Safety Audit as per IS 14489.ppt

SAFETY AUDIT
• IS 14489 : 1998
• DO INSPECTION – AUDIT YOURSELF
• By B C Das
1

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 company’s assets by facilitating
management control of safety, health and
environmental practices and assessing
compliance with established standards
2

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.
3

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
4

 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
Audits Objectives
5

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
6

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
7

Pre-audit Activities
 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.
8

Background information to be gathered :
1. List of products
2. Brief description of the manufacturing
process with process flow diagram/block
diagram
3. Built-up area and site plan/names of
departments
4. Number of company /Departments
employees (managers, supervisors and
workmen and contractor’s employees)
9

Background information to be gathered :
1. Organization structure, including
SHE function
2. List of chemicals handled:
– Raw materials
– Products
– Intermediates
– By-products
10

Date to be gathered
1. Brief description of major accidents in
the past ten years
2. Accident statistics for the last five years
– types / cause of accidents and analysis
3. Details of fires / explosions / toxic
releases in the last five years
11

Key On-site Activities
 Factory processes
 Internal controls ( both management and
engineering)
Understanding Management Systems
First of all a working understanding of the industry’s
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 :
12

 Plant organization and responsibilities
 Compliance parameters and other applicable
requirements
 Any current or past problems
 Discussions with management personnel,
supervisors and workers
 Specially designed internal controls
questionnaire
 Plant visits
 In some cases, a limited amount of verification
testing conducted to help confirm the auditor’s
initial understanding
Key On-site Activities
13

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
14

 Whether duties are so divided that these
minimizes 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
15

 Assessing strengths and weakness is important
because it determines, 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.
16

 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.
17

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 --- record reviews, examination
of available data, observation and interviews
with factory personnel are used to gather audit
evidence.
18

 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.
19

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 :
20

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.
21

 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.
22

Observation
 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.
23
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 :

 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.
24
Observation

 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 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. 25
Observation

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.
26

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.
27

Reporting Audit Findings :
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.
28

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. or oral inquiry to the status of the planned
action. 29

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. 30

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.
31

ANNEX – A : (Clauses 2.1 and 4.2.4 )
32
Elements of Occupational Safety
and Health System
(OS&H)

1. Occupational safety & health policy
2. OS&H organizational set-up
3. Education and training
4. In Employees participation OS &H
management
5. Motivation and promotional measures for OS
&H
6. Safety manual and rules. Compliance with
statutory requirements
7. New equipment review / inspection
8. Accident reporting analysis investigation and
implementation of recommendations
33

9. Risk assessment including hazard identification
10. Safety inspections
11. Health and safety improvement plan / targets
12. First aid facilities-occupational health centre
13. Personal protective equipment
14. Good housekeeping
15. Machine and general area guarding
16. Material handling equipment
17. Electrical and personal safeguarding
18. Ventilation, illumination and noise
19. Work environment monitoring system
34

20 Prevention of occupational diseases
including periodic medical examination
21 Safe operating procedures
22 Work permit systems
23 Fire prevention, protection and fighting
system
24 Emergency preparedness plans ( on-site /
off-site)
25 Process / plant modification procedure
35

26 Transportation of hazardous substances
27 Hazardous waste treatment and
disposal
28 Hazardous waste treatment and
disposal
29 Safety in storage and warehousing
30 Contractor safety systems
31 Safety for customers ( including
material safety data sheets )
36

Management System : The essential elements of
safety management system to be audited are given
below :
1 Safety, Health & Environment ( SHE ) Policy
i. Management’s commitment to SHE
ii. Accountability and Responsibility
iii. Implementation
iv. Policy review
37

Management System : The essential elements of
safety management system to be audited are given
below :
2 Safety and Health Organizational Set-up
I. Safety Department
– Structure
– Responsibilities
II. Occupational Health Services
III. Safety Committee
38

3. Education and Training
i. Induction training for new employees
– Category
– Topics
– Duration
– Feedback
– Methodology
ii. Periodic Training
– Category
– Topics
– Duration
– Periodicity
– Feedback
– Methodology
39

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
40

5) Safety Inspections
i. Periodic inspection
ii. Routine inspection
iii. Special inspection
6) Accident Reporting, Investigation and
Implementation of Recommendations
i. Reportable
- Fatal
- Serious
ii. Non-Reportable
iii. First Aid
41

