PROCEDURES MANUAL Ref.

: HPSL/HUB/SAF/G/003 Page 1
VOLUME EIGHT Issue: G Level: 3 of 6
Subject: Approved: Date:
Management Safety Audits
24/03/2016
Revalidation:

1.0 PURPOSE
This document provides guidance for the Active Monitoring by routine on-the-field Management Safety
Audits (MSA) of the entire site and for the regular inspections by competent persons of the workplace.

The purpose is to establish a framework, which ensures regular audit and review of HSE practices in
the workplace and to enable effective action to be taken at an early stage of any potential hazards,
identified.

2.0 SCOPE
The process of MSA is applicable to the entire power station site including the residential camps.

3.0 REFERENCE

3.1 References

1) Hubco level I procedure PSM/11 Observations and Audits

2) HPSL/HUB/SAF/G/POL/002 Health & Safety Management
3) HPSL/HUB/SAF/G/007 Risk Assessment

3.2 Definitions & Abbreviations

MSA Management Safety Audit

TO Technical Officer for site contract works
FSO Field Safety Officer
SMM Station Management Meeting
SOC Safe Operating Committee
DLC Department Level Committee
CBG Core Business Group
CAPA Corrective Action, Preventive Action
CMS Compliance Management System
USA Unsafe Act
USC Unsafe Condition

4.0 PROCEDURE
4.1 Responsibilities
1) The Compliance Manager is responsible for:

a) Ensuring training of staff members involved in HSE audits.

b) Providing expert advice and guidance to participating members involved in audits and
Safety walks.

c) Conducing MSAs, and participating in MSAs as and when required.

d) Producing MSA plans for routine and outage works.

Written By: Asim Rashid Reviewed By: M. Uneeb

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PROCEDURES MANUAL Issue: G Level: 3 of 6

2) The Chemistry & Environment Manager is responsible for:

a) Providing training and expert advice and guidance regarding the environmental aspects of
MSAs where required.

3) The Compliance Officer is responsible for:

a) Keeping record of MSAs.

b) Producing data for the monthly SOC meeting and SMM.

c) Following-up with concerned staff who have not performed MSAs to schedule.

d) Maintaining database of findings and CAPA arising therefrom.

4) The Field Safety Officer is responsible for:

a) Conducting routine field inspections and compiling data of findings and CAPA.

b) Accompanying CBG members on MSAs as and when required, especially during outages
and projects.

4) The Line Supervisors / Team Leaders of particular work areas are responsible for:
a) Conducting MSA of their respective areas or work and responsibility.

b) Participating in the audits of their areas and co-operating with the auditors in carrying out
the safety audits and walks.

c) For ensuring that any actions recommended to rectify hazards identified are taken on a
priority basis.

d) Discussing findings from HSE audits and walks of their areas in their DLC meetings.

5) The members of SMM or are responsible for:

a) Conducting MSAs as per plan.

b) Compiling results of their MSA, disseminating findings/observations to relevant stakeholder

for taking CAPA, and following up on CAPA for close-out.

c) Make any follow up visit by themselves, as and when required, whenever convenient with
or without involving any other team member to witness implementation of CAPA against
critical findings.

4.2 Types and Frequency of Inspections

There are mainly 3 types of site inspections that are being carried out at Hub Power Station:

1) Management Safety Audits Routine

These are planned audits carried out by the site management i.e. members of the SMM. The areas
for MSA are planned for each member of the SMM at the beginning of the year.

MSAs are contact based safety audit where in managers must do more than simply observe
employees, equipment, and the work environment. A good safety management auditor talks safety
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PROCEDURES MANUAL Issue: G Level: 3 of 6

with employees during the audit. These conversations can help the auditor answer questions such
as:

What is the frequency of employees attending safety meetings?

What do employees think of safety meetings?
Are employees receiving the communications that are passed down the line?
What are the safety problems that employees face on their jobs?
What do employees think about the increased emphasis on safety?
What are the quality and quantity of the initial training given to new employees and the
continued training given to experienced employees?
Are employees concerns addressed within a reasonable time?
Do employees or contractors have say in the overall safety program within their work
group?

