SAFETY AUDIT

GROUP 5

IS 14489 : 1998
DO INSPECTION AUDIT YOURSELF

INTRODUCTION
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 companys assets by facilitating management control of safety, health and environmental practices and assessing compliance with established standards

TYPES OF AUDITS

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.

AUDITS OBJECTIVES

Verify compliance with established standards (regulations, internal policies and industry wise standards of practice ) Identify deviation from designed and planned operating and maintenance procedure and standards Identify plant condition or operating procedures that could lead to an accident and significant losses to life or property Ensure that the plan and operating and maintenance procedures match the design intent and standards

Keep the operating personnel alert to the process hazards Review operating procedures for necessary revisions Seek to identify equipment or process changes that could have introduced new hazards Ultimate application of new technology to existing hazards Review adequacy of safety inspections Look for major risk situations recommend measures to improve overall safety performance of the plant

Methodology in Conducting a Safety Audits

The following activities are carried out in conducting a

safety audit and implementing the audit recommendation

Pre-audit activities Key on-sites activities Post-audit activities

Pre-audit Activities
The safety audit process being with the following activities before the actual onsite audit takes place :

Request by management / identification of industry according to high hazards/high rate of accidents

Scheduling of the audits

Selection of the audit team

Development of an audit plan which includes -Defining the scope of the audit -Selecting priority topics -Modifying the audit protocols -Allocating audit team resources Advance visit to the factory to gather background information and data, administering a questionnaire.

Background information to be gathered :

1. 2.

3. 4.

5. 6.

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, supervisors and workmen ) and contractors employees Organization structure, including SHE function List of chemicals handled: - Raw materials - Products - Intermediates - By-products

Date 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 industrys internal safety management system, i.e. the set of formal and normal actions taken by the industry is required to be developed. This step usually includes developing a understanding of :

Factory processes
Internal controls ( both management and engineering)

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, supervisors and works Specially designed internal controls questionnaire Plant visits In some cases, a limited amount of verification testing conducted to help confirm the auditors initial understanding The auditor records his or her understanding in a flow chartnarrative, description, or some combination of the two-in order to have a written description against which audit is to be done.

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 ?

Collecting Audit Evidence :

Audit evidence forms the basis on which the team determines compliance with laws, regulations, corporate policies and / or other standards. Suspected weaknesses in the management system are confirmed in this step. Also management systems that appear sound are tested to verify that they work as planned and are consistently effective. Various work such as record reviews, examination of available data, observation and interviews with factory personnel are used to gather audit evidence.

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. 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.

Interviewing persons is a difficult matter and should be handled properly. Sometimes due to various reasons, the person is reluctant to provide the required information. During interviews, unnecessary / irrelevant questions should be avoided. The person being interviewed should be kept at ease The interviewer should create a feeling of trust in the person being interviewed. Information should be collected by interviewing, persons at the appropriate level. Verify statements by interviewing persons of the same / different levels. The person should be interviewed at his normal working location. Proper judgments should be used to select a sample of the work force for the interview.

Observation :
Plant visit, observation is a significant aspect of safety audit. The auditor collect evidence through what can be seen, heard, 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. Observation on relevant audit elements should be recorded on the spot. The auditor should develop skills ( keep eyes open ) to make observation of several elements at each location.

Once sufficient deficiencies relating to a particular item are detected, checking of that item at other locations may be stopped. 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. The auditor should try to visit some locations under shut down maintenance, construction, etc. The auditor must make one visit during second shift / holiday to assess conditions and functioning of systems apart from in the general shift. The auditor must check the availability of operating procedures in the plant.

Evaluating audit evidence :

After the evidence is gathered, the audit findings and observations are evaluated. The audit team sets aside a few hours at the end of the audit to discuss, evaluate and finalize the tentative audit findings. The team confirms if there is sufficient evidence to support all findings. 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.

Reporting Audit Findings :

During the audit deficiencies or findings are reported continuously as the auditors and factory personnel interact. Findings are summarized in daily warp-up meetings. 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. Then, the written audit report is prepared. The report should contain objectives, methodology, scope, information about compliance status, findings and corrective measures. Sometime a draft report is prepared, reviewed and commented upon by those directly involved in the audit before a final report is issued. Report reviewers often include the safety department, management of the factory audited and the audit team.

