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Safety Audit is management tool comprising of a systematic ,periodic and objective evaluation of how well the safety organization, management and equipment are performing, with the aim of helps to safeguard a company’s assets by facilitating management control of safety, health and environmental practices and assessing compliance with established standards
External : These are conducted by a third party Internal : Corporate : By headquarters or personnel from other units of the same company. Self : In –house – by the plant personnel themselves.
plant. . objectives and progress. critical appraisal of all potential hazards involving personnel. and To ensure that OS&H system fully satisfy the legal requirements and those of the company’s written safety policies . services and operation method. To carry out a systematic.
Monitoring of the changes . Identification of possible loss-producing situations Assesment of potential losses associated with these risks Selection of measures to minimise losses Implementation of these measures within the organisation.
Pre-audit activities Key on-sites activities Post-audit activities .
the frequency of . An annual plan will identify a planned audit schedule for the entire organisation. Audits should be conducted according to planned arrangements.
Raw materials . 3.Products .Intermediates . supervisors and workmen ) and contractor’s employees Organization structure. 6. 2. List of products Brief description of the manufacturing process with process flow diagram/block diagram Built-up area and site plan/names of departments Number of company employees ( managers. including SHE function List of chemicals handled: .By-products . 4.Background information to be gathered : 1. 5.
Data to be gathered : 1 2 3 Brief description of major accidents in the past ten years Accident statistics for the last five years – types / cause of accidents and analysis Details of fires / explosions / toxic releases in the last five years .
Key On-site Activities Understanding Management Systems: First of all a working understanding of the industry’s internal safety management system. This step usually includes developing a understanding of : • Factory processes • Internal controls ( both management and engineering) . the set of formal and normal actions taken by the industry is required to be developed.e. i.
• • • • • • • • • Plant organization and responsibilities Compliance parameters and other applicable requirements Any current or past problems The picture of internal management systems is usually drawn from the following sources: Discussions with management personnel. or some combination of the two-in order to have a written description against which audit is to be done. a limited amount of verification testing conducted to help confirm the auditor’s initial understanding The auditor records his or her understanding in a flow chartnarrative. . description. supervisors and works Specially designed internal controls questionnaire Plant visits In some cases.
Assessing Strengths and Weaknesses : In assessing strengths of internal controls. auditors look for the following indications. • Whether factory personnel are trained and experienced • Whether responsibilities at various levels are clearly defined and carefully assigned .
• Whether duties are so divided that these minimize conflicts of interest • Whether authorization systems are in existence • Whether internal verification procedures are in place • Whether protective measures-security systems and alarms are taken • Whether procedures and compliance / exception results are in place For each of the areas assigned. the auditor should ask himself the following questions : * If the facility is doing everything the way they say it happens. is that acceptable ? * Is the facility incompliance with applicable requirements and is the factory adequately protected ? .
the auditor should verify that the actual performance complies with the requirements. the auditor should speed a significant time in verifying the actual performance of the facility.Assessing strengths and weakness is especially important because it determines. how the balance of the audit is to be conducted. The auditor should relatively put less effort during the following step in areas of low risk but having strong internal control. to a great extend. . and with weak internal controls. In addition to assessing the soundness of the internal controls. In areas of high risk. the auditor also makes a judgment about the severity of the risk associated with a particular activity being reviewed. Similarly in areas of high risk and with strong controls. the auditor should conform whether those controls functions effectively. In case of high risk and weak controls.
regulations. Also management systems that appear sound are tested to verify that they work as planned and are consistently effective. Suspected weaknesses in the management system are confirmed in this step. corporate policies and / or other standards.Collecting Audit Evidence : Audit evidence forms the basis on which the team determines compliance with laws. examination of available data. Various work such as record reviews. . observation and interviews with factory personnel are used to gather audit evidence.
toxicity and reactivity information.e. shut-down. personnel injury reports. detailed plant descriptions. such as piping and instrumentation drawings and flow charts: plant procedures for start-up. hazardous incidence report maintenance records such as critical instrumental pressure relief valve tests and pressure vessel inspection and process material characteristics i. normal operation and emergencies. The following points should be examined during review of records: .Record reviews and examination of available data with audit team needs access to applicable codes and standards.
• Method of maintaining records Interview with factory personnel : The auditor asks questions. . both formally and informally. The following points should be kept in mind while interviewing a person.• Completeness and authenticity of records • Purpose and effectiveness of the format and their satisfactory filling-up. • Checking of records and show-up action by never authorities.
hazardous incidence report maintenance records such as critical instrumental pressure relief valve tests and pressure vessel inspection and process material characteristics i. shut-down. The following points should be examined during review of records: . toxicity and reactivity information. detailed plant descriptions.Record reviews and examination of available data with audit team needs access to applicable codes and standards. such as piping and instrumentation drawings and flow charts: plant procedures for start-up. normal operation and emergencies.e. personnel injury reports.
