DOCUMENT CODE SAF-WP-IMS-022 REV. # 00 REV.

DATE 10/09/10 PAGE 1 of 13

WORK PROCEDURE SAFETY UNIT

TITLE: MANAGEMENT SAFETY AUDIT PROGRAMME

1.0 PURPOSE :

Auditing is an important aspect of safety management as it allows management to

monitor:
 How the safety programme is progressing
 Conditions as they exist at the site, including production, maintenance,
laboratory, offices, warehouse and other areas.
 Observe unsafe acts or conditions in the workplace
 Observe workers during their normal workday.
In addition, audits:
 Provide lower levels of management and staff employees a visible
indication of management’s commitment to safety.
 Improve housekeeping and safety standards
 Provide the opportunity for management to communicate with employees
about safety
 Increase safety awareness.
Safety auditing involves sampling the site’s safety programme as a whole; it is not
an in-depth inspection of every aspect of the programme. The safety management
auditor should be looking at the broad spectrum of safety programmes to see if
they are effective, if they are being followed, and ultimately, if they are getting
results. Part of a safety audit is what us usually called a safety inspection but with
the major emphasis on observing people working at their normal jobs; particular
attention is paid every now and then to special situations.

Increase of safety awareness is the most important result of regular auditing since
unsafe actions result from a lack of safety awareness. A procedure cannot be
provided to cover all the actions of workers; therefore, we must rely on increasing
their safety awareness, this would result in reducing the unsafe acts.

2.0 SCOPE :

This procedure describes the requirement for a Management Safety Audit (MSA)
Programme.

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3.0 RESPONSIBILITY :

3.1 Unit Manager Safety

- Issues the MSA schedules on monthly basis
- Presents the MSA compliance data in the SOC Meeting
3.2 MSA Auditor
- Perform audits as per MSA Schedule
- Spend at least 30 minutes in the field
- Gives feedback to the area owner verbally and in writing.
3.3 Area Owner
- Respect and comply with the auditor’s findings/observations
- Develops a MSA observations compliance data to be presented in the monthly
“B” Level Meetings.
- Take immediate actions on the Fatality Observations in order to remove the
Unsafe Condition/Act otherwise take some interim measures to dilute the
severity of the observation and inform to his Supervisor and Safety Unit
regarding the actions taken.
3.4 SOC Chairman
- Monitors the overall system compliance and quality through SOC Forum.
3.5 Departmental Managers
- Monitors the quality of the MSA’s through “B” Level Meetings

4.0 AUDIT PROGRAMME

Pakarab plant site shall have Management Safety Audit on regular frequency.
Safety Contact Audit:
Safety Contact audit approach is considered as one of the best audit techniques.
During a one-on-one audit, a manager and a subordinate audit a portion of the
subordinate’s area together. This procedure contains down through the line
organization until all members of management are involved in safety audits. This
procedure ensures management visibility and commitment to safety. As the
programme progresses first-line supervisors and team leaders (often accompanied
by an employee or team member) make audits of the areas discussing with the
employees any deviation from standard, deficiencies in the workplace will
decrease and safety performance will improve.

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When conducting audits, managers must do more than simply observe employee,
equipment, and the work environment. A good safety management auditor talks
safety with employees during the audit. This conversation can help the auditor
answer question such as:
 What is the frequency of employees attending safety meetings?
 What do employees think of safety meetings?
 Are employees receiving the communications that are passed down the
line?
 What are the safety problems that employees face on their jobs?
 What do employees think about the increased emphasis on safety?
 What are the quality and quantity of the initial training given to new
employees and the continuous training given to experienced employees?
 Are employee’s concerns addressed within a reasonable time?
 Do employees or contractors have say in the overall safety programme
within their work group?
When audit results reveal gaps that require the authorization of other area
resources, these resources must be requested without delay. Simply requesting
the resources to solve a problem, however, does not relieve the manager of
responsibility for operating a safe workplace. If necessary, equipment must be
shutdown or the area cordoned off or barricaded until problem is actually solved.

