Caterpillar India Pvt. Limited, Document No: 8.

1 /SOP/02
Building Construction Products, Thiruvallur Date of Revision 03rd Aug 2020
Revision No 01
Evaluating EHS Risks

1.0 Purpose:

To identify significant environmental aspects and its associated impact(s), health and safety
hazards and its associated risk(s) in our operation and to provide necessary control measure to
achieve safe operation without any environmental impacts and injury or illness in our day to day
activity.

2.0 Scope:

All routine and non-routine actives at BCP Tiruvallur.

3.0 Terms & Definitions:

Aspect – Aspects are those elements of a facility's activities that interact with or could impact the
environment or the health and safety of employees and others at the facility. Aspects can include the
inputs and outputs at the facility boundary (e.g., inputs such as purchased chemicals, energy, raw
materials, or outputs such as air emissions, water discharges, waste). There may be certain
environmental aspects that do not fit the input-output model (e.g., spill potential, certain property related
issues).
Impact – Impacts are those effects (either positive or negative) which may result from management of
aspects. Impacts may include injury, monetary, public perception, reputational, sustainability, etc.
Baseline Risk (embedded in tool) - Risk score that was identified during the initial risk assessment.

Residual Risk (embedded in tool) - Remaining risk after controls have been implemented. For
example: “The baseline risk score was 64, once controls were implemented, the risk was re-assessed
and determined to now be 30.”

Environmental Aspect - Environmental aspects are those elements of a facility's activities that interact
with or could impact the environment. Environmental aspects are primarily the environment-related inputs
and outputs at the facility boundary (e.g., inputs such as purchased chemicals, energy, raw materials, or
outputs such as air emissions, water discharges, waste). There may be certain environmental aspects
that do not fit the input-output model (e.g., spill potential, certain property related issues).

Environmental Impacts - Environmental impacts are those effects (either positive or negative) which
may result from management of aspects. Impacts may include monetary, public perception, reputational,
sustainability, etc.

Core Job - Job defined by standard work and is a routine production job.

Non-core Job - Job that is not a routine production job (e.g. maintenance activity) or cannot be defined
by standard work (rework processes).

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 Caterpillar India Pvt. Limited, Document No: 8.1 /SOP/02
Building Construction Products, Thiruvallur Date of Revision 03rd Aug 2020
Revision No 01
Evaluating EHS Risks
Hazard: Source or situation with a potential for harm in terms of injury or ill health, damage to property,
damage to the work place environment, or a combination of these
Hazard Identification: Process of recognizing that a hazard exists and defining its characteristics.

Risk: Combination of the likelihood and consequences of a specified hazardous event occurring
Risk Assessment: Overall process of estimating the magnitude of risk, and deciding, whether or not the
risk is tolerable.

4.0 RESPONSIBILITY

It is the responsibility of Facility Manger to provide adequate resources to department managers for
effective implementation of this element.

It is the responsibility of respective value stream manager, department managers or process owners to
own this process, access the hazards and its risks, aspects and its impacts and update the document as
and when required on the area of operation.

In general, risk assessments/ SFMEAs are conducted and owned by manufacturing engineers and
planners. They use the tool to avoid potential ergonomic and safety risks during the design phase of a
project, operational changes and eliminate known risks from existing processes.

5.0 Procedure

Procedure for Risk Assessment/ SFMEA ---

1. Prioritize SFMEA evaluations

a. Identify the standard jobs in your facility
i. CPS defines a job as what one person does.
ii. If several people do the same job, only one risk assessment is needed.
b. Prioritize the jobs
i. Use “heat “maps (previous injuries – first aid and recordable, near misses, HOP
results, etc.)
ii. Based on facility schedule for VSTs, RIWs, or equipment upgrades.

2. Performing the Risk Assessment

a. Ergonomic Risk Assessment

i. List out each step of the job based on the standard work, if available.
ii. Identify potential hazards – awkward posture of the head/neck, back/shoulders,
hands/wrists, and/or legs/feet; forceful exertions; contact stress of the arms, hands,
wrists, legs, feet; vibration; etc.
iii. Measure risks – weigh the parts, calculate using the NIOSH lifting equation, use a
push/pull gauge, etc.
iv. Take pictures of potential hazards
v. View the job X 2, i.e. across alternate shifts, if applicable.