Post-audit Activities
The final audit report is issued to the chief executive of the company. 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. A formal procedure for responding to the audit report is established. The action planning process is initiated as audit findings are identified. If assigns responsibilities for corrective action, determines potential solutions and prepares recommendations to correct any deficiencies mentioned in the audit report, and establishes time tables. Companies may also incorporates the action plan in the final report. Action plans are monitored and followed either by the operating management, the safety department. Or the auditors. The follow-up involves a written or oral inquiry to the status of the planned action.

Audit Elements
The detailed scope of the audit is listed as a series of audit elements in two broad categories :

1 2

Management Systems , and Technical / Hardware Aspects . Under each element a number of sub- elements have been listed. There may be many instances, particularly in small or medium sized plants, where all elements need not be used. Further, for each type of industry (e.g. fertilizer petrochemical, pesticide ) detailed listings /checklists would need to be prepared. Therefore selection of elements and sub-elements should be done using the professional judgment of the auditor, based on the type and size of the industry and other aspects.

Management System
The essential elements of safety management system to be audited are given below : 1
i ) Managements commitment to SHE ii ) Accountability and Responsibility iii ) Implementation iv ) Policy review

Safety, Health & Environment ( SHE ) Policy

Safety and Health Organizational Set-up

i ) Safety Department - Structure - Responsibilities ii ) Occupational Health Services iii ) Safety Committee

Education and Training

i ) Induction training for new employees
-Category -Topics -Duration -Feedback -Methodology ii ) Periodic Training -Category -Topics -Duration -Periodicity -Feedback -Methodology

4 ) Communication / Motivation / Promotion in Safety

i) Safety suggestion scheme ii) Safety competitions - Safety performance - Housekeeping - Safety essay, slogan and poster iii) Display Board information iv) Safety publications v) Safety week / Day celebrations

5 ) Safety Inspections
i) Periodic inspection ii) Routine inspection iii) Special inspection

6)

Accident Reporting, Investigation and Implementation of Recommendations

i) Reportable - Fatal - Serious - Others ii) Non-Reportable iii) Dangerous occurrences / Near misses

7)

Maintenance of Accident Statistics and its Utilization i) Accident rate per 1000 workers employed ii) Frequency rate iii) Severity - Type-wise and cause-wise analysis of accidents

8)
i) ii) -

Safety Audits
External audits Internal audits Self Corporate

9)

Personal Protective Equipments

i) Types and selection ii) Training and motivation iii) Enforcement iv) Maintenance v) Testing

10)

Process / Plant Modification Procedure ( including Technology Change ) Safe Operating Procedure
i) Implementation ii) Review

11)

12)

Work Permit System i) Line breaking ii) Confined space entry iii) Hot work iv) Electrical lockout and tag system v) Excavation vi) Working at height vii) Working on fragile

13) Fire Fighting System

i) Selection of fire fighting equipment ii) Fire fighting procedures iii) Fire fighting team iv) Communication system v) Drills vi) Inspection and maintenance of fire fighting equipments

14) Health and Safety Improvement Plan / Targets

i) Accident / Incident rate reduction ii) Improvement in environmental standards

15 Prevention of Occupational Diseases

i) Identification of areas with potential for occupational diseases ii) Engineering control measures iii) Administrative control measures

16) Work Environment Monitoring System

i) In-plant facilities ii) Assistance from outside organizations

17) Medical Examination

i) Pre-employment ii) Periodical

18) Material Safety Data Sheets

i) Preparation ii) Updates iii) Dissemination

19) Emergency Preparedness Plan ( On-site / offsite )

i) ii) iii) iv) v) vi) Emergency response system Emergency alarm system Mock drills Co-ordination with the local authorities Education of general public Communication with the public

20) Hazardous Waste Treatment and Disposal

i) ii) iii) iii) Incineration of solid waste Efficient treatment Disposal Air pollution control measures

21) Transportation of Hazardous Materials

i) Provision of information ii) Emergency response

22) Hazard Identification

i) ii) iii) iv) v) Checklist What if ? review of operations Hazard and operability study ( Hazop ) Fault Tree Analysis Mond and Dow index

23) Contractor Safety Systems 24) New Equipment Review / Inspection

Technical

Aspects

The essential elements of a technical safety audit are based on the scope of the audit. These may be acted in a particular plant / operation / aspect or may extend to technical safety aspects of the entire factory. The following technical aspects are to be looked in to in detail while carrying out the safety audit.