7) Maintenance of Accident Statistics and its
Utilization
i) Accident rate per 1000 workers employed
ii) Frequency rate
iii) Severity
iv) Type-wise and cause-wise analysis of accidents
8) Safety Audits
a) External audits
b) Internal audits
– Self
– Corporate
42

9) Personal Protective Equipments
I. Types and selection
II. Training and motivation
a) Enforcement
b) Maintenance
c) Testing
10) Process / Plant Modification Procedure ( including
Technology Change
43
Annex – A : (Clauses 2.1 and 4.2.4 )

11) Safe Operating Procedure
i. Implementation
ii. Review
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
44

13) Fire Fighting System
a) Selection of fire fighting equipment
b) Fire fighting procedures
c) Fire fighting team
d) Communication system
e) Drills
f) Inspection and maintenance of fire fighting
equipments
14) Health and Safety Improvement Plan /
Targets
a) Accident / Incident rate reduction
b) Improvement in environmental standards
45

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
46

18) Material Safety Data Sheets
a) Preparation
b) Updates
c) Dissemination
19) Emergency Preparedness Plan ( On-site / off-site )
a) Emergency response system
b) Emergency alarm system
c) Mock drills
d) Co-ordination with the local authorities
e) Education of general public
f) Communication with the public
47

48
20) Hazardous Waste Treatment and Disposal
a) Incineration of solid waste
b) Efficient treatment
c) Disposal
21) Air pollution control measures Transportation
of Hazardous Materials
a) Provision of information
b) Emergency response

22) Hazard Identification
a) Checklist
b) “What if ?” review of operations
c) Hazard and operability study ( Hazop )
d) Fault Tree Analysis
e) Mond and Dow index
23) Contractor Safety Systems
24) New Equipment Review / Inspection
49

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) Building and Structures
a) Location and lay-out
b) Conforming to standards
c) Stability certificate
d) Escape routes and exits
e) Fire-proof construction
f) Lighting arrestor 50

2) Operational Safety and Procedures
a) Availability and compliance of operating and
safety manuals
b) Control of operating parameters
c) Start-up and shut-down procedures
d) Venting / Scrubbing systems
e) v) Running of emergency equipment during
power failure
f) Cleaning and tank entry procedures
g) Work permit systems
h) Precautions against endothermic / exothermic
run-away reactions
51
Technical Aspects

3) Chemical Process Safety
i) Plant lay out
a) Separation and isolation,
b) Drainage,
c) Enclosed spaces
ii) Material compatibility
iii) Contamination control
iv) Physical facilities
v) Inspection and maintenance
vi) General containment and controls
vii) Instrumentation
52
Technical Aspects

vii) Piping systems
viii) Protective systems ( not quality control)
ix) Electrical equipment
x) Pressure vessels
xi) Pumps and compressors
xii) Reactions
xiii) Venting
xiv) Interlock devices for critical operations
and equipments
53
Technical Aspects

XV) Over-pressure: relief
XVI) xvii) Continuous operation of neutralization
devices system and connecting it with diesel
generating set in case of power failure
XVII) Connecting critical equipment with diesel
generating set in case of total power failure
XVIII) Alarm warning system in case of emergency
XIX) Indication and alarm system for process
parameters control
XX) Installation of fail-safe instruments
54
Technical Aspects

4) 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
55
Technical Aspects

5) Alarm and indications
i) High level alarm
ii) High pressure & high temperature alarms
iii) Isolation of the tank
iv) Remote control valve
– Fencing
– Distance between two tank
56
Technical Aspects

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
57
Technical Aspects

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
58
Technical Aspects

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 (MSDS)
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
59
Technical Aspects

5) Fire and Explosion hazards
5.1 Fire prevention
a) No smoking restricted area
b) Periodic checking & continuity of ear thing
c) revention of spillages
d) Accumulation of waste and combustible in process areas
e) Water sprinklers
f) Fire alarms
g) Lightning arrestor
h) Flame proof fittings
i) Flame arrestor
j) Static charge
k) Fire exits
60
Technical Aspects

5.2 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
5.3 Fire extinguishers :
– Testing and certification by competent authorities
– Fire siren system
– Fire fighting team
– Fire fighting training 61
Technical Aspects

