OHS Pyramid - LK Updated Action Plan

Plant:
N of workers:
Activity risk level:
Lakheri
Date of Evaluation
20-09-2006
Made by: Safety Deptt.
Date of verification: -13/3/07
Health and
1
Wellness Issues
Version April 2003
61%
Occupational
0
Rehabilitation
31%
Safe Working
1
Procedures
62%
Induction and
4
Training
89%
Roles,
Responsibilities
1
and
Accountabilities
54%
Incident
1
Investigation
and
Corrective Action
Hazardous Work
1
Activities
7%
Inspection and
1
Testing
69%
65%
Management of
0
Changes
Procurement
1
Design
1
Safety
Audit and System

4
Improvement
34%
93%
Industrial Hygiene
1
and Monitoring
43%
Hazard
1
Identification
and
Risk Assessment
Employee
4
Communication
and Involvement
100%
Planned
1
Inspections
Information and
1
Reporting
81%
2
Legal Obligations
Management
4
Commitment
and
Planning
Roles,
Responsibilities
1
and
Accountabilities
75%
59%
54%
60%
78%
94%
nagement
4
mitment
and
Planning
Status
1
1
1
1
2
4
4
1
1
4
1
1
1
1
4
0
1
0
1
B1: Roles, Responsibilities and Accountabilities

B2: Hazardous Work Activities
B3: Hazard Identification and Risk Assessment
B4: Planned Inspections
B5: Legal Obligations
B6: Management Commitment and Planning
B7: Induction and Training
B8: Incident Investigation and Corrective Action
B9: Industrial Hygiene and Monitoring
B10: Employee Communication and Involvement
B11: Information and Reporting
B12: Safe Working Procedures
B13: Inspection and Testing
B14: Design Safety
B15: Audit and System Improvement
B16: Occupational Rehabilitation
B17: Procurement
B18: Management of Changes
B19: Health and Wellness Issues
Total
% Achievement
Average % Achievement
Development
Maximum
Achievement
8
6
72
41
29
19
20
12
6
4
23
21
20
18
26
16
24
11
10
10
22
17
18
12
8
6
16
5
8
8
10
5
20
11
10
0
8
5
358
225
Implementation
Maximum
Achievement
12
9
110
67
36
15
20
12
10
9
25
24
16
14
28
19
20
8
10
10
32
27
12
7
6
4
24
9
10
9
10
1
20
11
10
1
20
13
431
63.0
269
62.5
62.7
B1: Roles, Responsibilities and Accountabilities

Description
Detailed Requirements
Possible
Score
Actual
Score
2
2
2
1.2
1.6
1.8
1.2
Position descriptions not more than two
years old
Personnel will have been clearly
informed, in writing, of their health and safety
responsibilities
1.2
Evidence within performance
1.5
1.5
1.1 STATEMENT OF REQUIREMENT

Development
The organizational structure and the
Documented organizational structure
responsibilities of persons within that structure must be
A system to allocate responsibility and
such that safety is promoted.
accountability will exist for personnel at all
levels. This may take the form of job or task
descriptions, or some other suitable
arrangement
DETAILS
Prior to establishing work permit systems, each site
should undertake and document a review of its
activities to identify those high risk work permits which
should be in place. Although some permits are
expected to be common to all sites, additional
permitting requirements may be specific to individual
sites.
OH&S responsibilities and
accountabilities commensurate with the level

of each person within the organization will be
allocated in writing
A mechanism will exist within the
organization for reviewing the performance of

any person with respect to their OH&S
responsibilities and accountabilities
Implementation
Selection procedures will make it
possible to match persons to the
requirements of these responsibilities and
accountabilities
Evidence within task or job descriptions
or statements of OH&S responsibilities and

accountabilities being defined in detail
monitoring/review system that safety

performance is clearly addressed and
measured in a detailed manner
Evidence of setting safety targets (both
positive and negative targets) for individuals
Summary:
Development %
Implementing %
Result
73
77
1
1
1
Notes
Responsibilty
Available
The total functional area is divided and the responsibilities &
accountabilities fixed for all management staff. Further this is to be
spread upto the bottom level employee.
All Management Staff

The total functional area is divided and the responsibilities &
accountabilities fixed for all management staff. Further this is to be
given in writing to the bottom level employee by his line manager/
supervisor.
This exists for the management staff through review of KPIs and also
through various forums of management. In case of other employees
this is done through their Heads. Action is being taken for any serious
lapse on safety aspects by anybody.

Selection is done based on the knowledge, skill & experience of an
individual. Job rotations are made in cases where the requirements
change and this is done in consultation with the line managers
OH&S responsibilites & accountabilities are defined in detail
Available
Available for management staff. Further safety policy clearly mentions
the commitment of an employee. Still specific responsibilities to be
given in writing to all employees.
Safety performance is addressed in performance monitoring & review
system of management staff. To be done for other levels of
employees.
Positive & negative targets are fixed and reviewed for all
management staff.
8
12
6
9
B2: Hazardous Work Activities

Description
Development
To ensure the effective management of high risk work

activities, work permit systems are required.
The auditor will seek evidence that a review
Possible
Score
Actual
Score
Possible
Score
Actual
Score
of the need for high risk work permits has been

undertaken and documented
DETAILS
Prior to establishing work permit systems, each site
should undertake and document a review of its
activities to identify those high risk work permits which
should be in place. Although some permits are
expected to be common to all sites, additional
permitting requirements may be specific to individual
sites.
Implementation
Description
The auditor will assess whether the scope of
the permit systems covers those topics for which

permit systems should exist, i.e has the site
correctly assessed its needs?

Development
A documented lockout and isolation
Personnel may suffer severe injuries if equipment is
procedure has been developed for the site
energised at the time that work is being undertaken on,
or in the vicinity of, equipment. Therefore, formal
This procedure includes requirements for
documented isolation and lockout procedures are
tagging and locking of equipment
required.
Lockout and isolation points for key items of
equipment have been identified (if this is not
practicable, the site must identify those areas
where retro fitting is required and make plans
accordingly)
DETAILS
As a minimum, the site must ensure that the topics
listed in the adjacent column are addressed.
Thee is system in place for authorizing
specific personnel to be responsible for issuing

lockout and isolation permits
A training and retraining program is in place
for personnel responsible for issuing lockout and

isolation permits
A training and retraining program is in place
for persons who are required to work using

lockout/isolation permits
Implementation
A documented lockout and isolation
Possible
Score
Actual
Score
procedure is in operation at the site (seek proof

of application)
Lockout and isolation points for key items
of equipment are known by site personnel

responsible for permit issue
Specific personnel are authorised in writing
by site management to be responsible for

issuing lockout and isolation permits
Personnel responsible for issuing lockout
and isolation permits have been trained

regarding the operation of the permit system and
their responsibility for issuing work permits
Refresher training has been provided bi-
annually for persons issuing permits