The Core Business Group conducting MSA may request FSO or contract safety officer to
accompany them during their audits.

a) Where a hazard, hazardous condition, unsafe act or defect is identified during the MSA,
every effort should be made to address it on as far as reasonably practical basis. Following
are examples of some action that auditor can take to MAKE IT SAFE

I) Remove the obstruction/tripping hazard.

II) Dispose of rubbish to the relevant skip or bin.
III) Place barriers/barrier tape around the problem.
IV) Stop dangerous activities and inform the concerned supervisor e.g. improper manual
handling practice.

b) The second response should be used when an auditor cannot deal with the problem by him
or herself, e.g.

I) Large pile of scaffolding or debris.

II) Lighting ineffective.
III) Large oil spill, etc.

Contact by telephone or page the person responsible for the contract or plant area and make
them aware of the problem immediately. At this stage do not forget about the problem, take
ownership of the problem and chase it up until a satisfactory outcome has been achieved.

c) The third and final response is where an auditor feels the defect is safety related and cannot
be dealt with via the other two options above. In this case he / she will raise a safety defect
in Maximo. If they need help, contact the Compliance or Planning section.

d) If necessary the activity should be stopped or the equipment shut down to ensure safety of
the personnel as well as the plant until the problem is solved.

e) During this visit, the SMM members should review the sites safety program, activities, and
progress. While at the site, they should endeavour to meet at least 03 employees or contract
workers. They should observe work habits and conditions. For the visit they should use the
prescribed log, attachment #2, for recording observations and finding. The findings should
be marked to relevant working parties using CMS.

2) MSA by Area Engineers, Supervisors and DLC members

The line supervisors and DLC members should conduct MSA of their work areas or areas of
responsibility and/or their ongoing contract work. They should use the same log for their audits
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PROCEDURES MANUAL Issue: G Level: 3 of 6

as referred above i.e. attachment #2. They should also follow the guidance given in section 4.2.1.a-
-d for addressing unsafe acts, conditions or defects. They should record findings in the CMS for
keeping a track.

3) Outage and Project MSA

During outages and projects, the SMM group will conduct special, themed MSA against plan
produced by Compliance team. The plan will cover all areas of the outage and project. Each work
day a member of the SMM will be assigned a specific area and also an HSE aspect to focus e.g.
use of a particular PPE, working at height safety, electrical tools and equipment etc. The auditors
will use the MSA log for recording findings and guidance to addressing undesirable conditions.
Special MSA plans may be produced for the Station Executive team who will be accompanied by
FSO or contract safety officer.

Findings will be recorded in CMS for allocating CAPA and follow-up.

Note: The checklist given in attachment # 1 provide a guidance for conducting both MSA.

Attachment # 3 provides guidance on conducting MSAs.

4.3 MSA Frequency

No Group Frequency Duration

1 SMM Monthly Minimum 30 minutes
2 Area Engineers Monthly Minimum 30 minutes
3 Line Supervisors Fortnightly Minimum 30 minutes
4 DLC Members Weekly
5 Compliance officer and Monthly Minimum 1 hour in high
Field Safety Officer hazard areas.

All those performing MSAs should record their findings and CAPA in CMS for recording, follow-up
and analysis.

4.4 Formal reporting

In case the observed USA or USC is found to be of serious nature i.e. injury potential, then it should
be reported through formal channel on F2 form as per procedure HPSL/HUB/SAF/G/006. This should
be recorded on MSA form as well.

4.5 Results

A site wide or area-wide MSA program results should be analysed to observe trends in safety
performance.
To enable to see site wide or area-wide trends and problems, two basic conditions must be met:
1) The same audit form should be used throughout the site or area.
2) Each department to compile their audit results. Copies to be sent to Safety Section for record only.

