SAFETY MANAGEMENT
Questions Reference
1 Management System Has external certification of the Safety,
Health & Environment management
system been obtained i.e., ISO 14001 &
OHSAS 18001 through a third party.
2 Personal Protective Is appropriate Personal Protective
Equipment (PPE) Equipment (PPE) actively used where
alternative methods such as engineering
controls, procedures and work plans
cannot eliminate or sufficiently reduce the
hazard ?
3 PTW (Permit to work) Are PTW (Permit to work) systems
implemented?
Supporting Evidence Auditor
Score
a)HSE Policy b)TS 1. Is the site certified with ISO 14001 & 45001 / AS 4801 / as per local certification requirements?
10 /11/12 - 4.2 , 2. Is comprehensive Risk Assessment (including environment aspects) done covering all Activities,
4.14 Locations and Equipment's?
3. Is the Risk Assessment conducted by a team involving workers?
4. Is Risk Assessment updated after incidents, changes or at defined review frequency?
5. Is the quality of risk assessments adequate, captures relevant hazards, quantitative and consistent
application of risk assessment matrix? Auditors Note: Quality of risk assessment to be verified by
checking random samples.
6. List of updated significant risks available?
7. Does the site has adequate procedures and controls for lone working? Work alone Control mechanism 0
to be established and adequate communication mechanism should be established using radio sets or
other means. Cameras may be installed for monitoring operations in remote areas.
8. Are adequate control provided for statutory testing for pressure and load testing by external parties?
9. Is competent person (internal / external) having valid permit / certificate / competency to carry out
the critical equipment's inspection? Identified High risk jobs (hydrotesting/ load testing) to be carried
out under the close supervision of a competent persons of Vedanta or business partner.
10. If the unit is recently acquired, has a comprehensive HSE due diligence been carried out and what is
the status of the gaps implementation’.
a)TS 10 - 4.12 1. Is there a procedure for PPE? (includes method of selection, fitness/performance tests and user review
/ feedback, storage & disposal requirements, replacement timelines, need basis replacements etc.).
2. Do all personnel have & use basic PPE? Is contractor procured PPEs comply to Vedanta/site PPE
procedure and effective checks are built in?
3. Is specific PPE available for protection against Lead fumes, SO2, Acid, Electricity, molten metal, dust,
radiations, traffic hazards, work at heights, falling objects, etc.?
4. Are all people aware of the need to wear PPE at all sites? Are employees / BP workers found using the
0
required PPE's?
5. Is effective inventory management practices in place (min-max stocks defined, rate contracts, auto
ordering and no instances of stock out)
6. Are used PPEs collected and disposed as per waste management procedure and records of disposal
kept?
a)TS 10 - 4.6 1. Is a PTW procedure in place for all type of works including Work at height, LOTO, Confined space
b)GN 20 entry, Hot work, Electrical, Explosives etc.? Is the retention period for the work permit is defined and
adequate? Do the site has list of all the work permits issued for the definte period?
If complete list of permits issued from last assessment is available with job description.?
Auditor's Note: Ask for the list of work permits issued for the definite period to select the samples.
2. Does all persons working under a permit are fully briefed about the potential hazards and the control
measures they are required to follow while working under the permit?
Auditors Note: Quality of TBT to be verified by checking random samples.
3. Are Employees / contract workers trained & documents are available? Is a site visit performed by
permit issuers (designated person) while filling the work permit and evidence exists? Is work permit and 0
permit acceptor available at work site? (to be seen during site rounds)
4. Is the periodic audit of work permit system being done? Does it include live and past work permits?
Are the actions being implemented on the audit observations and records maintained?
5. Is the risk assessment with the work permit include adequate assessment of the site hazards and
risks and controls? Are additional site / workplace specific hazards identified for e.g. working near
charged / running equipments, control / barriers implemented and verified before the start of job and
periodically if required? (ex: work near pressurised lines, hot material etc.)
Sensitivity: Internal (C3)
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4 Emergency Legal requirements related Emergency
preparedness preparedness, fire safety and mine rescue
teams
5 Fire Safety & Bulk Operations has a appropriate fires
Storage detection & suppression systems? Are
control and prevention strategies
implemented to minimise or eliminate the
hazards and risks of fire and/or explosions.
Safety measures required in Bulk Storage
of Chemicals and Fuel
6. Quality of Work Permits and separate jobs requiring separate work permits? (Auditors Judgement)
a)MS 4 - 4.0 1. Onsite and Offsite Emergency plan available? Is the mines rescue plan available?
b)TS 13 2. Do said plans cover all scenarios / risks of the operations / plant, including security emergencies? Does
a list of possible scenarios of fire & explosion exist ? Are learnings from past incidents have been
implemented?
3. Is roles and responsiblities are defined for both Offsite and onsite emergincies?
4. Does the emergency plan include COVID-19 type situation?
5. Does the emergency plan include flood and inundation in case of UG mines?
6. Are all employees including critical positions (designated for different roles in case of emergency)
trained periodically in emergency prepardness?
7. Are people and emergency response team members aware of their roles during emergency?
(Interview)
8. Are peridoic training being conducted for BP workers for emergency prepardeness?
9. Are periodic mock drills taking place and all types of emergencies covering effiency and effectiveness
of people and system are being captured? Verify the quality of mock drill reports to include details,
coverage of persons in mock drills.
10. Are identified short falls corrected within timelines?
11. Are records in place & available for audit?
12. Do the plans cover non-routine / accidental activities?
0
13. Are adequate and necessary emergency handling and rescue equipments available?
Emergency Preparedness for UG Mines:
UG Fire
1. Does the site has Emergency & Fire prevention plan & trained mine rescue teams? Are the training
of employees and visitors on rescue and emergency being done?
2. Maintain real-time carbon monoxide and Lower Explosive Limit monitoring in major ventilation
circuits of the mine and evacuation routes as close as practicable to existing and planned working
areas.
3. Each operation shall have a fast, accurate and effective system to identify who is underground at any
given time and when the underground is completely evacuated.
4. Procedures for workers to safely re-enter the mine, or parts of it,
5. Does the site has flood control and inundation emergency identified and action plan made?
6. Is Mine Rescue (with trained) team in place?
7. Are rescue chambers in place as appropriate?
a)TS 10 - 4.9 1. Have site conducted zoning /risk assessments / fire load calculations to identify fire fighting
infrastructure and controls requirment? Whether the actions of the study are implemented?
2. Is emergency hardware installed as per identified requirment, inspected and maintained in good
condition? List to contain location, quantity of hardware.
3. Are controls in place Ex: Administrative, Engineering, Work instructions etc.,
a. Does the fire hydrant/ deluge system work in auto mode ?
b. Periodic inspection of fire extinguishers are in place?
c. Are smoke / heat detectors installed at appropriate locations ?
4. Periodic verification / checking of fire suppression systems are in practice?
0
5. Has upkeep of fire pump house in place? Are fire hydrant pumps kept on auto mode?
Sensitivity: Internal (C3)
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 of Chemicals and Fuel
6 Excavation Safety Implementation of generally accepted
(where applicable) good practices w.r.t. excavation safety
Excavation are any man-made cut, cavity,