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 Caterpillar India Pvt. Limited, Document No: 8.1 /SOP/02
Building Construction Products, Thiruvallur Date of Revision 03rd Aug 2020
Revision No 01
Evaluating EHS Risks
b. Safety Risk Assessment
i. List out each step of the job based on the standard work, if available.
ii. Identify potential hazards:
1. Electric shock
2. Eye hazards
3. Fall from height
4. Fire/explosion
5. Heat stress
6. Inhalation/ingestion
7. Laceration
8. Pinch/crush
9. Skin contact
10. Slips/trips/falls
11. Struck by
12. Noise
13. Other
iii. Take pictures of the potential hazards
iv. View the job X 2, i.e. across alternate shifts, if applicable.

3. Scoring the risk assessment:

a. Frequency – how often is the task performed, based on how often each employee
experiences the hazard during a given shift.
i. Frequency factors –
1. Less than once per week
2. Once per shift
3. More than once per shift
4. More than once per hour
5. More than once per minute
b. Severity – the degree of damage an injury or incident can cause
i. Severity ratings
1. Minor property damage or first aid (only) treatment
2. Moderate property damage or medical treatment beyond first aid (without
impairment)
3. Severe property damage or medical treatment with temporary impairment
(restrictions)
4. Medical treatment with permanent impairment
5. Death
c. Probability – measure or estimation of how likely an injury will occur
i. Probability ratings
1. Very Unlikely
2. Unlikely
3. Possible
4. Likely
5. Very likely

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 Caterpillar India Pvt. Limited, Document No: 8.1 /SOP/02
Building Construction Products, Thiruvallur Date of Revision 03rd Aug 2020
Revision No 01
Evaluating EHS Risks
Signification EHS Risk = Frequency X Severity X Likelihood
Based on above calculation, Risk Rating will be divided into 3 categories High risk =>64, Medium risk 25
to 63 rating and low risk below 24 rating.

Risk rating high = 64 or greater

Risk rating medium = 25 to 63
Risk rating low = 24 or less

4. Identifying corrective actions:

a. Hierarchy of controls
i. Elimination
ii. Engineering controls
iii. Safe work practice control
iv. Additional training
v. Personal Protective Equipment

5. SFMEA Maintenance

a. Update the SFMEA when significant modifications or job changes are made:
i. New tooling
ii. New packaging on parts
iii. Workstation changes
iv. Change in layout
b. Update the SFMEA with a New Product Introduction – Manufacturing Engineering.
c. Update the SFMEA when an injury or near miss occurs – Manufacturing Engineering.
d. Store the SFMEAs where they are accessible – Manufacturing Engineering.
e. In general, it shall be updated at minimum once in a year.

Manufacturing engineering will need to provide a baseline measurement of the percent of open “high risk”
elements within the facility.

Each month, an EHS Team member, alongside a manufacturing engineer or planner, will review one (1)
risk assessment (SFMEA) per value stream in order to verify that the risk assessment (SFMEA) is:
• Up-to-date (e.g. reviewed when an incident occurs, updated when process changes occur, etc.)
• Evaluated properly (e.g. an element is rated as medium or low risk when in fact it is a high risk)
• Contains no high-risk elements

Risk Assessment shall be conducted in the attached format – Risk Assessment Template.

02 New SFMEA
(Global).xlsm

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Building Construction Products, Thiruvallur Date of Revision 03rd Aug 2020
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Evaluating EHS Risks
Dynamic Risk Assessment:
All non-routine activity/ nonstandard work to undergo dynamic risk assessment.
A dynamic risk assessment is an important step in protecting employees when carrying out any form of
non-standard work and it helps us focus on the risks that have the potential to cause real harm. In many
instances, straightforward measures can readily control risks and protect employees.

There are 5 steps to a risk assessment:

1. What are the work tasks?

2. Identify the risks – what are the hazards, who might be harmed and how?
3. Evaluate the risk and decide on controls
4. Record your findings
5. Review your findings

The Dynamic Risk Assessment does not require a calculation of the risk rating. It does, however, require
the assessor(s) to concentrate on the significant hazards, the associated risks and controls to reduce the
risk.

The dynamic risk assessment should be completed by a competent person, it must be a process owner
and involve the cross-function team person(s) including ME/ Quality/ Maintenance/ EHS or other
department as required for completing the work. The process owner maintains the records for audit
purpose.

