SAFETY

AUDIT

What is Safety Audit

Verifying the existence and

implementation of elements of
occupational safety and health system
and for verifying the systems ability to
achieve defined safety objectives
~~~IS-14489-1998

CONCERNS OF
MANAGEMENT
QUANTITY PRODUCED IN RELATION
TO PRODUCTION SCHEDULE AND
MARKET REQUIREMENT
PRODUCT QUALITY
PRODUCTION COSTS
INTEGRATING THE STAKEHOLDERS
CONCERNS
Is Safety Important? Not always

SAFE AND SOUND

A study of top companies in the
world indicated that
Safety and Loss Prevention
Programmes were essential for a
companys prosperity and
accepted as
part of good
Business'.

Why do organizations have to

bother about Safety

Corporate Strategy
Finance
Human Resources
Marketing, Product Design and
Product Liability
Manufacturing and operating policy
Information Management and systems
Societal Concerns

Societal Concerns
Increased concern about the impact on
the public not just the workforce
concerned
Public intolerance of risks which do not
have clear benefits to those affected
Readiness to press for retribution on
those who cause harm and to seek
compensation
Demand for increased transparency

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 Demand for full information and for

public involvement
A willingness to challenge and
complain

Corporate Strategy
Business Mission, Philosophy and
codes of ethics
Company image in the community
Environment impact
Management Professionalism

Finance
Loss Control and cost reduction
strategies
Product liability, Legal liability,
Property damage
Risk retention or transfer
Investment decisions concerning
business acquisitions

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Human Resources
Work and job structuring
Morale and retaining people
Positive health structure

Marketing, product design and

product liability

Specification of product and service

Legal requirement
International requirement
Consumer protection act

Manufacturing and operating

policy
Design/selection/construction/mainte
nance of premises, plant, equipment
and substances
Quality management
Environment management and waste
disposal

Information management and

systems
Identification of data critical to the
management of health and safety
Selection of appropriate performance
indicators
Use of information technology in the
collection and analysis of essential
data.

Organizations carry out

Safety Audit
Safety Survey
Safety Inspection
Safety Tour
Safety Sampling
HAZOP

 Safety Survey:
Survey Detailed examination of a
narrower field of activity-e.g.- key areas
revealed by safety audits
Safety Inspection:
Inspection Routine inspection-work is
being carried in accordance with procedures
etc.
Safety Tour:
Tour Unscheduled examinationhazards are removed-standards are removed

 Safety Sampling:
Sampling Trained observers
record the number of safety defects
seen while touring specified locations
by a prescribed route. Typically tours
last for 15 min. and are conducted at
weekly intervals. The unweighted
count of defects is used to portray
trends in the safety situation.

SAFETY AUDIT
MONITORING
COMPARE ACTUAL
PERFORMANCE
-STANDARDS
COMPREHENSIVE
CONTINUOS

AUDIT
NOT DONE BY INSIDER
NOT COMPREHENSIVEDEPENDS ON SCOPE
PERIODIC

DIFFERENT TYPES OF AUDIT

Electrical Audit
Fire Safety Audit
Pressure vessels Audit
Lifting Tackles Audit
Statutory Regulations Compliance
Audit
Emergency Communication Audit
Pipe lines Audit

Safety Depends on

Work permit

Accident and
incident
analysis

Engineering
Emergency
Procurement

Hardware

Software

ce
Maintenan

Humanware
Leadership
PPE
Health and
Hygiene
Task
observation

SAFETY AUDIT
OCCUPIERS ARE REQUIRED TO
DEMONSTRATE THEIR CAPABILITY TO
DESIGN LOCATE OPERATE AND
MAINTAIN THEIR FACILITIES TO
STANDARDS ACCEPTABLE TO THE
GOVT. AND PUBLIC.

AUDIT
AN AUDIT IS A SYSTEMATIC
INDEPENDENT REVIEW TO VERIFY
CONFORMANCE WITH ESTABLISHED
GUIDE LINES OR STANDARDS. IT
EMPLOYS WELL DEFINED REVIEW
PROCESS TO ENSURE CONSISTENCE
AND TO ALLOW THE AUDITOR TO
REACH DEFENSIBLE CONCLUSIONS.

