Alstom Zero Deviation Plan Audit Report

Sector: Thermal Power Type of Audit:Self-Assessment

Business: Thermal Power Thermal Services
Site:FSW - Major Overhaul GTG#1
Country: Indonesia
Site MD: Ronald Purba Email Address: ronald.purba@power.alstom.com

Responsible EHS: David Marindra (act) Email Address: david.marindra@power.alstom.com

EHS Teranga Code 171 Teranga Sub-Unit Code: (Sub-Unit Code)

Date of Audit: 17-Oct-2014
Auditor Name: David Marindra Auditor Email Address: david.marindra@power.alstom.com
Co-Auditor Name: (Co-Auditor Name) Co-Auditor Email Address: (Co-Auditor email address)
Purpose

This document presents the checklists for the evaluation of compliance to the requirements for managing activities that have been identified as High Risk.

Compliance with the requirements of these checklists also ensures compliance with ALSTOM Group EHS Safety Directive Critical Requirements.

Results of the evaluation must be reported in the TERANGA system

- Responsibility of the Process Management

Accountable: Sector EHS VPs

Responsible: Site Managers (Alstom Sites), Project/Operations Managers (Non-Alstom Site)

Players: EHS Managers, Operations Managers, Infrastructure Managers, Human Resources Managers, Engineering Managers, Customer Directors
 EHS
AZDP Audit Report
Audit SITE SUMMARY
Critical Requirement
Site: FSW - Major Overhaul GTG#1 Date: 17-Oct-2014 Risk Score (%): 86
Sector: Thermal Power Auditor: David Marindra

Critical Requirement
Business: Thermal Power Thermal Services Co-Auditor: (Co-Auditor Name)
Compliance Score (%): 74
Applicable Alstom Group E-Book Reference: Chapter "Directives for Management of High Risk Activities"
Applicable Standard: Ebook Instruction 9.2 Safety Directives and Zero Tolerance to Deviations Policy
Comments:

High Risk Directive TOPICS - Summary of Compliant with

Risk Score % Compliance Score %
Results Directive

Risk Management
EHS-001 Risk Management 100 100 Yes
Confined Spaces 100 Control of Contractors
90

EHS-002 Control of Contractors 100 100 Not Applicable 80

70
60
EHS-003 Lockout, Tagout (LOTO) 100 100 Yes Rail Vehicle Movement 50 Lockout, Tagout (LOTO)
40
30
EHS-004 Electrical Safety 67 50 No
20
10

EHS-005 Machine Safety 100 100 No 0

Site Vehicle Movement Electrical Safety

EHS-006 Work At Height (WAH) 50 50 No

EHS-007 Excavations 100 100 Not Applicable

Lifting Operations Machine Safety

EHS-008 Lifting Operations 50 50 No

EHS-009 Site Vehicle Movement 100 100 Yes Excavations Work At Height (WAH)

EHS-010 Rail Vehicle Movement 100 100 Not Applicable

EHS-011 Confined Spaces 100 100 Not Applicable

Compliance Score % Risk Score %
HOW TO…

This is a simple guide to get you started on using this file:

Getting Started:

1. Title Page - The Sector, Business and Site Name blocks are drop down menu selections. These blocks and all others will be transposed as needed to other sheets automatically.

2. The "Auditor Checklist" is where all questions are answered. For each question, select either "Yes", "No", or "Not Applicable" accordingly. Only select "Not Applicable" if the question
does not apply to the site. Do not select "Not Applicable" for any other reason. The auditor should enter any relevant findings and recommendations on this page.

3. The "Site Summary" sheet automatically generates from the data in the checklist and individual tabs. You can enter any general comments on this tab.

4. It is recommended to add some of your own comments to the Site Summary to high-light any key issues or priority actions once you've completed the checklist to finalize the report.

Filling in the "Auditor Checklist":

1. Use the Group Directives (embedded in the "Auditor Checklist" tab to the left) to give you more information about the topic and the questions.

2. Answer each question. They are all set to "No" initially. Change them to "Yes" if the site complies with the requirement, or "Not Applicable" if the question does not apply. In most cases,
a "No" should be given for any deviation. However, a site should not be punished for a single deviation that poses no immediate threat to life and limb. Example: if the site exhibits 25
examples of covering a question adequately, and the auditor discovers one non-compliant area under the question that was a paperwork omission that does not have a high potential
for injury and can be remedied on the spot with a simple solution. Enter any findings into the Findings and Gaps section of the Auditor Checklist.

3. If you answer "Not Applicable" this does not impact your overall score. However, make sure you explain simply WHY the requirement does not apply to the site. Do this in the
"Findings" cell.

4. If you answer "No" add the details to the "Findings" cell and identify the required action and owner in the relevant cells.

5. In the "Auditor Checklist", the question numbering scheme is described as follows: Example: 1-5-3-1. Where the first 1 represents the Directive number (EHS - 001), 5-3-1 represents
the chapter where the Critical Requirement is in the Directive. If a Critical Requirement is split into multiple questions, it will read as an example: 1-5-2-1.1 and 1-5-2-1.2 designating 2
questions come from Directive EHS - 001 chapter 5.2.1.

Communicating the Results

1. The report when completed gets sent to the Alstom EHS Group in Levallois, Sector EHS, Site MD (Operational Manager), and Responsible EHS Manager.

2. Don't forget to remind the site to post the results in TERANGA as soon as the audit is completed and update monthly until all checklists score 100%. Define Improvement Actions and
Responsible to complete the report accordingly.
 EHS
AZDP Audit Program
Audit Questions
Critical Requirement
86
Risk Score (%):
Site:FSW - Major Overhaul GTG#1 Date:17-Oct-2014 Critical Requirement
74
Compliance Score (%):
Critical
Question
Alstom Compliance Requirements Compliant
Yes/No/NA
Requirement
Compliant
Yes/No/NA
Compliant with
Directive Main Findings & Gaps Improvement Actions Responsible

Most high risk activities has been identified but

1-5-2-1.1 Have all high risk activities been identified? Yes prevention need to be solved by Sub-contractor.
Yes
JSA provided by Sub-contractor, and waiting for reviewed
1-5-2-1.2 Are risk assessments conducted and formally recorded for the identified high risk activities? Yes by ALSTOM.
1-5-3-1 Is a Permit to Work used for all non-routine high risk work/activity? Yes Yes
For PTW on non-routine high risk work/activity, do the permit issuer and receiver (or
1-5-3-3 delegates) physically inspect that defined control measures are implemented for the works Yes Yes Simple PTW being provided by Customer.
covered by the PTW prior to issuance of PTW? Yes
Control of Contractors Risk Management

Have all workers working under a PTW for HRAs received a recorded briefing on the Daily TBM for each group and PoWRA being
1-5-3-4 Yes Yes implemented.
control measures stated in the PTW prior to starting work?
1-5-5-1 Is the Alstom Zero Tolerance policy applied to all high risk activities? Yes Yes
EHS-001

1-5-5-2.1 Does site management monitor the inspection programme covering high risk activities? Yes
Yes
1-5-5-2.2 Does the high risk inspection program involve contractors if applicable? Yes
1-5-5-2.3 Are the high risk inspections performed at least weekly? Yes
Are there any contractors classified as "Critical Contractors" and have the Alstom EHS
2-5-2-3 Requirements been included in the contract standard Terms and Conditions? (Consortium Not Applicable Not Applicable
partners are not considered as contractors)
For Critical Contractors, has a Risk Control Plan been established and approved prior to the
2-5-3-2 Not Applicable Not Applicable
start of work?
Not Applicable
2-5-3-4 Have all contractors received required EHS training prior to start of work? Not Applicable Not Applicable
Have all critical contractors been assigned a competent operational Supervisor to supervise
EHS-002

2-5-3-6.1 Not Applicable

the work and the contractor?
Not Applicable
Have formal inspections been performed at least montly by the supervisor assigned to the
2-5-3-6.2 Not Applicable
critical contractor on the EHS requirements outlined in the contract?

Prior to servicing and/or maintenance of machines and equipment, is LOTO implemented?

3-5-1-1 Yes Yes Main isolation has been performed by Customer.
Where LOTO cannot be implemented are "effective" means utilized for the control of
energy and protection of workers and equipment?

Is there a verification process in place to ensure all sources of energy have been locked
and tagged out prior to work being started? Yes Customer has been invited all contractor to witness and
3-5-2-2 Yes Yes
When Alstom is not performing the LOTO is a PTW issued by the concerned 3rd party and direct observe isolated panel.
earthing is put in place locally.
Is the absence of residual energy verified and adapted to the specific machine, equipment
EHS-003

3-5-2-4 Yes Yes Earthing done. And busbar has been dismantled.
or job being done?
LOTO

When Alstom is performing LOTO, is each person working under a LOTO issued individual
3-5-3-1 Not Applicable Not Applicable
locks and unique keys ?

Is work on equipment rated at or above 1000 VAC or 1500VDC performed only when the
4-5-1-2 Not Applicable Not Applicable
equipment is effectively locked out (no live work at and above these voltage levels)?

