Identification

GI-18.200
May 2007
Replaces TM-242.10-1 / October 2005

Safety Audit Guide for Ammonia Refrigeration

Plants
Classification Document type: Internal Standard
Hierarchical level: Procedure
Confidentiality: Yellow Class

Copyright The content of this document is a trade secret. It may not be reproduced, distributed or disclosed to
third parties without proper authorisation. All rights belong to Nestec Ltd., CH-1800 Vevey, Switzerland.
©Nestec Ltd. 2007

Author(s) CO-Eng/Serv, Michel Pirard

Approver(s) CO-Eng/Serv, Luca Guscetti

Table of Contents

Introduction........................................................................................................................... 2
Audit Guidelines.................................................................................................................... 4
The N-ASA Guide Package...................................................................................................8
The N-ASA Guide Workbook.................................................................................................9
How to start the Audit Guide................................................................................................15

Embedded file: N-ASA Package V1.0-a 8

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Introduction

Purpose of The purpose of the Audit Guide is to ensure that all Nestlé refrigeration plants
the Audit operating with ammonia are designed, built, operated and maintained in a safe
Guide manner, minimising risks to persons, environment, production and goods.

The Audit Guide is a practical development of Nestlé Policy GI-327.10 and

GI-327.11 "Operational Safety, Health and Risk" and a support to the Group's
Policy encouraging the use of natural refrigerants as per GI-20.004-2:
"Use and phase out of Substances Depleting the Ozone layer" as well as per
"The Nestlé Position on Industrial Refrigeration" paper.

Above mentioned documents are available from Nestlé Intranet "Technical

Instructions" based at the "Technical and Production" site.

Objectives of By combining the expertise of an experienced team and a structured reviewing

the Safety tool, which also includes specific Guidance Notes, the Safety Audit will:
Audit
 Provide a means to assess and document the safety of NH3 R-Plants.
 Identify actual and potential safety hazards due to design, modifications,
operation and maintenance.
 Provide a means of defining the needs for upgrading and modification of
plants and operations.
 Provide feedback on safety issues that may be incorporated into new plant
design.
 Promote safety understanding.

What is new Revision 02 of this Guide is mainly related to the following changes:
in this
version?  Corrections of N-ASA Package V1.0 (Excel Workbook and Guidance Notes).
The revised version becomes N-ASA Package V1.0-a and is embedded page
9.
The list of the corrections is included in the "Main corrections V1.0-a"
worksheet located at the end of the Excel Workbook.

Recommendations in relation to plants audited with V1.0:

Small plants with few components:
Use N-ASA Package V1.0-a for the next audit and copy the "objective" data
from version V1.0.
Large plants with many components:
Most important is to correct the error related to "A12 Training" worksheet which
results do not appear in the consolidated Action Plan.
If possible adjust V1.0 to V1.0-a as per "Main corrections V1.0-a" list prior to
performing the next audit. If needed CO-ENG/SERV can be asked to review the
updated version.

 Minor corrections have been made to the Guidance Notes and this Guide.
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Introduction, Continued

Target Ammonia refrigeration plants serving Nestlé operations and operated by third
parties must be audited to make sure that:

 They guarantee a safe plant operation, guarantee a reliable supply and

comply with local regulations.
 Any legal actions resulting from incidents, accidents or violation to local laws
will not affect the Nestlé image or interests.

Distribution The N-ASA Guide Package will be distributed to:

and
accessibility  Chief Engineers in Markets and PTCs

N-ASA Guide Package can be downloaded from Nestlé Intranet site "Technical
Instructions/Documents" based at the "Technical and Production" site.

Support and Nestec CO-Eng/Serv department will provide support for the use of the
feedback N-ASA Guide Package.
Please contact:

 Michel Pirard (e-mail: Michel.Pirard@nestle.com)

or

Any member of CO-ENG/Serv team:

http://intranet.nestle.com/EngServ/

Feedback on the Package use and content as well as improvement suggestions

will be appreciated and will make it possible to improve continuously the tool.

Major changes of the Package, like updating or modifying Guidance Notes,

should be communicated to CO-ENG/Serv.

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Audit Guidelines

Coordination Market corporate engineering will coordinate and follow up the audits. The
and follow up coordinator has the responsibility to ensure that audits are carried out effectively
and efficiently and must:

 Schedule audits in consultation with the factory management

 Ensure that the preparation for the audit is completed and the necessary
documentation is available in advance for the audit team review.
 Ensure that the recommended corrective actions are taken.
 Keep the team members informed about the main progress of the required
actions.