6) Material Handling
i) Manual handling : Procedures
– Handling aids
– Condition of material handling areas
ii) Lifting machinery and tackles :
– Inspection and testing
– Periodic checking and maintenance
– Storages
– Safe working load, identification, markings
etc.
– Slinging practices
62
Technical Aspects

8) Machine Guarding
i) Maintenance of guards
ii) Periodic inspection
9) Pumps and Compressors : Inspection & Testing
of Pressure Vessels
i) Schedule and inspection and testing
ii) Testing and inspection reports
iii) Design temperature control
iv) Lubrication
v) Vibration / Alignment
63
Technical Aspects

10) Personal Protective Equipments
i) Selection and suitability
ii) Proper use
iii) Maintenance
iv) Proper storage
64
Technical Aspects

11) Electrical Hazards
i) Area classification
ii) Overload and short-circuit devices
iii) Power isolation procedures
iv) Electrical fire-fighting devices
v) Flame proof fittings
vi) Lightning arrestor
vii) Earthing / Earth leakage circuit breaker
viii) Lock out and tagging procedures
65
Technical Aspects

12) Preventive Maintenance
i) Schedule
ii) Maintenance checklist / reports
iii) Review of equipment failures
13) Pollution System
i) Effluent treatment plant
ii) Air pollution control and monitoring
iii) Hazardous wastes disposal
iv) Noise pollution
66
Technical Aspects

14) Emergency Preparedness
a) Organization
b) Emergency planning
c) Emergency control center
d) Escape routes
e) Assembly points
f) Evacuation procedures
g) Communication within the plant
h) Identification of hazardous areas
i) Key personnel
j) Emergency response equipments
k) First aid and medical facility
l) Communication ( authorities / public )
m) Training and drills
67
Technical Aspects

15) Boilers / Furnaces
i) Compliance with statutory requirements
ii) Steam outlet piping
iii) Maintenance of instrument
iv) Interlocks
v) Low pressure, high pressure alarms
vi) Emergency relief device
vii) Monitoring of stack
viii)Access to control
ix) Explosion hazards
x) Measurement of heat stress
68
Technical Aspects

16) Hand Tools and Portable Power Tools
i) Selection
ii) Maintenance
iii) Storage
17) Earthing of portable power tools
i) Lighting / illumination
ii) Illumination levels
iii) Compliance with standards
iv) Glare
69
Technical Aspects

18) House-keeping
i) Floor surface
ii) Cleanliness and tidiness
iii) Disposal bins
iv) Fencing of dangerous spots
v) Covering of trenches and pits
vi) Steps, ladders, staircases, ramps,
walkways
vii) Passages
viii) Drainage
ix) Work platforms
x) Stacking
70
Technical Aspects

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
71

ANNEX- B
(Clause 4.3.3.1)
72
Types of Records to Be Examined
During the Safety Audit

Annex- B : (Clause 4.3.3.1)
1) OS&H policy
2) Safety organizations chart
3) Training records on safety fire and first-aid
4) Record of plant safety inspections
5) Accident investigations reports
6) Accidents and dangerous occurrences-statistics
and analysis
7) Record of tests and examinations of equipments
and structures as per status
8) Safe operating procedure for various
operations
73

9) Record of work permits
10) Record of monitoring of flammable and
explosive substances at work place
11) Maintenance and testing records of fire
detections and fire fighting equipment
12) Medical records of employees
13) Records of industrial hygiene surveys ( noise,
ventilation and levels, illumination levels,
airborne and toxic substances, explosive gases )
14) Material safety data sheets
15) On-site emergency plans and record of Mock
Drills
74

16) Records of waste disposal
17) Records of effluent discharges to the
environment
18) Housekeeping inspection records
19) Minutes of safety committee meetings.
20) Approval of layout and other approval from
statutory authorities
21) Records of any modifications carried out in
plant or process
22) Maintenance procedure records
23) Calibration and testing records
75

24) Shut down maintenance procedures
25) In services inspections manuals, records
including that of materials handling
26) Safety budget
27) Inspection books and other statutory
records
28) Records of previous audits
29) Safety in transportation of hazardous
substances
76

77
Annex- C : (Clause 4.3.3.1)
Safety Audit Questionnaire

Health And Safety Policy
1) Does the organization has a health and safety
policy ? (if yes, please attach one copy )
2) Do you have any corporate safety policy ? ( if
yes, please attach one copy )
3) Who has signed the health safety policy ? (
indicate his position )
4) Whether it is prepared as per guidelines of the
statutory provisions ?
5) When was the safety policy declared and
adopted?
78