Are all electrical rooms, energized panels and electrical cabinets locked with a specific key
Electrical Safety

All panel are easily to reach. Unsecured even padlock

4-5-3-1 or tool and tagged with the signs and warnings indicating the presence of electrical hazard? No No already there.
Request to Sub-Contractor to secure their own panel.
If not reasonably practicable, a restricted area must be demarcated. No
EHS-004
Electrical Safety
No

EHS-004
Are all people who work on or supervise work on electrical equipment and systems formally
authorized by site management ? All people has been introduced for the Customer restricted
4-5-4-1 Yes Yes area. Even though, room or panel are easily to be entered.
Ask to Customer for double protection.
When the authorizarion by Alstom is prohibited by law, is recorded competence check
performed ?
Prior to working or supervising work on any machines, have formal competency checks
5-5-1-2 Yes Yes
been performed for all relevant personnel?
Does the machinery preventive maintenance program include documented periodic
5-5-1-4.1 machinery inspections including machinery condition, primary and secondary safeguarding Not Applicable
systems and emergency shutdown systems? Not Applicable
Are there failsafe tests of machinery safeguarding means (except for radars) performed at
5-5-1-4.2 Not Applicable
least every six months?
5-5-2-1-1 Is access to dangerous parts of machines prevented during machine operation ? Not Applicable
Not Applicable No
5-5-2-1-2 Is the staff aware that removing or bridging safeguardings is strictly forbidden Not Applicable
When changing tools, adjusting, setting up or cleaning a machine, does the operator switch
Machine Safety

off the automatic mode, lock the system with unique key off or, when impossible, use other
5-5-2-2 Not Applicable Not Applicable
effective means such as a remote control box with dead man switch to prevent starting the
machine during these operations?
EHS-005

5-5-3-5-1 Are non active movable parts from portable circular saws, grinders and magnetic drilling Yes
machines provided with safeguarding ? No
5-5-3-5-2 Are all portable machining tools provided with a non-latching ON switch? No Non-latching ON tools are not available yet.

Are all personnel working at height or supervising work at height trained and competent to
6-5-1-4 Yes Yes
do so?

Is a Permit to Work used for any work at height involving the use of fall protection?
6-5-1-5 Exception - routine activity covered by a specifically designed Safe System of Work and Yes Yes No specific permit issued to Customer.
personal authorization defined by Sector to do this without PTW.
No guard rail or hand rail provided on pulling rotor
Request to Sub-Contractor to provice more scaffolding
6-5-2-2 Are floor/roof openings (including temporary ones) physically secured to prevent falls? No No platform. Alstom has requested to install at beginning, but
material and competent person to install
TAKA
No no follow up action.
When not protected by collective protection or prevention means, do all personnel subject
Sub-contractor has only provided full body harness with Request to Sub-Contractor to provide FBH inspection
6-5-2-3 to work at height wear full body harnesses anchored to a secure designated point at all Yes Yes TAKA
Work at Height

single lanyard. result.

times?

Is all equipment used for work at height or fall prevention or protection listed on a register, No inspection record giver for full body harness. Material Review Scope of Supply for next project. Alstom should
6-5-3-1 No No TAKA
EHS-006

uniquely identified and subject to regular inspections? scaffolding not meet with ALSTOM requirement. present competent person from other sources.

Review Scope of Supply for next project. Alstom should

6-5-4-1 Are all scaffolding observed with tags displaying evidence of initial and weekly inspections ? No No No competent inspector available on site.
present competent person from other sources.
TAKA

For excavations that are over 1.2 meters deep that require access means (ie they are not
7-5-2-6.1 very very large and open with sloping sides) are rigid barriers in place Not Applicable
- with toe boards(or equivalent protection)
- or at least at a distance of 1.5 from the excavation edge
For excavations that are between 0.5 meters and 1.2 meters are there Not Applicable
- rigid barriers in place
7-5-2-6.2 - or is there a safety distance maintained around the excavation of at least 1.5 meters from Not Applicable
the edge and this safety distance is maintained by visible safety chains or mesh that is at Not Applicable
least 1.1 meter high?
Are sloping, shoring, shielding, support and/or benching systems in place for excavations
Excavation

7-5-2-7 Not Applicable Not Applicable

greater than 1.2 meters in depth ?
EHS-007

Are all excavations inspected by the shift manager/leader daily to ensure adequate
7-5-4-2 Not Applicable Not Applicable
prevention/protection measures are in place regarding falls and cave-ins prior any work?

Is a lifting plan (in accordance with the Group Directive), prepared, checked and issued by
8-5-1-2 Yes Yes
a competent authorized person prior to any lifting operation?
Are personnel prohibited to be under suspended loads or between suspended loads and
8-5-2-5 Yes Yes
fixed objects at any time?
No No inspection record submitted by Sub-contractor and
Are all equipment and accessories used for lifting operations uniquely identified, marked
8-5-3-1 No No those are condition physically not meet with Alstom Request for latest inspection result and valid certificate. TAKA
EHS-008

with the safe working load, listed in a register, and subject to formal regular inspections? requirement.
Lifting

Have all lifting equipment and accessories a valid manufacturer’s certificate or thorough
8-5-3-4 No No No report given by Sub-Contractor. Request for valid certificate. TAKA
examination records?
9-5-1-2 Are formal competency checks established for vehicle drivers and for supervisors involved Yes Yes
in vehicle operations?
9-5-1-3.1 Is there effective vehicle segregation from pedestrian traffic with marked pedestrian access Not Applicable
walkways and crosswalks to include signs, barriers, and rules?
9-5-1-3.2 Are there designated parking areas established? Yes Yes
ehicle Movement

Yes
009
 Yes
Are traffic rules clearly displayed throughout the site in signage consistent with the local

Site Vehicle Movement

9-5-1-3.3 Not Applicable
public roads?
Yes
Do all observed vehicle drivers, bankmen, and pedestrians and all people being in vicinity
9-5-1-4 of vehicles wear high visibility clothing/garment in construction areas and  forklift and truck Not Applicable Not Applicable
manoeuvring areas? (Parking lots for employees vehicles are not considered)

Where there is no physical segregation of traffic and pedestrian access ways, do all people
EHS-009

9-5-2-1 not directly involved with vehicle operation maintain a safe distance of at least 2 meters Yes Yes
from the vehicle?
9-5-2-8 Are vehicles not in use safely parked? Yes Yes
Is a Permit to Work issued for work on the track issued by the track operator (e.g. Train
10-5-1-1 Not Applicable Not Applicable
Operating Company, State Railway Company etc.)?
10-5-1-6-1 Is self-protection systematically implemented locally at work-site? Not Applicable
Rail Vehicle Movement

Not Applicable
10-5-1-6-2 Has the risk assessment determined the adapted type of Self-protection to be deployed? Not Applicable

Have "Not-to-Be-Moved" signs been fixed to the end(s) or positioned in-front of the rail
10-5-2-6 Not Applicable Not Applicable Not Applicable
vehicle whenever it is safe to work on the rail vehicle?
Are persons driving rail vehicles, supervising or controlling rail vehicle movements been
10-5-3-1 Not Applicable Not Applicable
subject to formal competence checks?
EHS-010

Are restricted areas, pedestrian/vehicle crossing zones established and made visible
10-5-3-3 through signage and delineation zoning or barriers wherever necessary to separate Not Applicable Not Applicable
circulation of rail vehicles/trains with pedestrians/site vehicles?
Are observed confined spaces identified and clearly signed posted as a confined space
11-5-1-2 Not Applicable Not Applicable
forbidden to unauthorized personnel and prevented from unauthorized entry?
11-5-1-6-1 Are permits to work issued for all non-routine activities in a confined spaces taking into Not Applicable
account the risk assessment and method statement?
Are all routine activities in a confined spaces covered by a specifically designed Safe Not Applicable
11-5-1-6-2 System of Work and personal authorization? Not Applicable
Exception - routine activity covered by a specifically designed Safe System of Work and
personal authorization defined by Sector to do this without PTW. Not Applicable
Confined Spaces

Are tests carried out before starting work, during work and after work to verify that the
11-5-2-2 Not Applicable Not Applicable
confined space's atmosphere is fit for safe work?
Is a watcher present for all work in a confined space?
11-5-2-6 Are adequate means of communication in place enabling easy and clear communication Not Applicable Not Applicable
EHS-011

during work in confined space?

Is necessary rescue equipment ready in case of emergency during a work in a confined
11-5-3-1 Not Applicable Not Applicable
space and periodically inspected?
Sum of "Yes" 24 20 3
Sum of "No" 7 7 4
Sum of "Not applicable" 31 23 4
 Directive Question
N° Field
requirement Audit Question Recommendations for the Auditors
Observation
number
EHS-001 5.2.1 1-5-2-1.1 Have all high risk activities been identified? Ask for a list of high risk activities concerning the location. The site or location should have these in some sort of list form to adequately
manage the high risks and ensure they have included all in the assessments. Validate the list to ensure all general high risk areas are
covered: LOTO, moving vehicles, working alone, work at height, lifting operations, hot work, work in explosive atmospheres, work on
Y live equipment, confined spaces, scaffold erection modification and dismantling, excavation, exposure to radiation, aquatic works. This
is a yes or no question, and if any high risk is discovered that has not been identified, a "No" should be given.