4.6 Quantifying Results

There are two types of methods used for quantifying the results.
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PROCEDURES MANUAL Issue: G Level: 3 of 6

1) The Time-Weighted Index (TWO)

= 100

This sort of index works well in operations that are not labor intensive, like Operating Plants,
where you might not see many workers when you audit. There, you will be looking for indications
of unsafe acts that occurred before you got there; for example, a forklift sitting idle with its forks
raised.

2) The Unsafe Acts Index (UAAI)

If you have a location that is labor intensive, you might prefer to use an unsafe acts index.

= 100

These ways of recording audit results provide a quantitative means of presenting information.
3) Results that can be expected

a) Many observations in a new program or activity.

b) A rising trend as auditors become more adept. It will look as if area/Station safety
performance is getting deteriorated instead of getting better. You should be prepared for this
occurrence.
c) A lowering trend as employees react with safer work habits.

If the frequency of unsafe acts rises again, it may be symptomatic of an underlying problem you
need to tackle. A strategy for tackling problems could include:

a) Publicity.
b) Safety discussions.
c) Close Monitoring.
d) New procedures.

You can use any or all of these methods. The important point is that you cover all employees.

4.7 Using Results

To make full use of audit results to see where you should direct your efforts, you should also review
audit reports submitted by supervisors in your line organization to recognize such factors as:

1) A work area with a high infraction rate.

2) Supervisors who are not conducting effective audits.
3) Safety violations that occur throughout the site or area.
4) Recurring safety violations.
5) A rise in the number of violations.

After spotting any of these factors, you can take actions where appropriate (such as reviewing auditing
techniques with a supervisor who needs help) or advise supervisors of the need for action (as in the case
of safety emphasis for an area with many audit defects).
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PROCEDURES MANUAL Issue: G Level: 3 of 6

5.0 Attachments

1) Check sheet for Safety and Environmental Tours

2) Management Safety Audit form
3) Guidance on conducting safety audits and walks
 Hub Power Station

SITE HSE TOUR/MSA CHECKLIST

Housekeeping
All waste is disposed as per allocated skips. General cleanliness, stacking & storage, walkways & working area tidy and free
from tools, scaffolds and other material if not in use. Waste Skips are in placed at designated areas.
Access Ways / Egress
Conditions of floor, hand railing, stairs, steps, fixed ladders, exit signage are adequate including the walkways to and from
working areas. Access/egress doors free from obstructions.
Working Environment
Ventilation, illumination, temperature, Weather condition windy, dusty, chemical exposure and radiography.
Safety System / Staff
Electrical equipment's are tested and tagged. Using correct, serviceable hand, machine tools. Appropriate PPE being used.
Workers complying with safety signs, safety document, general safety and procedures. Working area telephones are working.
Access Equipment
Scaffolding inspected and tagged. Ladders in good condition & lashed / tied and inspected. Mobile platforms serviceable & in
good condition. Fixed vertical ladders are in good condition.
Lifting & Handling
All lifting operation areas barricaded correctly. Rigging & slinging equipment's are tested, including crane, Merlo, fork lifter,
tractor and Simon hoist used correctly. Safe manual handling techniques used and implemented.
Machinery & Mobile Plant
Substance / oil leaks, visual defects. Condition of guards, tyres, safety devices and emergency stop button. All machinery and
mobile plant used by authorised staff/Contractor.
Fire Prevention
Signage appropriates. Fire exits, fire doors, fire alarm, fire equipment in an operating condition. No build-up of combustible
materials and hot work according to the procedure
Tools and Equipment
Right tools are used for jobs. Tools and equipment in good working condition. Tools used correctly. Necessary protection
used for tools usage as appropriate. Tagging of powered tools.
Civil Structures
Cracks in walls, structures, flooring etc. Tilting/skewing walls. Separation between base (ground) and walls. Corroded beam
girders. Falling concrete. Roof cladding sheets intact. Leaning trees. Drain gutters broken. Holes in walls. Window & doors
closing & sealing.
Lighting
Lights on outside of operating hours. Adequate light is available in area and for work.
High Risk areas as per area risk assessment: H2 plant and generators, Fuel oil day/storage tank areas, light oil tank, 500Kv
yard and Chemical storage areas: Appropriate safety signage are adequate, Fire equipment's in an operating condition, Hot
work according to the procedure, Oil/chemical leak checked at RFO/light oil/chemical storage areas, Work within H2 gas
filled areas with spark free tools, 500Kv access and work is comply with safety procedure, Staffs are complying with no-
smoking in these areas, Telephones are working, H2 plant/storage tank areas explosion proof lights/switches are adequate,
required PPE is being used and Safety shower/eyewash station are in operating condition.
Inspected: Yes No N/A