trench, or depression in the earth’s surface
formed by earth removal. A trench is
defined as a narrow underground
excavation that is deeper than it is wide,
and is no wider than 15 feet (4.5 meters)
6. MSDS available and displayed at the place of storage of chemicals / oils / fuels etc in english & local
language and are easily readable?
7. Secondary Containment provided
8. Are spill kits available and maintained in proper condition at the required place?
9. Earthing protection in case of flammable liquids
10. For hazardous chemicals, installation of fixed piping systems in preference to flexible hoses and
transfer systems that remove people from the vicinity in case of release.
No internal 1. Are trained and authorised person available at site for excavation?
reference and 2. Are appropriate resources; equipment and a management system available and in place for training,
expected best monitoring and controlling the safety of all people working in excavations?
practices 3. SOPs are prepared, implemented and revised at least every two years, or more frequently as required?
(Quality of management system, SOPs and adequecy of resources to be verified)
4. Whether Training Programme is in place for all employees and Business Partner personnel on the
excavation safety requirements, which must include:
a. Permits to Work and Risk Assessments
b. Identification and management of buried services
c. Confined Space training if required, e.g. if the risk of engulfment, entrapment or hazardous
atmosphere exist
d. Excavation safety training, including SOPs review
e. Emergency rescue training
5. Annual retraining is in place for all personnel or more frequent as required by the scope of work.
6. All personnel working in excavations are trained, assessed & authorised.
7. Has the site conducted soil testing for the excavated area? Auditor's Note: In case of repeated
excavation in same area, the earlier report can be considered.
8. Is there adequate support for the excavation, or has it been sloped or battered back to a safe angle?
The methodology for preventing excavation cave in should include inputs from soil testing.
(Sloping involves cutting back the trench wall at an angle inclined away from the excavation. Shoring
requires installing aluminum hydraulic or other types of supports to prevent soil movement and cave-ins.
Shielding protects workers by using trench boxes or other types of supports to prevent soil cave-ins.)
9. Does the work permit includes detail excavation plan / drawing indicating excavated area,
dimensions / method of shoring / slopping / shuttering / benching to be used, nearby equipments /
structures / buildings, method of egress / ingress in to excavated area, type and location of barricading, 0
place of keeping removed earth, rescue plan, monsoon prepardeness plan etc.?
a. Is there a safe method used for putting in the support, without people working in an unsupported
trench?
b. Is there safe access into the excavation, e.g. a sufficiently long, secured ladder?
c. Are there barriers or other protection to stop people and vehicles falling in?
d. Are properly secured stop blocks provided to prevent tipping vehicles falling in?
e. Could the excavation affect the stability of neighboring structures or services?
f. Are materials, spoil and plant stored away from the edge of the excavation to reduce the chance of a
collapse?
10. Are excavations being inspected daily and as conditions change by a competent person prior to
worker entry to ensure elimination of excavation hazards. Checks should look for:
a. Tension / cracks in the soil
b. Sliding / sloughing soils, rocks or materials
c. Toppling, subsidence and bulging
d. Stability of excavation walls
e. Water / debris
(A competent person is an individual who is capable of identifying existing and predictable hazards or
working conditions that are hazardous, unsanitary, or dangerous to employees and who is authorized to
take prompt corrective measures to eliminate or control these hazards and conditions.)
Sensitivity: Internal (C3)
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7 Explosive Compliance requirement for explosive
Management storage, handling, transportation, use &
disposal
8 Machinery Guarding Preventing access to dangerous parts of
machinery or stopping the movement of
machinery before any part of a person
enters a danger zone is either a regulatory
requirement, or at a minimum, best
practice in all jurisdictions in which
Vedanta operations are located
11. Treating excavation pits with possibility of engulfment (>1.5 m) as confined spaces and relevant
controls?
Auditor's Note: Is there any incident / accident related to excavation in last one year? Are the
corrective actions from the past incident / accident / safety alerts implemented and effective? Any
repetitive observation during internal / external audit?
a) TS 10 - 4.9 1. Are there SOPs in place for delivery, transport, storage, issuing/ returning, handling, use and destroying
of explosives, to ensure that explosives usage can be achieved in a safe and sustainable manner. SOPs
must also include treatment during misfires and minimum time and ventilation requirements and checks
before re-entry. System for providing adequate security & fire protection for explosive storage/
magazines.
2. Ensure all personnel including contractors conducting blasting operations are appropriately trained
and authorized/licensed. (including blast initiation systems)
3. Displays with respect to license, magazine master, quantities & records mentioning total inventory,
expired inventory and usage details.
4. Are high explosives and detonators always kept separate?
5. During transportation of explosives, Order forms / delivery forms put into the cars.
6. System for safe explosive transportation via car/van/UG. Authorized and trained blasters shot firers
and those responsible for transportation.
7. Ensure blasting policies are in place to 1) remove people from an area before initiating a blast; and 2)
prevent any personnel being in the area once a fuse is initiated other than authorized c) no one enters
the area in less than 1 hour after the blast where applicable d) blast areas are inspected before initiating 0
the blast and the area barricaded with stewards placed at access points e) blast outside stipulated
blasting times is authorized by senior management officials f) authorized blasters to have a time piece /
stopwatch to allow better control of blasts when using safety fuse.
8. Is there a plan for each production blast to be issued to mining personnel, including the diameter,
depth and direction of every hole to be drilled, details of individual holes to be charged, type and amount
of explosives to be used in each hole, timing of initiation, tonnage expected and; power factor used.
9. Ensuring sockets of previous blast are cleaned, plugged and marked with different color paint 6.
Procedures for secondary blasting & shot exploder available and followed
10. Ensure that prior to initiating a blast there is a warning system; a physical check of the area; and a
system of barricading and signage to prevent inadvertent entry.
11. Procedures to report and investigate incidents (e.g. significant misfires, problem or fault in an
explosive product, loss of explosives or explosive precursors etc.)
12. Ensure practices are in place to approve and control simultaneous blasts. Ensure any changes to
blasting practices have undergone a Management of Change analysis and a risk assessment.
13. Is there a process of MOC for any changes in blasting practices?
Safety Machine guarding is the elimination of access by people to moving parts of a machine that may present a
performance hazard to those people. This includes hazards of rotating equipment, nip points, conveyors, V-drives and
standard chain drives, shaft ends, couplings, rotating and oscillating levers and other rotating parts.
1a. Person engaged in designing equipment and its guarding must be trained and certified as competent
by respective business.
Auditor's Note: Check for approved drawings / calculations for new or modified guards.
1b. Any person removing a machine guard must be trained and designated as a competent which include
as appropriate any redesign, construction, installation, maintenance, inspection, cleaning and operation
of the equipment and its guards.by the respective business.
#Sensitivity: Internal (C3)
 Vedanta operations are located