Persons who are required to work under
lockout/isolation permits have been trained
regarding the requirements of the permit system
Description
Development
A Safe working in confined space
A confined space may be defined as an enclosed or
procedure has been developed for the site.
partially enclosed space which:
This procedure should be consistent with
(a) is at atmospheric pressure during occupancy
(b)
internationally recognised confined space
is not intended or designed primarily as a place of work
standards
(c)
may have restricted means of entry and exit (d) may:
The confined space procedure must
require risk assessment to be undertaken prior

to confined space entry by persons
have an atmosphere which contains potentially harmful
The confined space procedure must
levels of contaminants
- not
require a list of persons inside the confined
have a safe oxygen level
space to be maintained outside the confined
cause engulfment.
space
A training and retraining programme has
been developed for persons authorized to issue

permits
DETAILS
As a minimum, the site must ensure that the

topics listed in the adjacent column are addressed.
been developed for persons who will work in

confined spaces

The site has assessed the need for a
annually for persons issuing permits

confined space permits have been trained
regarding the requirements of the permit system.
The site has in place a rescue capability to
rescue capability to ensure that personnel who

may be trapped in a confined space can be
rescued
been developed for persons who will undertake

rescues in confined spaces
Implementation
Personnel responsible for issuing confined
space permits should be nominated in writing

Confined spaces are identified and
summarized in a register and where applicable

will be marked with suitable signage
Evidence of risk assessments being
undertaken prior to confined space entry by

persons
The site has undertaken a survey to identify
restricted spaces, i.e. Those spaces which are

not automatically classified as confined spaces
but which could become confined spaces if
activities are undertaken in the space which may
affect the quality of the atmosphere
Personnel responsible for issuing confined
space permits have been trained regarding the

operation of the permit system and their
responsibility for issuing work permits
ensure that personnel who may be trapped in a

confined space can be rescued.
Training has been provided to personnel
who are or may be required to undertake

rescues within confined spaces. This training
should include use of breathing apparatus
Evidence of confined spaces permits in use
Description
Possible
Score
Actual
Score
Refresher training have been provided bi-
annually for persons issuing work permits

ignition control permits have been trained
Suitable fire fighting equipment is available
Possible
Score
Actual
Score

Development
A written ignition control permit system has
To effectively manage risks associated with fire and
been developed. The permit system should
explosion, ignition control permit systems are required.
identify those circumstances where gas testing
is required
The site should identify and document
those circumstances/locations where ignition

control permits will be required
DETAILS
As a
minimum, the site must ensure that the topics listed in
the adjacent column are addressed.
been developed for persons who will issue

permits
been developed for persons who will work under

permits
Implementation
Personnel responsible for issuing ignition
control permits have been trained regarding the

operation of the ignition control permit system
and their responsibility for issuing permits
on site (auditor to assess)

A systematic program is in place for testing
fire fighting equipment
Personnel have been trained annually in
the use of fire fighting equipment
Evidence of ignition control spaces permits
in use (confirm application)
Description
Development
Personnel may be exposed to high risks as a result of

excavation and digging activities where buried services
may be located in the vicinity. A permit system is
required to manage digging and excavation.
The site has developed an excavation and
digging permit system

been developed for personnel responsible for
issuing excavation and digging permits
Possible
Score
Actual
Score
been developed for persons who are required to

work under excavation and digging permits
DETAILS
As a
Systems has been developed for
managing entry by personnel into excavations
Implementation
Evidence of excavation / digging permits in
use (confirm application)

Personnel responsible for issuing
excavation and digging permits have been
trained regarding the operation of the permit
system and their responsibility for issuing work
permits
annually for persons issuing digging / excavation

permits
excavation and digging permits have been

trained regarding the requirements of the permit
system
Reference to site plans is made prior to
undertaking digging or excavation and this

requirement should be included in the permit
system
Evidence of application of controls on entry
to excavations will be reviewed
Description

Personnel may suffer serious injuries and be exposed
to high risks as a result of working on high voltage
equipment.
Development
A formal written high voltage work permit
system has been developed


issuing high voltage permits
DETAILS
As a minimum, the site must ensure that the
Possible
Score
Actual
Score

work under high voltage permits
Implementation
Evidence of high voltage permits in use
(confirm application)
Personnel responsible for issuing high
voltage permits have been trained regarding the
operation of the permit system and their
responsibility for issuing work permits
annually for persons issuing high voltage work

permits
high voltage permits have been trained

Personnel operating on high voltage
electrical equipment are suitably licensed with

respect to local or international regulations
Suitable safety equipment is provided and
maintained and personnel trained in its use
Description
Development
A documented work permit system or safe
One of the main causes of fatalities at industrial work
work system has been developed for
sites is falls from heights. Therefore, the site must
circumstances where a person could fall 2.4
have in place a system for managing work at heights
metres or more to the ground or a lower
and this system may include the requirements for issue
structure
of work permits.

supervising those Working at heights
DETAILS
As a minimum, the system for managing working
at heights should incorporate:-

Work at heights
Implementation
Personnel responsible for supervising
those Working at heights have been trained

regarding the risks of working at heights
Personnel have been trained in the use of
fall arrest equipment

Working at heights safety equipment is
inspected by a qualified person on an annual
basis
Suitable emergency response capability is
Possible
Score
Actual
Score
A survey has been conducted to identify
hazardous materials
An authorised officer has been appointed at
the site to oversee the management of these
hazardous materials
A work permit system or safe operating
annually for persons supervising work at heights

Persons who are required to Work at
heights have been trained regarding the risks of

working at heights
Suitable facilities and equipment are
available to assist persons working at heights,

e.g. Fall prevention and fall arrest equipment
in place to enable persons working at heights to

be rescued
Description
Development
Hazardous materials (such as radioactive sources) may

be used in a variety of applications at a site. As such,
there is potential for exposure of personnel to
hazardous materials, should appropriate controls not
be in place.
practices for dealing with hazardous materials

has been developed
DETAILS
As a
the adjacent column are

issuing hazardous materials work permits or for
those supervising work

work under hazardous materials safety permits /
undertake work with hazardous materials
Implementation
Personnel responsible for supervising those
dealing with hazardous materials have been

trained
Possible
Score
Actual
Score
annually for persons supervising those dealing

with hazardous materials
Persons who are required to work with
hazardous materials have been trained

regarding the properties and risks associated
with the materials
A monitoring system is in place to ensure
that personnel undertaking work in the vicinity of

hazardous materials have their exposure to
hazardous materials monitored
Suitable emergency response systems are
in place to deal with an emergency incident

involving hazardous materials
Description

Explosives are used extensively in mining operations.
Therefore, personnel may be exposed to significant
risks as a result of the handling and use of explosives.
Development
DETAILS
As a
The site has identified applicable local
legislation and standards, and ensured that

there is a mechanism in place for remaining upto-date with respect to changes in legislation and
standards
Position descriptions reflect responsibilities
for storage, handling and management of

explosives
Documented site procedures have been
developed for:
receival of explosives
storage
of explosives
and operation of magazines
management of magazine inventory
design
loading
of explosives into drill holes

firing, including use of licensed
personnel
shot
dealing
with misfires
dealing with emergencies involving
explosives
It is noted that all of these procedures are expected
to be documented
Implementation
Site procedures are up-to-date with
respect to changes in legislation and standards
Demonstration of compliance with local
legislation requirements
Personnel are aware of site procedures
Training has been provided for persons
involved in storage and handling of explosives
4
2
3
1
Refresher training has been provided on a
been developed for persons involved in storage

and handling of explosives
bi-annual basis
Suitable emergency response systems are
in place to deal with an emergency incident

involving explosives.
Summary:
Development %
Implementing %
Result
56
61
1
1
1
Notes
Work permit systems and the required areas of application are