Audit As a minimum ammonia R-plants safety audits should be conducted

frequency every 5 years.

 The actual audit frequency shall be risk based:

Each market shall be free to define the audit frequency in function of local
conditions such as factory location, plant age and condition, climate, e.g.
increased risk of corrosion in warm and humid areas, availability of external
support in case of emergency, action plan and safety index ratings from
previous audits.
 The safety audit for a new plant shall be performed within 12 months from full
commissioning.
 Major plant extensions and modifications shall be audited within 6 months
from full commissioning.

Pre-Audits Project Engineers should use the N-ASA Guide Package, especially the
(Project Guidance Notes:
Phase)
 To ensure completeness of basic concepts, specifications and offers at a
pre-contract stage.
 To assist in the review and approval of ammonia flow sheets, piping and
instrumentation diagrams prior construction start.
 To assist in the preparation of documentation and safety standards.
 To assist in the preparation of the safety concept that should be part of the
control and monitoring system.
 To assist in the preparation of the Emergency Response Plan (ERP).
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Audit Guidelines, Continued

Periodic In addition to the Safety Audit, Periodic Safety Checkups shall be performed,
Safety preferably on an annual basis, and include, among others, the following items:
Checkups
 Review of the progress made on the actions required during the last audit.
Whenever needed the action plan shall be updated with new deadlines and
with the findings made during the safety checkups.
 Inspection of calibration / function test records for the safety cut-outs,
ammonia leak sensors and other instruments related to the plant safety.
 Review of the emergency response training records.
 Inspection of the refrigeration plant (plant room, production, storage)
 Testing of the ammonia refrigeration plant room emergency shut down and
emergency ventilation.
This should be done in the manual or automatic mode (ammonia sensors
activation).
 Testing of the local, remote visual and audible alarms
 Inspection of the protective equipment used for normal interventions in the
system and for emergency situations.

Periodic Safety Checkup reports shall be part of the documentation that should
be reviewed by the auditors during the Audit.

Audit Following actions shall be taken to ensure the effectiveness of the audit:
preparation
 The N-ASA Guide Package will be sent well in advance to the factory by the
market coordinator for the audit preparation.
Failure to do the audit preparation will result in delays in the completion of the
audit and waste the time of both the audit team and the factory staff.
 Following information shall be prepared and made available to the audit team
during the audit. The factory shall ensure that the required documentation is
available and gathered in a single location to simplify reference.
- As-built NH3 Piping & Instrumentation Diagrams (PIDs)
- As-built electrical diagrams
- Operating and Maintenance manuals
- Certification documents for compressors, pressure vessels and heat
exchangers
- Emergency Response Plan
- Updated action plan (from last audit) and periodic safety checkup reports.
- Other documents relevant for the assessment of the NH3 plant safety in
the factory and its environment
 The as-built ammonia PIDs shall be sent to the audit team for familiarisation
at least 2 weeks prior the audit start.
This will also be a confirmation that the preparation has been completed.
 The factory shall allocate their representatives for the audit team and ensure
that sufficient technical and clerical support will be available for the whole
duration of the audit.
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Audit Guidelines, Continued

Audit team It is recommended that the audit team be composed of a minimum of 2

composition members, one from the audited factory and one ammonia refrigeration / safety
audit "Expert".
The "Expert" shall have refrigeration system design experience and full
knowledge of the audit purpose, N-ASA Guide package content, especially the
Guidance Notes, and be aware that safety matters are not negotiable.
The "Expert" could be either from the market, the region or be a refrigeration
expert nominated by Nestec.
Team member from the factory: According to the topics covered the factory
involvement may include:
 The factory engineer
 The safety officer
A trainee from another factory or market should participate for either training or
"cross fertilisation" of experience.

Consultants should be used with caution and only if necessary. They should
not be leader and must have clearly defined roles.