2. No activities shall be performed on running equipment or machines in motion without a guard and
isolation lockout shall be in place before work.
3. Every business must ensure that machine guards:
3.1. Are of sufficiently robust construction to prevent ejected machine parts or material penetrating the
guard;
3.2. Do not give rise to additional hazards;
3.3. Are not easily bypassed or made non-operational;
3.4. Are located at an adequate distance from the danger zone;
3.5. Cause minimum obstruction of view for machine operators; and 0
3.6. Enable essential work to be done without guard removal."

All safety interlocks to be part of the circuit during all mode of operations (whether “Remote” or “Local”).

4. Has the site conducted a gap assessment and action plan for the conveyors to identify requirement of
systems and equipments such as engineering interlocks, conveyor’s logic, audio warning, and visual
display for the operator etc. shall be in place for the safe startup of conveyors?
5 "Before starting, equipment shall be physically inspect to ensure that:
5.1. Nobody is working on the equipment, e.g. the conveyor system;
5.2. Access platforms are clear;
5.3. Guards are fitted; and
5.4. Permit to work and isolation are surrendered."

6. Inspection, maintenance and testing procedure shall be in place to ensure that guards and protection
devices are maintained in good working order.

Auditor's Note: Is there any incident / accident related to machine guarding in last one year? Are the
corrective actions from the past incident / accident / safety alerts implemented and effective? Any
repetitive observation during internal / external audit? Put the observation in the relevant assertion.

9 Molten Metal This standard applies to personnel and Safety 1. Employees operating mobile equipment to handle molten material shall be trained and authorized as
Handling equipment involved in handling of molten performance competent by the business.
materials. standard
2. Employees shall be given appropriate training on the danger, standard operating procedure, usage of
appropriate PPE's while working with molten materials and the correct PPE must be worn, including fire
retardant clothing for any person entering an area where there is a potential for exposure to molten
materials.
3. "All molten materials handling equipment and rigging hardware must have:
- a valid load test certificate approved by competent person
- safety devices inspected and tested on a defined schedule
- a rated load indicator for overhead cranes with a SWL greater than 15T
- necessary safety devices, fail safe devices and interlocks; warning device (Bell, Horn, Siren or a flashing
light), heat protective shield"

4. There must be controls to prevent moisture interacting with molten materials, including pre-heating
and inspecting ladles; preventing bottles, cans, lighters etc. from being in molten metal areas; and
preventing interaction with sumps, drains and spilled water
0

5. Furnaces must be operated within design parameters with an approval process for deviations, e.g.
temperature operating range; molten material maximum levels; critical water supply backup; fail safe
design on energy source failure.
6. Transport of molten materials must be designed to avoid spillage, e.g. roadways, travelling cranes etc.
and to avoid interaction with pedestrians or other vehicles. Effective controls must be identified in a risk
assessment and must be implemented

7. An emergency evacuation plan for personnel must be in place including emergency lighting in blackout
scenarios

Auditor's Note: Is there any incident / accident related to molten metal in last one year? Are the
corrective actions from the past incident / accident / safety alerts implemented and effective? Any
repetitive observation during internal / external audit? Put the observation in the relevant assertion.

Sensitivity: Internal (C3)

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10 Work at Height Operations management shall have in a)GN 21
place a safe system of work that identifies, b)TS 10-4.5
assesses and minimises the hazards and
risks in relation to working at height.
Operations management shall ensure fall
prevention measures (e.g. fixed guardrails)
are implemented, so far as reasonably
practicable, and in preference to fall arrest
(e.g. harnesses) or fall mitigation (e.g.
inflatable cushions) arrangements etc.,
11 Isolation/ LOTO Are Lock out & Tag out for electrical, a)TS 10 - 4.6
pneumatic & hydraulic isolations in b)GN 20
practice & precautions are in place , did the
site complied to GN 20?
1. Persons who work at height are trained, certified as competent and tested to ensure they are
medically fit for the work. Competent Person (for design verification of Scaffolds) & scaffolding
supervisors have been authorized by site leader. In case external contractors are employed to carry out
scaffolding works, the site should follow a certification and authorization process to recognize them as
Authorized Scaffolders after due training and verification.
2. "Assess the hazards of each work at height activity and control in order of priority:
- Eliminating the work at height
- Fall prevention
- Fall restraint
- Fall protection using only certified equipment & anchor points". Guidelines as per GN - Scaffolding
safety are followed for construction, alteration or dismantling of scaffolds.
3. System for fragile roofs inventorisation, warning displays, skylights protection & access control
(program for review & replacement of fragile roofs).
0
4 Plan each working at height activity defining procedures to be implemented; self-rescue and
emergency rescue requirements; and any restrictions (work time, weather, night work etc.)
5. Provide barricades for overhead work. Ensure hard barricading for reservoirs & usage of a Personal
Flotation Device (PFD) around any unguarded water body.
6. Test and certify work at height equipment. Scaffold are modular, tube and coupler type and regularly
inspected and tags provided. System of handover certificate implemented & inspected as per defined
frequencies or earlier.
7. Audit the implementation of working at height procedures.
Auditor's Note: Is there any incident / accident related to work at height in last one year? Are the
corrective actions from the past incident / accident / safety alerts implemented and effective? Any
repetitive observation during internal / external audit? Put the observation in the relevant assertion.
1. Isolations are carried out by an Isolation Officer who has been trained, assessed and authorized as
competent to isolate specific plant or equipment.
2. The Isolation Officer’s lock must be a master series lock and his/her lock and tag must be the first to be
applied and the last to be removed.
Permanently deactivate all the hydraulic systems that are not required for frequent operation.
3. Every person working on isolated plant, equipment or systems first applies an identification tag and a
personal lock that can only be locked/unlocked by the owner.
4. Implement a written procedure for removal of personal locks in cases where this cannot be done by
the owner under the direct supervision of the department or area manager.
5. Implement the nine mandatory steps for isolation.
Are there adequate field checks by leadership to ensure year around implementation of LOTO process?
Permits should not be issued before the relevant authority has physically verified isolation and zero
energy at the site.
#Sensitivity: Internal (C3)