available. Reviews in work permit systems are undertaken whenever
necessary. A review frequency & procedure is to be fixed for the
review of WPS
DM /AM Safety
Work permit systems and the required areas of application are

available. These are as per site needs.
DM /AM Safety
Notes
Line clear procedure and format is available. Lockout system exists

for critical areas.
DM / AM E&I
Lockout & tagout exists for critical areas. To be further extended to

more areas
DM / AM E&I
Lockout & tagout exists for critical areas. To be further extended to

more areas
DM / AM E&I
System in place
Training has been given to employees. Re-trainings to be organized

more frequently
DM / AM E&I , DM/AM Safety

Training has been given. Re-trainings to be organized more frequently
Available
DM / AM E&I
In place
DM / AM E&I
Persons are authorized by their designation, To be given in writing to
authorized persons
DM / AM E&I
DM / AM E&I
Conducted less frequently. To be conducted bi-annually
DM/AM safety
Notes
Procedure in place
Checklist is available for compliance before issue of permit. Further

formal risk assessment to be practiced before entry
Persons' names are entered in the permit form. Copy will be available
with the Supervisor as well as the Department
Training programme is made for work permit systems. Module to be

specifically made with regard to Confined spaces entry.
specifically made with regard to Confined spaces entry.
Rescue capability to be further studied
Not done
Mentioned level wise. Not given to individuals in writing
Confined spaces listed in the permit format itself. Further to be

reviewed. Signages are given in some places only. To be displayed at
all identified places
Checklist is available for compliance before issue of permit. Further
formal risk assessment to be practiced before entry
No survey has been done. To be carried out
Training programme has been given for work permit systems. Module
to be specifically made with regard to Confined spaces entry.

Training programme has been given for work permit systems. Module
to be specifically made with regard to Confined spaces entry.
Rescue capability to be further studied
Not done
Available
Notes
Hot work permit is available and the areas are generally mentioned.
Areas list to be more specifically made.
Locations are generally mentioned. Areas list to be more specifically

made.
specifically made with regard to control of ignition sources
specifically made with regard to control of ignition sources
Training programme has been given for work permit systems. To be

specifically given with regard to control of ignition sources

Training programme has been given for work permit systems. To be
specifically given with regard to control of ignition sources
Portable fire fighting equipment available at all fire-prone areas

In place
Trainings have been conducted
Available
Notes
Available
specifically made with regard to excavation
specifically made with regard to excavation
In place
In place
Training programme is given for work permit systems. To be
specifically given with regard to excavation
Less frequently. To be done more frequently
Training programme is given for work permit systems. To be

specifically given with regard to excavation
In place
In place. To be further improved by entry restriction methods
Notes
Available

specifically made with regard to high voltage work

specifically made with regard to high voltage work
Available
Training has been given on work permit systems. To be specifically
given with regard to high voltage work
Less frequent. To be conducted more frequently

given with regard to high voltage work
Licence for employees available
Available
Notes
Permit system is available for work at more than 3 metres height.

Criteria to be further reviewed

specifically made with regard to working at heights
specifically made with regard to working at heights

given with regard to working at heights
Less frequent. To be conducted more frequently

given with regard to working at heights
Available
Trainings and demonstrations are condcted frequently

Done in every 6 months
To be further studied
Notes
Hazardous materials identified

No special officer appointed. To be done
Not available
Not available
Not available
Not available
Not available
Not available
Not available
Not available
Notes
In place
Available
Available
Conducted. Frequency to be increased
In place
Available
Yes

Emergency plan is made and reviewed on a regular basis
72
41
110
67
B3: Hazard Identification and Risk Assessment

Description

A systematic Process Risk Assessment should be
undertaken and documented.
Development
Systems should be in place to ensure that
Possible
Score
Actual
Score
2
2
2
2
0
0
0
0
Possible
Score
Actual
Score
Up to
5
a process hazard analysis is undertaken
The site should specify the required

DETAIlS
qualifications / experience for personnel
A number of different approaches are available for
undertaking such studies
the management of safety at any facility. One area,
which must be addressed, is identification and
Systems should be in place to ensure the
management of hazards intrinsically associated with
risk assessment is subject to regular review
the process. Therefore, a formal Process Risk
Assessment should be undertaken and documented
Implementation
and recommendations made for control of risk. Types
Application of suitable techniques such as
of techniques which may be applicable to such an
analysis include:
HAZOP
What if? analysis
HAZOP
What if? analysis
Failure mode and effect analysis
Fault tree analysis
Event tree analysis.
It is expected that a multi-disciplinary team will
undertake the risk assessment and a formal report
issued.
Failure mode and effect analysis

Fault tree analysis
Event tree analysis
Use of a multi-disciplinary team
A formal report issued
Regular reviews of the risk assessment
Actions from the risk assessment
addressed
Description

Written operating procedures, which specify key
information for operations personnel, should be
provided at the facility.
Development
Operating procedures address the following:
initial start up
normal operation
temporary operations
emergency operations, including
DETAILS
Written operating procedures assist operations
personnel to manage safety by setting standards
against which operational practices can be measured.
Operating procedures should provide clear instructions
for safe operation of the facility, which is consistent with
the hazard identification and process safety information
available.
emergency shutdown
normal shutdown
start up following a shutdown or
turnaround
personnel to manage safety by setting standards

against which operational practices can be measured.
Operating procedures should provide clear instructions
for safe operation of the facility, which is consistent with
the hazard identification and process safety information
available.
Operating procedures provide information on

operating limits and where a deviation from normal
operations could have safety consequences, the
following should be provided:
Operating procedures presented in a
suitable format
Personnel trained in content of operating
procedures
Possible
Score
Actual
Score
Possible
Score
Actual
Score
consequences of the deviation

steps required to correct or avoid
deviation
OHS systems to be used and their
function
Operating procedures also address the following as
required:
properties of, and hazards presented
by, materials used in the process

special precautions required to prevent
exposure to materials
control measures to be undertaken if
physical contact or airborne exposure
occurs
any special or unique hazards
Implementation
Operating procedures available at point of
use
Description

A review mechanism should be in place for reviewing
and auditing operations procedures.
Development
A system has been developed for
reviewing, updating and improving operating

procedures
Implementation
Evidence of reviews and updates is
available
Description
Development
A risk assessment approach to managing safety in nonprocess areas should be adopted.
It is expected that there will be a formal,
It is expected that policies / procedures will
have been developed for dealing with:
DETAILS
Modern safety management legislation specifies the
need for a risk-based approach to managing safety in
the workplace. This approach requires that hazards
are identified, risks are analysed and strategies put in
place for effectively managing and monitoring those
risks.
documented system in place for hazard

identification and subsequent managing of the
risks associated with those hazards
-Literacy and language

-Drug and alcohol
-Fitness for duty
-First aid facilities
(2 points
each)
2
2
2
2
2
0
2
2
10
Implementation
The Audit will seek evidence of:-Hazard identification
-Risk assessment
-Implementation of risk controls
-Review of effectiveness of risk
controls
Reference will be made to the categories in section
5.2 of the Handbook
Evidence will also be sought of application
of
-Literacy and language
-Drug and alcohol
-Fitness for duty
-First aid facilities
Summary:
Development %
Implementing %
Result
(2 points
each)
2
2
2
2
2
0
2
2
66
42
1
1
1
Notes
Hazards related to various processes listed. To be studied with hazard

identification techniques
Responsibilty
Department Head
Not specified
Risk assessment is done, But not done with the help of special
techniques
Department Head
Not used. To be studied
Not available
Not available
Not available
Not available
Notes
Operating procedures are available for starup, operation, shutdown,

etc. To be specified for temporay and startup following a shutdown
Available in all process departments