EHS-001 5.2.1 1-5-2-1.2 Are risk assessments conducted and formally recorded for the To validate this question, hand pick a couple of high risk activities as seen during an initial site walkthrough. Ask to see copies of the
identified high risk activities? Y risk assessments from these activities, which would satisfy the "formally recorded" part of the requirement. If there are examples of
where the site has not conducted a risk assessment, a "No" should be given.
EHS-001 5.3.1 1-5-3-1 Is a Permit to Work used for all non-routine high risk How does the site distinguish between routine and non-routine? Non-routine work is defined precisely in the directive. By opposition,
work/activity? "routine work" is described by work instruction/method statement, and whose risks are covered by Risk mitigation plan and associated
protective and preventive measures. Alstom has had severe accidents relating to work outside of the normal work routine, procedure or
standard. Upon site walkthroughs during the audit, look in detail for validation. Check the PTW file/log for consistency in number and
Y duration of PTW for high risk activities. If the site does not have any non-routine high risk jobs listed under the PTW program, then go
deeper into the risk assessments at jobs that are done as non-routine and any evidence that would classify them as high risk. A "No"
should be given for examples of non-compliance.

EHS-001 5.3.3 1-5-3-3 For PTW on non-routine high risk work/activity, do the permit On a few examples of PTW for non-routine high risk jobs, check if there is any documentation of this inspection. If the inspections are
issuer and receiver (or delegates) physically inspect that defined not done (formally documented which is not forced by the directive), choose one PTW and walk it down in the field to validate. Ask
control measures are implemented for the works covered by the Y them how they proceed and try to understand if it is effectively a common practice. If the inspections are not done, or there are
PTW prior to issuance of PTW? inconsistencies in the implementation of this part of the process, a "No" shall be given.

EHS-001 5.3.4 1-5-3-4 Have all workers working under a PTW for HRAs received a Ask for evidence of this formal briefing (e.g.: presence records) during the walk down in the field and/or ask to people how this briefing
recorded briefing on the control measures stated in the PTW prior was performed. They should be able to tell you who what when where why about the PTW. Recommend there be a spot on the PTW to
to starting work? Y sign off for this step. If there is little or no validation that all affected workers are informed prior to the start of the work, or
inconsistencies in responses talking to workers, then a "No" should be given.
EHS-001 5.5.1 1-5-5-1 Is the Alstom Zero Tolerance policy applied to all high risk Observe during site walk down on HRA being performed. Try to see if there are any deviations (not only on critical but also on simple
activities? requirements) and observe reaction of the management (don't react yourself immediately). Ask about potentially severe events in the
past month and see how the policy was applied. Ask for their disciplinary policy and examples of how they reacted to discovering the
deviation. If there is no formal disciplinary policy developed to the Zero Tolerance policy, then the site should receive a "No". If there is
Y a disciplinary policy, and the site reacts accordingly to deviations, then a "Yes" should be given. Although just because a site has a
disciplinary policy in force does not mean that actions have been taken in the past. Experience dictates that if a disciplinary policy is in
place, there should be examples of where actions have been taken, as some sites might have a policy, but do not impose any
sanctions for violations.

EHS-001 5.5.2 1-5-5-2.1 Does site management monitor the inspection programme Ask for the documentation about this inspection program. If there is little or no evidence that a formal inspection is conducted, or there
covering high risk activities? Y are inconsistencies in the application of this aspect, then the site shall receive a "No". Validate by asking the site to walk through an
inspection. Ask if the management review of the inspection results is recorded.
EHS-001 5.5.2 1-5-5-2.2 Does the high risk inspection program involve contractors if Ask for verification of contractor involvement, talk to the contractors as well. If little or no involvement, or there are inconsistencies
applicable? evidenced, then the site shall receive a "No".
EHS-001 5.5.2 1-5-5-2.3 Are the high risk inspections performed at least weekly? Look at what activities are included in the reports and compare this to the activities performed in the field. Validate the frequency at
which the high risk activities are inspected. On-going activities should be inspected weekly. If there are inconsistencies in the inspected
activities or in the frequency of application of this, the site shall receive a "No".
EHS-002 5.2.3 2-5-2-3 Are there any contractors classified as "Critical Contractors" and This question should be applied to all new contracts, contracts that were put in place after the implementation of EHS-002 Control of
have the Alstom EHS Requirements been included in the contract Contractors directive. For any contracts that go beyond one year or longer term contracts (within 1 year from 1st August 2012), they
standard Terms and Conditions? (Consortium partners are not should be amended to include the Alstom EHS Requirements in the contract terms and conditions. For old contracts, short term
considered as contractors) contracts, the minimum expectation is to review similar set of EHS requirements placed together with contracts. If not existing, a “No”
shall be given. Ask for a list of all contractors on site. Go through list and ask during review if any of these contractors perform high risk
activities. If yes, then ask to see a couple of contracts to validate that the addition of Alstom EHS Requirements have been added to
the contract Terms and Conditions. Check if the appendix "EHS Requirements for Critical Contractors" is attached and enforced by the
contract. If there are inconsistencies in the application of the EHS Requirements to the Terms and Conditions, or there are any
examples where contractors have not been identified as "Critical Contractors", then a "No" shall be given.

EHS-002 5.3.2 2-5-3-2 For Critical Contractors, has a Risk Control Plan been established Identify 2 to 3 high risk activities among those presently performed by critical contractors, or recently finished. Ask for the
and approved prior to the start of work? corresponding Risk Control Plan. Ensure the plan is in line with the definition in the Safety Directive EHS-002: Formal recorded
process, regular joint inspections, written description of the coordination approach and control measures implemented, EHS roles and
responsibilities of Alstom and contractor, and list of works to be undertaken, and risks and measures to control. If no risk control plans
exist for critical contractors or there are inconsistencies the site should receive a "No".

EHS-002 5.3.4 2-5-3-4 Have all contractors received required EHS training prior to start Look for documented detail of what kind of EHS training each contractor (or groups of contractors) should perform, followed by
of work? documented or formal evidence of each training. Evidence of this can then be checked in the field by identifying particular contractors
and then checking the corresponding training records. Ask for the evidence of required training/retraining of the contractor's employees
of 2 or 3 different critical contractors recently on the site. Look for induction training and training related to the risk assessments of the
high risk activities they are or were involved with. If there is inconsistent or non-existent documentation of proof of training, the site shall
receive a "No".

EHS-002 5.3.6 2-5-3-6.1 Have all critical contractors been assigned a competent
operational Supervisor to supervise the work and the contractor?
EHS-002 5.3.6 2-5-3-6.2 Have formal inspections been performed at least montly by the
supervisor assigned to the critical contractor on the EHS
requirements outlined in the contract?
From the list of Critical contractors validate that all critical contractors in use or recently used have been assigned a competent
operational Supervisor to supervise the contract and contractor. If there are gaps where some critical contractors are not under an
Alstom appointed supervisor the site shall receive a "No".
From the list of Critical Contractors identify the respective supervisors and interview at least 2 of them to ask how they perform and
document those periodic inspections. Ask for evidence but the key thing is to be convinced that they really do these inspections in the
Y spirit of the Directive. These inspections shall be at least monthly for longer term contracts, and weekly or so for shorter term contracts.
If there is no documented proof of these inspections, or inconsistencies in the application the site shall receive a "No". If this question is
a "No", then questions 1-5-5-2.1 and 1-5-5-2.3 are also a "No".

EHS-003 5.1.1 3-5-1-1 Prior to servicing and/or maintenance of machines and Validate that the site has a formal LOTO program. Ask to see the LOTO register of where all LOTOs are logged in and controlled from.
equipment, is LOTO implemented? Interview a couple of people authorized to perform maintenance - ask them about how they perform LOTO, may want to have them
walk down a LOTO for you to verify the steps in the process for this question and subsequent LOTO questions. If the site has no formal
Where LOTO cannot be implemented are "effective" means LOTO program or process, or there are inconsistencies found in the application of the process, the site should receive a "No".
utilized for the control of energy and protection of workers and The term "effective" from the directive can be a point that is interpreted differently from site to site and business to business. From an
equipment? auditor perspective we can only audit the original intent of the process to ensure that during service and/or maintenance, workers as
well as equipment are adequately protected while performing the work. This point should be validated by having the site walk through
the alternative process and judge whether or not it does provide adequate protection. There should be a very robust process by which
they verify a zero energy state, as well as methods to prevent energy from being reapplied to the component during the work process.
Y Validate whether or not the site performs alternative methods consistently, that they provide adequate protection, that there is a
verification of zero energy state. Check that a process is in place and formally documented based on a robust Risk Assessment and
method statement which prevent any personal to be exposed to energy from being reapplied. Check that impossibility for Lockout
Tagout implementation is formally documented. If inconsistencies are found, or the auditor feels that the alternative method does not
provide adequate protection, a "No" shall be given..

