This presentation provides an overview of safety audits, their processes, and key auditor attributes, alongside relevant safety standards in India. It emphasizes the distinction between assessments and audits, highlighting the importance of compliance and effective risk management in occupational safety and health systems. Key elements and the structure of an audit, including planning and follow-up, are also detailed, with a focus on continuous improvement and adherence to statutory requirements.

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Safety
Audit
An
overview
Business Management Advisory & Training

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About the presentation:
This presentation will give you an overview of Audit,
Safety Audit, Audit Process and Auditor Attributes.
It also discusses about the different reference
standards in India related to safety audit and will give
you some take home points.

3. www.consultivo.inWhat is Audit?
Part
of
a
Verification
Process
Modes
of
verification
Audit
Assessment
Inspection
Health
Check
of
your
system

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Systematic, independent and documented process for
obtaining audit evidence and evaluating it objectively
to determine the extent to which the audit criteria are
fulfilled
Key Concepts
Audit Requirements
Implementation
CAPA

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Both assessment and audit are ultimately aimed at studying and
evaluation on organization, system, process, project.
An assessment helps to collect and analyze information. Assessments also
present recommendations for decision-­making.
On the other hand, an audit examines if the results are in compliance with
planned arrangements or stated processes. Audit also checks if the planned
arrangements are effective enough to meet the objectives that they were set
for.
An inspection is an evaluation or assessment on products, it
involves measurements or tests to conform the product to meet the
specified requirements and standard.
Key Concepts

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Different Levels of Verification
Excellence
Improvement
Compliance
• Best in
Class
• System
Development
• Elementary

7. www.consultivo.inAudit Features
Audit criteria
Requirements against which audit evidence is
compared
Audit scope
Extent and boundaries of an audit
• Physical locations
• Activities and processes
Audit
findings
Results of the evaluation
• Either conformity or nonconformity

8. www.consultivo.inWhat is Safety Audit
Verifying the existence and
implementation of elements of
occupational safety and health system
and
Verifying the system’s ability to achieve
defined safety objectives.
IS-­14489
In India, Statutory
Requirement for
Hazardous Industries
Frequency:
Every
Year

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Management
Approach
Risk
Orientation
Hazard
Risk
Control
Residual risk
Acceptable risk
-­ Prioritization
-­ Focus on level
of control
Improvement
Management system
P D C A
-­ Finding
-­ CAP
-­ CAP closure
Operational
approach
All safety
element
Level of
• planning
• Implementation
• Monitoring effectiveness
Legal
compliance
-­ Applicability
-­ Implementation
-­ Monitoring
Approach

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Hardware Software
Humanware
Engineering
Procurement
Maintenance
Accident and
incident analysis
Work permit
Health and Hygiene
Emergency
PPE
Leadership
Task observation
Safety depends on

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Legal Stakeholder’s
Standard
Organisation’s
Own
Process
Requirements

12. www.consultivo.inStandards for Safety Audit
National standards
IS
14489:1998
Code
of
Practice
on
Occupational
Safety
&
Health
Audit
31
Elements
Oil
Industry
Safety
Directorate
(OISD)
145
Guidelines on Internal Safety Audits
International standards
• British
5
Star
Audit
• OHSA
• ……….
Support standards
• Indian
Standards
(BIS)
• OISD
Standards
• …..and
many
others

13. www.consultivo.inElements - IS 14489
• Occupational Health and Safety Policy
• OS&H organizational set up
• Education and Training
• Employees participation in OS&H Management
• Motivational and Promotional measures for OS&H
• Safety Manual and Rules
• Compliance with Statutory Requirements
• New Equipment review and inspection
• Accident reporting analysis investigation and
implementation and recommendations
• Risk Assessment includinghazard identification
• Safety inspections
• Health and safety improvement plan/targets
• First aid facilities-Occupational health center
• Personal Protective Equipment
• Good housekeeping
• Machine and general area guarding
• Material handling equipment
• Electrical and Personal safeguarding
• Ventilation, illumination and noise
• Work environment monitoring system
• Prevention of occupational diseases including
periodic medical examination
• Safe operating procedures
• Work Permit systems
• Fire Prevention,Protection and fightingsystems
• Emergency Preparedness plans (onsite/offsite)
• Process Plant modification procedure
• Transportation of hazardous substances
• Hazardous waste treatment and disposal
• Safety in storage and warehousing
• Contractor safety systems
• Safety for customers (including MSDS)

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Plan
Audit
Plan
Audit
Program
Auditor
Checklist
1.Follow Up
Effective
closure
of
finding
4.
Conduct
Auditing
Techniques
Sampling Questioning
Probing Writing
a
finding
Opening
Meeting
Closing
Meeting
2.Report
Review
of
proposed
CAPA
Audit
Report
3.
Who does it?
Auditor
/
Audit
team
Basis of audit?
Audit
criteria
or
requirements
Purpose?
•To
check
compliance
•To
facilitate
improvement
•To
identify
the
risks
Audit Process

15. www.consultivo.inAudit
Outcome
Risk
within
Process
or
System
Non
Conformity
Noteworthy
Effort
Observation
Findings &
Recommendations
Categorization is based on
risk and control

16. www.consultivo.inLifecycle of an Audit Finding
Finding
Identified
Finding
documented
Finding
classified & issued
CA agreedDepartment
applies CA
effectiveness
verified
Finding
closed out
Department investigates
& quantifies
Department finds
root cause
Department determines
Corrective Action (CA)
Risk assessment

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Auditor
Person with the
competence to
conduct an audit
Competence
Ability to perform

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Fundamental
Knowledge
• Standards
(Audit
Criteria)
• Auditing
Techniques
Specific
Knowledge
• Occupational
Health
&
Safety
• Legal
Requirements
• Process
&
Industry
Personal
Attributes
• Professional
Qualities
• Team
Work
Auditor’s
Attribute
Auditor

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• Safety Audit is
• Risk Management tool for any organization
• Improvement tool for any organization
• Any safety audit must have both management & operational
approach
• Safety Audit (as per IS 14489) is mandatory for hazardous
Industries
• Findings must be focused towards Lack of Control, not only non-­
compliance
Take Home Points

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consulting firm helping global businesses in the
areas of Sustainability, Business Excellence & Risk
Management – both in strategic and operational
level.
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