Available
Available
Special training to be coducted
Notes
In place
Available
Notes

Yes
No
Yes
Yes
To be done after studying the various sections
In place
Yes
Yes
29
19
36
15
B4: Planned Inspections

Description

Development
Refer to Guidelines on page 23 for planned
Safety inspections will be undertaken and documented
inspection topics. The auditor will seek evidence
by personnel within the workplace.
Possible
Score
Actual
Score
20
12
20
12
of forms and inspection procedures.
DETAILS
Therefore, there is an expectation that there is a
programme of hazard identification activities in place
whereby workers inspect areas of the workplace and
identify hazards. This form of hazard identification is
likely to occur by use of registers or check lists.
Associated with this is
the parallel requirement for a system for dealing with
the problems so identified.
Summary:
Implementation
Evidence will be sought of inspection
occurring and remedial actions taken. Refer to

Guidelines on page 23 for planned inspection
topics.
Development %
Implementing %
Result
60
60
1
1
1
Notes
In practice. To be undertaken more frequently
Department Head
In practice. To be undertaken more frequently
20
12
20
12
B5: Legal Obligations

Description
Possible
Score
Actual
Score
The site has accessed and identified

relevant legal and associated requirements, e.g,
legislation, Standards, Codes
The site is monitoring legal and other

requirements.
The site has communicated relevant
information on legal and other requirements to
employees
A master copy of the Legislation and

applicable Standards and Codes is available
Evidence of compliance audits is available

Development
The site has a documented process for
It is essential that each site satisfies legal obligations
accessing and identifying relevant legal and
and complies with relevant legislation. This element
associated requirements, e.g, legislation,
provides the opportunity for confirmation that all
Standards, Codes
compliance objectives have been met, and also
requires that each site has in place a mechanism for
identifying changes to legislation, and ensuring that the
monitoring changes to legal and other
impact of those changes is assessed and implemented
requirements
at each site.
communication of relevant information on legal

and other requirements to employees
Implementation
DETAILS
Systems should be in place to ensure that:-
Summary:
Development %
Implementing %
Result
67
90
1
2
2
Notes
Responsibility
System exists. But to be documented
Department Head
Process to be documents
Department Head
Available. But to be documented
Department Head
Available. But to be documented
Available
Wherever possible
Available
Available
10
B6: Management Commitment and Planning

Description
Possible
Score
Actual
Score

Each site should have a current Health and Safety
Policy.
Development
1
1
1
1
Must clearly state safety and health
objectives
Must declare managements commitment
and determination for achievement of health and
safety objectives
Must broadly define responsibilities for all
Must be available to employees at all
levels of the organization

Must be clearly understandable to
employees at all levels of the organization
Possible
Score
Actual
Score
Up to 5
1
1
1
1
1
1
1
1
1
Possible
Score
Actual
Score
The Policy
Should be a formal document
Be dated and signed by the current Chief
Executive or Site Manager, as applicable
DETAILS
To assist in
ensuring management commitment (at all levels) to
health and safety, a current Health and Safety Policy
should exist.
parties at the workplace
Implementation
Description

To ensure effective functioning of safety management,
site management must provide suitable resources.
Development
A process should be in place to ensure
that management reviews the site requirements

for safety resources
Implementation
DETAILS
The nature of resources required to effectively
manage safety will vary from site to site. However, a
consideration of the following issues is considered to
be important.
Identification of key competencies required

Provision of onsite safety expertise
Ability to access external consultants and
experts
Provision of competent staff
Provision of effective communication
systems
Description

A current Site Health and Safety Improvement Plan
should be in place.
Development
It is expected that each site will have in
place a process for developing a Safety

Improvement Plan for dealing with and
addressing these issues.
The plan has been developed with input
from site personnel (via safety committee)
DETAILS
Safety Management is not simply a matter of
identifying and dealing with specific safety problems at
a given time. Effective safety management addresses
site safety problems by means of a continuous
improvement methodology.
Implementation
The Safety Plan should address the following:Establishment objectives and targets
Establishment of performance indicators
Identification of hazards and
assessment/control of risks
Linkage to requirements of legislation and
legal compliance
Linkage to incidents that have previously
occurred
Description

Management review of health and safety performance
should occur on a regular basis.
Development
A formal system should be in place to
Up to 5
1
1
1
1
1
1
Possible
Score
Actual
Score
ensure that reviews occur
Implementation
DETAILS
The organisations management should, at regular,
intervals conduct a review of health and safety
management to ensure its continued suitability and
effectiveness in satisfying the organisations safety
A review should consider:

Evaluation of the suitability of the policy
Review of health and safety objectives,
targets and performance indicators
Addressing the findings of audits
Evaluation of the effectiveness of the
health and safety programme
Description

A site Emergency Response Plan should be in place.
Development
Potential emergency situations (both on
Up to 5
5
1
1
1
1
Possible
Score
Actual
Score
site and off site)

Specific instructions for dealing with
particular situations
DETAILS
An Emergency Plan should address:
Methods for raising an emergency
Emergency contact
2
2
2
2
Location of emergency equipment
Implementation
The audit will seek to determine whether
the emergency plan is a controlled document,
and whether it is has been updated as required
There should be a documented
programme of trials and tests for the Emergency

Plan
The outcome of these trials should be
documented and recommendations made to

improve the quality of the Emergency Plan
Summary:
Development %
Implementing %
Result
91
96
2
2
4
Notes
Available
Available
Available
Available
Available
Available
Available
Notes
Safety budget being made and reviewed annually
Competencies of personnel are identified

Available
Available
Available
Available
Notes
Safety plan in place
In place
Available
Available
Available
Available
Available
Notes
Safety performance is reviewed periodically
Available
Available
Available
Available
Notes
Only on-site considered. Off-site also to be added

Instructions given. To be made more specific
Available
Available
Available
In place
Available
Available
23
21
25
24
B7: Induction and Training

Description
Possible
Score
Actual
Score

Irrespective of the quality of design of plant and
equipment, satisfactory safety performance will not be
achieved unless personnel have been appropriately
trained.
A training
strategy should be evident at the site.
Development
2
Up to 5
1
Evaluation of training sessions to ensure
1
1
1
1
1
1
comprehension and retention

Regular review of training programme
Possible
Score
Actual
Score
A health and safety training plan, based
upon a training needs analysis, should be

available addressing the needs of personnel at
all levels within the organization
The following issues should be considered
as part of a training programme:-initial training for new employees or

person new in a job
DETAILS
A formal training strategy needs to be in place,
based upon a training needs analysis. This training
needs analysis should include consideration of health
and safety training requirements.
Description
-consideration of differing levels of ability
and literacy of attendees.
Implementation
Provision of training by appropriate
competent personnel
Use of suitable training facilities
Maintaining training records