EHS-003 5.2.2 3-5-2-2 Is there a verification process in place to ensure all sources of
energy have been locked and tagged out prior to work being
started?
When Alstom is not performing the LOTO is a PTW issued by the
concerned 3rd party and earthing is put in place locally.
The best method to ensure all energy sources have been identified and isolated is to have specific energy control procedures
developed for each machine/component/system that could undergo servicing and/or maintenance. Validate the method the site uses to
determine energy isolation points for a particular job or task. For validation have the site walk down a LOTO for a job being done, or
Y one that was done, and review the energy control procedure if is applied : all necessary energy isolating device must be locked to imply
safety.
At least when LOTO is performed by a 3rd party, a PTW must be issued and signed by Alstom.

EHS-003 5.2.4 3-5-2-4 Is the absence of residual energy verified and adapted to the During the LOTO process walk down, validate this by observing the verification of zero energy state for the job being done. Ask for the
specific machine, equipment or job being done? type of verification that is done and the equipment(tool) utilized. Ask for a demonstration from authorized person that has already be
implementing in a LOTO process. This does not have to be on a live circuit, just for them to demonstrate how the checks are
Y performed. Check the risk assessment to see if there are specifics addressing verification of zero energy state prior to work
commencing. If there is no formal verification performed or there are inconsistencies in the verification step, or the verification is not
specific to the job being done, the site shall receive a "No".