6) How many times it has been updated till
now ?
7) Whether the policy is made known to all ?
8) Whether the safety policy was scrutinized
by outside expert agency ?
9) What was the last date of updating ?
10) Does it find a place in the annual report ?
79

80
 Safety & Health Organization
(A) Safety Department
11) Does the factory has a safety department ?
12) If yes, furnish the following information :
i) Head of the safety department :
a) Name
b) Designation
c) Qualification
d) Experience
e) Status
ii) Strength of the safety department including safety
officers and staff.

13) Does the head of safety department / safety
officer report to the chief executive ?
14) How often are the safety officers retrained in
the latest techniques of total safety
management ? What is the frequency of
retraining ?
15) What additional duties the safety officer is
required to do ?
16) What is the power of safety officer vis-à-vis
unsafe condition or unsafe act ?
81

(B) Safety Committee (s)
17) Does the factory has a safety committee (s) ?
Give details of their types, structures and terms
of reference.
18) Is the tenure of the safety committee (s) as per
the status ?
19) How are the members of safety committee (s)
selected ? ( elected / nominated )
20) How often are the meetings of safety committee
(s) held ?
21) What are the subjects ? Are the problems
discussed in the meetings ? ( Attach a copy of
agenda and minutes of the last meetings.) 82

22) How are the recommendations of the
committee (s) implemented ?
23) Are the minutes of the safety committee (s)
meetings circulated among the members ?
24) Are the minutes forwarded to the trade union
(s) and chief executive and occupier?
25) How the management and trade union play
their active roles in supporting and accepting
the committee (s) recommendations
26) How are the safety committee (s) members
apprised of the latest developments in safety,
health and environment ?
83

(c) Safety Budget
27) What is the annual safety budget ?
28) How much percentage is this budget of the total
turnover of the company.
29) How much budget has utilized till date ?
30) Is the safety budget adequate ?
31) How is the safety budget arrived at ?
32) What is the pattern of expenditure for the last
five years?
33) What are the approved sanctions for the
expenditure in this budget ?
34) Does this budget get reflected in the annual
report of the company ?
84

Accident Reporting, Investigation And Analysis
35) 35 Whether the accidents data for the last three
years for reportable and non-reportable
accident available ?
36) Is there any system of classifying and accidents
reported and analyzing the near-miss incidents
and accidents ? Give the details.
37) Are all near-miss incidents and accidents
reported and investigated ?
38) For how many years are the investigation
reports retained?
85

39) By whom the accident statistics and data are
maintained ?
40) How is the top Mgt. apprised of these data ?
41) Is the accident statistics effectively utilized ?
If yes, how ?
42) What nature of injuries occurred during the
last three years?
43) How do you ensure implementation of the
recommendations to avoid the recurrence of
the incidents and accidents ?
86

4) Safety Inspections
44) What type of safety inspections are carried
out and what are their frequency ?
45) Is there any system of internal inspection ?
46) Who does the inspections ?
47) Are the check-list prepared for these
inspections ? (Specify item-wise, for
example, housekeeping, fire protection, etc )
48) To whom the recommendations are
submitted?
87

5) SAFETY EDUCATION AND TRAINING
(A) Training
49) Is there any training department ?
50) Is there any program of induction training ?
51) Mention the duration of induction training for
each category of employees.
52) Whether the assessment of the trainee worker is
done or not ?
53) What infrastructural facilities with audio-visual
support are available for training ?
88

54) Do the programs cover the plant safety
rules, hazard communication and any other
special safety rules or procedures unique to
the plant or specific departments ?
55) Whether the training programs are
conducted in the local language ?
56) Whether visits to safety institution /
organizations are arranged ?
89

(B) Periodic Training / Retraining
57) Are all the employees trained and what is the
frequency of such training ?
58) Do the training programs cover safety and health
aspects and if so how much ( in terms of numbers
of sessions / hours ) ?
59) Do the trained supervisors train their own
employees in safety and health aspects?
60) Is the retraining performed whenever new hazards
/ process changes are followed / introduced ?
61) How are the senior management personnel trained
in safety and health ?
90