The purpose of the dynamic risk assessment:

• Identify the significant hazards
• Associated risks
• Eliminate or control the risk

The dynamic risk assessment process involves the completion of 3 parts:

1. STOP - Before commencing work do you fully understand the scope of the work and are you
capable of carrying out the work safely.

2. THINK - Identify all the potential hazards on the form. Circle all the significant hazards identified
that in your opinion do not have enough controls.
1. What are the work tasks
2. Identify the risks – what are the hazards, who might be harmed and how?
3. Evaluate the risk and decide on controls.
Always Ask - Are you and your colleagues safe. If you have circled a significant hazard that you
consider not to have sufficient controls, then you and your colleagues are not safe

3. ACT / IMPLEMENT -. Assess the significant hazards and associated risks and apply control
measures to remove, reduce or minimise the risk. Do not carry out the work if at any time you feel
you can't control the hazards or risks.
1. Record your findings
2. Review your findings

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Revision No 01
Evaluating EHS Risks

Aspect Impact Assessment:

Procedure for Aspect Impact Assessment:

A team, consisting of members identified by HODs representing all functional areas will initially identify
and list the aspects related to all the activities, products or services of the organization in legal, normal,
abnormal and emergency situations. The selected aspects will be large enough for meaningful
examination and small enough to be sufficiently understood.

Annexure A illustrates the process flow for aspects and impacts assessment.

Evaluation of significant impacts will be facilitated by the following criteria:

1. Weightage score
2. Emergency situations
3. Legal compliance
4. Resource saving potential

The relationship between Environmental Aspects and their Environmental Impacts is one of
cause & effect.

An Environmental aspect refers to any element of an organization’s manufacturing activities. It

could have either a beneficial or an adverse effect on the environment.

An environmental aspect could be fumes emission, discharge of chemical waste, consumption of

material, reuse of material, generation of noise, potential for accidental spillages, etc. Respective
Department Head shall record all the aspects and impacts with their evaluation ratings where
applicable, in the “Environmental Aspects & Impacts Identification Form” as per the steps given
below:

Classification of Aspects into N / A / E:

Identify each aspect for NORMAL / ABNORMAL / EMERGENCY situations.

a) An aspect is considered NORMAL, if its occurrence is within the designed operating functions
or parameters of the activity.
E.g., generation of gases from Forklift, transfer of heat in Heat Treatment, water consumption in
paint booth, noise during Genset operation, etc.
b) An aspect is considered ABNORMAL, if its occurrence is beyond, outside or exceeding the
designed operating functions or parameters of the activity.
E.g., leakage of compressed air from pipes, leakage of coolant / oil from tanks, overflow of oil
from machines, leakage of water from pipes, etc.
c) An aspect is considered to be of EMERGENCY in nature, if its occurrence leads or could lead
to
• Loss of life / damage to assets – internal or external.
• Severe environmental impact
•
E.g., sustained release of LPG from tanks, continuous discharge of untreated wastewater, fire
hazards, etc.

o All aspects classified, as “Emergency” in nature should have Emergency Preparedness

Plan
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Building Construction Products, Thiruvallur Date of Revision 03rd Aug 2020
Revision No 01
Evaluating EHS Risks
o All aspects that are classified as “Emergency” in nature shall be classified as ‘Significant’
and need not be evaluated under SSPD.
Identification of Impacts:
Any change to the environment whether adverse or beneficial, wholly or partially resulting from
the organization’s activities is identified as “environmental impacts”.

Environmental impacts can be one or more of the following:

Soil Contamination:
Caused by spillages of oil / paints / chemicals / effluents, etc., onto the bare, unprotected soil (soil
that is not covered by concrete floor)

Land Contamination:
Caused by leakages of oil / paints / chemicals / effluents, etc., on to the concrete floor.

Water Pollution:
Water pollution caused by discharges / leakages / spillages etc., which may subsequently find
their way either into ground water sources or into water bodies such as seas, rivers, lakes, canals
etc.

Air Pollution:
Air pollution caused by release of pollutants into the ambient air including generation of noise by
machines, equipment’s, etc.

Noise Pollution
Noise pollution caused by the vehicles, machines, generators, and equipments etc by generation
of noise on the above prescribed decibels.