• During interviews.• Interviewing persons is a difficult matter and should be handled properly. . • Sometimes due to various reasons. • The person being interviewed should be kept at ease • The interviewer should create a feeling of trust in the person being interviewed. unnecessary / irrelevant questions should be avoided. • Proper judgments should be used to select a sample of the work force for the interview. • Verify statements by interviewing persons of the same / different levels. • The person should be interviewed at his normal working location. the person is reluctant to provide the required information. persons at the appropriate level. • Information should be collected by interviewing.
Observation : Plant visit. touched or smell. The following points should be kept in mind during a plant visit : • Visit to the plant must be during the normal working condition. The auditor collect evidence through what can be seen. . observation is a significant aspect of safety audit. • Observation on relevant audit elements should be recorded on the spot. heard. • The auditor should develop skills ( keep eyes open ) to make observation of several elements at each location.
• The auditor must check the availability of operating procedures in the plant.• Once sufficient deficiencies relating to a particular item are detected. • The auditor should try to visit some locations under shut down maintenance. construction. • The auditor must make one visit during second shift / holiday to assess conditions and functioning of systems apart from in the general shift. etc. • When sufficient observations ( particularly about acceptable systems ) are made on a particular element during plant visit the auditor should spent less time in document verification of that item. • Safe operating procedures should also be checked. checking of that item at other locations may be stopped. .
The team confirms if there is sufficient evidence to support all findings.Evaluating audit evidence : After the evidence is gathered. evaluate and finalize the tentative audit findings. The audit team sets aside a few hours at the end of the audit to discuss. Findings that may be more significant than individual deficiencies are identified and each finding is summarized in a way that most clearly conveys its significance. . the audit findings and observations are evaluated.
. scope. Then. management of the factory audited and the audit team. Findings are summarized in daily “ warp-up “ meetings.Reporting Audit Findings : During the audit deficiencies or “ findings “ are reported continuously as the auditors and factory personnel interact. information about compliance status. The report should contain objectives. The audit team formally communicates all observations and findings during an ‘ exit ‘ or ‘ close out ‘ meeting between the audit team and the factory personnel. Any ambiguities about the findings are also clarified during the exit meeting. the written audit report is prepared. findings and corrective measures. Sometime a draft report is prepared. methodology. reviewed and commented upon by those directly involved in the audit before a final report is issued. Report reviewers often include the safety department.
The action planning process is initiated as audit findings are identified. Some companies also distribute the report to various levels of the operating and line management communication and distributed to those with a need to know. the safety department. A formal procedure for responding to the audit report is established. The follow-up involves a written or oral inquiry to the status of the planned action. Companies may also incorporates the action plan in the final report. If assigns responsibilities for corrective action. determines potential solutions and prepares recommendations to correct any deficiencies mentioned in the audit report. .Post-audit Activities The final audit report is issued to the chief executive of the company. Or the auditors. and establishes time tables. Action plans are monitored and followed either by the operating management.
Techniques of Information Collection
existing operating/maintenance other work practices, safety systems, protection facilities and control measures. & the Safety existing
Identify potential Health hazards not covered by procedures. Recommend effectiveness systems and hazards.
improvements for of the existing control measures
better procedures, for H&S
of questionnaire. preliminary information through a pre-audit
Preparation of audit checklist.
Opening Meeting with concerned key officials of the Unit. Sample inspection of the plant.
Discussions with key personnel in group and individually to verify existence of the systems/procedures.
Study of important documents and records. Closing Meeting with the senior personnel of the plant to present important observations and recommendations. Submission of the draft report. Submission of the final Safety Audit Report to the Management.
Sequence of Information Collection • Collect preliminary information • Prepare checklist • Conduct audit Plant visit Discussions with plant personnel Record checking .
Preliminary Information • • • • • • Process Products and raw materials Equipment & machines Worker strength Accident statistics Safety systems .
Preliminary Information • • • • • • Process Products and raw materials Equipment & machines Worker strength Accident statistics Safety systems .
Merits of Checklists Serve as reminder Provide directions Allow on-the-spot recording Provide record in case on interruptions Ensure entire coverage Help in follow-up Avoid back tracking and repetitions .
technology. equipment.Preparation of Checklists Decide scope Decide priority Assess hazard potential Evaluate accident history Consider process. etc. Follow logical sequence Explore standardisation option Use all possible inputs .