62) How many employees have been trained in safety
and health in the last five years ? Give break up
with details.
63) How many man-days / hours are used in training
the employees ?
64) How do you ensure that the training is put to use by
the employees trained in safety and health.
65) What is the training plan for the next two years ?
Give details.
66) What documentation system has been established
regarding safety and health training ?
91

(C) Safety Communication / Motivation /
Promotion
67) Does the factory has safety suggestion scheme ?
Give details.
68) Does your factory participate in National
Awards / Suggestion schemes ?
69) Has your factory been awarded during last five
years ?
70) Are safety contests organized in the factory ?
71) What are the publications of your organization?
Do they include information on safety and
health subjects ? 92

72) Is the literature on safety and health made
available to the employees ?
73) How is the safety and health publicized in your
factory ?
i) Bulletin boards ?
ii) Post serious accidents ?
iii) News letter
iv) Others ? Specify.
74) Does the organization celebrate safety day / week
or organize safety exhibition ?
75) When was the last safety day / week celebrated ?
93

(6) FIRST AID
76) Are adequate number of first aid boxes
provided? Give location details ?
77) Is there any first aid / ambulance room ?
78) Are qualified / trained first aiders available in
each shift ?
79) How many qualified / trained first aiders are
available at each plant / department ?
80) How many persons are trained / given refreshers
training in first aid in a year ?
94

(7) Occupational Health Centre
81) Whether occupational safety and health
center is provided or not ?
82) Does it conform to the provisions of the
existing legislation ?
83) Are the medical Attendants / Doctors
available in each shift ?
84) Is ambulance van available in each shift ?
85) Any liaison with the nearest hospital (s) ?
Give details.
95

(8) General Working Condition
(A) Housekeeping
86) Are all the passages, floors and the stairways in
good condition ?
87) Do you have the system to deal with the spillage
?
88) Do you have sufficient disposable bins clearly
marked and whether these are suitably located ?
89) Are drip trays positioned wherever necessary ?
90) 90 Do you have adequate localized extraction
and scrubbing facilities for dust, fumes and
gases ? Please specify.
96

91) Whether walkways are clearly marked and free
from obstruction ?
92) Do you have any inter-departmental
competition for good housekeeping ?
93) Has your organization elaborated good
housekeeping practices and standards and made
them known to the employees ?
94) Are there any working conditions which make
the floors slippery ? If so, what measures are
taken to make them safe ?
95) Does company have adequate measures to
suppress polluting dust arising out from road
transport ?
97

(B) Noise
96) Are there any machines / processes
generating noise ? Specify
97) Was any noise study conducted ?
98) Which are the areas having high level
noise ?
99) Have engineering and administrative
controls been implemented to reduce
noise exposure below the permissible
limits ?
98

(B) Noise
100) Is there a system of subjecting all those
employees to periodic audiometric test who
work in high level noise areas ?
101) Whether the workers are made aware of
the ill-effects of high noise.
102) Whether any personal protective
equipment along with ear muffs / plugs are
provided and used.
99

(C) Ventilation
103) Whether natural ventilation is adequate or
not ?
104) Whether dust / fumes / hot air is generated in
the process ? Give details.
105) Is there any exhaust dilution ventilation
system in any section of the plant ?
106) Whether any ventilation study has been
carried out in the section (s) to check the
record ?
107) Are periodic / preventive maintenance of
ventilation system carried out and record is
maintained ?
100

108) Does any ventilation system re-
circulate the exhausted air in work
areas ?
109) Is the work environment assessed
and monitored ?
110) Whether personal protective
equipments are given to workers
exposed to dust / fumes and gases ?
Give details.
101

( D ) Illumination
111) Was any study carried out for the
assessment of illumination level ?
112) Is there any system of periodical cleaning
and replacing the lighting fitting / lamps
in order to ensure that they give the
intended illumination level ?
113) Are the workers subjects to periodic
optometry tests and records maintained ?
Give details.
102

Hazard Identification And Control
114) Are all the hazardous areas identified ?
115) What are type of hazards ( physical- noise,
heat, etc and chemical-fire, explosion, toxic
release, etc ) ?
116) What steps have been taken to prevent these
hazards ? Give details.
117) Are there any safety inter-locks, alarms and
trip system ? Give details.
118) Are these tested periodically ? How often ?
Please specify.
103