EHS-003 5.3.1 3-5-3-1 When Alstom is performing LOTO, is each person working under Sites will vary on how this is accomplished. Some sites issue personal locks to authorized persons, other sites have a bank of locks
a LOTO issued individual locks and unique keys ? individually keyed for use so that no two locks have the same key. The main issue is how the keys are controlled. If the authorized
people working on the job are the only ones who have access to the keys for LOTO removal, then this is validated. However, if there
are multiple people or contractors working on the same job or equipment, ensure that they have a system in place so that removal of
one person or contractor's lock can not provide the means to restore energy prior to all locks being removed from the system or
equipment. If there is inadequate control of locks and keys, in other words if someone else has the key or has access to the key to
remove another authorized person's lock, a "No" shall be given.
EHS-004 5.1.2 4-5-1-2 Is work on equipment rated at or above 1000 VAC or 1500VDC
performed only when the equipment is effectively locked out (no
live work at and above these voltage levels)?
EHS-004 5.3.1 4-5-3-1 Are all electrical rooms, energized panels and electrical cabinets
locked with a specific key or tool and tagged with the signs and
warnings indicating the presence of electrical hazard? If not
reasonably practicable, a restricted area must be demarcated.
EHS-004 5.4.1 4-5-4-1 Are all people who work on or supervise work on electrical
equipment and systems formally authorized by site
management ?
When the authorizarion by Alstom is prohibited by law, is
recorded competence check performed ?
EHS-005 5.1.2 5-5-1-2 Prior to working or supervising work on any machines, have
formal competency checks been performed for all relevant
personnel?
EHS-005 5.1.4 5-5-1-4.1 Does the machinery preventive maintenance program include
documented periodic machinery inspections including machinery
condition, primary and secondary safeguarding systems and
emergency shutdown systems?
EHS-005 5.1.4 5-5-1-4.2 Are there failsafe tests of machinery safeguarding means (except
for radars) performed at least every six months?
EHS-005 5.2.1 5-5-2-1 Is access to dangerous parts of machines prevented during
machine operation ?
EHS-005 5.2.2 5-5-2-2 When changing tools, adjusting, setting up or cleaning a machine,
does the operator switch off the automatic mode, lock the system
with unique key off or, when impossible, use other effective
means such as a remote control box with dead man switch to
prevent starting the machine during these operations?
EHS-005 5.3.5 5-5-3-5 Are all portable machining tools provided with a non-latching ON
switch?
EHS-006 5.1.4 6-5-1-4 Are all personnel working at height or supervising work at height
trained and competent to do so?
EHS-006 5.1.5 6-5-1-5 Is a Permit to Work used for any work at height involving the use
of fall protection? Exception - routine activity covered by a
specifically designed Safe System of Work and personal
authorization defined by Sector to do this without PTW.
EHS-006 5.2.2 6-5-2-2 Are floor/roof openings (including temporary ones) physically
secured to prevent falls?
EHS-006 5.2.3 6-5-2-3 When not protected by collective protection or prevention means,
do all personnel subject to work at height wear full body
harnesses anchored to a secure designated point at all times?
EHS-006 5.3.1 6-5-3-1 Is all equipment used for work at height or fall prevention or
protection listed on a register, uniquely identified and subject to
regular inspections?
EHS-006 5.4.1 6-5-4-1 Are all scaffolding observed with tags displaying evidence of initial
and weekly inspections ?
EHS-007 5.2.6 7-5-2-6.1 For excavations that are over 1.2 meters deep that require access
means (ie they are not very very large and open with sloping
sides) are rigid barriers in place
- with toe boards(or equivalent protection)
- or at least at a distance of 1.5 from the excavation edge
EHS-007 5.2.6 7-5-2-6.2 For excavations that are between 0.5 meters and 1.2 meters are
there
- rigid barriers in place
- or is there a safety distance maintained around the excavation
of at least 1.5 meters from the edge and this safety distance is
maintained by visible safety chains or mesh that is at least 1.1
meter high?
EHS-007 5.2.7 7-5-2-7 Are sloping, shoring, shielding, support and/or benching systems
in place for excavations greater than 1.2 meters in depth ?
EHS-007 5.4.2 7-5-4-2 Are all excavations inspected by the shift manager/leader daily to
ensure adequate prevention/protection measures are in place
regarding falls and cave-ins prior any work?
EHS-008 5.1.2 8-5-1-2 Is a lifting plan (in accordance with the Group Directive),
prepared, checked and issued by a competent authorized person
prior to any lifting operation?
EHS-008 5.2.5 8-5-2-5 Are personnel prohibited to be under suspended loads or
between suspended loads and fixed objects at any time?
To validate this question, you have to interview both maintenance and operational personnel to find out how they perform work, if they
use LOTO or other effective means to perform the work in a zero energy state. Should they have a written program covering electrical
safety, then this could be included, or it could be included in the LOTO procedure itself. If there is any evidence that any live work is
performed at or above this voltage level, the site will receive a "No".
Check all unattended cabinets and rooms during your tour for this requirement. Pay specific attention to if there are open panels,
unlocked electrical rooms and ensure all are labeled with appropriate warnings for voltage level and general warning. If there are
examples of open panels, unlocked doors, or unlabeled equipment without reasonable possibility to have a compliant situation, then
check for restricted area delimited with physical barriers and supported by warning signs around the opened equipment. The site
should be able to explain what constitutes for them not reasonably practicable and then what steps are taken to ensure that physical
Y barriers are implemented and do they have any examples to present.
Specific keys and tools shall be considered as means to prevent access to electrical devices by non electrician
Electrical cabinets/cubicles that contain MCBs i.e. where contact with a live source is impossible must also be locked.
For any other situation the site shall receive a "No".
Validate this questions by asking for authorized employee list and how the authorization is done. This should be a formal certification
document by management stating that the employee, supervisor or manager is trained, competent and authorized to do the work.
Check if the site has some method of informing all workers that there is a requirement to be formally authorised so that persons are
aware that they can not just perform this type of work, then ask workers contractors if they are aware of the requirement to be formally
authorised. If there are any cases where a site person or contractor works without formal authorization, the site shall receive a "No" for
this question.
Select a few operators/maintenance personnel working on machines and their supervisors and check how this requirement is satisfied.
Is there an actual functional performance test given, training or similar? Multiple non-compliance examples would give the site a "No".
Review the preventive maintenance program of a couple of machines selected randomly, and validate how the inspections are
performed, what they check and how it is documented. Check for records of this in the maintenance log book or any other similar
Y recorded system. Talk with the operator and ask him about the daily checks that are described in the operating procedure. Non-
compliance examples will dictate a "No" for the site.
Interview the maintenance or operations manager and ask them to provide documentation of the tests and how often they are done.
This is a simple question and examples of non-compliance will result in a "No"
Check that fail safe test (machine does not start when safety device is not connected) shall be performed less than 6 months (except
for radars):
1) Stop the machine,
2) Disconnect the power supply of the safety device being checked,
3) Try to start the machine
This can expose the auditor to risk, so the auditor must keep their distance and go only where allowed to by the site personnel. To be
checked randomly on a couple of machines in automatic operating mode. Observe during initial site tour the general state of operating
machinery, and maybe you can identify machines you want to look at more closely during this question or topic. Don't hesitate to ask
the operator to show you all the guarding for the machine. Any dangerous part should not have free or normal access. Access should
Y
be restricted by physical barrier, with a safe guarding that can't be removed without tools, or by an automatic interlock such as light
sensor auto shutdown. Check to ensure that all fixed guards are in place as far as the auditor can tell. Multiple non-compliance
examples will require a "No" for this question.
Ask to observe a machine adjustment or tool change and check that operator switch off automatic mode and lock the system with key
off prior starting job. Interview several operators who could perform such operations. If the system is working in a jog mode with a
remote control, check that the remote control has a dead man key switch turned to off and the operator maintains control over the key
Y so as to prevent the machine from starting during these operations. Any non-compliances will result in a "No" for the site.
Check safety measures on portable power tools, especially portable circular saws, grinders and magnetic drilling machines, which must
Y be provided with safeguarding round movable parts. All portable tools must be provided with a non-latching ON switch, which has not to
be bypassed. Any non-compliances will result in a "No" for the site.
Ask for a list of people authorized to work or supervise work at height. There should be formal documentation authorizing people to
work at height, validate this. Check that the training is adapted to the situation (could be specific or a part of general safety training, but
clearly identified). Ask for proof of the training for the people involved. Competency check should include demonstrating the use of
personal fall arrest equipment - ensure this is part of the training personnel receive. Non-compliances with the intent of this question
will result in a "No".
For any working at height situation requiring fall protection observed during your audit, check that affected people involved are working
under a Permit to Work. If it is a routine operation, and no PTW is used, ask to see in detail if there is a system in place define by
Sector that allows under some conditions to work without a Permit to Work. Check that all conditions defined in the system are
respected, (including personal authorisation) and provide effective protection. The system should be clearly authorized by sector EHS
managerment. Any non-compliance with this question results in a "No".
Observe this during your walks through the site. Ask to see specific examples of this in place and what the standard procedure on site
is. Check that physical barriers are used and not just barrier tape. Toe boards must also be utilized as well by directive for falling object
Y prevention. If covers are utilized, have the site verify to you that the cover is designed to adequate strength to prevent collapse, and
also that the covers are physically secured not just placed over holes. Any non-compliance with this question results in a "No".
Collective means refers to installed physical handrails with midrails and toe boards. During walk through of the site, observe all work at
height. Ask to see some places where people are working at height, check that the anchor points are accessible and robust and that
Y personnel are tied off at all times. Focus on heights where the risk is greater above 1 meter. Ladders used for access/egress only will
not require fall protection and would not be a "No". Any non-compliances will result in a "No" for this question.
To validate, ask to see the register (a list of all types of work at height equipment that details the inspection frequency, with the
individual id number for each item). Frequency should be detailed (for example frequency of harness inspection 3 or 6 months
frequency of ladders 6 months etc). Check equipment on site and some Manufacturer's certificates and their validaty (not only
Manyfacturer, it can be done by 3rd part as per directive) and check in the register, including whether scheduled inspections were
performed. Check all scaffolds, portable handrails and mobile platforms for a scaffold tagging/inspection system and check for the last
Y inspection date. When a scaffold, hand rail or a mobile platform is not OK or not inspected in due time, check that access to it is
physically prevented or placed in a situation where it can't be used. Portable ladders would fall under this question. Any major non-
compliances will result in a "No" for this question. Obviously fixed ladders, stairways and fixed guardrail systems are exempt from this.
For evidence that the application of weekly inspection is in place, request detail of the process/procedure or instruction that people are
aware of the requirement for weekly inspection. To validate check weekly inspections displayed inspections tags on all scaffolding.
Y Look for evidence that this is checked by the site management. Any non-compliances will result in a "No" for this question.
Validate during the site walk down. If there are no current examples of excavations, check the site procedure and validate by procedure
and interview. If there are no excavations that will take place at any time, a site procedure will not be required and all 3 questions in this
Y Directive should be a "Yes". Any non-compliance will result in a "No".
Validate during the site walk down. If there are no current examples of excavations, check the site procedure and validate by procedure
and interview. If there are no excavations that will take place at any time, a site procedure will not be required and all 3 questions in this
Directive should be a "Yes". Any non-compliance will result in a "No".
Y
Validate during the site walk down. If there are no current examples of excavations, check the site procedure and validate by procedure
Y and interview. Any non-compliance will result in a "No".
For definition of the vicinity of the excavation ("near the excavation") refer to the requirement 5.4.2 (3 m as a minimum). Any safety
distance defined by the authorized civil engineer must also be considered.
Ask a shift manager/leader how they proceed for this inspection. (alone, or with a team member) and what they do if a problem occurs.
Ask to see documentation. If there are no current excavations, validate by their procedure and interview. Any non-compliance will result
in a "No".
Ask for the 2 most recent lifting operations that were performed and verify that a lift plan was established. Verify that the work was
approved by a competent and authorized person, check the validity of the competent person's credentials - what makes them
authorized by site management to approve lifting operations. Validate the lifting plan's general contents that it follows the outline in the
directive. See this cell's comment for details on the plan requirements. Any non-compliance will result in a "No".
Ask to observe a lifting operation, check that people are attentive to this safety instruction. Verify either by observation or by procedure
if the site is using bankmen when handling is complicated. Consider also that when the directive is saying "no person" it means also no
Y part of a person (arm foot, head etc.) in this situation. Validate the site's procedure as well to ensure it is included by procedure. Any
non-compliance will result in a "No" for this question.
EHS-008 5.3.1 8-5-3-1 Are all equipment and accessories used for lifting operations
uniquely identified, marked with the safe working load, listed in a
register, and subject to formal regular inspections?
EHS-008 5.3.4 8-5-3-4 Have all lifting equipment and accessories a valid manufacturer’s
certificate or thorough examination records?
EHS-009 5.1.2 9-5-1-2 Are formal competency checks established for vehicle drivers and
for supervisors involved in vehicle operations?
EHS-009 5.1.3 9-5-1-3.1 Is there effective vehicle segregation from pedestrian traffic with
marked pedestrian access walkways and crosswalks to include
signs, barriers, and rules?
EHS-009 5.1.3 9-5-1-3.2 Are there designated parking areas established?
EHS-009 5.1.3 9-5-1-3.3 Are traffic rules clearly displayed throughout the site in signage
consistent with the local public roads?
EHS-009 5.1.4 9-5-1-4 Do all observed vehicle drivers, bankmen, and pedestrians and all
people being in vicinity of vehicles wear high visibility
clothing/garment in construction areas and  forklift and truck
manoeuvring areas? (Parking lots for employees vehicles are not
considered)
EHS-009 5.2.1 9-5-2-1 Where there is no physical segregation of traffic and pedestrian
access ways, do all people not directly involved with vehicle
operation maintain a safe distance of at least 2 meters from the
vehicle?
EHS-009 5.2.8 9-5-2-8 Are vehicles not in use safely parked?
Check a complete rack of lifting devices/accessories. Verify that any part is properly tagged and that color coding is respected. Verify
Y also the integrity of the rigging equipment such as slings, chains, shackles, etc. Ask to see the register and how the site knows when an
inspection is due. Non-compliances will result in a "No".
Check some Manufacturer's certificates and their validaty.
Review with local management for one or two typical type of vehicles (for example: forklift, train etc.) how the competency checks are
established, completed and documented. We need to ensure that the training is performed by an accredited source, not necessarily a
3rd party as the site could have system experts on site with reference to vehicle operation. Also, how is the authorization done, who
authorizes them to operate or supervise and does it appear to be valid? These questions all need to be satisfied to be in compliance
with this question. Establishing competency must also include a practical operational test or check to ensure the operator or supervisor
Y is competent. This does not have to be done during the audit, but the auditor should ensure they do operational tests/checks. All
"qualified" vehicle operators and supervisors should be on a register to ensure any necessary follow-up or recertification is performed in
a timely manner. During the site walk through, ask a few operators to see their "license" to operate a vehicle if applicable (all sites may
not issue licenses). Non-compliances result in a "No".
During the site walk through, observe vehicle and pedestrian access ways. Observe the signs and markings on site to ensure they
provide the information needed for access to inform and if necessary warn. Are they clearly marked, do pedestrians and vehicles follow
specified routes and rules (non-compliance with the established routes and rules). Unsegregated vehicle and pedestrian access will be
satisfied if the site has established effective means to control the vehicles and pedestrians by enforcement requirements along with
Y
additional signage to warn personnel and vehicle operators. "Effective" would be validated by evidence of personnel compliance with
the rules. If there are non-compliances regarding the rules, a "No" shall be given.
The problem with inadequate delineated parking areas is the control of vehicles when they park. Parking outside of normal areas
causes traffic flow and pedestrian access problems. Ensure the site has established clearly marked parking areas for vehicles. Ensure
there is ample space to park, and this can be validated by observation. If the parking areas are full and multiple cars and vehicles are
parked "where they can" on their own and are not controlled, then the site has not satisfied this requirement. If there is inadequate
Y
control over improperly parked vehicles when there is ample parking available, then also the site has not met the intent of this question.
The words "where necessary" in the Critical Requirement could lead to interpretation of the rules differently by both auditors and during
implementation.
To be observed on the field. Signs such as stop, speed limit, blind corners, mirrors installed where applicable, yield, pedestrian
crossing, access prohibited, one-way, etc. Ensure there are adequate signs posted, visible so as to effectively inform and/or warn. This
Y will take more judgment from the auditor, but pretty common sense. Numerous non-compliance with the signage and rules may indicate
an inadequate signage program or lack of enforcement. If the auditor deems that the informational and warning signage is inadequate,
a "No" shall be given.
This is a very simple question to answer, and can be validated through observation. Check if high visibility clothing is worn by anyone
exposed to vehicle movement. (i.e. being in a non-pedestrian segregated zone) The intent here is to make people more visible to
vehicle operators. Most sites would have to mandate all personnel to wear high visibility gear anytime they are outside of office areas.
Example: construction sites have a high amount of foot traffic and all personnel would be exposed during the workday at one time or
another. Inside factories the visibility clothing is not compulsory in general. If it is imposed in the site, check whether it is respected.
For trucks and cars, the high visibility clothing is required when the driver exits the vehicle.
To validate this requirement, all personnel must be trained in the rules and adequate enforcement done to ensure pedestrian safety.
Observe in the field. If there are non-compliances with this requirement, a "No" shall be given.
Y
Check the list of site drivers and what infomation they are given about vehicle movement and parking rules.
Observe during the site walk down. Check number of vehicles parked in the correct way (checking that the particular driver has been
recorded as recieveing the site vehicle rules).
Y Check: engine stopped; key removed; brake applied (for heavy vehicles or parking on an incline wheels chocked); all raised parts
lowered to the ground or in a safe position like forks; not blocking emergency access, pedestrian access, fire equipment or electrical
panels. Any non-compliance will result in a "No".
 EHS
AZDP Audit Program
RISK MANAGEMENT
Critical Requirement
FSW - Major Risk Score (%):
100
Site: Date:17-Oct-2014
Overhaul GTG#1 Critical Requirement
Compliance Score (%):
100