Emissions to Air
E.g. smoke, diesel or petrol fumes and leakage's of furnace flue gases around boiler area
Emissions to Water
E.g. oil, diesel or petrol leaks from plant, machinery or site vehicles. Poor maintenance of storage bunds e.g. oils, chemicals.
Chemicals loading or unloading spillage's on roads drains watercourse and pouring of oil / chemical into storm water drains.
Emissions to Land
E.g. water disposed of incorrectly. Correct segregation is General waste, toxic waste, ferrous metal and brick rubble. Non-
ferrous metal to be taken to stores and pouring or leak oil / chemical into land
Noise
E.g. mobile plant operating within reasonable limits for noise. Silencers and exhausts working correctly. Extraction fans working
correctly.
Water
E.g. Water supply lines and taps leaks, Flush cistern water losses in wash rooms.

Attachment #1
HPSL/HUB/SAF/G/003-F1
 Hub Power Station

MANAGEMENT SAFETY AUDIT FORM

Auditor Area Audited

Audit Date Start time Finish time Total duration

Total USA/USC People observed F2 raised

Observation Recommendation Responsible Category Type of Potential of

Team(s) See revers observation Injury
(USA, USC, SR) (Fatality, Serious,
Minor)

General Comments:

Attachment #2
HPSL/HUB/SAF/G/003-F1
 Hub Power Station

Categories
A. Personal Protective Equipment D. Tool and Equipment
A.1 Eyes and Face D.1 Right for job?
A.2 Ears D.2 Used correctly?
A.3 Head D.3 In safe condition?
A.4 Hands and arms D.4 Seat belts in use?
A.5 Feet and legs D.5 Barricades or warning lights?
A.6 Respiratory system D.6 Chocks / restraints properly used?
A.7 Trunk
B. Positions of People E. Procedure
B.1 Striking Against E.1 Is work instruction established?
B.2 Struck by E.2 Adequate for the job?
B.3 Caught in between E.3 Is work instruction the established?
B.4 Falling E.4 Is work instruction being maintained?
B.5 Temperature extremes E.5 Work permit compliance?
B.6 Electrical current E.6 Fire prevention adequate?
B.7 Inhaling E.7 Gas test (if needed) satisfactory?
B.8 Absorbing
C. Reaction of People F. Housekeeping
C.1 Adjusting PPE F.1 obstruction in passageways
C.2 Changing position F.2 disorganized tools, materials
C.3 Rearranging job F.3 obstructions by stairs / platforms
C.4 Stopping job F.4 oil or water spill
C.5 Attaching grounds
C.6 Hiding, dodging
C.7 Changing tools

Attachment #2
HPSL/HUB/SAF/G/003-F1
 Hub Power Station

A Guide to Contact Safety Audit

1) Introduction

One-on-one safety contact audit is an essential feature of the Management audit program. It is a formally
scheduled audit conducted by managers. The specific objective being that one-on-one contact is established
between supervisory level & employees to focus on safety. These audits are to be conducted by all level of
management employees.

Safety and housekeeping in your area reflect the standards you are willing to accept; they will improve as soon
as you communicate convincingly that you want them to improve. The intent of this guide is to help you
improve safety and housekeeping by establishing a personal safety audit system.

This guide has five steps:

Audit.
React.
Communicate.
Follow-up.
Raise standards.