119) Are there any ambient monitoring devices with
alarms fir leakage of hazardous materials ? Give
details.
120) Are Safety Audit or HAZOP or any other
studies carried out and the recommendations
implemented ? Give details.
121) What has been the major modification done in
plant / process and has the approval of the
competent authority concerned ?
122) What decision and monitoring equipment are
available and used for checking the
environmental conditions in and around the
plant ? Give details.
104

Safe Operating procedures
123) Are written safe operating procedures
available for all operations ?
124) Whether the written safe operating procedures
displayed or made available and explained in
the local language to the workers ?
125) Whether the safe operating procedures are
prepared jointly by the plant and safety
department ?
126) What system is used to ensure that the existing
safe operating procedures are updated ? Give
details.
105
Annex- C : (Clause 4.3.3.1) : Technical Aspect

Safe Operating procedures
127) Have the workers been informed of the
consequences of failure to observe the safe
operating procedures?
128) Are contractor’s workers educated and
trained to observe safety at workplace ?
129) Whether contractor’s workers are permitted
on process / operations ?
106

Work Permit System
130) What necessary type of work permits
exists in your factory ? Give details.
131) What are the hazardous chemicals
handled ?
132) Are the keys for individual locks which
are used for electrical lock outs with the
supervisor concerned ?
107

Waste Disposal System
133) Is identification done for various types of wastes
? Give details.
134) Are these quantities less than those specified by
the hazardous wastes.( Management &
Handling Rules. 1989 ) ?
135) What are their disposal modes ?
136) What are the systems / measures adopted for
controlling air / water / land pollution ?
137) What is the system of effluent treatment plant
and whether it is approved by the competent
authority?
138) How are the treated effluent used ?
108

Personal Protective Equipment ( PPE )
139) Has a list of required PPE for each area /
operation been developed and the required
PPE is made available to the workers ?
140) Are the safety department and the workers
consulted in the selection of PPE ?
141) Have the workers been trained in proper use of
PPE ?
142) What is the system of replacement / issue of
PPE ?
109

Personal Protective Equipment ( PPE )
143) What are the arrangements for safe custody
and storage of PPE provider to the workers
?
144) Are the contractor’s workers provided with
the required PPE ? Who is responsible ?
Give details.
145) Are the PPE conform to any standard ?
Give details.
146) Give the details of PPE and also specify the
responsibility for their inspection and
maintenance ?
110

Fire Protection
147) Indicate on a plant layout the location
number ( quantity ) and types of portable
fire extinguishers available.
148) Are the fire fighting system and equipment
approved, tested and maintained as per
relevant standards ?
149) What is the inspection and maintenance
schedule of the above extinguishers ? Who
performs these functions ?
150) Which areas of the plant are covered by fire
hydrants ? Indicate the locations of the
hydrant points and how the required
pressure maintained in the system and
ensured.
111

151) What is the capacity of dedicated water
reservoir for supply to the hydrants ? What
is the source of water ?
152) i) How is the power supply to the fire
hydrant pump ensured ?
ii) What is the alternate source of supply in
case of supply in case of power failure ? Give
details.
153) Are all personnel conversant with the fire
prevention and protection measures ? Give
details.
154) What percentage of plant personnel and
staff and officers have been trained in the
use of portable fire extinguishers ? Give
details.
112

155) Do you have fixed or automatic fire fighting
installation (s) in any section of your plant ?
156) Are the fire alarms adequate and free from
obstructions ?
157) Do you have fire department ? If yes, give
details.
158) What is the system for conduction mock
drills ? Give details.
159) Do you have any mutual aid scheme with
any of your neighboring industry or any
local organization (s) ?
160) Give details of the existing fire resistant wall
and doors.
113

161) Do you have any system of color coding for all
the pipelines for hazardous chemicals ? Give
details including marking of flow directions.
162) Are there any safe containers for the movement
of small quantities of hazardous chemical ? Give
details.
163) Are all self-closing fire doors in good condition
and free from obstructions ?
164) How many major and minor incidents / fires
were there in the factory during the last five
years ? Give department / plant-wise.
165) Have all the fires / incidents been investigated
and corrective actions taken ? Give break up.
114

Emergency Preparedness
166) Is there an on-site emergency plan for your
factory ? ( attach a copy of the plan )
167) What is the frequency of conducting mock
drills of on-site emergency plan ?
168) What are the number and location of
emergency control centre, assembly points ?
169) Whether emergency team or the key
personnel identified ?
170) Are suitable and adequate protective and
rescue equipment available ? How is the
emergency rescue team trained to use these
equipments ?
115

