SAFETY AUDIT

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 company’s 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. 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 employees ( managers, supervisors
and workmen ) and contractor’s employees
5. Organization structure, including SHE function
6. List of chemicals handled:
- Raw materials
- Products

- Intermediates
- By-products
 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
 Key On-site Activities
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 :
 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 auditor’s initial understanding
 The auditor records his or her understanding in a flow chart-
narrative, 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.
 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.
 ANNEX – A
(Clauses 2.1 and 4.2.4 )

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
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
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
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 )
 Audit Elements
The detailed scope of the audit is listed as a series of
audit elements in two broad categories :
1 Management Systems , and

2 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 Safety, Health & Environment ( SHE ) Policy
i ) Management’s commitment to
SHE ii )
Accountability and Responsibility
iii ) Implementation
iv ) Policy review
2 Safety and Health Organizational Set-up
i ) Safety Department
- Structure
-
Responsibilities
ii ) Occupational Health Services
iii ) Safety Committee
3 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) Safety Audits
i) External audits
ii)
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 )

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
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 / off-
site )
i) Emergency response system
ii) Emergency alarm system
iii) Mock drills
iv) Co-ordination with the
local authorities v) Education of
general public
vi) Communication with the public
20) Hazardous Waste Treatment and
Disposal
i) Incineration of solid waste
ii) Efficient treatment iii)
Disposal
iii) Air pollution control measures

21) Transportation of Hazardous Materials

i) Provision of information
ii)
Emergency response
22) Hazard Identification

i) Checklist
ii) “What if ?” review of
operations
iii) Hazard and operability study
( Hazop ) iv)
Fault Tree Analysis
v) 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) Building and Structures
i) Location and lay-out
ii)
Conforming to standards
iii) Stability
certificate
iv) Escape routes and exits
v) Fire-proof construction
vi) 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
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
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
1 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) Material Handling
i) 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) Types of guards
ii) Guarding materials
iii)
Maintenance of guards
iv) Periodic inspection
8) Pumps and Compressors
i) Pressure design of casing
ii) Rating of in stream piping
iii) Check valves /
Control valves iv)
Suction piping and over pressure
v) Isolation valve
vi) Speed control
vii) Design temperature control
viii) Leakages
ix) Lubrication
x) Reverse flow / rotation
xi) Vibration / Alignment
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) Compliance with statutory requirements

ii) Feed water
piping
iii) Steam outlet piping
iv)
Quality of water
v) Drum water level

vi) Maintenance of instrument

vii)
Gas burner control
viii) Interlocks
ix) Shut-off valves
x) Dampers
xi) Low pressure,
high pressure alarms
xii) Pressure and vacuum relief valves
xiii) Flame arrestor on discharge of
relief valves xiv) Stack
height
xv) Emergency relief device
xvi) Monitoring of stack emission
xvii) Economizer and
super heater xviii)
Access to control valves
xix) Inspection of furnace lining
xx) Explosion hazards
xxi) Fuel
control
xxii) Insulations
xxiii) Measurement of heat
stress
 i) Selection
ii)
Maintenance
iii)
Quality
iv) Storage

v)
Guarding
18) Lighting / illumination vi)
i) Type of lighting
Ear thing of portable power tools
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 WORK PERMIT SYSTEM

-HAZOP -MECH. MAINTENANCE PERMIT
-ELEC. MAINTENANCE PERMIT JOB SAFETY ANALYSIS
-HAZAN -HOT WORK PERMIT I
-FAULT TREE ANALYSIS -COLD WORK PERMIT
SAFE OPERATING PRACTICE
-EVENT TREE ANALYSIS -VESSEL ENTRY PERMIT
-WORK AT HEIGHT PERMIT I
-DOW INDEX
-ESCAVATION PERMIT TRAINING
-SAFETY AUDIT -E.T.C. PERMIT
-SAFETY INSPECTION
 ANNEX- B
(Clause 4.3.3.1)

TYPES OF RECORDS TO BE EXAMINED DURING

THE SAFETY AUDIT

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
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
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
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
 ANNEX- C
(Clause 4.3.3.1)
SAFETY AUDIT QUESTIONNAIRE

1) 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 ?