Audit The suggested schedule for the safety audit is:

sequence

Stage Description
1. Review the factory layout, hazardous areas and R-Plant PIDs
2. Perform a brief inspection to gain an overview of the main areas and
R-Plant components.
3. Audit in detail the R-Plant components such as compressors, vessels,
heat exchangers and pipe work.
It is recommended to audit (i.e. inspect, answer the questionnaire and
assign SIRs) each type of equipment, e.g. compressors, after
performing an inspection of all similar units on site.
In some cases the audit team may be divided in groups to perform the
detailed inspection of a given type of equipment.
4. Audit the hazardous areas such as plant rooms, production areas,
and cold rooms. In some cases the audit team may be divided in
groups to perform the detailed inspection of a given hazardous area.
5. Audit of the organisational aspects like training, emergency response
etc. Recommended after the detailed hardware inspection to allow
the audit team to first become familiar with the plant.
6. Consolidate the Action Plan and add the name(s) of the responsible in
charge of the action and expected completion dates.
7. Based on the content of the Action Plan, recommend a schedule for the
next audit and periodic safety checkups.
8. Present and discuss the audit results and required actions to the factory
management, including whenever possible a cost estimate for the main
required actions.

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Audit Guidelines, Continued

Safety Index Specifying deficiencies in the questionnaire

Rating
The audit questionnaire has been structured to assist in the determination of the
R-plant safety. Many questions have been included to record plant information
for reference by the audit team and in the future for the factory.
Most of the questions directly related to plant safety require only a yes/no
answer. The sense of the questions is generally such that a "no" answer may
indicate some degree of deficiency. The audit team must judge the degree of the
deficiencies, and assign a Safety Index Rating (SIR), which reflects the severity
of the defect and the potential impact on the safety of the refrigeration plant.

The following SIRs are defined:

SIR Definition
"E" = Emergency The defect is so severe that there is immediate danger to
the plant e.g. extended corrosion or organisational defects
that will lead to rapid deterioration of the plant. Or the
inability to safely deal with an incident e.g. lack of
competent staff, no emergency response plan, inadequate
safety equipment etc.
The audit team should ensure that an action is
committed to rectify the defect before leaving the site.
"U" = Urgent The deficiency represents a serious hazard, which may not
be immediately dangerous to life or property and would not
expose the company to any immediate legal action.
A firm deadline should be set to correct the deficiency.
"I" = Improvement Improvement is required, and can be achieved by the factory
through regular channels of maintenance and capital
investment.
Improvements should not be underestimated. It is good
practice to undertake the required corrective actions
latest till the end of the calendar year following the safety
audit.
"N" = Normal No action considered necessary. Where appropriate, the
audit team should include notes explaining why no action is
considered necessary.
No action is required. The audited section is of
acceptable or above normal standard.

Distribution of Following distribution is recommended:

documents
Ammonia Safety Audit Cover Sheet and Action Plan:
 Factory Management and Market Corporate Engineering
 Nestec: According to the rules defined by the Zones Technical Mgt and the
Safety, Health and Environment Dept.
 Nestec (CO-ENG/Serv): On request
Periodic Safety Checkup Reports:
 As defined by Market Corporate Engineering
 Nestec (CO-ENG/Serv): On request

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The N-ASA Guide Package

Background The N-ASA Guide is a continued development of:

 UK Excel Workbook and Guidance Notes "Combined Edition 2k version 2.0"
(September 2000).
 Nestec T-242.10 Instruction "Ammonia Safety Audit Guide" (October 1991).

Content The original N-ASA Guide (Nestlé - Ammonia Safety Audit) comes as a zipped
"Package" (approx. 280 kB / 1.5 MB unzipped) and includes:
 01 Excel 2003 Workbook "N-ASA 2005 V1.0-a March 2007"
 11 Guidance Notes (Word 2003)

N-ASA
Package N-ASA package
V1.0-a V1.0-a.zip

Package The package should be unzipped in a common folder, e.g. "C:\Data\ASA\...".

installation This will keep the link between the Excel Worksheets and the Guidance Notes
(Word files) intact.

Guidelines for naming the files:

 The original name of Excel Workbook, N-ASA 2005 V1.0-a (March 2007),
can be changed to any preferred name, including the factory name etc.
 The name of the Guidance Notes should not be modified unless the hyperlink
in the corresponding Worksheet is also updated.

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The N-ASA Guide Workbook

Worksheets The Guide Workbook is composed of the following 5 Worksheet types:

Type of worksheet Description

Rooms & Equipment
Worksheets
(Annexes A1...A7)
General Worksheets
(Annexes A8...A13)
Summary Worksheets
Action Plan Worksheet
N-ASA Cover Sheet
A1 Rooms
A2 Cold Rooms
A3 Compressors
A4 Vessels
A5 Oil Drainage Pots
A6 Heat Exchangers
A7 Coil Condensers
A8 General System Components
A9 Work Procedures
A10 Maintenance
A11 System Documentation
A12 Training
A13 Emergency Response
For Annexes A1 to A7 and Relief Safety Valves
Consolidates all required actions.
Summarises audit participants, incidents summary,
plant charge & losses and major plant modifications.