Emergency Preparedness
171) How is the medical emergency
communication with local bodies and other
organizations ensured? Give details.
172) Is any alternate power source identified ?
Give details.
173) What is the medical emergency response
system ? Give details.
174) Are you a member of any MUTUAL-AID-
SCHEME of your area ? If so give details.
175) How many emergency alarm system (s) is /
are available ? Give details.
116

Plant Layout And Area Classification
176) What is the system of classification of
hazardous zones in the plant for electrical
installations ? Please specify.
177) Whether periodic inspection and preventive
maintenance of electrical installations is done
by a qualified person and record is
maintained ?
178) Whether plant layout with area classification
has been displayed at appropriate place (s) ?
117

Static Electicity
179) Whether the process (s) and equipment
generate and accumulate static charge
have been identified ? Give details.
180) Whether all such equipment are properly
bonded and earthed ?
181) How is electrical resistance for earthing
circuits maintained ? Are periodic
inspections done and recorded?
118

Static Electicity
182) Are adequate earthing arrangement made
at the terminal points where hazardous
chemicals are handled through pipes ?
183) Are anti-static charge devices fitted
wherever necessary ?
184) Whether these devices are periodically
checked and maintained by a qualified
person ?
119

Pressure Vessels ( Fired And Unfired )
185) Give details of the plants, piping and vessels
which are operated at a pressure grater
than the atmospheric pressure ?
186) How is it ensured that the working pressure
inside the pressure vessels / pressure plants
will not exceed their maximum working
pressure for which it is designed ?
187) What means of isolating the pressure
vessels or means to prevent rise in pressure
are installed ?
120

188) What standards / codes of practice are
adopted for design, fabrication, operation
and maintenance of the pressure vessels
and records maintained ?
189) How are the pressure vessels tested ? Give
details.
190) Is there any competent person for testing
these pressure vessels ? Give details.
191) How are the recorded results verified ?
192) Give details of safety devices available for
these pressure vessels ?
193) Whether log book for pressure vessel and
pressure plant has been maintained ?
121

New Equipment Review
194) What is the system for effecting any
change in the existing plant, equipment or
process ? Whether it is approved by the
appropriate competent authority ?
195) Whether the P & I diagrams and other
related documents are updated
accordingly ?
122

Lifting Machines & Tackle
196) Whether all the lifting machines are marked
with their S.W.L. ?
197) Are all the examinations and testes
documented in the prescribed form ?
198) Are all the examinations and tests carried out
and certified by competent person (s) ? Give
details.
199) Are adequate lifting tackles provided at all the
places where it is required ? Give details.
123

Lifting Machines & Tackle
200) Are the trained operators engaged for
operating the equipment ? Give details.
201) What is the system of training such
operators ?
202) Are all the lifting machines and tackles
maintained in good conditions and record
maintained ?
124

Mobile Equipment And Vehicular Traffic
203) Are all the mobile equipment in good
condition ?
204) Are trained drivers engaged for fork-lift
trucks ?
205) What is the system for identifying these
drivers from other drivers ?
206) What system do you adopt to assess their
standard of driving as poor / fair /
satisfactory / good ?
125

Mobile Equipment
And Vehicular Traffic
207) Are there adequate number of
warning signs / signals ?
208) Are the hazards associated with
transportation within the plant
identified and safety measures taken ?
Give details.
126

ACESS
209) Is adequate safe access provided to all
places where workers need to work ?
210) Are all such access in good condition ?
211) Are portable access platforms necessary ?
If yes :
i) Are these sufficient ?
ii) Are these regularly inspected ?
iii) Are these readily available ?
iv) Are these provided with toe-boards and
railing ?
127

ACESS
212) Oiling and greasing points:
i) Are these located and extended to safe place
clear of moving parts ?
ii) Are these easily accessible ?
iii) Are these liable to drip in to walk ways ?
iv) Whether such workers wear trained and
whether they are provided with fit-tight
clothing and register is maintained ?
213) Are all drain covers in good condition and
fitting flush ?
128