1)
i) ii) iii) iv) v) vi)

Building and Structures

Location and lay-out Conforming to standards Stability certificate Escape routes and exits Fire-proof construction Lighting arrestor

2)

Operational Safety and Procedures

i) Availability and compliance of operating and safety manuals ii) Control of operating parameters iii) Start-up and shut-down procedures iv) Venting / Scrubbing systems v) Running of emergency equipment during power failure vi) Cleaning and tank entry procedures vii) Work permit systems viii) Precautions against endothermic / exothermic run-away reactions

3) Chemical Process Safety

i) Plant lay out - Separation and isolation, - Drainage, - Enclosed spaces ii) Material compatibility iii) Contamination control iv) Physical facilities v) Inspection and maintenance vi) General containment and controls vii) Instrumentation viii) Piping systems ix) Protective systems ( not quality control) x) Electrical equipment xi) Pressure vessels

xii) Pumps and compressors xiii) Reactions xiv) Venting xv) Interlock devices for critical operations and equipments xvi) Over-pressure: relief devices xvii) Continuous operation of neutralization system and connecting it with diesel generating set in case of power failure xviii) Connecting critical equipment with diesel generating set in case of total power failure xix) Alarm warning system in case of emergency xx) Indication and alarm system for process parameters control xxi) Installation of fail-safe instruments

Handling and Storage of Chemicals

i) Site selection

-Storage area away from buildings or structures , - Distances as per the statutory regulations , - Well ventilated area , - Easy access from the control room
ii) Alarm and indications - High level alarm , - High pressure & high temperature alarms , - Isolation of the tank , -Remote control valve iii) Fencing iv) Distance between two tank

v) Dyke walls with drainage system vi) Display of caution notice vii) Support for above ground tanks viii) Venting ix) Valves x) Level measurement xi) Pumps xii) Sources of ignition xiii) Lighting xiv) Marking of tanks , connections and fittings xv) Gas leakages and control

xvi) Safety valves discharge connection to the neutralization system / flare xvii) Flame proof fittings xviii) Electrical grounding of the vessels and pipe lines xix) Diesel generating set connected to the emergency power supply xx) Minimizing of inventory xxi) Storage of chemicals under low pressure xxii) House keeping xxiii) Fire fighting arrangement and provision of static water

xxiv) Extension of liquid inlet line to avoid static charge xxv) Personal protective equipments xxvi) Hydraulic testing and inspection of pipelines xxvii) Material safety data sheet xxviii) Trem (Transit Emergency ) card xxix) Emergency information panel xxx) Labeling of packaging material xxxi) Loading and unloading procedure xxxii) Transport emergency preparedness xxxiii) Emergency kit / fire fighting equipment

(5) Fire and Explosion hazards

Fire prevention
- No smoking restricted area
-Periodic checking & continuity of ear thing -Prevention of spillages -Accumulation of waste and combustible in process areas -Water sprinklers -Fire alarms -Lightning arrestor -Flame proof fittings -Flame arrestor -Static charge -Fire exits

2-

Fire Protection
-Location and capacity of fire hydrant pump -Booster pump and stand by pump -Hydrant pump starting system and procedure -Static water quantity Layout of lines Space between the hydrants Water jet monitors Hydrant boxes Foam requirement

3- Fire extinguishers :
Testing and certification by competent authorities Fire siren system Fire fighting team Fire fighting training Mutual aid scheme

(6)
i)

Material Handling

Manual handling : Procedures -Handling aids -Condition of material handling areas ii) Lifting machinery and tackles : -Selection -Design criteria -Inspection and testing -Compliance with standards -Periodic checking and maintenance -Storages -Safe working load, identification, markings etc. -Slinging practices

iii) Material Handling procedures :

-Stacking and restacking procedures : -Compliance with standards -Load bearing capacity -Stacking stability -Safe handling procedure for chemicals and explosives -Storage facilities ( adequacy & suitability ) including pallets -Clearance and passages -Provision of aisles

7)

Machine Guarding
i) ii) iii) iv) i) ii) iii) iv) v) vi) vii) viii) ix) x) xi) Types of guards Guarding materials Maintenance of guards Periodic inspection Pressure design of casing Rating of in stream piping Check valves / Control valves Suction piping and over pressure Isolation valve Speed control Design temperature control Leakages Lubrication Reverse flow / rotation Vibration / Alignment

8) Pumps and Compressors

9) Inspection & Testing of Pressure Vessels

i) Schedule and inspection and testing ii) Testing and inspection reports iii) Compliance with standards iv) Inspection and testing of pressure relief valves and rupture discs