Development
The audit will seek evidence of a formal
There is a specific requirement for senior management
strategy for ensuring that advanced safety
and supervisors to be provided with specialised
training provided to managers and supervisors,
training.
and comment on its suitability for supporting and

enhancing a health and safety management
system.
DETAILS
Senior management and supervisors provide the
opportunity at a site for supporting the safety process
and intervening where problems are identified.
Therefore, it is important that management and
supervisors are skilled in relation to key safety issues,
e.g. legal requirements, structure of health and safety
management systems.
Implementation
The following evidence will b sought:Provision of training by appropriate
competent personnel
Use of suitable training facilities
Maintaining training records
Evaluation of training sessions to ensure
comprehension and retention
Regular review of training programme
up to 5
1
1
1
1
1
1
1
Description

A safety induction programme should be in place for
employees, contractors and visitors.
Development
An induction programme has been developed
addressing, as a minimum:Site layout
Possible
Score
9
up to 10
10
1
1
2
2
2
1
0
0
2
2
2
2
2
0
Key site processes

Major site hazards
DETAILS
Irrespective of the general knowledge possessed by
any individual or group of persons regarding safety, it is
important that there is a formal induction programme in
place for dealing with personnel new to the site or a
particular area of the site.
Actual
Score
Details of work permit systems

Details of incident reporting
Details of incident reporting
Location of first aid facilities
Requirement for emergency response
Implementation
The audit will review the application of the
induction programme for
New employees
Contractors
Visitors
in relation to the above items.
Summary:
Development %
Implementing %
Result
90
88
2
2
4
Notes
Responsibilty
Training plan & calendar is made annually
Manager HRA
Available
Considered
Available
Available
Available
Available
Available
Notes
Training given to management staff on specialized topics. Talks are

also given in all management meetings on safety
Available
Available
Available
Available
Available
Manager HRA
Notes
Addressed
Addressed
Available
Available
Available
Red card reporting details addressed
To be included in induction trainings
To be detailed in induction trainings
Available
Available
System to be developed for training of visitors
20
18
16
14
B8: Incident Investigation and Corrective Action

Description

Formal incident investigation procedures should be in
place for investigating all incidents.
Development
Formal documented procedures should
Possible
Score
Actual
Score
1
1
1
1
1
1
1
1
1
1
1
0
Possible
Score
Actual
Score
Possible
Score
Actual
Score
have been developed to investigate incidents

such as injuries, near misses, damage,
substandard conditions, substandard practices,
defects in plant and equipment, hazards, illness,
disease and any other matters of interest
Investigation procedures should seek to
determine immediate and basic causes and

develop remedial actions for preventing the
same or similar event occurring in the future.
Implementation
The audit will seek evidence of:Hazard reporting
Incident reporting
Incident investigation
Development of corrective actions
Implementation of corrective actions
Managers and supervisors trained in
incident investigation procedures
Description

Many organisations fail to learn from mistakes by not
adequately implementing recommendations from
incident investigation
Development
Documented procedures should have been
developed to review the outcome of incident

investigation and confirm that recommendations
have been implemented
Implementation
Results of incident investigations are
audited to confirm suitability and success in

implementation of recommendations
Description

Procedures should be in place for reporting safety
issues.
Development
Documented procedures should be in place for
reporting:Injuries
Up to
10
Illnesses
Disease
Damage
Near misses
Hazards
Defects
Substandard practices
Substandard conditions
Implementation
The audit will review reporting of safety
6
1
0
1
0
1
1
0
1
1
Up
10
Possible
Score
Actual
Score
data in relation to the above topics
Description

Procedures should be in place to undertake statistical
analysis of safety-related data.
Development
Review and analysis of data may reveal useful
trends. Processes should be developed for
analysing data in relation to:
Injuries
Up to
10
Incidents
Near misses
Damage
Substandard practices
Substandard conditions
Hazards
Illness
Disease
Compensation claims
Implementation
The audit will review analysis of safety
Up to
10
6
1
1
1
0
1
1
0
0
1
0
6
data in relation to the above topics
Summary:
Development %
Implementing %
Result
62
68
1
1
1
Notes
Responsibility
Procedures in place. To be extended to illness, damage etc.
DM /AM Safety
Available
SOT, Redcards, Surveys etc. available

Available
Available
Available
Available
Less frequent. To be trained more frequently
Notes
System in place, To be detailed in the investigation procedure itself
System in place
Notes
Available
To be made
Available
To be made
Available
Available
To be made
Available
Available
Available
Notes
Available
To be made
Available
To be made
Available
Available
To be made
Available
Available
Available
26
16
28
19
B9: Industrial Hygiene and Monitoring

Description

Monitoring of the work environment should be
undertaken.
Development
The site must be able to demonstrate that
Possible
Score
Actual
Score
a review of the need for monitoring personal

exposure to agents hazardous to health in the
work environment has been undertaken
Depending upon the nature of work
circumstances, employees may be exposed to

hazards requiring ongoing personal monitoring.
Hazards requiring monitoring programs include,
but are not limited to:
Noise
Dust containing crystalline silica
Asbestos and crystalline fibers
Lead, other heavy metals or other
specified chemicals
Excessive stress resulting from the
activities in the workplace
Implementation
The audit will review personal
(2 points
per issue
as
required,
up to 10)
2
2
2
2
2
1
0
0
Up 10
10
Possible
Score
Actual
Score
monitoring records. Based upon a site

inspection, comment will be made on the
adequacy of monitoring undertaken and
subsequent actions
Description

Development
The site must be able to demonstrate that
There is a requirement for undertaking employee health
a review of the need for personal health
monitoring when employees are exposed to particular
monitoring has been undertaken
types of risks.
Depending upon the nature of work circumstances,
employees may be exposed to hazards requiring
ongoing health monitoring. Hazards requiring
health monitoring programmes include:
noise
silica dust
asbestos
(2 points
per issue
as
required,
up to 10)
2
2
2
2
2
0
other specified chemicals.

other specified chemicals.
The site must be able to demonstrate that a review
of the need for health monitoring has been
undertaken.
Implementation
The audit will review health monitoring
2
2
Up to 10
10
records. Based upon a site inspection,

comment will be made on the adequacy of
health monitoring undertaken and subsequent
actions
Summary:
Development %
Implementing %
Result
46
40
1
1
1
Notes
Responsibility
Availabe
Depart Head
In practice
SPM measurement is done, crystalline silica to be done
Not done. To be done
Monitoring is done for stacks and ambient air. Hygiene checks are
carried out in the departments. Personal monitoring to be done.
AM Environment
Notes
Personal health monitoring is being done
Audiometry done
Lung function and Chest -X -ray done
No special monitoring done. To begin
No special monitoring done. To begin
Personal health monitoring is being done for all employees and

records maintained. Further to be improved in some areas
24
11
20
B10: Employee Communication and Involvement