Applicable Alstom Group Directive: ALSTOM-EHS-001 "Risk Management for High Risk Activities"

Definition: Refer to Group Directive for definitions of "Permit to Work (PTW), "Non-routine Work" and "Risk Mitigation Plan"
"High-Risk Activities" are: LOTO, Moving Vehicles, Lifting Operations, Work at Height, Electrical Works, Excavation Works, Scaffolds, Radiation Exposure, Lone
Working, Hot Works, Explosive Atmospheres, Work in Confined Spaces, Aquatic Works.

Question's 1-5-2-1.1 and 1-5-2-1.2; and questions 1-5-5-2.1, 1-5-5-2.2 and 1-5-5-2.3 are group questions. If either of the questions for each group is a "No", then the score for the group is "No".

Critical Compliant
Question
Requirement
Alstom Compliance Requirements Compliant
Compliant with Main Findings & Gaps Improvement Actions Responsible
Yes/No/NA Directive
Yes/No/NA

Most high risk activities has been identified but

1-5-2-1.1 Have all high risk activities been identified? Yes 0 0
prevention need to be solved by Sub-contractor.
Yes
Are risk assessments conducted and formally JSA provided by Sub-contractor, and waiting for
1-5-2-1.2 Yes 0 0
recorded for the identified high risk activities? reviewed by ALSTOM.

Is a Permit to Work used for all non-routine high

1-5-3-1 Yes Yes 0 0 0
risk work/activity?

For PTW on non-routine high risk work/activity,

do the permit issuer and receiver (or delegates)
1-5-3-3 physically inspect that defined control measures Yes Yes Simple PTW being provided by Customer. 0 0
Questions

are implemented for the works covered by the

PTW prior to issuance of PTW?
Yes
Have all workers working under a PTW for
HRAs received a recorded briefing on the Daily TBM for each group and PoWRA being
1-5-3-4 Yes Yes 0 0
control measures stated in the PTW prior to implemented.
starting work?
Is the Alstom Zero Tolerance policy applied to
1-5-5-1 Yes Yes 0 0 0
all high risk activities?

Does site management monitor the inspection

1-5-5-2.1 Yes 0 0 0
programme covering high risk activities?

Does the high risk inspection program involve Yes

1-5-5-2.2 Yes 0 0 0
contractors if applicable?
Are the high risk inspections performed at least
1-5-5-2.3 Yes 0 0 0
weekly?
Sum of "Yes" 9 6 1
Sum of "No" 0 0 0
Sum of "Not applicable" 0 0 0
 EHS
AZDP Audit Program

CONTROL OF CONTRACTORS
Critical Requirement
100
Risk Score (%):
Site:FSW - Major Overhaul GTG#1 Date:17-Oct-2014 Critical Requirement
100
Compliance Score (%):
Applicable Alstom Group Directive: ALSTOM-EHS-002 "Control of Contractors"

Definition: A Contractor is a non-Alstom company who, under a contract, subcontract or purchase order, is engaged by Alstom to provide services on Alstom premise(s) or,
under Alstom management, on a customer or third party site(s).
A "Critical Contractor" is a contractor that is exposed to High Risk Activities.

Note: Questions 2-5-3-6.1 and 2-5-3-6.2 are grouped together. If either is a "No" then the score for the group is "No".

Critical Compliant
Question
Requirement
Alstom Compliance Requirements Compliant
Compliant with Main Findings & Gaps Improvement Actions Responsible
Yes/No/NA Directive
Yes/No/NA
Are there any contractors classified as "Critical Contractors" and have the Alstom EHS
Not Not
2-5-2-3 Requirements been included in the contract standard Terms and Conditions? (Consortium 0 0 0
Applicable Applicable
partners are not considered as contractors)
For Critical Contractors, has a Risk Control Plan been established and approved prior to the Not Not
Questions

2-5-3-2 0 0 0
start of work? Applicable Applicable
Not
Not Not
2-5-3-4 Have all contractors received required EHS training prior to start of work? Applicable 0 0 0
Applicable Applicable
Have all critical contractors been assigned a competent operational Supervisor to supervise Not
2-5-3-6.1 0 0 0
the work and the contractor? Applicable Not
Have formal inspections been performed at least montly by the supervisor assigned to the Not Applicable
2-5-3-6.2 0 0 0
critical contractor on the EHS requirements outlined in the contract? Applicable
Sum of "Yes" 0 0 0
Sum of "No" 0 0 0
Sum of "Not applicable" 5 4 1
 EHS
AZDP Audit Program
LOTO
Critical Requirement
100
Risk Score (%):
Site:FSW - Major Overhaul GTG#1 Date:17-Oct-2014 Critical Requirement
100
Compliance Score (%):
Applicable Alstom Group Directive: ALSTOM-EHS-003 "Lockout-Tagout" (LOTO)

Definition (Group Directive): Placement of a lock and tag on the energy isolating device in accordance with an established procedure ensuring that the energy isolating device or the equipment being controlled is isolated until removal lock and tag device.

LOTO - "I Protect My Life - 1-Man, 1-Lock, 1-Key"

Note: Questions 3-5-1-1.1 and 3-5-1-1.2 are grouped together. If either question is a "No", then the group score is a "No".

Critical Compliant
Question
Requirement
Alstom Compliance Requirements Compliant
Compliant with Main Findings & Gaps Improvement Actions Responsible
Yes/No/NA Directive
Yes/No/NA

Prior to servicing and/or maintenance of machines and equipment, is LOTO implemented?

3-5-1-1 Yes Main isolation has been performed by Customer. 0 0
Where LOTO cannot be implemented are "effective" means utilized for the control of Yes
energy and protection of workers and equipment?
Questions

Err:509 Err:509 Err:509 Err:509 Err:509 Err:509

Is there a verification process in place to ensure all sources of energy have been locked Yes
and tagged out prior to work being started? Customer has been invited all contractor to
3-5-2-2 Yes Yes 0 0
When Alstom is not performing the LOTO is a PTW issued by the concerned 3rd party and witness and direct observe isolated panel.
earthing is put in place locally.
Is the absence of residual energy verified and adapted to the specific machine, equipment Earthing done. And busbar has been
3-5-2-4 Yes Yes 0 0
or job being done? dismantled.
When Alstom is performing LOTO, is each person working under a LOTO issued individual Not Not
3-5-3-1 0 0 0
locks and unique keys ? Applicable Applicable
Sum of "Yes" 3 3 1
Sum of "No" 0 0 0
Sum of "Not applicable" 1 1 0
 EHS
AZDP Audit Program
Electrical Safety
Critical Requirement
67
Risk Score (%):
Site:FSW - Major Overhaul GTG#1 Date:17-Oct-2014 Critical Requirement
50
Compliance Score (%):
Applicable Alstom Group Directive: ALSTOM-EHS-004 "Electrical Work"

Definition (Group Directive): Very Low Voltage: less than 50Vac or 120Vdc
Low Voltage: less than 1,000Vac or 1,500Vdc
Medium Voltage: less than 50,000Vac or 75,000Vdc
High Voltage: greater than 50,000Vac or 75,000Vdc

Note: Questions 4-5-2-5.1 and 4-5-2-5.2 are grouped together. If either question is a "No", then the group score is a "No".