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 ?

 2) 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 ?
 (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.)

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 ?
 (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 ?
 3) ACCIDENT REPORTING, INVESTIGATION
AND ANALYSIS

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?
39. By whom the accident statistics and data are
maintained ?
40. How is the top management 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 ?
 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 ?

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 ?

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 ?
 (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 ?
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 ?
 (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 ?
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 ?
 (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 ?
(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.
 (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 Do you have adequate localized extraction and
scrubbing facilities for dust, fumes and gases ?
Please specify.
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 ?
 (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 ?
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.
 (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 ?
108 Does any ventilation system recirculate 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.

( 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.
 (9) 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.
119 Are there any ambient monitoring devices with
alarms fir leakage of hazardous materials ? Give
details.
119 Are Safety Audit or HAZOP or any other studies
carried out and the recommendations
implemented ? Give details.
120 What has been the major modification done in
plant / process and has the approval of the
competent authority concerned ?
121 What decision and monitoring equipment are
available and used for checking the environmental
conditions in and around the plant ? Give details.
 TECHNICAL ASPECT
12) Safe Operating procedures
122 Are written safe operating procedures available for all
operations ?
123 Whether the written safe operating procedures displayed
or made available and explained in the local language to
the workers ?
124 Whether the safe operating procedures are prepared
jointly by the plant and safety department ?
125 What system is used to ensure that the existing safe
operating procedures are updated ? Give details.
126 Have the workers been informed of the consequences of
failure to observe the safe operating procedures?
127 Are contractor’s workers educated and trained to observe
safety at workplace ?
128 Whether contractor’s workers are permitted on process /
operations ?
 13) WORK PERMIT SYSTEM

129 What necessary type of work permits exists

in your factory ? Give details.
130 What are the hazardous chemicals handled ?
131 Are the keys for individual locks which are
used for electrical lock outs with the
supervisor concerned ?
14) WASTE DISPOSAL SYSTEM

132 Is identification done for various types of wastes ?

Give details.
133 Are these quantities less than those specified by the
hazardous wastes.( Management & Handling Rules.
1989 ) ?
134 What are their disposal modes ?
135 What are the systems / measures adopted for
controlling air / water / land pollution ?
136 What is the system of effluent treatment plant and
whether it is approved by the competent authority?
137 How are the treated effluent used ?
 15) PERSONAL PROTECTIVE EQUIPMENT
( PPE )
138 Has a list of required PPE for each area / operation
been developed and the required PPE is made
available to the workers ?

139 Are the safety department and the workers

consulted in the selection of PPE ?

140 Have the workers been trained in proper use of

PPE ?

141 What is the system of replacement / issue of PPE ?

142 What are the arrangements for safe custody and
storage of PPE provider to the workers ?

143 Are the contractor’s workers provided with the

required PPE ? Who is responsible ? Give details.

144 Are the PPE conform to any standard ? Give

details.

145 Give the details of PPE and also specify the

responsibility for their inspection and
maintenance ?
 20) FIRE PROTECTION
146 Indicate on a plant layout the location number ( quantity )
and types of portable fire extinguishers available.

147 Are the fire fighting system and equipment approved, tested
and maintained as per relevant standards ?

148 What is the inspection and maintenance schedule of the

above extinguishers ? Who performs these functions ?

149 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.
150 What is the capacity of dedicated water reservoir
for supply to the hydrants ? What is the source of
water ?
151 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.
152 Are all personnel conversant with the fire
prevention and protection measures ? Give details.
153 What percentage of plant personnel and staff and
officers have been trained in the use of portable fire
extinguishers ? Give details.
154 Do you have fixed or automatic fire fighting
installation (s) in any section of your plant ?
155 Are the fire alarms adequate and free from
obstructions ?

156 Do you have fire department ? If yes, give details.

157 What is the system for conduction mock drills ?

Give details.

158 Do you have any mutual aid scheme with any of

your neighboring industry or any local
organization (s) ?
159 Give details of the existing fire resistant wall and
doors.
160 Do you have any system of color coding for all the
pipelines for hazardous chemicals ? Give details
including marking of flow directions.