Description

For effective functioning of safety management
systems it is essential that structures are in place to
ensure adequate communication and consultation
within the workplace.
Development
Because management of safety is not the
responsibility of a single person, it is essential that
effective communication and consultation with
respect to safety matters occurs within the
workplace. This may occur through the following
mechanisms.
Safety committees.
Possible
Score
(2 points
per issue
as
required,
up to 10)
10
Toolbox meetings. (Note: These are informal
Actual
Score
10
1.8
1.8
meetings held during breaks on-the-job where a

specific aspect of OH&S is discussed with a
small workforce team/group)
Dispute resolution procedures.
1
1.8
Opportunity to review and comment upon
safety policies and procedures.
Verbal and/or written management reports.
1.8
Recognition of health and safety
1.8
performance by individuals and/or work groups
Implementation
The following topics will be reviewed:
Existence of safety committee.
Frequency of safety committee meetings.
Circulation of Safety Committee Minutes
Occurrence of toolbox meetings.
Mechanism for communicating safety
(2 points/
issue as
required,
up to 10)
10
10
2
2
1.6
1.6
1.8
concerns to management.
Dispute resolution procedures.
Communication procedures from
management to workers (and vice versa)
Summary:
Development %
Implementing %
Result
100
100
2
2
4
Notes
Safety committee is working at Central level for the Unit and

Departmental sub-committees are also functioning. To be more
strengthened.
Safety talks are being conducted in departments as well as project
sites. Other on the job safety communication is also recorded. To be
more systematic and frequent
Dispute resolution procedures are in place
Review of policies and procedures are undertaken through various
forums such as daily co-ordination meetings, safety committee
meetings and staff meetings. Safety communication meetings are
conducted on first day of every month.
Safety performance & safety audit reports are available and are
communicated to all through various forums
Safety audit performance communicated every month. Housekeeping
shield awarded & rotated monthly. Accident free department &
employees of such deptts.are awarded with shield & gifts once in evry
year
In place
Every month
Minutes circulated to all members. Further can be communicated to
all employees
Once in a week/ fortnight. To be done more frequent
Red card reporting in place for reporting of unsafe actions/ conditions.
Safety committee meetings (both central & sub) conducted.
Available. To be further strenthened in relation to safety lapses.
Through various forums such as safety committee meetings, red card

report and direct reporting. Safety communication meetings are
conducted on first day of every month.
10
10
10
10
B11: Information and Reporting

Description
Possible
Score
Actual
Score
1.5
1.8
1.5
1.8
1.6
(2 points/
issue as
required,
up to 10)
9.5

Development
Key information relevant to the ongoing management of In order to effectively manage safety it is important
that key documents are identified and controlled at
safety at the site must be controlled.
all stages. Therefore, it is expected that there will
be procedures in place for:
identifying safety critical
documentation
ensuring documents critical to health
and safety carry an identification of their status,
authorisation, date of issue and date of
modification
health and safety documentation is
effectively and systematically stored

obsolete documents are promptly
removed from use
a system exists for making and approving
changes to documentation
a system exists for communicating changes
in documentation to those people on whom the
document impacts
Implementation
Records are required to demonstrate the
standard of health and safety achieved and the

effectiveness of the health and safety
management system.
Records may include:
-minutes of safety committee minutes
10
-accident investigation reports

-maintenance records
-air sampling records
-high risk permit system records
-audit reports
-training records
-hazard reports
Confidentiality and security of sensitive
records is maintained.
2
1
0.5
1.5
1
2
1
0.5
1.8
The OH&S Manual must show how key aspects of

the OH&S Management System would be
addressed. An OH&S Manual is likely to include
information on:
a)Policy and Targets
b)Document control
(1 points/
issue as
required,
up to 10)
10
c)Recording, reporting and planning

d)Organisational structures, roles and
responsibilities
9.2
0.8
0.8
0.8
0.8
e)Task identification, analysis and

performance management
f)Consultation and communication

strategies
0.8
g)Design and planning
0
0.4
h)Risk management (Hazard

identification, risk assessment, risk control
measures)
i)Emergency plans
j)Training
0.8
0.8
0.8
0.8
0.8
0.8
0
0
k)Permit systems and permits

l)Inspection, monitoring and testing
m)Incident investigation and reporting
n)Audit, inspection and review
o)Purchasing
p)Employee health & wellness
Description

Appropriate process and mechanical design
information should be available to operations and
maintenance personnel.
Development
Suitable process / mechanical design
Possible
Score
Actual
Score
1.4
1.8
1.6
information should be available to permit

personnel to safely manage the plant and
associated equipment.
Mechanisms for the review and updating of
process design information should also be in

place.
The mechanical design should be
consistent with the requirement of local Codes

and Standards and reference should be made to
these Codes and Standards.
If design is not consistent with Standards,
0.5
1.8
then the differences should be documented.

Mechanisms for the review and updating of
mechanical design information will also be in

place.
Implementation
Appropriate process design information should
be available to operations and maintenance
personnel.
(1 point/
issue as
required,
up to 10)
This information may include:

-a process flow diagram / piping and
instrument diagrams / details of the

process chemistry
-materials of construction
-details of inventories
-details of upper and lower operational
limits
-safety related consequences of
deviations from normal operation

-properties of material used in the
process
-detailed equipment drawings and
diagrams.
-Electrical drawings / area
classification
-Design of ventilation systems
-Description of shutdown and interlock
systems
Summary:
Development %
Implementing %
Result
1
1
1
0.6
0.8
0.8
0.5
0.6
0.6
0.2
1
1
0.4
0.8
79
84
1
1
1
Notes
Documents identified and maintained

Partially done. To be ensured in all documents related safety & health
Available. To be as per document control system

Done. Still document control to be strengthened
Procedure available and followed
Done. To be effectively improved through document control
Available
Available
Available with Maintenance, inspection, planning & scheduling deptt
Available
Available in the section where permit is used
Availble (both internal & external)
Available
SOT reports, safety surveys, red card reports etc. available
Maintained
Available
Available
Available
Available
To be included
Available
To be included
Risk management to be included with hazard identification
Available
Available
Available
Available
Available
Available
To be included
To be included
Notes
Information available at centralised location. Critical data available at

the operating areas. Further to be systematized
In place as per data control
Reference is made to local codes & standards maintained at

centralised location. Further to be reviewed for changes in standards/
codes
To be reviewed
In place as per data control
Available
Available at central location

Available
Available
Available. Further to be reviewed as per risk management study
Available for all hazardous/ harmful materials
Available centrally. Critical details are also available at the operation
area
Electrical drawings available. Area classification not done
Ventilation systems available. To be studied for effectiveness
Available
22
17.3
32
26.8
B12: Safe Working Procedures

Description
Possible
Score
Actual
Score

Standard work procedures or standard work
instructions should be available for work activities not
addressed by standard operating procedures.
Development
2
2
1.8
0.4
2
2
1.8
1.5
0.8
Records of task analysis
Training of personnel in task analysis and
risk assessment
Communication of results of task analysis
1.4
Mechanism for review of task analysis
0.5
Possible
Score
Actual
Score
Standard operating procedures will deal with safety

risks associated with plant operation. However,
there are many other activities, which will not be
addressed by operating procedures, and
appropriate work practices should be documented
for these.
It is essential that documented procedures are
established where the absence of such procedures
could adversely affect safety and health.
Procedures should:
Conform with legislation and standards
Be prepared using risk management
techniques
Be readily available
Be understandable by employees, i.e.
targeted at correct level of complexity
Be monitored, reviewed and updated
Implementation
The audit will seek evidence of standard work
practices for non-operational areas. The origin and
applicability will also be reviewed.
outputs
Description