2) Audit

You must get out into your area(s) of responsibility every week with one of your direct subordinates to make a
safety audit. You do not have to devote a lot of time to the audit, and you do not have to conduct a complete
tour of an area. If you have several locations that you know are trouble spots, concentrate on them first. Sample
one or more portions of an area where you can audit employee work practices and conditions quickly and
effectively. Conduct an audit at least once a week, spending 30 minutes and make at least 03 contacts. It is
crucial that you do not try to combine a safety audit with other visits to the area. Your safety audit to an area
must be specifically designed to evaluate safety. Learn to take notes of the things you see.

The audit process to be followed would be:

a) Become Familiar with Safety Requirements

Prior to auditing the areas, review the area, equipment, and hazardous chemical safety rules; process
hazards; and emergency procedures. Wear the proper protective equipment, just as if you were doing the
job.

b) Focus on People

Make sure each audit involves the observation of and communication with people in the workplace. More
focus on unsafe acts than conditions. When someone is working unsafely, follow these steps:

i) Observe; then get the persons attention.

ii) Comment on what the employee was doing safely.
iii) Discuss with employee:

The possible consequence of the unsafe act.

Safer ways to do the job.

iv) Get the employees agreement to work safely in the future.

v) Discuss the safety issues of the job.
vi) Thank the employee.

Attachment #3
HPSL/HUB/SAF/G/003
 Hub Power Station

c) Ask Open-Ended Questions

Gain a better understanding by asking open-ended questionsones that cannot be answered with a simple
yes or no. Such questions not only aid in an accurate evaluation, they frequently stimulate the thinking
of others as well.

d) Take Notes at Appropriate and Timely Opportunities

Historical safety contacts between supervisors and subordinates have been negative. Thus, do not walk
around with a clipboard or notebook in your hand. The first impression people will have is that you are
out to take names and report. Make your observations and, at an appropriate time (often just after your
contact with the employee), jot down a few notes to jog your memory when you make up your audit report
following the audit. Remember; do not rely on your memory. It is difficult for most people to remember
more than a handful of observations, and erroneous reporting can only weaken the impact of the audits.
Therefore, it is important that you take notes on a periodic basis during your audit.

e) Respect Lines of Communication

As a matter of courtesy, keep members of supervision who are responsible for the audited area informed
of your findings. Whenever possible, channel all recommendations and remarks through the line
organization.

f) Draw Conclusions

Draw meaningful conclusions from your observations. In many cases, the greatest value of an audit lies
not in the correction of specific deficiencies but in the conclusions upon which measures to prevent
recurrences can be developed. You should be careful to avoid drawing sweeping conclusions where the
evidence is not sufficiently strong to support them and avoid overgeneralizations. In these cases,
suggesting possible conclusions may be more useful because the question will remain open to further
investigation.

3) React

The only way you and your site can benefit from your audit is for you to react. The manner in which you react
may well be the strongest single element in improving the safety climate at your site. Your reaction (or lack of
it) tells your organization what is and is not acceptable. With the philosophy that all injuries and occupational
illnesses can be prevented, you must display confidence that your site can achieve high standards of safety.

Specifically, each time you audit an area, building, work site, room, or other facility, you must ask yourself a
question and make a decision: Are all aspects of safety acceptable? Whenever the answer is no, you should
record your reaction and comments about how the facility deviates from your standards. Your standards will
not be static; they will change with time and as you develop more skill in auditing.

You must come away from each audit with a reaction:

The operation is acceptable because . . . .

The operation is not acceptable because . . . .
The operation has deteriorated because . . . .
The operation has improved because . . . .

4) Communicate

Since you have already accepted the basic principle that safety is a line organization responsibility, the next step
in your personal safety audit effort is to communicate your reaction. Talk with your subordinate who has

Attachment #3
HPSL/HUB/SAF/G/003
 Hub Power Station

responsibility for the area you audited. Stick to the line structure, and do not be casual about this
communication.

For the contact to be productive, your subordinate must understand that:

a) You audited his area.

b) You are pleased (or displeased) with what you saw because of. . . . (Discuss your observations.)
c) You expect him to react to your comments, and more importantly, to improve the quality and effectiveness
of his own audit system so that permanent improvements are made.
d) You will audit the area again in a specified number of days.