Access to Each Worksheet can be accessed by clicking on the bottom tab in the Workbook.
worksheets
Example: "A13 Emergency Response" Worksheet appears when clicking on this
tab.

Room & Recommendation for filling in the Worksheets

Equipment Room & Equipment Worksheets have to be partly filled in during the preparation
Worksheets phase and completed with safety Index Ratings, required actions etc. during the audit.
Denomination of Worksheets
The Room & Equipment Worksheets are annexes to the corresponding summary
worksheet. They can be multiplied according to the number of plant items (rooms,
equipment) present in the factory. When adding a new Worksheet, the tab root
name + a sequential Index Number is inserted automatically.
Examples:
 The existing (first) Worksheet for "Cold Rooms – Blast Chillers and Blast
Freezers" has the tab name "A2 Cold Rooms 1"
 When adding a second Worksheet for the Cold Rooms, the name of this
Worksheet will be "A2 Cold Rooms 2", as shown below:

For more details see "How to start the Audit Guide/Adding and Deleting Worksheets".
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The N-ASA Guide Workbook, Continued

Summary Content
Worksheets The Summary Worksheets shows key data that may be helpful to the factory in
general. The illustrations below show the total number of "I", "U", "E" SIRs
assigned to a given plant item.

The corresponding Summary Worksheet can be updated as often as required.

Number of Worksheets
The macros for the Summary Worksheets allow for the consolidation of a given
maximum number of Worksheets. These predefined numbers for the various
plant items are listed in the table below.

Annex Plant Item Max. Number

A1 Rooms 30
A2 Cold Rooms 30
A3 Compressors 25
A4 Vessels 50
A5 Oil Pots 10
A6 Heat Exchangers 25
A7 Coil condensers 10

General General Worksheets refer mainly to worksheets that do not need to be multiplied
Worksheets as a function of the number of plant items like rooms and equipment.

Hence General Worksheets like "A9 Work Procedure" have no Summary

Worksheet.
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The N-ASA Guide Workbook, Continued

Action Plan Content

Worksheet When using the button "Consolidate the Action Plan", the worksheet
consolidates the following data:

 Total number of "I", "U" and "E" SIRs

 "SIRs" and "Actions Required" decided by the auditors for each plant item in
the corresponding Annex Worksheet.
 The corresponding "Plant Reference" and the "Question" related to the SIR.

If a SIR different than "N" has been assigned, the Plant Reference, Question
and SIR will be shown even if no specific action has been required; sometimes
the action required can be obvious without additional comment.

Responsibilities and timing

The Action Plan should be completed with the name(s) of the person(s) who will
be in charge of the completion of the required actions and with the expected
completion dates.

N-ASA Cover The Audit Cover Sheet provides an overview of key data such as:
Sheet  Factory reference
 Audit number and date
 Audit Team
 Periodic Safety Checkups summary
 Safety Index Ratings for the current audit and the previous one.
 Ammonia incidents summary
 Refrigerant charge modifications and average losses % calculation
 System alterations such as major plant extensions, plant items replacement etc.

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The N-ASA Guide Workbook, Continued

Guidance ASA Guidance Notes (ASA GN) have been developed to help the auditors
Notes answering the questionnaires. In many cases recommendations, suggestions or
examples, often based on EU Regulations, are provided.
ASA GNs can be modified/updated to reflect the local Regulations, Codes and
practices in force, but the essence of the GNs must be maintained.
The relevant GN can be open through a "blue link" in the Worksheet:

Drop-down Many questions can be answered with the help of a drop-down list.
Lists To display the drop-down list, click on the grey button that appears after having
selected the light blue coloured cell.
Example:
Annex 3: Question A3.1.5: Compressor type?
A list of the most of the most commonly used compressor types, such as "Single
Screw", "Reciprocating" will appear.

Safety Index Ratings (SIRs) and YES/NO answers are selected in the same way.

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The N-ASA Guide Workbook, Continued

Worksheets Unprotecting Worksheets

Protection Worksheet forms are protected against accidental modifications of text, format,
cell references, etc. N-ASA Package comes without password that would be
needed to unprotect the Worksheets.
To add a password in a Worksheet or to unprotect it go to:
"Tools" ==> "Protection" ==> "Protect Sheet" (optional password) or "Unprotect
Sheet".