Critical Compliant
Question
Requirement
Alstom Compliance Requirements Compliant
Compliant with Main Findings & Gaps Improvement Actions Responsible
Yes/No/NA Directive
Yes/No/NA

Is work on equipment rated at or above 1000 VAC or 1500VDC performed only when the Not Not
4-5-1-2 0 0 0
equipment is effectively locked out (no live work at and above these voltage levels)? Applicable Applicable
Questions

Are all electrical rooms, energized panels and electrical cabinets locked with a specific key
All panel are easily to reach. Unsecured even Request to Sub-Contractor to secure their own
4-5-3-1 or tool and tagged with the signs and warnings indicating the presence of electrical hazard? No No 0
No padlock already there. panel.
If not reasonably practicable, a restricted area must be demarcated.

Are all people who work on or supervise work on electrical equipment and systems formally
All people has been introduced for the
authorized by site management ?
4-5-4-1 Yes Yes Customer restricted area. Even though, room or Ask to Customer for double protection. 0
When the authorizarion by Alstom is prohibited by law, is recorded competence check
panel are easily to be entered.
performed ?
Sum of "Yes" 1 1 0
Sum of "No" 1 1 1
Sum of "Not applicable" 1 1 0
 EHS
AZDP Audit Program
Machine Safety
Critical Requirement
100
Risk Score (%):
Site:FSW - Major Overhaul GTG#1 Date:17-Oct-2014 Critical Requirement
100
Compliance Score (%):
Applicable Alstom Group Directive: ALSTOM-EHS-005 "Machine Safety"

Definition (Group Directive): Machinery - An assembly fitted with or intended to be fitted with a drive system other than directly applied human effort,
consisting of linked parts or components, at least one of which moves, and which are joined together for a
specific application. This includes lifting equipment and mobile work equipment.

Note: Questions 5-5-1-4.1 and 5-5-1-4.2 are grouped together, if either question is a "No", then the group score is a "No".

Critical Compliant
Question
Requirement
Alstom Compliance Requirements Compliant
Compliant with Main Findings & Gaps Improvement Actions Responsible
Yes/No/NA Directive
Yes/No/NA
Prior to working or supervising work on any machines, have formal competency checks
5-5-1-2 Yes Yes 0 0 0
been performed for all relevant personnel?
Does the machinery preventive maintenance program include documented periodic
Not
5-5-1-4.1 machinery inspections including machinery condition, primary and secondary safeguarding 0 0 0
Applicable Not
systems and emergency shutdown systems?
Applicable
Questions

Are there failsafe tests of machinery safeguarding means (except for radars) performed at Not
5-5-1-4.2 0 0 0
least every six months? Applicable
No
Not Not
5-5-2-1-1 Is access to dangerous parts of machines prevented during machine operation ? 0 0 0
Applicable Applicable
When changing tools, adjusting, setting up or cleaning a machine, does the operator switch
off the automatic mode, lock the system with unique key off or, when impossible, use other Not Not
5-5-2-2 0 0 0
effective means such as a remote control box with dead man switch to prevent starting the Applicable Applicable
machine during these operations?
5-5-3-5-2 Are all portable machining tools provided with a non-latching ON switch? No 0 Non-latching ON tools are not available yet. 0 0
Sum of "Yes" 1 1 0
Sum of "No" 1 0 1
Sum of "Not applicable" 4 3 0
 EHS
AZDP Audit Program
WORK AT HEIGHT
Critical Requirement
50
Risk Score (%):
Site:FSW - Major Overhaul GTG#1 Date:17-Oct-2014 Critical Requirement
50
Compliance Score (%):
Applicable Alstom Group Directive: ALSTOM-EHS-006 "Work At Height"

Definition (Group Directive): Work in any place, including a place at or below ground level and roves, where a person could fall a distance liable to cause personal injury. For guidance purposes, as a minimum; all work performed with a potential fall distance of 50 cm or
more shall be considered using formal documented risk assessment to determine whether or not the fall would be likely to cause personal injury. Access and egress to a place of work can also be work at height.
Work at Height does not include stairways or slips or trips on the level.

Critical Compliant
Question
Requirement
Alstom Compliance Requirements Compliant
Compliant with Main Findings & Gaps Improvement Actions Responsible
Yes/No/NA Directive
Yes/No/NA
Are all personnel working at height or supervising work at height trained and competent to
6-5-1-4 Yes Yes 0 0 0
do so?
Is a Permit to Work used for any work at height involving the use of fall protection?
6-5-1-5 Exception - routine activity covered by a specifically designed Safe System of Work and Yes Yes No specific permit issued to Customer. 0 0
personal authorization defined by Sector to do this without PTW.
Questions

No guard rail or hand rail provided on pulling Request to Sub-Contractor to provice more
6-5-2-2 Are floor/roof openings (including temporary ones) physically secured to prevent falls? No No rotor platform. Alstom has requested to install at scaffolding material and competent person to TAKA
No beginning, but no follow up action. install
When not protected by collective protection or prevention means, do all personnel subject
Sub-contractor has only provided full body Request to Sub-Contractor to provide FBH
6-5-2-3 to work at height wear full body harnesses anchored to a secure designated point at all Yes Yes TAKA
harness with single lanyard. inspection result.
times?
No inspection record giver for full body harness. Review Scope of Supply for next project. Alstom
Is all equipment used for work at height or fall prevention or protection listed on a register,
6-5-3-1 No No Material scaffolding not meet with ALSTOM should present competent person from other TAKA
uniquely identified and subject to regular inspections?
requirement. sources.
Review Scope of Supply for next project. Alstom
6-5-4-1 Are all scaffolding observed with tags displaying evidence of initial and weekly inspections ? No No No competent inspector available on site. should present competent person from other TAKA
sources.
Sum of "Yes" 3 3 0
Sum of "No" 3 3 1
Sum of "Not applicable" 0 0 0
 EHS
AZDP Audit Program
Excavation Works
Critical Requirement
100
Risk Score (%):
Site:FSW - Major Overhaul GTG#1 Date:17-Oct-2014 Critical Requirement
100
Compliance Score (%):
Applicable Alstom Group Directive: ALSTOM-EHS-007 "Excavation Works"

Definition (Group Directive): Excavation - Any man-made cut, cavity, trench, or depression in the earth surface that is formed by earth removal and at least 50 cm deep.
Deep Excavation - An excavation deeper than 5 metres. (Note: an exact value cannot be stipulated but generally when working over 5 metres deep the normal methods of wall protection are not sufficient, and in changing these methods further hazards may be introduced).

Critical Compliant
Question
Requirement
Alstom Compliance Requirements Compliant
Compliant with Main Findings & Gaps Improvement Actions Responsible
Yes/No/NA Directive
Yes/No/NA
For excavations that are over 1.2 meters deep that require access means (ie they are not
very very large and open with sloping sides) are rigid barriers in place Not
7-5-2-6.1 0 0 0
- with toe boards(or equivalent protection) Applicable
- or at least at a distance of 1.5 from the excavation edge
Not
For excavations that are between 0.5 meters and 1.2 meters are there Applicable
Questions

- rigid barriers in place

Not
7-5-2-6.2 - or is there a safety distance maintained around the excavation of at least 1.5 meters from Not 0 0 0
Applicable
the edge and this safety distance is maintained by visible safety chains or mesh that is at Applicable
least 1.1 meter high?
Are sloping, shoring, shielding, support and/or benching systems in place for excavations Not Not
7-5-2-7 0 0 0
greater than 1.2 meters in depth ? Applicable Applicable

Are all excavations inspected by the shift manager/leader daily to ensure adequate Not Not
7-5-4-2 0 0 0
prevention/protection measures are in place regarding falls and cave-ins prior any work? Applicable Applicable

Sum of "Yes" 0 0 0
Sum of "No" 0 0 0
Sum of "Not applicable" 4 3 1
 EHS
AZDP Audit Program
LIFTING OPERATIONS
Critical Requirement
50
Risk Score (%):
Site:FSW - Major Overhaul GTG#1 Date:17-Oct-2014 Critical Requirement
50
Compliance Score (%):
Applicable Alstom Group Directive: ALSTOM-EHS-008 "Lifting Operations"
Definition (Group Directive):
Lifting Equipment: Equipment used for lifting or lowering loads and including attachments and accessories used for anchoring, fixing or supporting it.

Critical Compliant
Question
Requirement
Alstom Compliance Requirements Compliant
Compliant with Main Findings & Gaps Improvement Actions Responsible
Yes/No/NA Directive
Yes/No/NA
Is a lifting plan (in accordance with the Group Directive), prepared, checked and issued by
8-5-1-2 Yes Yes 0 0 0
a competent authorized person prior to any lifting operation?
Are personnel prohibited to be under suspended loads or between suspended loads and
8-5-2-5 Yes Yes 0 0 0
Questions

fixed objects at any time?

No No inspection record submitted by Sub-

Are all equipment and accessories used for lifting operations uniquely identified, marked Request for latest inspection result and valid
8-5-3-1 No No contractor and those are condition physically TAKA
with the safe working load, listed in a register, and subject to formal regular inspections? certificate.
not meet with Alstom requirement.