161 Are there any safe containers for the movement of

small quantities of hazardous chemical ? Give
details.
162 Are all self-closing fire doors in good condition
and free from obstructions ?

163 How many major and minor incidents / fires were

there in the factory during the last five years ? Give
department / plant-wise.

164 Have all the fires / incidents been investigated and

corrective actions taken ? Give break up.
 21) EMERGENCY PREPAREDNESS

165 Is there an on-site emergency plan for your

factory ? ( attach a copy of the plan )
166 What is the frequency of conducting mock drills of
on-site emergency plan ?
167 What are the number and location of emergency
control centre, assembly points ?
168 Whether emergency team or the key personnel
identified ?
169 Are suitable and adequate protective and rescue
equipment available ? How is the emergency rescue
team trained to use these equipments ?
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) ?
 22) STATIC ELECTICITY
178 Whether the process (s) and equipment generate and
accumulate static charge have been identified ? Give
details.
179 Whether all such equipment are properly bonded and
earthed ?
179 How is electrical resistance for earthing circuits
maintained ? Are periodic inspections done and recorded?
180 Are adequate earthing arrangement made at the terminal
points where hazardous chemicals are handled through
pipes ?
181 Are anti-static charge devices fitted wherever necessary ?
182 Whether these devices are periodically checked and
maintained by a qualified person ?
23) NEW EQUIPMENT REVIEW

183 What is the system for effecting any change in

the existing plant, equipment or process ? Whether
it is approved by the appropriate competent
authority ?
184 Whether the P & I diagrams and other related
documents are updated accordingly ?
 24) 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 ?
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 ?
24) PRESSURE VESSELS ( FIRED AND UNFIRED )
194 Give details of the plants, piping and vessels which are operated at a
pressure grater than the atmospheric pressure ?
195 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 ?
196 What means of isolating the pressure vessels or means to prevent rise in
pressure are installed ?
197 What standards / codes of practice are adopted for design, fabrication,
operation and maintenance of the pressure vessels and records maintained ?
198 How are the pressure vessels tested ? Give details.
199 Is there any competent person for testing these pressure vessels ? Give
details.
200 How are the recorded results verified ?
201 Give details of safety devices available for these pressure vessels ?
202 Whether log book for pressure vessel and pressure plant has been
maintained ?
 25) LIFTING MACHINES & TACKLE
203 Whether all the lifting machines are marked with their
S.W.L. ?
204 Are all the examinations and testes documented in the
prescribed form ?
205 Are all the examinations and tests carried out and
certified by competent person (s) ? Give details.
206 Are adequate lifting tackles provided at all the places
where it is required ? Give details.
207 Are the trained operators engaged for operating the
equipment ? Give details.
208 What is the system of training such operators ?
209 Are all the lifting machines and tackles maintained in
good conditions and record maintained ?
26) MOBILE EQUIPMENT AND
VEHICULAR TRAFFIC
210 Are all the mobile equipment in good condition ?
211 Are trained drivers engaged for fork-lift trucks ?
212 What is the system for identifying these drivers
from other drivers ?
213 What system do you adopt to assess their standard
of driving as poor / fair / satisfactory / good ?
214 Are there adequate number of warning signs /
signals ?
215 Are the hazards associated with transportation
within the plant identified and safety measures
taken ? Give details.
 27) ACESS

216 Is adequate safe access provided to all places where

workers need to work ?

217 Are all such access in good condition ?

218 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 ?
219 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 ?

220 Are all drain covers in good condition and fitting

flush ?
 28) MATERIAL HANDLING
221 Are there adequate storage facilities available ?
222 Are these areas clearly defined ?
223 Are all racks and steel ages in good condition ?
224 Have you adequate equipment for handling
materials ?
225 Do the workers know the hazards associated with
manual material handling ?
226 Where manual handling is necessary, are the
workers been trained ?
227 Do they practice this ?
228 Do workers follow safe procedures for storage of
materials ?

229 Whether contractor workers are trained in safety

?

230 What is the system for handling over plant to the

maintenance department and receiving back ?