12 Electrical Safety Operations management shall identify,
assess and minimise the hazards and risks
posed fixed electrical wiring and by
portable devices (eliminating faulty or
exposed electrical hazards)
6. If for testing of isolated equipment, (such as leak testing and starting/running motors, equipment) 0
that require temporary energization, done after a written down procedure and permit by ensuring all
activities related to the equipment are safe and all personnel withdrew?
7. Does the procedure for the temporary removal of isolation and testing prepared, approved and
followed up by all concerned?
8. Has the site defined and implemented a project isolation lockout procedure for work that extends over
multiple shifts, large number of people are involved in the work which should include new projects /
extension of the existing projects, commissioning / de commissioning of the plant / equipments, plant
shutdown etc.?
(Need to include energy sources to be isolated, not isolated, requirement of isolation officers, LOTO
equipments, lock numbers, work permits, testing of equipments, working of multiple agencies,
simultaneous working of multiple equipments and interconnected equipments etc.)
Auditor's Note: Is there any incident / accident related to isolation and lockout in last one year? Are the
corrective actions from the past incident / accident / safety alerts implemented and effective? Any
repetitive observation during internal / external audit? Put the observation in the relevant assertion.
a)TS 10 - 4.4 1. Training & Competence
1a. Provide electrical hazard training to all exposed to electrical Hazards, (employees and contract
workers) annually.
1. Training & Competence
1b. First aid and fire fighting training to duty Electricians/Artisans and adequate equipments are
available. Adequate and safe means of removing victims in contact with live equipment must be
available.
1. Training & Competence
1c. Ensure all electrical work is executed by competent personnel. The competency standards shall
specify the frequency for re-certification, which shall be no more than two years.
2. Provide & test all electrical safety devices on all final distribution circuits with the settings established
by qualified personnel.
3. Admin Controls
3a. Prohibit work on live equipment unless essential and covered by a documented procedure specific
to the circumstance and under an electrical work permit.
3. Admin Controls
3b. Prohibit access to electrical panels, enclosures, control centers, substations and equipment
inaccessible to unauthorized personnel and prohibit access to enclosures with exposed and energized
terminals in excess of 1,000 volts.
4. Proactive system for fitness testing of electrical equipment's. 0
5. Implement procedures for
5a. High voltage switching & Arc flash assessment with defined protection boundary and PPE as per
NFPA 70 E and display on panels
5. Implement procedures for
5b. Alteration / additions / deletions within the established electrical system/protection scheme.
6a. Maintain an up-to-date set of single line diagrams and displayed where needed?
Sensitivity: Internal (C3)
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 6b. Maintain an up-to-date buried services drawings with supporting documentation showing all details.
Buried electrical cables identified with markers and indicator tapes. Are overhead HT cables identified
and protection / signage provided?

7. Inspect the grounding continuity and electrical safety devices on a suitable schedule.

8. Demonstration of safe use of electricals equipment's noted during field audit (flexible cords, extension
boards, insulations tapes, sockets etc.)

9. Comprehensive electrical audit by competent person, severity of findings and closure of findings.

Auditor's Note: Is there any incident / accident related to electrical in last one year? Are the corrective
actions from the past incident / accident / safety alerts implemented and effective? Any repetitive
observation during internal / external audit? Put the observation in the relevant assertion.

13 Confined Space Are permits to work for confined space in a)TS 10 - 4.6 1. Train and certify as competent all persons who work in a confined space, act as a standby person or
practice and precautions are in place who are members of a rescue team.

2. Identify all confined spaces with permanent signage at the entry of the equipment denoting
requirement of the work permit. Where permanent signage is not possible, other means highlighting the
dangers.

All confined areas to be reviewed to ensure proper access control and fencing to be put in place to avoid
accidental fall with proper illumination and reflective marking for identification.

3. Develop procedures and entry requirements specific to each confined space to make it safe for entry
and to perform work and covering the working atmosphere, all connections that could introduce hazards
and the specific work to be performed and the testing and monitoring of changes in conditions.

Auditor's Note: The procedures shall minimum include, the ventilation and purging requirements,
isolation and lock out requirements, emergency rescue and periodical testing and monitoring of
changes in conditions.

4. Do the site follow a written work permit process for working in a confined space? Do the permit
include,
a) A risk assessment, including requirements for a competent person to reassess levels of oxygen,
contaminants, flammable & toxic substances, temperature extremes etc. and actions to be taken if
these exceed established upper or lower levels.
b) Ventilation requirements
c) Isolation of energy soruces and contaminants
d) Requirements for specific safety equipment such as breathing apparatus; respiratory protection,
rescue belt, life lines and other personal protective equipment
e) Record of sign-in and sign-out of all persons entering and exiting each time the confined space
f) A standby person, who shall be positioned outside the confined space and must have no other duties
other than monitoring people and conditions inside the confined space and coordinating with rescue
personnel if required 0
g) Communication process and/or equipment between the standby person and personnel within
confined space
h) Safety specification of equipment to be taken into the confined space, noting that low voltage
lighting and equipment should be used in confined spaces where practicable
i) Barricading of the work area
j) Rescue plan and equipment. Ideally, confined spaces will have two means of access/egress;
k) A completion procedure

Auditors Note: Checking of past permits and employess interview including randomly selected workers
from the authorization list / permits

#Sensitivity: Internal (C3)

 5) Are adequate gas testing equipments available, periodically calibrated?
6) Are gas testers adequately trained for gas testing process, method of using gas testing equipments,
properties and limits of identified gas and the consequences in case of exposure to the persons
working?
7) Do the site has persons who are trained for rescue from confined space and are authorised?
8) Do the site has adequte equipments for rescue from confined space? Are the rescue plan prepared
before issuing the work permit for confined space and are communicated with the rescue team before
start of the work?
9) Are periodic mock drill conducted on rescue from confined space and records available? Quality of
mock drill reports and actions on identified gaps.

Auditor's Note: Is there any incident / accident related to confined space in last one year? Are the
corrective actions from the past incident / accident / safety alerts implemented and effective? Any
repetitive observation during internal / external audit? Put the observation in the relevant assertion.