Inputs for Checklists Preliminary information Statutes Standards and codes of practice Literature Experience and knowledge .
Management Aspects Safety Policy Safety Operating Procedures Safety Organisation Safety Budget Safety Promotion Accident Reporting. Investigation & Analysis Work Permit System Safety of Contractors’ employees First-Aid and Occupational Health Personnel Protective Equipment Safety Training Safety Inspection Safety Audit .
Pipelines And Storage Tanks Electrical Hazards Preventive Maintenance Environment Protection Emergency Preparedness © National Safety Council 2006 .Technical Aspects Work Premises Operational Safety And Procedures Process In-built Safety Handling And Storage Of Hazardous Chemicals Fire And Explosion Hazards Material Handling Pressure Vessels.
Plant Visit Give priority to statutory requirements and minimum safety standards Check availability of PPE. housekeeping etc. guards. warning notices. display. safety manual. fire equipment. Assess functioning of critical systems Record the observations on-the-spot Strike balance between plant visit and record checking Obtain co-operation of plant personnel .
Discussions with Key Personnel Reveal areas of concern and general opinion of interest Probe in detail and provide deeper insights Assess level of safety culture © National Safety Council 2006 .
Conducting Interviews Legitimise the exercise Create trust and establish report Explain purpose and background Eliminate fear of identification Select appropriate level Conduct interviews at the place of work .
Conducting Interviews Minimise questions Use simple and clear language Paraphrase the questions Avoid open-ended questions Avoid aggressive postures Cross-check responses © National Safety Council 2006 .
Record Checking List out in advance documents to be checked Ask only for relevant documents Evaluate format for purpose and effectiveness Check filling-up Assess follow-up action Take help to understand the documents .
Record Checking .
Checklist for Safety Policy Date of declaration of policy Signature of occupier Contends as per guidelines of statutory provisions Approval of statutory authority Publicity Revision or up-dation © National Safety Council 2006 .
Checklist for PPE Identification of PPE needs Provision of PPE Use of PPE Selection of PPE Conformance to Indian Standards System of issue and replacement Storage Inspection and maintenance .
Checklist for Pressure Vessels Design code Hydraulic testing and examination Provision of safety relief valves Calibration and testing of safety relief valves Provision of pressure indicators Log book of pressure vessels Provision of isolation valve Temperature and pressure control .
Safety Audit Technical System .
CRITICAL APPRAISAL OF ALL POTENTIAL HAZARDS INVOLVING PERSONNEL. PLANT. SERVICES AND OPERATION METHODS .Technical Systems One of the objectives of OHS Audits – TO CARRY OUT A SYSTEMATIC.Safety Audit .
Technical Systems 1 GENERAL WORKING CONDITIONS • HOUSEKEEPING • NOISE • VENTILATION • ILLUMINATION .Safety Audit .
Safety Audit .Technical Systems 2 HAZARD IDENTIFICATION AND CONTROL • Identification of hazardous areas • Types of hazards • Steps taken to prevent hazards • Safety interlocks. alarms. trip systems • Periodical testing • Monitoring devices for leakage of hazardous chemicals • Safety audits or HAZOP studies • Major modification to plant/process • Monitoring equipment for checking environmental conditions .
trip systems • Periodical testing • Monitoring devices for leakage of hazardous chemicals • Safety audits or HAZOP studies • Major modification to plant/process • Monitoring equipment for checking environmental conditions .Safety Audit .Technical Systems 2 HAZARD IDENTIFICATION AND CONTROL • Identification of hazardous areas • Types of hazards • Steps taken to prevent hazards • Safety interlocks. alarms.
• System for updating SOPs • WORKERS INFORMED OF THE CONSEQUENCES OF FAILURE TO OBSERVE SOPs • CONTRACTOR WORKERS EDUCATED AND TRAINED TO OBSERVE SAFETY .Safety Audit .Technical Systems 3 STANDARD/SAFE OPERATING PROCEDURES • WRITTEN SOPs AVAILABLE FOR ALL OPERATIONS • WHETHER SOPs DISPLAYED / MADE AVAILABLE TO WORKERS • SOPs PREPARED JOINTLY BY PLANT AND SAFETY DEPT.
Technical Systems 4 WORK PERMIT SYSTEM • TYPES OF WORK PERMIT • HAZARDOUS CHEMICALS HANDLED • ELECTRICAL LOCK OUT / TAG IN .Safety Audit .
Technical Systems 5 Waste Disposal System • • • • Identification of various types of waste Qty. land pollution • System of effluent treatment and whether it is approved by Competent Authority • Use of treated effluent .Safety Audit . less than specified in HWM Rules Disposal modes Systems / measures for controlling air. water.