Development
The requirements of this element are addition to those In order for a successful programme of job
observation the following should be in place:
specified in the elements Hazard Identification and
Risk Assessment and Task Analysis. Taken in
conjunction, hazard identification and risk assessment
and task analysis, will ensure that appropriate work
practices are developed for an organisation, to control
workers exposure to risks. Nevertheless, there is no
guarantee that these practices will be implemented or
be effective within their implementation. Therefore, it is
important that task observations are undertaken by
specified in the elements Hazard Identification and

Risk Assessment and Task Analysis. Taken in
Scheduled programme of job observations
conjunction, hazard identification and risk assessment
and task analysis, will ensure that appropriate work
Training of supervisors in job observation
practices are developed for an organisation, to control
workers exposure to risks. Nevertheless, there is no
Mechanism for dealing with outcomes of
guarantee that these practices will be implemented or
job observation
be effective within their implementation. Therefore, it is
Mechanism for communicating outcomes
important that task observations are undertaken by
of job observation to workers
appropriately trained personnel (generally supervisors)
to confirm that tasks are implemented.
Implementation
1.8
0.2
1.8
1.6
2
2
1.6
1.5
An audit will seek evidence as noted above,

including:
Regular occurrence of job observations
Actions followed-up
Summary:
Development %
Implementing %
Result
65
58
1
1
1
Notes
Available. Critical information to be mentioned in the SOP itself

Done as per standard/ legal requirements and past incidents. Risk
management techniques to be used.
Available.
Available in local language at most of the places. To be extended to
more areas.
Reviewed and updated whenever need comes. To be frequently done
Job safety analysis available for hazardous/ major jobs. Further to be

done for more jobs
Training has been given. To be frequently done
Communicated to the users and available at the user deptt.
To be reviewed frequently
Notes
Available for management personnel

Verbally being communicated. To be formally trained and recorded
SOT compliance is being monitored
Through various forums like safety committee meetings, talks etc.
Available
Available
18
11.7
12
B13: Inspection and Testing

Description
Possible
Score
Actual
Score

Regular inspections and tests of critical plant and
equipment should be undertaken. Note that the
inspections referred to herein are specialist inspections,
not the general workplace inspections addressed in
Planned Inspections
Development
Identification of critical plant and
1.8
equipment
Identification of key safety functions, e.g.
Trips, alarms, development and documentation
of maintenance work procedures and practices
1.8
Procedures to ensure that maintenance
employees and contractors are qualified

Procedures to ensure that changes in
technology and facilities are appropriately
reviewed
2
2
1.5
1.8
0.8
One key element of safety management is to

ensure the ongoing integrity of plant and
equipment. This requires a structured
maintenance inspection and testing programme. A
good maintenance system should be based upon:
Implementation
Evidence of inspections
Quality control procedures to ensure that
maintenance materials and spare equipment

meet design requirements
Training of maintenance employees in the
application of the procedures
Summary:
Development %
Implementing %
Result
70
68
1
1
1
Notes
Available. To be reviewed further with new plant

Available with the departments
In place. To be documented properly

Review is being done when need arises. Procedure to be
documented
Inspections done and compliance monitored

Procedures available for qulaity control/ calibration etc.
Qualified and experienced employees are on th job. Formal trainings

to be frequently done
5.6
4.1
B14: Design Safety

Description
Possible
Score
Actual
Score

Consideration of safety issues should be included in
the design phase for plant, equipment and operations.
Development
2
2
1
1
designers are suitably qualified and
competent
design is based upon relevant Standards
design seeks to address relevant issues
The most effective way of managing safety is to

ensure that risk control features are incorporated
into the design of system, plant or equipment.
Therefore, it is important that:
design responsibility is clearly defined
competencies of design personnel are
specified
adequate resources are provided in
relation to design
Implementation
The audit will seek to determine the mechanisms
by which safety is addressed in facility and process
design
within legislation
risk management activities are included in
the design process
Safety risks can be managed in a number of ways.
There is a hierarchy of risk controls whereby some
controls are preferable to others. Effective design
should consider each of the elements of the
hierarchy and, where practicable, and incorporate
the most important.
The hierarchy is:
elimination
substitution
separation/isolation
administration
personal protective equipment.
The audit will seek to demonstrate that the
hierarchy of risk controls has been included in
design considerations.
Description

Formal design reviews should be conducted at
appropriate stages of the development of a design.
Development
It is important that there are documented
processes for the review of the development of a
design, so that emerging safety issues can be
identified and modifications made to the design to
address those issues. A design review should
include, where appropriate, consideration of:
Possible
Score
Actual
Score
2
2
1
2
Possible
Score
Actual
Score
manufacture
construction
commissioning
operations
maintenance
disposal
decommissioning
rehabilitation.
Design verification and validation should occur
prior to commissioning.
Implementation
The audit will seek evidence of:Occurrence of design reviews
Consideration of safety in design reviews
Follow through of recommendations
Description

Development
An effective design will attempt to
It is important that there is a clear linkage between the
eliminate the need for personal protective
design and the documentation generated by the design
equipment wherever possible. The output from
process.
the design process should be identified hazards,

documented risk controls and a set of suitable
design documentation e.g. drawings, reports,
calculations and analyses. Procedures should
be in place to assure the occurrence of the
above.
Implementation
The audit will seek evidence of:
Hazard identification
Documentation of design risk studies

Evidence of attempts to eliminate the need
2
2
0
0
for personal protective equipment
Summary:
Development %
Implementing %
Result
31
38
1
1
1
Notes
To be practiced in small design jobs
Notes
Not applicable
Not applicable
Not applicable
Not applicable
Notes
To be followed in small design jobs
Not applicable
Not applicable
Not applicable
16
24
B15: Audit and System Improvement

Description

Effective functioning of a health and safety
management system must be supported by internal
audits of those systems.
Development
Possible
Score
Actual
Score
1.8
1.4
1.4
Possible
Score
Actual
Score
2
2
2
2
In order to support an effective and robust health

and safety management system, the following
should be in place:a structured system and schedule for
internal audits
development of an internal auditor training
course
a system for management review of the
health and safety programme
Implementation
It is expected that suitable supporting
documentation will be available and there will be

evidence of an internal audit programme.
Reports produced as a result of internal audits to
be reviewed.
Corrective action management system for
dealing with and ensuring recommendations are

implemented
Evidence of management overview and
review of the health and safety management

system
Description

A process should be in place to ensure that ongoing
external audits and reviews of the safety management
system are undertaken.
Development
In order to support an effective and robust health
and safety management system, the following
should be in place:a structured system and schedule for
external audits
Implementation
The audit will seek evidence of:External system audits
Actions from audits addressed
Summary:
Development %
98
Implementing %
Result
88
2
4
Notes
Available
Available
Safety & health plan is being reviewed annually.
Available
Corrective actions to be monitored strictly
Done as per external audit reports. Internal audit reports also to be

reviewed seriously
Notes
Available
Available
Available
7.8
10
8.8
B16: Occupational Rehabilitation

Description
Possible
Score
Actual
Score
Development
A rehabilitation scheme has been developed
consistent with the requirements of any local
Workers Compensation Legislation or other similar
requirements / practices.
Although the primary aim of any safety management