Management Site Audits

A team of Executives should formally visit the plant site weekly. The visit should be
planned and communicated in advance.
The visit should not a posted or cancelled except for an extreme emergency, and
even then it should be postponed for only a day or two at the most. During this
visit, the executive should review the site’s safety programme, activities, and
progress. While at the site, the executive should spend at least 30 minutes and
meeting at least 03 employees and observing work habits and conditions. At the
end of visit, the executive should give a brief review of the observations made
during the day and his impressions of the site.
Quality
A manager should ensure that the audits conducted in his area are:
 Effective
 Of a consistent standard.

To ensure the quality they should frequently observe audits conducted by the line
and conduct their own to compare each supervisor’s and smaller area’s standards
with the others and to compare results with theirs. The comparison will show
manager were line supervisors need further training in conducting audits and what
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else you need to do to ensure a common standard of auditing throughout the

department or facility.
Frequency
All team members should audit at least 30 minutes per week.
Results
A site wide or area wide auditing programme results should be analyzed to
observe trends in safety performance.
To enable to see site wide or area wide trends and problems, two basic conditions
must be met:
 The same audit form should be used throughout the site or area.
 Each department to compile their audit results. Copies to be sent to safety
unit for record only.
 Audit results are tabulated on a graph.
The site wide audit trends, conducted by line organization and safety professionals
in a given period, should be compared by plotting different categories.
Such plotting helps to measure effectiveness at improving any particular aspect of
safety which can be decided is important site wide or in given areas. Breaking
down the overall audit results into categories can also show you where you need
to focus your attention.

Quantifying Results
There are two types of methods used for quantifying the results

The Time-Weighted Index

No. Unsafe Situations

TWI = Total time spent x 100
auditing
This sort of index works well in operations that are not labour intensive, like
process, where you might not see many workers when you audit. There, you will
be looking for indications of unsafe acts that occurred before you get there; for
example, a forklift sitting idle with its forks raised.
The Unsafe Acts Index
If you have a location that is labor intensive like PH&S, you might prefer to use an unsafe acts index.

No. Unsafe Acts

UAI = No. of people observed x 100
working

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These ways of recording audit results provide a quantitative means of presenting

information.
Results You Can Expect
 Many observations in a new programme.
 It will look as if your safety performance is getting worse instead of better.
You should be prepared for this occurrence
 A lowering trend as employees reacts with safe work habits.
If the frequency of unsafe acts rises again, it may be symptomatic of an underlying
problem you need to tackle. A strategy for tackling problems could include:
 Publicity
 Safety discussions
 Close Monitoring
 New Procedures
You can use any or all these methods. The important point is that you cover all
employees

Using Results
To make full use of audit results to see where you should direct your efforts, you
should also review audit reports submitted by supervisors in your line organization
to recognize such factors as:

 A work area with a high infraction rate

 Supervisors who are not conducting effective audits
 Safety violations that occur throughout the site or area
 Recurring safety violations
After spotting any of these factors, you can take action where appropriate (suck as
a reviewing auditing techniques with a supervisor who needs help) or advise
supervisors of the need for action (as in the case of safety emphasis for an area
with many audit defects).
GUIDE TO SAFETY CONTACT AUDIT
1. Introduction
One-on-one safety contact audit is essential future of the management audit
programme. It is a formally scheduled audit conducted by managers. The specific
objective being that one-on-one contact is established between supervisory level &
employees to focus on safety. These audits are to be conducted by all level of
management employees from Director Operations to the Unit Managers/Section
Heads.

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Safety and housekeeping in your area reflect the standards you are willing to
accept; they will improve as soon as you communicate convincingly that you want
to them to improve. The intent of this guide is to help you improve safety and
housekeeping by establishing a personal safety audit system.
This guide has five steps:

 Audit
 React
 Communicate
 Follow-up
 Raise standards
2. Audit
You must get out into your area(s) of responsibility every week one of your direct
subordinates to make a safety audit. You do not have to devote a lot of time to the
audit, and you do not have to conduct a complete tour of an area. If there are
several locations that you know are trouble spots, concentrate on them first.
Sample one or more portions of an area where you can audit employee work
practices and conditions quickly and effectively. Conduct an audit at least once a
week, spending 30 minutes and make at least 03 contacts. It is crucial that you do
not try to combine a safety audit with other visits to the area. Your safety audit to
an area must be specifically designed to evaluate safety. Learn to take notes of the
things you see.
The audit process to be followed would be:

a) Become Familiar with Safety Requirements

Prior to auditing the areas, review the area, equipment, and hazardous chemical
safety rules; process hazards; and emergency procedures. Wear the proper
protective equipment, just as if you were doing the job.

b) Focus on People
Make sure each audit involves the observations of and communication with people
in the workplace. More focus on unsafe acts than conditions. When someone is
working unsafely, follow these steps:
1. Observe; then get the person’s attention
2. Comment on what the employee was doing safely
3. Discuss with employee
 The possible consequence of the unsafe act
 Safer ways to do the job.
4. Get the employee’s agreement to work safely in the future
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5. Discuss the safety issues of the job

6. Tank the employee

c) Ask Open Ended Questions

Gain a better understanding by asking open-ended questions – ones that cannot
be answered with a simple “yes” or “no”. Such questions not only aid in an
accurate evaluation, they frequently stimulate the thinking of others as well.

d) Take Notes at Appropriate and Timely Opportunities

Historical safety contacts between supervisors and subordinates have been
negative. Thus, do not walk around with a clipboards or notebook in your hand.
The first impression people will have is that you are out to take names and report.
Make your observations and at an appropriate time (often just after your contact
with the employee), jot down a few notes to job your memory when you make up
your audit report following the audit. Remember do not rely on your memory. It is
difficult for most people to remember more than a handful of observations and
erroneous reporting can only weaken the impact of the audits. Therefore, it is
important that you take notes on a periodic basis during your audit.

e) Respect Lines of Communication

As a matter of courtesy, keep members of supervision who are responsible for the
audited area informed of your findings. Whenever possible, channel all
recommendations and remarks through the line organization.

f) Draw Conclusions
Draw meaningful conclusions from your observations. In many cases, the greatest
value of audit lies not in the correction of specific deficiencies but in the conclusion
upon which measures to prevent recurrences can be developed. You should be
careful to avoid drawing sweeping conclusions upon which measures to prevent
recurrences can be developed. You should be careful to avoid drawing sweeping
conclusions where the evidence is not sufficiently strong to support them and avoid
overgeneralizations. In these cases, suggesting possible conclusions may be more
useful because the question will remain open to further investigation.
3. React
The only way you and your site can benefit from your audit is for you to react. The
manner in which you react may well be strongest single element in improving the
safety climate at your site. Your reaction (or lack of it) tells your organization what
is and is not acceptable. With the philosophy that all injuries and occupational
illnesses can be prevented, you must display confidence that your site can achieve
high standards of safety.

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Specifically, each time you audit an area, building, worksite, room or other facility,
you must ask yourself a question and make a decision: “Are all aspects of safety
acceptable?” Whenever the answer is “no”, you should record your reaction and
comments about how the facility deviates from your standards. Your standards will
not be static; they will change with time and as you develop more skill in auditing.

You must come away from each audit with a reaction:

 The operation is acceptable because ……………………....
 The operation is not acceptable because …………………..
 The operation has deteriorated because …………………....
 The operation has improved because ……………………..…

4. Communicate
Since you have already accepted the basic principle that safety is a line
organization responsibility, the next step in your personal safety audit effort is to
communicate your reaction. Talk with your subordinate who has responsibility for
the area you audited. Stick to the line structure, and do not be casual about this
communication.
In order for the contact to be productive, your subordinate must understand that:
 You audited his area.
 You are pleased (displeased) with what you saw because of …. (Discuss
your observations).
 You expect him to react to your comments, and more importantly, to
improve the quality and effectiveness of his own audit system so that
permanent improvements are made.
 You will audit the area again in a specified a number of days.
You and your subordinate must understand the implications of these points. If you
expect your subordinate to address certain situations, be sure he has the
necessary authority to obtain the resources to appropriately react to your
comments.