OBJECTIVES OF THE SAFETY

AUDIT
DESIGN DEFICIENCIES AND ALSO
WEAKNESSES WHICH MIGHT HAVE
CROPPED UP DURING MODIFICATIONS
/ADDITIONS.
FIRE PROTECTION ARRANGEMENTS AND
SAFETY SYSTEMS.
OPERATING /MAINTENANCE
PROCEDURES-DEGRADED WITH TIME
TRAINING, PREPAREDNESS FOR
HANDLING EMERGENCIES.

SCOPE OF AUDIT
FIRE AND EXPLOSION; PREVENTION,
PROTECTION AND EMERGENCY
MANAGEMENT.
WORK INJURY PREVENTION.
HEALTH HAZARDS CONTROL.
CONSEQUENCES OF EMERGENCIES.
ON SITE EMERGENCY CONTROL

Elements of Occupational
Safety and Health SystemIS14489

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

Elements contd..
Accident reporting analysis investigation
and implementation and recommendations
Risk Assessment including hazard
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

Elements contd..

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 fighting
systems
Emergency Preparedness
plans(onsite/offsite)
Process Plant modification procedure

Elements contd..
Transportation of hazardous
substances
Hazardous waste treatment and
disposal
Safety in storage and warehousing
Contractor safety systems
Safety for customers(including
MSDS)

Records to be examined
during Audit

OS&H Policy
Safety organization chart
Training Records on safety, fire and first aid
Accident investigation reports
Accidents and dangerous occurrences-Statistics
and analysis
Records of tests and examination of equipment
and structures
Safe operating procedures for various operations
Record of work permits
Record of monitoring of flammable and
explosives

Records- Contd..
Maintenance and testing records of fire
detection and fire fighting equipment
Medical records of employees
Records of industrial hygiene surveys(noise,
ventilation, illumination levels, airborne and
toxic substances, explosive gases)
MSDS
Onsite emergency plans and record of
mockdrills
Records of waste disposal
Records of effluent discharge to the
environment
Housekeeping inspection records

Records contd..
Minutes of Safety committee meetings
Approval of layouts and other approvals from
statutory authorities
Records of any modifications carried out in plant and
process
Maintenance procedure records
Calibration and testing records
Shutdown maintenance procedures
In service inspection manuals, records including that
of material handling
Safety Budget
Statutory records, previous audit reports, transport
of hazardous substances

TOPICS ON WHICH INFORMATION

IS COLLECTED

SAFETY ORGANIZATION.
CONTRACTOR EMPLOYEE ACTIVITIES.
MATERIAL SAFETY DATA.
OCCUPANCY.
SAFETY AND HEALTH POLICY.
OPERATION AND MAINTENANCE OF
SAFETY MANUAL.

 EXPANSION MODIFICATION
-AUTHORIZATION PROCEDURES.
SAFETY EDUCATION , TRAINING.
STATUTORY STANDARDS, SAFETY IF
JOB SAFETY ANALYSIS.
JOB SAFETY INSTRUCTIONS

.TOPICS CONTD.

SAFETY INSPECTION.
SAFETY OBSERVATIONS.
WORK PERMIT SYSTEM.
FIRE PROTECTION ARRANGEMENTS
FIRE EMERGENCY CONTROL
PROCEDURES.
WORK ENVIRONMENT MONITORING.

 PERSONAL PROTECTIVE EQUIPMENT.

MEDICAL/AMBULANCE FACILITIES.
ACCIDENT/INCIDENT -REPORTING
INVESTIGATION ANALYSIS.
IDENTIFICATION OF CRITICAL
EQUIPMENT AND PREUSE
INSPECTION OF CRITICAL EQUIPMENT
OFF THE JOB -SAFETY.
STATISTICAL INF. ON LOSSES
INJURIES.

Manufacture, Storage and import of Hazardous

Chemicals Rules, 1989

Safety Audit is required to be carried

out by by the occupiers of both the new
and the existing industrial activities with
the help of an expert not associated
with such industrial activities.
This is required under Rule No.10subrule (4)
This has come into effect from 3/10/94

Traits of an auditor
Dispel the myth that it is policing on
behalf of management
Is questionnaire useful?
Knowledge in the area being visited
Blinkered view?