14 Vehicle & Driving Did the site comply to TS 18 a)TS 18 1. Provide a vehicle and road safety awareness program for all employees, contractors and visitors.
( Transportation & Logistics) & GN 23 (Fleet b)GN 23
Management),Vedanta requires operations
2. Train and authorize as competent operators of heavy and other equipments and those driving in areas
to ensure the health, safety and welfare of
of heavy equipment movement. Do all the drivers / operators possess valid driving license?
its employees at all times, and this extends
Are the criteria defined for authorizing the person as driver / operator like license, experience, training,
to the time spent by an employee on past performance (GPS monitoring report, behavior based feedback) etc.
company business in any vehicle.
3. Train and accredit persons operating any equipment associated with a vehicle such as vehicle
mounted cranes and winches.

4. Ensure all operators of heavy and other equipments / vehicles are medically fit.
5. Ensure drivers perform a pre-operation safety check; and understand emergency crash and breakdown
procedures, including tire changing where applicable. Does the prestart up checks includes OEM
requirements?

6. Provide a system and procedures to manage driver fatigue. Check for initiatives to reduce TAT and
provision of welfare facilities for drivers esp. where TAT is on higher side. Fatigue management to include
methods for trip monitoring, muster-roll and overtime management, internal audits of time records,
counseling, adequate JRMs, use of fatigue detection/ eye lid cameras etc.

7. Tyre inflation activity

a. Tyres are inspected physically for any damage/deformity.
b. Air lines provided with functional pressure gauze and air filling is done remotely.
c. Inflation cages are used.

8. Implement zero tolerance for driving a company vehicle under the influence of alcohol; illicit drugs; or
prescription medicines that forbid driving.

9. Implement zero tolerance for driver’s texting, talking, reading a cell phone and other unsafe behaviors
(unattended vehicles, missing chocks, non use of hand brakes, resting near vehicles, over speeding etc.).
Dedicated vehicle marshals (with no other job than managing driver's discipline) are provided in high
traffic movement areas and records available to demonstrate the same. Is risk assessment done &
controls are in place for mobile use especially in mines?

10. Selection of new vehicles shall be based on a risk assessment considering tasks, application and
environmental conditions and include pre-operation safety checks. Is there a process of MOC for carrying
out any non OEM modification / changes in the vehicles?

#Sensitivity: Internal (C3)


15 Cranes & Lifting Did the site comply to TS 18
( Transportation & Logistics) & GN 23 (Fleet
Management),Vedanta requires operations
to ensure the health, safety and welfare of
its employees at all times, and this extends
to the time spent by an employee on
company business in any vehicle.
11. Implement a site-based traffic management plan that includes setting speed limits; overtaking 0
protocols; rules for hazardous or restricted areas; minimum safe distances between moving vehicles;
installation of road safety signs; demarcation of pedestrian walkways; and safe parking.
12. Plan to consider the size of the ‘blind spot’ in front of all large mobile equipment and ensure that any
pedestrian travel in this area is well managed. Check on practices like walk around inspection and
blowing siren by operator before starting.
13. Develop a comprehensive plan for safe parking of trucks and for safe access of drivers and
maintenance personnel and environmental conditions like adequate illumination. Plan to include
objectives to reduce congestion inside and outside & use of technology for vehicles scheduling and
reduction & monitoring of TAT.
Fixed number of trucks are allowed inside the unit premises. Sites to explore CCTV monitoring in areas
of heavy traffic/ loading/unloading etc. CCTV monitoring outcomes and action planning to be
documented.
14. Implement a formal inspection and preventative maintenance system to ensure vehicles are
maintained in a safe and roadworthy condition. Does the maintenance checks includes OEM
requirements?
15. Ensure vehicles comply with local laws and regulations, particularly as these apply to the transport of
hazardous materials.
Applicable for Mines
16. Are the vehicles in the mine provided with proximity detection /collision warning systems/ onboard
camera, AC cabins and auto fire extinguishing (HEMM operations)? Part of assertion no. 10.
Alert recommendation and site checks: Check for congestion in parking bays, man machine segregation,
one way traffic, avoidance of reversing and overtaking. Check for availability of proximity/anti collision
devices in HEMMs, reverse alarms and cameras, and adequate clearance between vehicles. In mines,
adequate number of mine refuge holes (cubby). Check for spotters when heavy equipment is being
moved in congested areas and minimization of people movement/ vehicles. Designated parking bays
and stopping areas are provided for light vehicles to segregate light and heavy vehicle parking. Check
for system of inspecting HEMMs perimeters & blowing horn twice before moving.
Auditor's Note: Is there any incident / accident related to vehicle and driving in last one year? Are the
corrective actions from the past incident / accident / safety alerts implemented and effective? Any
repetitive observation during internal / external audit? Put the observation in the relevant assertion.
a. Safety 1. Any person designing or approving a lifting plan must be trained and certified as competent through a
performance Vedanta-approved approach or a National certification system (valid for fixed cranes as well). Is the
standard on yearly refresher training provided?
Cranes & Lifting
b. GN on Cranes 2. The crane operator, riggers and signal man must be trained and annually certified by authorized
and Lifting agencies approved by Vedanta, ideally the crane OEM (valid for fixed cranes as well). Is the yearly
refresher training provided?
3. Are the competency criteria defined for mobile crane operators?
4. Are the competency criteria defined for internal trainers?
5. Are the crane operators have undergone periodical medical check up and authorised for work at
height in case required wherever applicable?
#Sensitivity: Internal (C3)
 6. All Critical Lifts for mobile cranes require a risk assessment and a lifting plan approved by a
competent person.

Are approved lift plan available for non routine activities by EOT cranes?

7. No crane shall be moved (“marched”) with a load suspended. Any “pick and carry” operation must
undergo a specific risk assessment of the dynamics of the load and crane during the planned travel

Ensure crane operations are conducted from a point of safety away from the load being lifted or
moved. (this point removed from element 2 and taken in point no. 4)

8. "There must be documented procedures that require: (valid for fixed cranes as well)
- All rigging connections to be checked and correct prior to commencing a lift; All lifting gear is registered,
tested, recorded and color coded and Damaged lifting equipment is immediately put out of service
(records of disposal)
- Checks that the load being lifted is within the rated capacity of the crane and lifting attachments and 0
within the limits set out in the lift plan;
- Checks of all safety devices or overload limiters to ensure they are not overridden or cut out"

9. Are all EOT and mobile cranes fitted all safety devices / alarms / interlocks, and are being checked
periodically as well as before each operation? (Specific requirement for EOT and mobile crane will
differ)

10. Are the criteria defined for selection of mobile cranes? Are the relevant documents checked and
verified before procurement or hiring of the mobile crane? Are the crane available with history of all
major modification / accident when entering the business?