Unlocking individual cells

Only cells that are "locked" are protected when the Worksheet has been
protected.
To lock or unlock a cell or a group of cells select the cell(s) with the mouse and
right click; then select "Format Cells" ==> "Protection"

Formatting of cells
Cells where text can be written (=not locked) have a light yellow background.

These cells are formatted for "wrap text". This means that at the end of a line the
text will continue on the next line, and the row height will automatically be
adjusted to make the whole text visible.
If this should not work, Unprotect the Worksheet, select the whole Worksheet
and go to: Format ==> Row ==> AutoFit
After that Protect again the Worksheet.

Important:
 Do not modify row heights manually in unprotected mode. This may lock the
automatic row height adjustment!
 In all Worksheets write information in cells with a light yellow background only!
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The N-ASA Guide Workbook, Continued

Macros Constraints on the use of the Workbook

Macros have been integrated to perform automated tasks like "Summary
Sheets" update and "Action Plan" consolidation.
Unless the macros are also adjusted, this imposes the following constraints on
the use of the Workbook and:
 Do not modify the name of the Worksheets
 Do not modify cells reference in the Worksheets
This may happen for example when lines or columns are added in the
Worksheets. Normally the Worksheet protection should restrain users from
doing this.
 Do not change the cell reference for data entered in Worksheets and used
elsewhere in the Workbook e.g. in a Summary Worksheet.
Worksheets should not be exchanged between Workbooks unless the correct
link to the macros is restored.

Error message when adding Worksheets

In some cases, the addition of up to 10...25 Worksheets from the "Add plant
item Worksheet" button (Summary Worksheet) without saving and closing the
Workbook in between may lead to the following error message:

When this message appears proceed as follows:

1.Click on "End" button to cancel the message.
2."Save" and "Close" the Workbook (Excel File).
3.Re-open the same Workbook.
The addition of Worksheets can now be resumed.

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How to start the Audit Guide

Starting the Open the N-ASA Workbook in Excel and "Enable Macros" from the message:
Worksheet

To be able to choose whether or not to run macros while starting the Workbook,
change the Security level from High to Medium as follows:
Go to: Tools ==> Macro ==> Security ==> Security Level = Medium

Filling in the Fill in the information required in the N-ASA Cover Sheet such as participants,
Cover Sheet refrigerant charge, SIRs from previous audits etc.

Besides the total number of Is and Us assigned to the system, auditors can
define (optionally) a number of typical findings affected to identical components
(items) for the same reason(s).

Example:
Missing "Auto-Start" sign at 05 compressors ==> the auditors may define this as
01 typical finding.
Some cells, marked with a red triangle in the corner, have in-built comments:

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How to start the Audit Guide, Continued

Preparing the As mentioned previously the preparation work is a very important step for the
Worksheets successful completion of a safety audit.

The tables in the Worksheet are filled in as follows:

 The questions that need to be answered during the audit preparation are
marked with an orange background.
 Data are entered manually only in yellow marked fields. (To go to the line
in a cell field type: "Alt"+"Enter")
 YES/NO answers are picked from blue marked drop down lists.

Adding, Adding Worksheets

Deleting and Additional Worksheets are needed when more then one plant item is present in
Exchanging the factory. They will be generated from the button "Add plant item Worksheet"
Worksheets in the "Plant Items Summary" Worksheet.

When a Worksheet is added, the tab name will automatically have the next
Index Number. This Index Number is a mere sequence number! It is not the
"Plant Reference", which is an information added in the Worksheet
(As explained in the "Guidance Notes" linked to the Workbook)

Deleting Worksheets
Worksheets should be deleted starting with the one with the last Index Number. If
this is not respected, the Index Number given automatically to Worksheets added
subsequently will not follow the sequence anymore and will have to be corrected
manually. (Also the Index Number in Cell B2 of each Worksheet)

Exchange of Worksheets
Worksheets should not be exchanged between Workbooks unless the correct
link to the macros is restored.
Example: Copy "A3 Compressor 1" or "Compressors Summary" from Workbook
"Factory A" to Workbook "Factory B".
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How to start the Audit Guide, Continued

Updating a Once all Worksheets for a given Annex, have been completed with the required
Summary data, the Summary Worksheets is updated using the button "Update Plant
Worksheet items Summary" in the corresponding "Plant Items Summary" Worksheet.

Example: A3 Compressors 1, 2, 3...,

GI-18.200 / May 2007 Replaces TM-242.10-1 / October 2005

 Nestec Ltd 2007 May not be divulged to third parties without proper authorisation