Discussion is more importantFacilitator rather than an inspector.

Are you a good

auditor?

FINISHED FILES ARE THE

RESULT OF YEARS OF

SCIENTIFIC STUDY COMBINED

WITH THE EXPERIENCE OF
YEARS

PROCEDURES AND PROTOCOLS

As with any well-functioning management
system,
an audit program must have guidelines and
procedures to describe how an audit should
be conducted and what corrective action
should be taken.
These procedures should define all audit
activities, such as planning the audit,
onsite activities, and follow-up.
Without written audit procedures, the
audits will be conducted based on
individual skills and preferences and will be

A key audit tool is the protocol, which

guides the auditor through the audit
process.
Some companies use check-lists or
questionnaires as protocol.
A check-list or questionnaire may be
appropriate for an experienced auditor, but
will not be an effective tool for new auditors.
An effective protocol will define the steps
that an auditor needs to take in order to
audit a particular PSM element and provide
guidance on what to look for and where to
look for it.

PLANNING
The time available for auditing onsite is
limited; therefore, the best way for an audit
team to spend their time on site constructively
is by effectively planning for the audit.
Pre-audit planning allows audit team to
become familiar with the facility and its PSM
program before arriving on site, thus spending
its efforts on site auditing rather than dealing
with administrative details.
An excellent way of obtaining information
concerning the facility and its PSM program is
by sending out a pre-audit questionnaire.
It is also important to identify an individual at
the site to be audited to be the audit
coordinator who assists
with the logistical details including setting up
interviews and locating documents.

The pre-audit questionnaire and the audit

coordinator can be invaluable in
determining how much time is necessary to
conduct an effective audit.
All too often the audit team is constrained
by how long the audit can be or the size of
the audit team thus potentially resulting in
insufficient time to dig deep enough during
the audit to uncover issues other than those
that are obvious.
The level of effort that OSHA has expended
during some of their wall-to-wall
inspections can be ten or more times that
for a typical company PSM audit.

When audit teams are constrained by the

allowable time on site and/or number of
team member, pre-audit planning becomes
that much more important. For an audit to be
effective, the auditor must have sufficient
time to interview key individuals involved in
implementing the program, review written
procedures, review appropriate
documentation and to test the system.
The team can spend time before the audit,
scheduling key interviews and ensuring that
important PSM procedures and documents
are available to the audit team at the start of
the audit.

As a result, the audit team can spend more

time on site testing the effectiveness of the
facilitys PSM programs rather than running
around trying to schedule interviews and
finding important documents.
Most audits do a decent job in interviewing
key individuals and reviewing written
procedures and documents, but generally
fail in testing the system. For example,
because of time constraints, usually
resulting from poor pre-audit planning,
many auditors will review training records,
which, by definition, are available only for
those individuals who have been trained.

The auditor spends most of his time on

administrative details rather than
ensuring that all employees required to
be in the training program actually are,
that the employees understand the
training, the training content is consistent
with their roles and responsibilities, etc.
Also, poor pre-audit planning may result
in too many auditors for the size of the
facility.
If there are too many auditors, they will
be fighting over scheduling interviews
with key facility safety staff.

Safety Leadership is key to success

Safety Culture
Liveware

Safety Culture
Hardware
Software

Acts-Practice-Habit-Behavior-Culture

Coincident or Not ?
If,
ABC D EFGHI J K L M N O PQ R S T U V W X Y Z
Equals,
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26
Then,
K+ N +O +W+ L +E+D+G+E
11 + 14 + 15 + 23 + 12 + 5 + 4 + 7 + 5 = 96%
H+A+R +D+W+ O+ R +K
8 + 1 + 18 + 4 + 23 + 15 + 18 + 11 = 98%
Both are important, but the total falls just short of 100%
But,

A+T +T + I+T + U +D+E

1 + 20 + 20 + 9 + 20 + 21 + 4 + 5 = 100%

Safety really is about attitude. Make 100% Safe Behavior your

choice
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both ON and OFF the job

Safety and Incident Prevention

Depends how much on ATTITUDE ?
A
T
T
I
T
U
D
E

=
=
=
=
=
=
=
=

1
20
20
9
20
21
4
5

100%

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