– verifiably followed.

Is there an effective system in place for

the identification, development and
approval of procedures for non-routine
operations?
Safe working practices are:
– defined
– documented
– followed
– updated

These practices should cover all aspects of

the operation, such as maintenance,
inspection, corrosion control, production
operations etc.

Are there effective work control systems

in place? e.g.:
– permit to work
– equipment inspection
– radiation monitoring
– Energy Isolation
– Lifting

Adequate records are readily available.

Do operating procedures address steps for
each operating phase, including
emergency shutdown, including
identification of conditions which require
shutdown;

Are operating procedures in place and

readily accessible to workers who work
with the process?

Is there a system for regularly verifying

that procedures are accurate and current?

Is there a system for updating procedures

to ensure they reflect current operating
practice including changes of process
chemistry, technology, equipment,
facilities or organization?

Do operating procedures address steps for

each operating phase, including:
– initial start-up of a new facility;
– normal and temporary operations;
– emergency shutdown, including
identification of conditions which
require shutdown;
– normal shutdown; and
– start-up following an emergency or
normal shutdown?
Do operating procedures address steps
required to correct or avoid a deviation
from operating limits?

Do operating procedures address safety

systems and their functions?
 Element Key Audit Aspects

Is there a documented procedure in place

Pre Start-up Safety Review
for Pre-Start-up Safety Reviews?

Has the company defined international

standards, guidelines, and industry practices
for Design, Fabrication, Procurement and
installation of critical equipment?

Has the company defined inspection &

testing requirements for fabrication,
installation and maintenance?

Are procedures for inspection and

maintenance well defined?
Facilities

Has the company adopted RBI, RCM based

Electrical & Mechanical Integrity
maintenance plans?

Are Safety Critical Elements and Activities

listed and performance standards included,
proof test intervals, and proof test
procedures defined, documented and
followed?

Are maintenance and inspection personnel

well trained/certified in relevant tasks?

Is there any overdue maintenance of any

Safety Critical Equipment?

Are quality assurance requirements for

Quality Assurance design, procurement, fabrication and
installation defined and documented?
Is a pre-startup safety review completed
before new or modified facilities are put
into service?

Does the pre-startup safety review:

– confirm that construction meets the
design specifications;
– ensure safety, operating, maintenance,
and emergency procedures are in place
and adequate;
– confirm that all process hazard analyses
have been completed and that
recommendations have been resolved
or implemented prior to start up;
– confirm that modified facilities meet
the management of change
requirements;
– ensure that worker training has been
completed; and
– ensure critical equipment has been
identified and incorporated into a
preventive maintenance program?

Are project management controls

documented and do they form part of the
project file?
Does the company/facility have an
integrated approach to PSM that applies the
concepts contained in quality management
programs (Plan, Do, Check, Act)?
Are there established goals, targets and key
performance indicators (KPI) for measuring
Process Safety performance?
Is there guidance in place to address
deviation from this performance?

Is there a quality assurance system for all

aspects of work that includes checking,
verification, validation, documentation and
configuration management, as appropriate?
Does the quality assurance program include
a material control system that ensures
installed equipment:
– meets the requirements of the design
specification;
– is traceable to its manufacturer;
– has met all required testing, with test
results available on site; and
– is labeled to be clearly identifiable to
the people doing the installation?
 Element Key Audit Aspects

How are process safety training objectives

set?

At what level of the organization is this

done?

How frequently is this assessment made,

and by whom?

At what level of the organization does this

training take place?

Who is assigned primary responsibility for

the training?
Training & Performance
How is input provided from other groups to
ensure that integration of a specific subject
into the overall training program will be
correct?

After development of the training materials,

who has the responsibility and authority for
validating the completeness and accuracy of
the materials?

Has the validation actually taken place?

Are training records maintained? Available?

Are contractors involved in every aspect of

PSM Program and necessary trainings
given?

Are contractor workers competency

Contractors
defined, and assessed?

Is contractor work force aware of their

contribution, and responsibilities towards
PSM?
Personnel

Is there a procedure/guideline in place for

Incident Investigation
incident reporting and investigation?
 Are there any trained incident investigators
in the organisation?

Are lessons from incident investigations

shared with all including employees and
contractors?

Are comprehensive Emergency Response

Plans in place?

Is ER organisation defined and known to all

including employees, contractors and govt
agencies?

Area ER plans based on scenarios identified

and assessed in PHRA studies?
Emergency Planning &
Response Are adequate resources required to execute
ER plan, should an undesirable event
occurs, available?

How are govt and external agencies

involved in ER planning?

Are trainings, testing and drills on ER plan

conducted regularly?
Is there an established and effective
procedure for defining individual employee
qualifications for all positions and ensuring
that appointments are made against these
criteria.
Has a structured approach been used to
identify all employee safety training needs?

Dos the system ensure that minimum

training needs are satisfied before
employees start or change jobs?

Are key jobs identified and their required

skills, knowledge and abilities
documented?

Is there is a system in place for follow-up

on newly placed personnel to verify their
adjustment of the job? This follow-up
should include a review of the need for
changes to the employee qualification
criteria and/or personnel training.
Is there is an effective safety training
programme in place, covering all job
positions which is regularly reviewed and
updated?
Is there a system to ensure that the training
programme is implemented?
Is there is a procedure in place for
measuring training effectiveness?

Does the training program identify specific

criteria for instructor selection?

Does the training program identify specific

instructor training to ensure that instructors
have sufficient teaching/communications
skills as well as the necessary technical
knowledge?

Is safety an integral part of the contractor

selection procedure?

Does contracts contain clear provisions

requiring the contractor to meet safety
conditions and specifications consistent
with the company’s standards for its own
employees?
Is there is an audit of contractor
performance and facilities prior to the start
up of work?

Is there is a system in place for approving

contractor working procedures for use on
company operations?
Is there is a system in place for verification
of contractors’ training programmes,
individual competence/qualifications, skill
achievements, and where appropriate team
experience?
Are there thorough and effective
contingency plans?
Is there a documented emergency
procedure, which is:
– well communicated and understood
– regularly tested in practice
– regularly updated
– easily understandable and usable.

Is there a clearly defined emergency

response organisation:
– with well-understood individual
responsibilities
– systems for modification
– training
– regular drills and exercises
Are the lessons learned and experience
gained from drills and exercises widely
communicated and reflected in future
procedures and plans?
Are there emergency response control
facilities which are:
– readily available
– tested regularly.
Are contractors trained in emergency
response and involved in regular drills?

Are ER plans scenario based or generic?

ER plans shall be based on scenarios
identified and assessed in various PHA and
Risk Assessment Studies?
Is there a formalised incident investigation
procedure which includes an analysis of the
incident, evaluation of the causes,
communication of the lessons learned, and
ensures follow-up recommendations are
implemented at a timely manner?
Notes
Notes
Notes