Have all lifting equipment and accessories a valid manufacturer’s certificate or thorough
8-5-3-4 No No No report given by Sub-Contractor. Request for valid certificate. TAKA
examination records?
Sum of "Yes" 2 2 0
Sum of "No" 2 2 1
Sum of "Not applicable" 0 0 0
 EHS
AZDP Audit Program
SITE VEHICLE MOVEMENT
Critical Requirement
100
Risk Score (%):
Site:FSW - Major Overhaul GTG#1 Date:17-Oct-2014 Critical Requirement
100
Compliance Score (%):
Applicable Alstom Group Directive: ALSTOM-EHS-009 "Vehicle Movements"
Definition: Self-propelled equipment and its trailer/wagon/coach used for the carriage of persons, goods, or materials. It includes but is not limited to :
Trucks, Trailers, Pick up, Cars, Mobile handling equipment, Mobile civil works equipment, Mobile working elevated platforms, Forklifts (powered and non powered).

Note: Questions 9-5-1-3.1 through 9-5-1-3.3 are group questions, if any of these are a "No", then the group score is a "No".

Critical Compliant
Question
Requirement
Alstom Compliance Requirements Compliant
Compliant with Main Findings & Gaps Improvement Actions Responsible
Yes/No/NA Directive
Yes/No/NA
Are formal competency checks established for vehicle drivers and for supervisors involved
9-5-1-2 Yes Yes 0 0 0
in vehicle operations?
Is there effective vehicle segregation from pedestrian traffic with marked pedestrian access Not
9-5-1-3.1 0 0 0
walkways and crosswalks to include signs, barriers, and rules? Applicable
9-5-1-3.2 Are there designated parking areas established? Yes Yes 0 0 0
Questions

Are traffic rules clearly displayed throughout the site in signage consistent with the local Not
9-5-1-3.3 0 0 0
public roads? Applicable
Yes
Do all observed vehicle drivers, bankmen, and pedestrians and all people being in vicinity
Not Not
9-5-1-4 of vehicles wear high visibility clothing/garment in construction areas and  forklift and truck 0 0 0
Applicable Applicable
manoeuvring areas? (Parking lots for employees vehicles are not considered)

Where there is no physical segregation of traffic and pedestrian access ways, do all people
9-5-2-1 not directly involved with vehicle operation maintain a safe distance of at least 2 meters Yes Yes 0 0 0
from the vehicle?
9-5-2-8 Are vehicles not in use safely parked? Yes Yes 0 0 0
Sum of "Yes" 4 4 1
Sum of "No" 0 0 0
Sum of "Not applicable" 3 1 0
 RAIL V
Site:

Applicable Alstom Group Directive: ALSTOM-EHS-009 "Vehicle Moveme

Definition: Railway track mounted vehicles/equipment, including but not limited to:
Mobile handling equipment (powered and unpowered), mobile civil works equipment, Road/Rail vehicles, trams,

Note: Questions 10-5-1-6.1 through 10-5-1-6.2 are group questions, if any of these are a "No", then the group sc

Alstom Compliance Requirements

11-5-1-2

11-5-1-6-1
Questions

11-5-1-6-2

11-5-2-2

11-5-2-6

11-5-3-1
 RAIL VEHIC
FSW - Major Overhaul GTG#1

icable Alstom Group Directive: ALSTOM-EHS-009 "Vehicle Movements"

on: Railway track mounted vehicles/equipment, including but not limited to:
handling equipment (powered and unpowered), mobile civil works equipment, Road/Rail vehicles, trams, trains, locomotives

Questions 10-5-1-6.1 through 10-5-1-6.2 are group questions, if any of these are a "No", then the group score is a "No".

Alstom Compliance Requirements

Are observed confined spaces identified and clearly signed posted as a confined space
forbidden to unauthorized personnel and prevented from unauthorized entry?
Are permits to work issued for all non-routine activities in a confined spaces taking into
account the risk assessment and method statement?
Are all routine activities in a confined spaces covered by a specifically designed Safe
System of Work and personal authorization?
Exception - routine activity covered by a specifically designed Safe System of Work and
personal authorization defined by Sector to do this without PTW.
Are tests carried out before starting work, during work and after work to verify that the
confined space's atmosphere is fit for safe work?
Is a watcher present for all work in a confined space?
Are adequate means of communication in place enabling easy and clear communication
during work in confined space?
Is necessary rescue equipment ready in case of emergency during a work in a confined
space and periodically inspected?
Sum of "Yes"
Sum of "No"
Sum of "Not applicable"
 A
IL VEHICLE MOVEMENT
Date:17-Oct-2014

Movements"

cles, trams, trains, locomotives, coaches, wagons, shunting robots, emergency vehicles

the group score is a "No".

Critical Compliant
Question
Requirement
Compliant
Compliant with Main Findings & Gaps
Yes/No/NA Directive
Yes/No/NA
Not Not
0
Applicable Applicable
Not
0
Applicable
Not
Not Applicable
0
Applicable
Not
Applicable
Not Not
0
Applicable Applicable

Not Not
0
Applicable Applicable

Not Not
0
Applicable Applicable
0 0 0
0 0 0
6 5 1
 EHS
AZDP Audit Program

Critical Requirement
100
Risk Score (%):
Critical Requirement
100
Compliance Score (%):

Improvement Actions Responsible

0 0

0 0

0 0

0 0

0 0

0 0
 CO
Site:

Applicable Alstom Group Directive: ALSTOM-EHS-009 "Vehicle Moveme

Definition: A space or structure, above or below ground, that is an enclosed or partially enclosed space, large e
- Limited openings for entry and exit;
- Restricted natural ventilation with an atmosphere that may be hazardous;
- a design not made for continuous occupancy (space comfort, heat, humidity, coldness, darkness…);
Examples: Chamber (boiler furnace, coal bunker, condenser, de-aerator, ducting etc.), tank, vat, silo, pit, pipe, se
Note: a place, cavity which is not a confined space at a time may become one during the construction works, and

Note: Questions 11-5-1-6.1 through 11-5-1-6.2 are group questions, if any of these are a "No", then the group sc

Alstom Compliance Requirements

11-5-1-2

11-5-1-6-1
Questions

11-5-1-6-2

11-5-2-2

11-5-2-6

11-5-3-1
 CONFINE
FSW - Major Overhaul GTG#1

icable Alstom Group Directive: ALSTOM-EHS-009 "Vehicle Movements"

on: A space or structure, above or below ground, that is an enclosed or partially enclosed space, large enough that employ
d openings for entry and exit;
cted natural ventilation with an atmosphere that may be hazardous;
gn not made for continuous occupancy (space comfort, heat, humidity, coldness, darkness…);
es: Chamber (boiler furnace, coal bunker, condenser, de-aerator, ducting etc.), tank, vat, silo, pit, pipe, sewer, underground
place, cavity which is not a confined space at a time may become one during the construction works, and sometimes becom

Questions 11-5-1-6.1 through 11-5-1-6.2 are group questions, if any of these are a "No", then the group score is a "No".

Alstom Compliance Requirements

Are observed confined spaces identified and clearly signed posted as a confined space
forbidden to unauthorized personnel and prevented from unauthorized entry?
Are permits to work issued for all non-routine activities in a confined spaces taking into
account the risk assessment and method statement?
Are all routine activities in a confined spaces covered by a specifically designed Safe
System of Work and personal authorization?
Exception - routine activity covered by a specifically designed Safe System of Work and
personal authorization defined by Sector to do this without PTW.
Are tests carried out before starting work, during work and after work to verify that the
confined space's atmosphere is fit for safe work?
Is a watcher present for all work in a confined space?
Are adequate means of communication in place enabling easy and clear communication
during work in confined space?
Is necessary rescue equipment ready in case of emergency during a work in a confined
space and periodically inspected?
Sum of "Yes"
Sum of "No"
Sum of "Not applicable"
 A
CONFINED SPACES
Date:17-Oct-2014

Movements"

pace, large enough that employees can full bodily or partly (head, torso) enter and perform work, with one or several of the

…);
o, pit, pipe, sewer, underground cable tunnels, fuel oil tanks, chemical storage tanks, drain tanks, de-aerator, etc.
on works, and sometimes become again a confined space. Consequently, the project works/phase/task must anticipate this.

the group score is a "No".

Critical Compliant
Question
Requirement
Compliant
Compliant with Main Findings & Gaps
Yes/No/NA Directive
Yes/No/NA
Not Not
0
Applicable Applicable
Not
0
Applicable
Not
Not Applicable
0
Applicable
Not
Applicable
Not Not
0
Applicable Applicable

Not Not
0
Applicable Applicable

Not Not
0
Applicable Applicable
0 0 0
0 0 0
6 5 1
 EHS
AZDP Audit Program

Critical Requirement
100
Risk Score (%):
Critical Requirement
100
Compliance Score (%):

k, with one or several of the following characteristics:

, de-aerator, etc.
se/task must anticipate this.

Improvement Actions Responsible

0 0

0 0

0 0

0 0

0 0

0 0