11. The vendor shall give a self-declaration against mandatory requirements are provided before
mobilization and all points are checked and confirmed by Vedanta representative before site entry.

12. A register of cranes and lifting equipment must be established that records all maintenance & lifting
history. Check for breakdown history of fixed lifting equipments and PM records.

Auditor's Note: Aerial lifts are to be covered in same element and assess controls for hazards related to
fall from elevated heights, fall of objects, tip overs, ejections from platform, structural failures,
electrical shocks, contact with overhead obstructions, high wind and adverse weather condition,
condition & upkeep of equipment, etc.

Auditor's Note: Is there any incident / accident related to cranes and lifting in last one year? Are the
corrective actions from the past incident / accident / safety alerts implemented and effective? Any
repetitive observation during internal / external audit? Put the observation in the relevant assertion.

16 Rail Safety 1. There are appropriate SOPs, training and risk assessments in place for driving, operations, shunting,
coupling and decoupling. Training Programme is in place for all Loco Drivers, Points men, Maintenance
Mechanics and Supervisors who work on rails or on and around loco and wagons. The Business Partner
site leader plus the loco driver and at least one Points man in each team have the appropriate education,
training and minimum five years’ experience in the role.
(Risk assessment to include all kind of energies available and LOTO requirments)

2. Adequate means of communication and awareness are in place (radio, safety watch & flags).
All rail road signage is identified and installed at visible locations, including “overhead electrical”; “rail
crossing”; and, at entrance to tracks, “authorized personnel only”.
3. Personnel working in rail yard have been provided with 360 deg reflective clothes.

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#

0

17 Ground Control This standard applies to personnel and
equipment involved in lifting operations
using mobile or fixed cranes. The standard
does not apply to hoisting operations in
underground mines.
4. Do site specific risk assessment being carried out for different type of loading / unloading activities?
5. Are all employees working at loading / unloading points trained and authorised?
6. Are all loading / unloading points maintained properly and cleared for unwanted material?
7. Are welfare / hygiene facilities provided and maintained at loading / unloading points?
8. All locos and wagons parked on a slope have four skids available and the Points man places skids under 0
the wheels of the wagon next to the loco to prevent rolling.
9. Locos have documented pre-use inspection that verifies the presence of firm railings, stairs and
couplers on the locomotive; locomotive floor is clean; and brakes, lights, horn and fire extinguishers
inside the cabin are working properly.
Critical control identification and implementation verifications by subject matter experts to be ensured.
10. A yearly survey of track gradient and, based upon this, completion of lifting & packing track
maintenance (most preferable after monsoon period). A loco and track maintenance plan is in place and
updated weekly to eliminate derailments.
Auditor's Note: Is there any incident / accident related to rails and loco in last one year? Are the
corrective actions from the past incident / accident / safety alerts implemented and effective? Any
repetitive observation during internal / external audit? Put the observation in the relevant assertion.
a) GN33 1. Train all employees and contractors in ground awareness and in identifying and communicating rock
fall hazards. Check for records of identification and reporting of fall of ground hazards and corrective
actions
2. Ensure that no person goes beyond the area of secured ground. Appropriate signs and barriers are in
place at development faces and stopping areas .Blasting at a brow is carried out from behind a berm, all
non operational open brows provided with berms & remote LHD used to muck in open brows. Check
awareness.
3. Maintain up-to-date mine plans that clearly identify ground control hazards and pillars created for
safety in locations that are easily accessible to the workforce. Visit active development and stopping
areas, and major excavations and verify that quantity and quality of ground support meet SSR
requirements. Stope design and sequencing are based on geotechnical analysis & learning from stope
failures are incorporate in new stope designs. Evaluate excavation profiles of recent development is in
compliance with design & overbreak regularly measured?
Updated Safety Management Plans / GCMP (Ground Control Management Plan) /PMHMP (Principle
Mining Hazard Management Plan)/ Geotechnical studies for opencast mines/ Risk assessments
(Underground Mines).
4. Implement a Ground Control Management Plan developed by qualified and experienced geotechnical
engineers and including early warning of ground movement; installation of ground support by
competent, authorized persons; testing of rock bolts, cables and other support elements; third-party
testing of materials used; and immediate replacement of ineffective support. Evaluate if site geotechnical
team strength is sufficient to support current and future mining operations. Verify that log book with
geotechnical recommendations is available, up to date and there are evidence of action on the given 0
recommendations.
5. Ensure a scaling regime is in place and conducted by trained and competent persons using a dedicated
scaling machine where possible. Evaluate scaling plans and compliance for last 30 days. No manual
scaling > 3.5 M. Develop SOPs and provide training for bolting on jumbos and bolters and for scaling
#Sensitivity: Internal (C3)

18 Pit, Stockpile & Waste The objective of the standard is to
dumb stability eliminate the risk of fatalities and serious performance
incidents resulting from fall of ground in
underground mines across Vedanta.
(Applicable for Mine Operations). This
standard covers the geotechnical hazards
associated with temporary or permanent
slopes excavated for the purposes of
mining an ore reserve. It also covers waste
dumps, stockpiles, spoil, and land bridges
(collectively called “dumps”).
6. Implement Trigger Action Response Plans (TARPs) for geotechnical hazards, non-standard operations
and changes in management. Check for use instrumentation data in ground control decision making
process.
7a. Regularly audit the Ground Control Management Plan, including annual peer reviews and biennial
external reviews. Severity of the observations noted in external/internal reviews.
7b. Nature of observations raised by regulatory authorities such as Mines inspector and appropriate
closure. Is sign off from mine manager on effectiveness of controls with respect to fall of ground available
to the audit team before hand?
8. Appropriate closure of all high risk observations (100%) and remaining observations within specified
timelines. Closure of all recommendations from previous accident alerts including fall protection (FOPS)
in charging baskets.
(Higher reliance to be given to external/regulatory authority ground control audits, severity of
observations and closure of findings)
Safety 1. Employees working on dump areas including spotters, operators, engineers and surveyors shall be
trained on the risks of tension cracks and ground movement
standard
2. A Slope Management Plan (SMP) & a Dump Management Plan (DMP) must be developed:
- Using suitably qualified and experienced engineers and specialists;
- Based on adequate geologic, geotechnical and hydrogeological data;
- Including operating and slope monitoring procedures;
- Documenting how slopes and dumps are designed and constructed to specified minimum stability
criteria using industry-accepted design techniques and to minimize risk during operation and closure.
3. Dumps shall
- be constructed and maintained as per the approved design;
- be stable with stability confirmed by a competent agency;
- be constructed in lifts when built from the ground up and over 20m high;
- have proper drainage systems including toe-drains and “garland” drains to keep water away;
- be designed to not accumulate water;
- ensure a slope of 1 in 100 is maintained for drainage;
- have their sites selected and designed such that material is not cast into a water logged area.
4. In case of heavy rain, active dumping shall cease and a geotechnical engineer shall verify when work
can resume. Ravines and gullies formed by heavy rain shall be patched with suitable material approved
0
by a geotechnical engineer; noting that clay material shall not be allowed.
5a. Dumps shall be regularly monitored for settlement and movement by suitable survey systems. Where
tensile cracks (other than settlement cracks) are witnessed, the dump shall be inspected at the beginning
of each shift. Dumps made by filling existing pits where the height exceeds 50m shall be monitored
through a real time monitoring system like slope stability radar;
5b. Establish in-house Geotechnical MIP, resourced, and equipped appropriately to carry out strata
control and geotechnical engineering tasks to a high standard.
5c. Develop, regularly update, 3D litho-structural and hydrogeological models, and utilize them in
geotechnical analysis and mine planning.
6. Good operating practices must be applied, including:
- Dumps should be created away from the crest a distance of 0.5 to 0.75 times the dump height;
- Dumps shall be audited and surveyed through an external independent agency at defined frequencies.
- Trucks should unload material approximately 20m from the crest and then spread by dozer.
#Sensitivity: Internal (C3)