(2 points/
system is to prevent the occurrence of incidents and
issue as
injury, it is important in those situations where an injury
required,
or illness has occurred, that assistance is provided to
up to 10)
an employee to return them to meaningful work as
soon as possible. An effective employee rehabilitation The scheme should address :
Identification of injured personnel
2
scheme should be in place to return employees to
productive work as soon as possible after injury or after
Medical assessment of injury and ability for
2
contracting work related disease.
undertaking alternative duties
Identification of potential alternative jobs
Rehabilitation plan
Legal compliance
2
1
2
2
2
0.2
0
2
10
Implementation
The audit will review the application and
effectiveness of the rehabilitation programme
Summary:
Development %
Implementing %
Result
52
10
1
0
0
Notes
Identified and recorded

Done in consultation with the Medical officer. To be systematically
done
To be documented
To be documented
Legal compliance is ensured
Scheme to be documented and implemented
10
5.2
10
B17: Procurement
Description

Development
Procedures have been developed to
Procedures should be in place to ensure that critical
ensure that prior to purchasing, an evaluation
parts and equipment are tracked during the fabrication
should be carried out to ensure that materials
stage, and that appropriate checks and inspection
and equipment to be purchased meet:
procedures are established and implemented to ensure
that the installation of equipment is consistent with
-legislative requirements
design and manufacturers specifications.
Possible
Score
(2 points/
issue as
required,
up to 6)
4.2
0.2
2
1
1
Up to 10
10
Possible
Score
Actual
Score
-relevant Standards and Codes
-hazardous chemicals requirements

-any other safety and health
performance criteria or specifications.

Purchase documents, such as order
Actual
Score
forms, clearly describe the items and specify

health and safety requirements.
A system has been developed for verifying
that supplied goods meet required safety

standards.
Implementation
The audit will seek to confirm application
of the above items.
Description

Development
Contractors provide a major resource to
A selection process for contractors should be based in
organisations in terms of their ability to
part upon their ability to meet clearly defined health and
undertake specific tasks and to provide labour in
safety requirements.
a number of areas. It is essential, with regard to
management of site safety, that contractors are
able to adequately manage the safety of their
own personnel and ensure also that other site
safety systems are addressed. A contractor
management system must be in place and must
address safety management as well as other
management issues.
(2 points
per issue
as
required,
up to 10
points)
Topics to be considered include:

-Selection on basis of safety
performance
-Contractor inductions
-Assessment of competency of
contractor personnel
-Contractor provision of safety
equipment
-Audits of contractors
Implementation
The audit will seek evidence of
0.4
2
Up to 10
10
1
5
consideration of health and safety requirements

in the purchasing of services, i.e. practical
application of the contractor management
system.
Summary:
Development %
Implementing %
Result
53
55
1
1
1
Notes
Done. Still procedure to be documented

Done. Still to be improved
All personal protective equipment is checked for its quality. To be

further improved by provision of internal testing for critical items
Notes
System to be made
Done. But to be strictly followed
System to be made
In place. But requires review
System to be made
20
10.6
20
11
B18: Management of Changes

Description

It is necessary that there is a formal system in place for
managing and documenting change and identifying the
safety implications of change.
Development
Possible
Score
Actual
Score
2
2
0
0
2
2
0
0.2
0.2
10
Many safety problems emerge because changes

are made which destroy or diminish the integrity of
plant and equipment or existing safety systems.
Changes may be a change in technology or a
change in the facility. Therefore, it is necessary
that a formal Management of Change Procedure
be in place whereby:
changes are identified and authorised

changes are analysed and assessed for
safety implications
suitable risk controls are implemented
changes are communicated to affected
personnel
changes are made to associated
documentation
Implementation
The Audit will seek evidence of:
A management of change procedure in
action
Summary:
Development %
Implementing %
Result
4
10
0
0
0
Notes
System to be developed
To be developed & implemented
10
0.4
10
B19: Health and Wellness Issues

Description

Development
Procedures should be in place to address:
It is essential that each site satisfies societal obligations
and complies with relevant responsibilities. It is
expected that if all the other elements in the Pyramid
-how the site accesses and identifies
are fully addressed, then Corporate Social
relevant CSR requirements, e.g. World
Responsibility (CSR) should in most cases be in place,
Business Council for Sustainable
Development guidelines
since there is a commonality within Health and Safety
Management Systems and parts of Workers Rights
-how the site assesses the Health and
aspects of CSR. Nonetheless, this element provides
Safety aspects of CSR requirements
the opportunity for confirmation that all CSR issues
-how the site monitors changes to CSR
have been met, and also requires that each site has in
requirements
place a mechanism for identifying which of the CSR
-how the site communicates relevant
issues are relevant and ensuring that these are
information on CSR requirements to
addressed.
Possible
Score
Actual
Score
1.5
employees
Implementation
Topics to be reviewed should include:
Identification of CSR requirements
Existence of an Employee Assistance
(2 points/
issue as
required)
2
2
1
1
2
2
2
2
1
1
1
1
2
2
2
2
1
2
2
2
Programme, consistent with the requirements of

local customs and legislation.
Precautions for overseas travellers
Management of endemic diseases
Stress management and counselling
Drug and alcohol awareness (substance
abuse)
Communicable diseases
Other general health and lifestyle issues
Quality of life (work/family balance)
The need for, and existence of, an offsite
emergency plan.
Summary:
Development %
Implementing %
Result
56
65
1
1
1
Notes
4.5
20
13

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Date of verification: -13/3/07

Audit and System

B1: Roles, Responsibilities and Accountabilities

B1: Roles, Responsibilities and Accountabilities

Position descriptions not more than two

Evidence within performance

1.1 STATEMENT OF REQUIREMENT

OH&S responsibilities and

accountabilities commensurate with the level

organization for reviewing the performance of

or statements of OH&S responsibilities and

monitoring/review system that safety

positive and negative targets) for individuals

All Management Staff

All Management Staff

All Management Staff

OH&S responsibilites & accountabilities are defined in detail

B2: Hazardous Work Activities

2.1 STATEMENT OF REQUIREMENT

To ensure the effective management of high risk work

The auditor will seek evidence that a review

of the need for high risk work permits has been

The auditor will assess whether the scope of

the permit systems covers those topics for which

2.2 STATEMENT OF REQUIREMENT

Thee is system in place for authorizing

specific personnel to be responsible for issuing

for personnel responsible for issuing lockout and

for persons who are required to work using

A documented lockout and isolation

procedure is in operation at the site (seek proof

of equipment are known by site personnel

by site management to be responsible for

and isolation permits have been trained

annually for persons issuing permits

require risk assessment to be undertaken prior

A training and retraining programme has

been developed for persons authorized to issue

A training and retraining programme has

As a minimum, the site must ensure that the

been developed for persons who will work in

topics listed in the adjacent column are addressed.

Refresher training has been provided bi-

annually for persons issuing permits

The site has in place a rescue capability to

rescue capability to ensure that personnel who

been developed for persons who will undertake

space permits should be nominated in writing

summarized in a register and where applicable

undertaken prior to confined space entry by

restricted spaces, i.e. Those spaces which are

space permits have been trained regarding the

ensure that personnel who may be trapped in a

who are or may be required to undertake

Refresher training have been provided bi-

annually for persons issuing work permits

Suitable fire fighting equipment is available

2.4 STATEMENT OF REQUIREMENT

those circumstances/locations where ignition

A training and retraining programme has

been developed for persons who will issue

been developed for persons who will work under