Material Handling
214) Are there adequate storage facilities available ?
215) Are these areas clearly defined ?
216) Are all racks and steel ages in good condition ?
217) Have you adequate equipment for handling
materials ?
218) Do the workers know the hazards associated
with manual material handling ?
219) Where manual handling is necessary, are the
workers been trained ?
220) Do they practice this ?
129

Material Handling
221) Do workers follow safe procedures for storage
of materials ?
222) Whether contractor workers are trained in
safety ?
223) What is the system for handling over plant to
the maintenance department and receiving back
?
224) Is the system consistently applied ?
225) What is the system for the preventive and
predictive maintenance and how do you ensure
its effectiveness ? Give details.
130

Tank Storage Vessel Area
226) Whether it is pressure vessel or not ?
227) Give storage vessels designation ( exceeding
threshold quantities specified in MSIHC. Rules
1989 ).
228) Give the names of storage material in each of
them.
229) What are the vessel sizes ( capacity in tones ) ?
230) What is the material of construction for each
vessel and what standards followed in
designing / fabricating the vessel ?
231) What are the operating pressure and
temperature ? 131

232) What are the vessel location ? (Please indicate
on-site plan or plot plan )
233) Indicate whether vessels are above ground /
underground.
234) If any of the tanks string flammable material,
whether electrical installations are flameproof or
not ?
235) Are these storage vessels bunded / dyked ?
236) If yes, what is the capacity of the bunds / dykes ?
132

237) Are the vessels properly bonded and earthed
and whether periodically checked and
record maintained ?
238) How are vessels isolated in the event of a
mishap ?
239) Are the vessels fitted with remotely
controlled isolation valves ?
240) Are vessels provided with emergency vent,
relief valve, bursting disc, level indicator,
pressure gauge, overflow line?
133

241) Where do such vents discharge ?
242) Are the vessel provided with alarms for
high level, high temperature and high
pressure ?
243) Are stand by empty tanks provided for
employing in case of emergencies ?
244) What are the provisions made for fire
fighting / tackling emergency situations
around the storage vessels ?
134

245) Has any consequence analysis been carried
out for these vessels ? (If yes, give details )
246) What periodical testing are carried out on
the vessels to find out the integrity of the
vessels ?
247) Whether these tests are certified by the
approved competent persons ?
248) Whether log sheet are filled up on daily
basis for recording the parameters of these
vessels ?
135

On-site Gas Cylinder Storage Area
249) What are the various gas cylinder used in the
plant ? Give details.
250) What are the storage facilities ?
251) What are the measures taken for combating any
emergency in the cylinders storages area ?
252) Are valid licenses available for storage all these
cylinders ?
253) Whether integrity test certificates are obtained
from the suppliers of the cylinder ?
136

Communication System Adopted in Plant
254) Are public address systems available in all
plant areas ?
255) Are public address systems provided with
uninterrupted power supply ?
256) Whether public address system is checked
periodically for its proper functioning ?
257) Is there any hot line provided to fire station ?
258) What is the means of communicating
emergency in the plant ?
137

Transportation
259) What potentially hazardous materials are
transported to or from the site (including
) ?
260) What modes of transport are used ?
i) Road ?
ii) Rail ?
iii) Pipelines ?
138

ROAD
261) Does the company employ licensed vehicle of
its own / outside sources ?
262) Are the loading / unloading procedures on-site
and safety precautions displayed ?
263) Are loaded tankers or trucks parked in a
specific area on-site ?
264) Do all truck and tanker drivers carry TREM
card or instruction booked ?
265) Do all truck and tanker driver get training in
handling emergencies during transport ?
139

RAIL
266) What hazardous materials are transported
by rail ?
267) Does the company have a direct siding on
site ?
268) Are tankers or other wagons used in
transportation ?
140

Pipelines
269) What material are transported to and
from the site by pipelines ?
270) Are the pipelines underground or over
ground ?
271) Are corrosion protection measures
employed in pipelines ?
272) Whether intermediate booster pumps are
used ?
273) What is the maximum, minimum and
average transfer rates ?
141

Pipelines
274) Are the pipelines extended in the public
domain ?
275) Are the pipelines dedicated for each type
of chemicals ?
276) Are the pipelines fitted with safety
equipment such as leak detectors,
automatic shut-off valves, etc ?
277) What is the frequency and method of
testing of the pipeline ?
278) Is there written procedure for tackling
leakages in pipeline ?
142

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