By Dharmendra.S.

Singh E&ISS,IGCAR

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

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.

To carry out a systematic, critical appraisal of all potential hazards involving personnel, plant, services and operation method; and To ensure that OS&H system fully satisfy the legal requirements and those of the companys written safety policies , objectives and progress.

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. Monitoring of the changes

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

Audits should be conducted according to planned arrangements. An annual plan will identify a planned audit schedule for the entire organisation,the frequency of

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

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 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 ?

Assessing strengths and weakness is especially important because it determines, to a great extend, how the balance of the audit is to be conducted. In addition to assessing the soundness of the internal controls, the auditor also makes a judgment about the severity of the risk associated with a particular activity being reviewed. In areas of high risk, and with weak internal controls, the auditor should speed a significant time in verifying the actual performance of the facility. 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, the auditor should verify that the actual performance complies with the requirements. The auditor should relatively put less effort during the following step in areas of low risk but having strong internal control.

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.

Record reviews and examination of available data with audit team needs access to applicable codes and standards, detailed plant descriptions, such as piping and instrumentation drawings and flow charts: plant procedures for start-up, shut-down, normal operation and emergencies, personnel injury reports, hazardous incidence report maintenance records such as critical instrumental pressure relief valve tests and pressure vessel inspection and process material characteristics i.e. toxicity and reactivity information. The following points should be examined during review of records:

 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.

Record reviews and examination of available data with audit team needs access to applicable codes and standards, detailed plant descriptions, such as piping and instrumentation drawings and flow charts: plant procedures for start-up, shut-down, normal operation and emergencies, personnel injury reports, hazardous incidence report maintenance records such as critical instrumental pressure relief valve tests and pressure vessel inspection and process material characteristics i.e. toxicity and reactivity information. The following points should be examined during review of records:

 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.

SAFETY AUDIT

Techniques of Information Collection

Objectives
Examine

existing operating/maintenance other work practices, safety systems, protection facilities and control measures. & the Safety existing

and fire

Identify potential Health hazards not covered by procedures. Recommend effectiveness systems and hazards.

(H&S) control

improvements for of the existing control measures

better procedures, for H&S

Methodology
Collection
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

Preparation of Checklists
Decide scope Decide priority Assess hazard potential Evaluate accident history Consider process, equipment, technology, 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

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, Pipelines And Storage Tanks Electrical Hazards Preventive Maintenance Environment Protection Emergency Preparedness
National Safety Council 2006

Plant Visit
Give priority to statutory requirements and minimum safety standards Check availability of PPE, fire equipment, safety manual, display, warning notices, guards, housekeeping etc. 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

Safety Audit - Technical Systems

One of the objectives of OHS Audits TO CARRY OUT A SYSTEMATIC, CRITICAL APPRAISAL OF ALL POTENTIAL HAZARDS INVOLVING PERSONNEL, PLANT, SERVICES AND OPERATION METHODS

Safety Audit - Technical Systems

1 GENERAL WORKING CONDITIONS HOUSEKEEPING NOISE VENTILATION ILLUMINATION

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

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

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. 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 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. less than specified in HWM Rules Disposal modes Systems / measures for controlling air, water, land pollution System of effluent treatment and whether it is approved by Competent Authority Use of treated effluent

Safety Audit - 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 Contractors workers provided with PPE PPE conform to any standard Responsibility for inspection and maint.

Safety Audit - Technical Systems

7 Fire Prevention and Protection Locations, 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

Safety Audit - Technical Systems

7 Fire Prevention and Protection Locations, 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

Safety Audit - 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, 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

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 - Technical Systems

10 Static Electricity Processes & Equipment generate static charge Such equipment are properly bonded and earthed Electrical resistance for earthing circuits maintenance, 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

Safety Audit - Technical Systems

11 Pressure Vessels (Fired and Unfired) Details of plants, piping and vessels operated at pressure System of ensuring that the working pressure inside a pressure vessel will not exceed the max. working pressure Means of isolating pressure vessels or means to prevent rise in pressure Standards adopted Details of testing of pressure vessels

Safety Audit - Technical Systems 12 New Equipment Review System for effecting any change in existing plant, equipment or process It is approved by competent authority P & I Ds and related documents updated

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

Safety Audit - 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 - Technical Systems

16 MATERIAL HANDLING Adequate storage facilities Areas clearly defined Racks, etc. 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

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

Report writing