You and your subordinate must understand the implications of these points. If you expect your subordinate to
address certain situations, be sure he has the necessary authority to obtain the resources to appropriately react
to your comments.

5) Follow-up

Follow-up is the magic step for achieving results. You have now spent time auditing, reacting, and
communicating. If you fail to set up an effective reminder or tickler system to enable you to follow up personally
and demonstrate that you mean what you say; your efforts may be wasted. Failure to follow up will give your
subordinates the perception that you do not care and those high standards of safety are not one of your important
priorities

You must clearly communicate your assessment of the obtained results to your subordinates. By doing this in
an effective, timely manner, you will help them learn to manage safety more effectively in their area of
responsibility.

6) Raise Standards

By consistently following the first four steps, you will see steady improvements in safety and housekeeping at
your site. Part of the challenge will be to keep raising your standards and providing the leadership necessary to
continue to make progress. First, solve the gross problems, and then begin to fine-tune your safety and
housekeeping efforts.

B Basic Audit Principle & Technique

1) Make a commitment to spend a predetermined amount of time for auditing. Auditing does not require a great
amount of time, it does require a regular commitment of time.

2) Sample conditions in one or more small areas rather than attempt to complete an entire area tour. By varying
the location of audits, supervisors can cover their entire area of responsibility on a regular basis.

3) React appropriately during audits to set the safety climate in their areas. Never let a safety violation pass
without taking immediate corrective action. This reaction, or a failure to react, tells all subordinates what a
supervisor finds unacceptable-and acceptable.

4) Build pressure. Supervisors should show what they expect by their reactions during their first audits. They can
then use subsequent audits to build pressure for improvement. As their groups meet one set of goals, supervisors
can increase the pressure for improved work habits.

5) List observations. To maintain an effective auditing program, each auditor must make a formal list of all
observations. (See the Attachment-1). He can then use these lists in discussing audit results with his group and
establishing a follow-up system.

Attachment #3
HPSL/HUB/SAF/G/003
 Hub Power Station

6) Follow Up. Each auditor should maintain a Follow-up file and follow up on audit items personally. This
personal involvement is a vital step in establishing standards. Employees will not usually be motivated enough
to correct unsafe practices or conditions unless they know that their supervisor will be back to check. Personal
follow-up maintains the positive pressure of the auditing program.

7) Vary the approach. Supervisors should generally tell employees when their work practices are being observed.
They can then discuss together the nature of the jobs and any hazards they include.

To get a realistic sample of work practices, however, supervisors can occasionally

a) Make unannounced audits.

b) Enter work areas by different routes.
c) Make observations before announcing their presence.
d) Precede an announced audit with an unannounced one.

C Training Methods & Observations Techniques

1) Training Methods

For training of line supervisors in the auditing techniques, here are some methods you can use:

a) Take line supervisors on audits with you.

b) Accompany them on their audits.
c) Discuss your observations.
d) Discuss what the supervisor can do about the safety infractions you have observed together.
e) Show supervisors how to keep a record of their observations for their own use, plotting incidents that
recur.

2) Observations Techniques

On an audit some critical aspects need to be observed. Be aware of safety violations in the following categories.
Here are some specific questions you can ask about each category

a) Positions and Actions of People

Is anyone in danger of injuring himself by pulling or lifting heavy objects?

Is anyone in a position where he or she could fall, be trapped, collide with anything, or be hit?

b) Personal Protective Equipment

Are employees using the required protective equipment? Does it provide adequate protection against
employees exposure to harmful substances?
Are they using the equipment properly?
If not, why not? Is it inconvenient to get out or hampering?

c) Tools and Equipment

Are the tools right for the job?

Are they being used properly?
Are they in safe condition?
Are homemade tools (not properly designed) being used?

d) Procedures

Attachment #3
HPSL/HUB/SAF/G/003
 Hub Power Station

Are they adequate? Do they prevent all unnecessary risks?

Are they followed?

e) Housekeeping

Is the workplace neat?

Are things put away properly?

Attachment #3
HPSL/HUB/SAF/G/003