19 Mine Operations The objective is to evaluate the
Safety effectiveness of controls in Mine
Operations like Ventilation, Over burden
Management, Fatigue Management etc.
(Applicable for Mine Operations)
7. Management of change must be employed if changes are made to the excavation or dump geometries
that depart from the design
TS 12-4.7, 4.16, Ventilation System:
GN 23 1. Does the site have an appointed ventilation officer?
2. Does the site have protocols to maintain / ensure/ upkeep of main fan and as well as booster fans (if
any)?
3. Is the ventilation controls (Bulkheads & Stopping) effective?

4. Is an approved ventilation plan available (Underground Mines)? Is it verified in past 6 months and it
still fits condition?
5. Total air Quantity requirements to ventilate the mine workings and present status of air quantity
considering additional quantity of air required for each diesel equipment on kilowatt capacity basis.
6. Monitoring of minimum air velocity of air current; concentration of Noxious gas, at any point wet
bulb and dry bulb temperature of each working area.

7. Examination of roadways for adequancy of ventilation.

8. Monitoring of air quality of the atmosphere of roadways at least once in every shift, where diesel
equipments are in nomal operation.
9. Monitoring of concentration of respirable dust at every working place.
10. Determination of noise level and when it exeeds the required limits, corrective action taken.
11. Air sampling records. 0

Fatigue Management:
1. Does the site have a fatigue management in place?
2. Does the site follow optimal shift system for the drivers i.e., shift timing, shift duration, direction of
shift rotation, Number and length of breaks during and between shifts
3.Has the site developed a policy that specifically address risk factors and guards against fatigue (i.e.
prevention rather than control).
4. Is fatigue management monitoring in place / site evaluate the effectiveness of controls & the
documents are available?

Lightening protection in mines. (DGMS Circular No. 10 of 2020 dtd 23.6.2020)

1) Lightening risk assessment study to be carried out for every mine in accordance to IS 2309 or IS/IEC
62305
2) Adequate lightening protection to be provided if exposure level > 10^-5. or if conditions as mentioned.
3) The earthing system being used with the lightening protection system to be independent from the
existing grounding system.

20 Winding Engine 1. SOPs for winding operations.

Shafts and Hoists
2. People operating hoists or responsible for signaling possess statutory license, adequately trained,
medically fit and authorized.

Sensitivity: Internal (C3)

#
20 Winding Engine
Shafts and Hoists

3. Risk register documents and implements controls to prevent;

a. Instability and loss of integrity of the shaft
b. Fires in underground operations, the shaft or winder areas
c. Any unintended or uncontrolled movement of conveyances within the shaft
d. Conveyance to fall down the shaft
e. Devices to control overwind, under-wind, excessive acceleration or deceleration, unsafe or excessive
speeds or uncontrolled movement, slack protection etc.
f. Slack rope, drum slip conditions or unsafe tail rope conditions
g. Braking systems and systems performing an equivalent function that are intended to ensure that the
winder remains under control
h. Emergency response and warning systems that are intended to alert persons to an emergency in a
winding system or conveyance, emergency stop in the cage.
i. Communication systems.

4. Inspection plan for mechanical & electrical components, hoist rope attachments & structural integrity,
operator’s daily logbook & regular preventive maintenance.
0

5. Major Conveyance and NDT Inspection shall be carried out by a Conveyance Inspector at intervals of 6
to 36 months, as per legal requirements and Vedanta procedures. Shaft inspections shall be conducted
by a Conveyance Inspector, Structural Designer, Shaft Engineer or Mechanical Supervisor who has been
specifically trained in how to conduct structural visual inspections of conveyances and associated works.

6. Review rail car loading operation to make it mechanically fool proof, including interlocks like gates with
the cage movement

7. Ensure no obstruction in line of cage movement (elimination of bridge etc.)

8. To check for below during site inspection

a) Appropriate guarding and barricades
b) Clear system of communications
c) At least 2 braking systems
d) Control measures that detect any warring system for slack rope, rope slip, unsafe balance rope
conditions, unsafe coiling of rope, continuous conveyance jam monitoring device, independent and
interlocked to the winder.
e) Signage for payloads shall be clearly displayed
f) Standby power system ensuring the continuous operation of at least one man-riding shaft
g) An emergency control plan shall be in place for evacuation of persons.

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 Module

3 PTW (Permit to
work)

4 Emergency
preparedness

# Sensitivity: Internal (C3)

5 Fire Safety & Bulk
Storage

6 Excavation Safety
(where applicable)

# Sensitivity: Internal (C3)

(where applicable)

# Sensitivity: Internal (C3)

7 Explosive
Management

8 Machinery
Guarding

# Sensitivity: Internal (C3)

9 Molten Metal
Handling

# Sensitivity: Internal (C3)

10 Work at Height

11 Isolation/ LOTO

# Sensitivity: Internal (C3)

12 Electrical Safety

# Sensitivity: Internal (C3)

13 Confined Space

# Sensitivity: Internal (C3)

14 Vehicle & Driving

# Sensitivity: Internal (C3)

15 Cranes & Lifting

# Sensitivity: Internal (C3)

16 Rail Safety

# Sensitivity: Internal (C3)

17 Ground Control

# Sensitivity: Internal (C3)

18 Pit, Stockpile &
Waste dumb
stability

# Sensitivity: Internal (C3)

19 Mine Operations
Safety

# Sensitivity: Internal (C3)

20 Winding Engine
Shafts and Hoists

# Sensitivity: Internal (C3)

1 #REF!