Work Environment:
Spillages of oil / coolant / swarf / wastes, etc., on the concrete / coated floor, affecting the quality
of the surroundings in the immediate vicinity of the work place / work area.

Resource depletion:
The associated aspect causes a depletion of resources, either natural or manmade.
Note that the quantification of the impact by degree or magnitude is considered only during the
Classification and not during the Identification of the impact.

Classification of Impacts:
Impacts can be classified as having:

Legal Concerns:
The nature of the impact is such that it comes under the purview of applicable legislation enacted
to regulate the impact.

Impacts like air pollution, water pollution, soil contamination and noise pollution are to be
captured under Legal Concerns column as “Y” (Yes).

Other impacts like land contamination, work environment, resource depletion are to be captured
under Legal Concerns column as “N” (No).

Any aspect identified as “Y” becomes “significant” and need not be evaluated through “SSPD”.

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Revision No 01
Evaluating EHS Risks

Interested Party Concerns:

If concerns are raised by internal interested parties on aspects having environmental impacts, the
significance of such impacts will be evaluated by the respective department heads. If concerns
are raised by external interested parties on any environmental impact, the same shall be
evaluated by MR-EMS and will be forwarded to the relevant department for incorporating in their
A&I evaluation.

All IPCs are to be captured as “Y” under IPC column but will have to be evaluated through
“SSPD” for rating beyond 60 to conclude the aspect as significant. Otherwise the same is to be
evaluated as “non-significant”.

Resource savings potential

The aspect is related to resource depletion and has a potential for resource saving to the extent
of Rs.25,000/- per annum.

The RSP of a particular aspect is less than Rs.25,000/- p.a., but collectively exceeding
Rs.1,00,000/- within a Unit for the same aspect .

RSP having more than Rs.25, 000/- p.a. to be written as “Y” in the RSP column and the aspect
become “significant”. The same need not be evaluated through “SSPD”.

Evaluation of Aspects through ‘SSPD’:

Analyze all aspects other than those having legal concerns and RSP as “Y” through ‘SSPD’, as
described under “Evaluation Criteria for SSPD Analysis”

5-POINT RATING CRITERIA FOR S x S x P x D ANALYSIS:

S - SCALE is extent or area over which the impact is felt or experienced, due to the aspect.
S - SEVERITY is the magnitude of impact felt by people due to this environmental aspect.
P - PROBABILITY or FREQUENCY of occurrence of this aspect.
D - DETECTION is the extent of time within which the impact of the aspect is detectable.

Aspect being significant or non-significant is decided only through ‘SSPD’ for all impacts not
having a legal concerns / RSP.

Each aspect is rated on a scale of 1 to 5 for four columns viz., Scale, Severity, Probability and
Duration and any aspect carrying a multiplied value of 60 and above is evaluated as ‘significant’.

Any aspect having a severity rating of ‘4’ and above is also evaluated as ‘significant’ irrespective
of ‘SSPD’ value.

Any aspect reaching a ‘SSPD’ value less than 60 and severity value less than 4 is captured as
‘non-significant’.

A soft copy record of all the identified Aspects / Impacts to be updated by individual departments.

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Evaluating EHS Risks
Addition / Alteration to A & I REGISTER:

Any additions with new activities to the already completed ‘A&I Analysis’ are to be captured in a
fresh sheet.

Such sheets added will be streamlined only during periodic reviewing of all aspects once in a
year.

The Aspect impact document shall be updated at minimum once in a year.

Aspect Impact Format – Document

Dynamic Risk
Assessment Sheet.rtf

Aspect Impact
Format.xls

6.0 Records:

1. Risk Assessment/ SFMEA Documents

2. Aspect Impact Assessment Documents
3. Dynamic Risk Assessment

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Building Construction Products, Thiruvallur Date of Revision 03rd Aug 2020
Revision No 01
Evaluating EHS Risks

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 Caterpillar India Pvt. Limited, Document No: 8.1 /SOP/02
Building Construction Products, Thiruvallur Date of Revision 03rd Aug 2020
Revision No 01
Evaluating EHS Risks

Date of Issue Date of Revision Revision Number Changes Released by

01st Jun 2019 01st Jun 2019 00 New Release Balaji Manoharan
03rd Aug 2020 01 Dynamic Risk Balaji Manoharan
Assessment and its
template.

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