231 Is the system consistently applied ?

232 What is the system for the preventive and

predictive maintenance and how do you ensure its
effectiveness ? Give details.
29) TANK STORAGE VESSEL AREA
233 Whether it is pressure vessel or not ?
234 Give storage vessels designation ( exceeding
threshold quantities specified in MSIHC. Rules
1989 ).
235 Give the names of storage material in each of
them.
236 What are the vessel sizes ( capacity in tones ) ?
237 What is the material of construction for each
vessel and what standards followed in designing /
fabricating the vessel ?
238 What are the operating pressure and
temperature ?
239 What are the vessel location ? (Please indicate on-site plan
or plot plan )
240 Indicate whether vessels are above ground / underground.
241 If any of the tanks string flammable material, whether
electrical installations are flameproof or not ?
242 Are these storage vessels bunded / dyked ?
243 If yes, what is the capacity of the bunds / dykes ?
245 Are the vessels properly bonded and earthed and whether
periodically checked and record maintained ?
246 How are vessels isolated in the event of a mishap ?
247 Are the vessels fitted with remotely controlled isolation
valves ?
248 Are vessels provided with emergency vent, relief valve,
bursting disc, level indicator, pressure gauge, overflow line?
249 Where do such vents discharge ?

250 Are the vessel provided with alarms for

high level, high temperature and high
pressure ?

251 Are stand by empty tanks provided for

employing in case of emergencies ?

252 What are the provisions made for fire

fighting / tackling emergency situations
around the storage vessels ?
253 Where do such vents discharge ?
254 Are the vessel provided with alarms for high level, high
temperature and high pressure ?
255 Are stand by empty tanks provided for employing in case of
emergencies ?
256 What are the provisions made for fire fighting / tackling
emergency situations around the storage vessels ?
257 Has any consequence analysis been carried out for these
vessels ? (If yes, give details )
258 What periodical testing are carried out on the vessels to find
out the integrity of the vessels ?
259 Whether these tests are certified by the approved competent
persons ?
260 Whether log sheet are filled up on daily basis for recording
the parameters of these vessels ?
 30) ON-SITE GAS CYLINDER
STORAGE AREA
261 What are the various gas cylinder used in the
plant ? Give details.
262 What are the storage facilities ?
263 What are the measures taken for combating any
emergency in the cylinders storages area ?
264 Are valid licenses available for storage all these
cylinders ?
265 Whether integrity test certificates are obtained
from the suppliers of the cylinder ?
31) COMMUNICATION SYSTEM
ADOPTED IN PLANT
266 Are public address systems available in all plant
areas ?
267 Are public address systems provided with
uninterrupted power supply ?
268 Whether public address system is checked
periodically for its proper functioning ?
269 Is there any hot line provided to fire station ?
270 What is the means of communicating emergency
in the plant ?
 32) TRANSPORTATION
271 What potentially hazardous materials are
transported to or from the site (including ) ?
272 What modes of transport are used ?
i) Road ?
ii) Rail ?
iii) Pipelines ?

i) ROAD

273 Does the company employ licensed vehicle of its

own / outside sources ?
274 Are the loading / unloading procedures on-site and
safety precautions displayed ?
 32) TRANSPORTATION

275 Are loaded tankers or trucks parked in a specific

area on-site ?
276 Do all truck and tanker drivers carry TREM card
or instruction booked ?
277 Do all truck and tanker driver get training in
handling emergencies during transport ?
ii) RAIL
278 What hazardous materials are transported by
rail ?
279 Does the company have a direct siding on site ?
280 Are tankers or other wagons used in
transportation ?
 III) PIPELINES
281 What material are transported to and from
the site by pipelines ?

282 Are the pipelines underground or over

ground ?

283 Are corrosion protection measures

employed in pipelines ?

284 Whether intermediate booster pumps are

used ?
285 What is the maximum, minimum and
average transfer rates ?
286 Are the pipelines extended in the public
domain ?
287 Are the pipelines dedicated for each
type of chemicals ?
288 Are the pipelines fitted with safety
equipment such as leak detectors,
automatic shut-off valves, etc ?
289 What is the frequency and method of
testing of the pipeline ?
290 Is there written procedure for tackling
leakages in pipeline ?
THANKS
FROM
V. N. PATEL

DIRECTOR, INDUSTRIAL SAFETY & HEALTH

GUJARAT STATE