Technical Systems 6 Personal Protective Equipment (PPE) • • • • • • • • List of required PPE for each area/operation Required PPE is made available to workers Workers trained in proper use of PPE System of issue/replacement of PPE Arrangements for safe storage and custody o Contractor’s workers provided with PPE PPE conform to any standard Responsibility for inspection and maint.Safety Audit . .
• Inspection and maintenance schedules • Plants covered by fire hydrant system • Locations of hydrant points are indicated • Required pressure maintained in the system • Capacity of the dedicated water reservoir . tested and maintained as per relevant std.Technical Systems 7 Fire Prevention and Protection • Locations.Safety Audit . quantity and types of portable fire extinguishers indicated • Fire fighting system and equipment approved.
tested and maintained as per relevant std. • Inspection and maintenance schedules • Plants covered by fire hydrant system • Locations of hydrant points are indicated • Required pressure maintained in the system • Capacity of the dedicated water reservoir . quantity and types of portable fire extinguishers indicated • Fire fighting system and equipment approved.Safety Audit .Technical Systems 7 Fire Prevention and Protection • Locations.
if available System of conducting mock drills Mutual aid scheme Colour coding for pipelines Minor and major fire incidents during last five years Fire incidents are investigated and corrected actions taken .Technical Systems • • • • • • • • • • Power supply and alternate source of supply % Of personnel trained in the use of fire extinguishers Fix or automatic fire fighting installations Fire alarms are adequate and free from obstruction Details of fire department.Safety Audit .
Technical Systems 8 EMERGENCY PREPAREDNESS • • • • • • • • • • On-site emergency plan prepared Frequency of conducting mock drills No.& location of ECRs and assembly points Key personnel identified and informed Suitable and adequate protective and rescue equipment available Emergency communication Alternate power sources identified Medical emergency response system Mutual Aid Scheme member Number of emergency alarm systems .Safety Audit .
Technical Systems 9 Plant Layout and Area Classification • System of classification of hazardous zones • Periodic inspection and preventive maintenance of electrical installation by qualified person • Record is maintained • Plant layout with area classification is displayed .Safety Audit .
inspections and record Earthing arrangements at terminal points where hazardous chemicals and handled through pipes Anti-static charge devices fitted wherever necessary. periodically checked and maintained by qualified person .Technical Systems 10 • • • • • Static Electricity Processes & Equipment generate static charge Such equipment are properly bonded and earthed Electrical resistance for earthing circuits –maintenance.Safety Audit .
piping and vessels operated at pressure • System of ensuring that the working pressure inside a pressure vessel will not exceed the max.Safety Audit . working pressure • Means of isolating pressure vessels or means to prevent rise in pressure • Standards adopted • Details of testing of pressure vessels .Technical Systems 11 Pressure Vessels (Fired and Unfired) • Details of plants.
Safety Audit . equipment or process • It is approved by competent authority • P & I Ds and related documents updated .Technical Systems 12 New Equipment Review • System for effecting any change in existing plant.
Safety Audit .Technical Systems 13 Lifting Machines and Tackle • Lifting machines are marked SWL • Examinations and tests carried out and certified by competent person and documented in prescribed form • Lifting tackles provided wherever required • Trained operators • System of training operators • All lifting machines and tackles maintained in good condition and record maintained .
Safety Audit .Technical Systems 14 MOBILE EQUIPMENT AND VEHICULAR TRAFFIC • Good condition • Trained Drivers • System for identifying these drivers from other drivers • System to assess their standard of driving • Warning signs / signals • Transportation hazards identified and safety measures taken .
Technical Systems 15 ACCESS • Adequate safe access to all workplaces • Accesses in good condition • Drain covers good condition and fitting flush • Oiling and greasing points • Portable access platforms .Safety Audit .
are in good condition • Adequate equipment for material handling • Workers are aware of the hazards • Workers are trained in MMH • Workers follow safe procedures for storage • Contractor workers are trained in safety • Work Permit System • System for preventive & predictive maintenance . etc.Technical Systems 16 MATERIAL HANDLING • Adequate storage facilities • Areas clearly defined • Racks.Safety Audit .
Technical Systems 18 On-site Gas Cylinders Storage Area • Various Gas Cylinders used • Storage facilities • Emergency measures • Valid licences .Safety Audit .
Technical Systems 19. Transportation • • • • • • • Hazardous materials Owned / outside vehicles Loading / Unloading procedures Safety Precautions Specific parking areas TREM Cards Training to drivers .Safety Audit .
Report writing .
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