5. Follow-Up
Follow-up is the magic step for achieving results. You have now spent time
auditing, reacting, and communicating. If you fail to set up an effective reminder or
tickler system to enable you to follow up personally and demonstrate that you
mean what you say, your efforts may be wasted. Failure to follow up will give your
subordinates the perception that you do not care and those high standards of
safety are not one of your important priorities.

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You must clearly communicate your assessment of the obtained results to your
subordinates. By doing this in an effective, timely manner, you will help them learn
to manage safety more effectively in their area of responsibility.

6. Raise Standards
By consistently following the first four steps, you will see steady improvements in
safety and housekeeping at your site. Part of the challenge will be to keep raising
your standards and providing the leadership necessary to continue to make
progress. First, solve, the gross problems, and then begin to fine-tune your safety
and housekeeping efforts.

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DOCUMENT CODE SAF-WP-IMS-022 REV. # 00 REV. DATE 10/09/10 PAGE 10 of 13

ATTACHMENT – 1

BASIC AUDIT PRINCIPLE AND TECHNIQUES

1. Make a commitment to spend a predetermined amount of time for auditing. While

auditing does not require a great amount of time, it does require a regular
commitment of time.
2. Sample conditions are one or more small areas rather than attempt to complete
an entire area tour. By varying the location of audits, supervisors can cover their
entire area of responsibility on a regular basis.
3. React appropriately during audits to set the safety climate in their areas. Never
let a safety violation pass without talking immediate corrective action. This
reaction, or a failure to react, tells all subordinates what a supervisor finds
unacceptable and acceptable.
4. Build pressure supervisors should show what they expect by their reactions
during their first audit. They can then use subsequent audits to build pressure for
improvement. As their groups meet one set of goals, supervisors can increase the
pressure for improved work habits.
5. List observations to maintain an effective auditing program, each auditor must
make a formal list of all observations. He can then use these lists in discussing
audit results with his group and establishing a follow-up system.
6. Follow-Up each auditor should maintain a “Follow-Up” file and follow up on audit
items personally. This personal involvement is a vital step in establishing
standards. Employees will not usually be motivated enough to correct unsafe
practices or conditions unless they know that their supervisor will be back to check.
Personal follow-up maintains the positive pressure of the auditing programme.
7. Vary the approach Supervisors should generally tell employees when their work
practices are being observed. They can then discuss together the nature of the
jobs and any hazards they include.
To get a realistic sample of work practices, however, supervisors can occasionally:
 Make unannounced audits
 Enter work areas by different routes
 Make observations before announcing their presence.

Precede an announced audit with an unannounced one.

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ATTACHMENT – 2

TRAINING METHODS AND OBSERVATION TECHNIQUES

1. Training Methods:

For training of line supervisors in the auditing techniques, here are some methods you
can use:
Take line supervisors on audits with you
 Accompany them to their audits
 Discuss your observations
 Discuss what the supervisor can do about the safety infractions you have
observed together
 Show supervisor how to keep a record of their observations for their own
use, plotting incidents that recur.

2. Observations Techniques

On an audit some critical aspect need to be observed. Be aware of safety violation in the
following categories:
 The positions and actions of people
 Personal Protective Equipment
 Tools and equipment
 Procedures
 Orderliness

Here are some specific questions you can ask about each category

3. Positions and Actions of People

 Is anyone in danger of injuring himself by pulling or lifti0ng heavy objects?

 In anyone is a position where he or she could fall, be trapped, collide with
anything, or be hit?
 Personal Protective Equipments

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 Are employees using the required protective equipment? Does it provide

adequate protection against employee’s exposure to harmful substances?
 Are they using the equipment properly?
 If not, why not? Is it inconvenient to get out or hampering?

4. Tools and Equipment

 Are the tools right for the job?

 Are they being used properly?
 Are they in safe condition?
 Are homemade tools (not properly designed) being used?

5. Procedures

 Are they adequate? Do they prevent all unnecessary risks?

 Are they followed?

6. Housekeeping / Orderliness

 Is the workplace neat?

 Are things put away properly

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