10 Personal Protective Equipments

- Selection and suitability i) Proper use ii) Display iii) Inspection and testing iv) Maintenance v) Proper storage

11) Electrical Hazards

i) Area classification ii) Selection and use of electrical appliances iii) Overload and short-circuit devices iv) Power isolation procedures v) Electrical fire-fighting devices vi) Flame proof fittings vii) Lightning arrestor viii) Ear thing / Earth leakage circuit breaker ix) Lock out and tagging procedures

12) Instrumentation
i) Provision and suitability of instrument in process / equipment ii) Instrument calibration procedures iii) Tripping devices for control of process parameters iv) Fail-safe instrumentation procedures v) Periodic maintenance procedures vi) Testing and inspection procedures vii) Checking against response time viii) Effects of humidity and temperature on instruments ix) Back-up procedures x) Checking of air ( quality, pressure, etc )

13) Preventive Maintenance

i) Schedule ii) Maintenance checklist / reports iii) Equipment change-over schedule iv) Review of equipment failures

14) Pollution System

i) Effluent treatment plant ii) Air pollution control and monitoring iii) Hazardous wastes disposal iv) Noise pollution

15)

Emergency Preparedness
i) Organization ii) Emergency planning iii) Emergency control center iv) Escape routes v) Assembly points vi) Evacuation procedures vii) Communication within the plant viii) Identification of hazardous areas ix) Key personnel x) Emergency response equipments xi) First aid and medical facility xii) Communication ( authorities and public ) xiii) Dispersion models xiv) Training and drills

16) Boilers / Furnaces

i) ii) iii) iv) v) vi) vii) Compliance with statutory requirements Feed water piping Steam outlet piping Quality of water Drum water level Maintenance of instrument Gas burner control

viii) ix) x) xi) xii) xiii) xiv) xv) xvi) xvii) xviii) xix) xx) xxi) xxii) xxiii)

Interlocks Shut-off valves Dampers Low pressure, high pressure alarms Pressure and vacuum relief valves Flame arrestor on discharge of relief valves Stack height Emergency relief device Monitoring of stack emission Economizer and super heater Access to control valves Inspection of furnace lining Explosion hazards Fuel control Insulations Measurement of heat stress

17)
i) ii) iii) iv) v) vi)

Hand Tools and Portable Power Tools

Selection Maintenance Quality Storage Guarding Ear thing of portable power tools

18) Lighting / illumination i) Type of lighting ii) Illumination levels iii) Compliance with standards iv) Ratio of contrast v) Glare vi) Maintenance of fixtures and fittings

19) House-keeping
i) Floor surface ii) Cleanliness and tidiness iii) Disposal bins iv) Fencing of dangerous spots and ditches v) Covering of trenches and pits vi) Steps, ladders, staircases, ramps, walkways vii) Passages viii) Drainage ix) Work platforms x) Left over materials xi) Stacking

IMPORTANT ASPECT FOR ACCIDENT PREVENTATION

TO PREVENT ACCIDENT

HAZARD IDENTIFICATION
-HAZOP -HAZAN -FAULT TREE ANALYSIS -EVENT TREE ANALYSIS -DOW INDEX -SAFETY AUDIT -SAFETY INSPECTION

WORK PERMIT SYSTEM

-MECH. MAINTENANCE PERMIT -ELEC. MAINTENANCE PERMIT -HOT WORK PERMIT -COLD WORK PERMIT -VESSEL ENTRY PERMIT -WORK AT HEIGHT PERMIT -ESCAVATION PERMIT -E.T.C. PERMIT

JOB SAFETY ANALYSIS I SAFE OPERATING PRACTICE I TRAINING

170 How is the medical emergency communication with local bodies and other organizations ensured ? Give details. 171 Is any alternate power source identified ? Give details. 172 What is the medical emergency response system ? Give details. 173 Are you a member of any MUTUAL-AID-SCHEME of your area ? If so give details. 174 How many emergency alarm system (s) is / are available ? Give details.

22)

PLANT LAYOUT AND AREA CLASSIFICATION

175 What is the system of classification of hazardous zones in the plant for electrical installations ? Please specify. 176 Whether periodic inspection and preventive maintenance of electrical installations is done by a qualified person and record is maintained ? 177 Whether plant layout with area classification has been displayed at appropriate place (s) ?

THANKS