# Sensitivity: Internal (C3)

 SAFETY
Supporting Evidence

1. Is a PTW procedure in place for all type of works including Work at height, LOTO, Confined space entry,
Hot work, Electrical, Explosives etc.? Is the retention period for the work permit is defined and adequate?
Do the site has list of all the work permits issued for the definte period?
If complete list of permits issued from last assessment is available with job description.?

Auditor's Note: Ask for the list of work permits issued for the definite period to select the samples.

2. Does all persons working under a permit are fully briefed about the potential hazards and the control
measures they are required to follow while working under the permit?
Auditors Note: Quality of TBT to be verified by checking random samples.

3. Are Employees / contract workers trained & documents are available? Is a site visit performed by
permit issuers (designated person) while filling the work permit and evidence exists? Is work permit and
permit acceptor available at work site? (to be seen during site rounds)

4. Is the periodic audit of work permit system being done? Does it include live and past work permits? Are
the actions being implemented on the audit observations and records maintained?
5. Is the risk assessment with the work permit include adequate assessment of the site hazards and risks
and controls? Are additional site / workplace specific hazards identified for e.g. working near charged /
running equipments, control / barriers implemented and verified before the start of job and periodically if
required? (ex: work near pressurised lines, hot material etc.)
6. Quality of Work Permits and separate jobs requiring separate work permits? (Auditors Judgement)

1. Onsite and Offsite Emergency plan available? Is the mines rescue plan available?
2. Do said plans cover all scenarios / risks of the operations / plant, including security emergencies? Does
a list of possible scenarios of fire & explosion exist ? Are learnings from past incidents have been
implemented?
3. Is roles and responsiblities are defined for both Offsite and onsite emergincies?
4. Does the emergency plan include COVID-19 type situation?
5. Does the emergency plan include flood and inundation in case of UG mines?

6. Are all employees including critical positions (designated for different roles in case of emergency)
trained periodically in emergency prepardness?
7. Are people and emergency response team members aware of their roles during emergency?
(Interview)
8. Are peridoic training being conducted for BP workers for emergency prepardeness?

9. Are periodic mock drills taking place and all types of emergencies covering effiency and effectiveness of
people and system are being captured? Verify the quality of mock drill reports to include details,
coverage of persons in mock drills.
10. Are identified short falls corrected within timelines?
11. Are records in place & available for audit?
12. Do the plans cover non-routine / accidental activities?

13. Are adequate and necessary emergency handling and rescue equipments available?

# Sensitivity: Internal (C3)

Emergency Preparedness for UG Mines:
UG Fire
1. Does the site has Emergency & Fire prevention plan & trained mine rescue teams? Are the training of
employees and visitors on rescue and emergency being done?
2. Maintain real-time carbon monoxide and Lower Explosive Limit monitoring in major ventilation circuits
of the mine and evacuation routes as close as practicable to existing and planned working areas.
3. Each operation shall have a fast, accurate and effective system to identify who is underground at any
given time and when the underground is completely evacuated.
4. Procedures for workers to safely re-enter the mine, or parts of it,
5. Does the site has flood control and inundation emergency identified and action plan made?

6. Is Mine Rescue (with trained) team in place?

7. Are rescue chambers in place as appropriate?

1. Have site conducted zoning /risk assessments / fire load calculations to identify fire fighting
infrastructure and controls requirment? Whether the actions of the study are implemented?

2. Is emergency hardware installed as per identified requirment, inspected and maintained in good
condition? List to contain location, quantity of hardware.

3. Are controls in place Ex: Administrative, Engineering, Work instructions etc.,

a. Does the fire hydrant/ deluge system work in auto mode ?

b. Periodic inspection of fire extinguishers are in place?
c. Are smoke / heat detectors installed at appropriate locations ?
4. Periodic verification / checking of fire suppression systems are in practice?
5. Has upkeep of fire pump house in place? Are fire hydrant pumps kept on auto mode?

6. MSDS available and displayed at the place of storage of chemicals / oils / fuels etc in english & local
language and are easily readable?
7. Secondary Containment provided
8. Are spill kits available and maintained in proper condition at the required place?

9. Earthing protection in case of flammable liquids

10. For hazardous chemicals, installation of fixed piping systems in preference to flexible hoses and
transfer systems that remove people from the vicinity in case of release.

1. Are trained and authorised person available at site for excavation?

2. Are appropriate resources; equipment and a management system available and in place for training,
monitoring and controlling the safety of all people working in excavations?
3. SOPs are prepared, implemented and revised at least every two years, or more frequently as required?
(Quality of management system, SOPs and adequecy of resources to be verified)

# Sensitivity: Internal (C3)

4. Whether Training Programme is in place for all employees and Business Partner personnel on the
excavation safety requirements, which must include:
a. Permits to Work and Risk Assessments
b. Identification and management of buried services
c. Confined Space training if required, e.g. if the risk of engulfment, entrapment or hazardous atmosphere
exist
d. Excavation safety training, including SOPs review
e. Emergency rescue training
5. Annual retraining is in place for all personnel or more frequent as required by the scope of work.
6. All personnel working in excavations are trained, assessed & authorised.

7. Has the site conducted soil testing for the excavated area? Auditor's Note: In case of repeated
excavation in same area, the earlier report can be considered.
8. Is there adequate support for the excavation, or has it been sloped or battered back to a safe angle?
The methodology for preventing excavation cave in should include inputs from soil testing.

(Sloping involves cutting back the trench wall at an angle inclined away from the excavation. Shoring
requires installing aluminum hydraulic or other types of supports to prevent soil movement and cave-ins.
Shielding protects workers by using trench boxes or other types of supports to prevent soil cave-ins.)

9. Does the work permit includes detail excavation plan / drawing indicating excavated area, dimensions /
method of shoring / slopping / shuttering / benching to be used, nearby equipments / structures /
buildings, method of egress / ingress in to excavated area, type and location of barricading, place of
keeping removed earth, rescue plan, monsoon prepardeness plan etc.?
a. Is there a safe method used for putting in the support, without people working in an unsupported
trench?
b. Is there safe access into the excavation, e.g. a sufficiently long, secured ladder?
c. Are there barriers or other protection to stop people and vehicles falling in?
d. Are properly secured stop blocks provided to prevent tipping vehicles falling in?
e. Could the excavation affect the stability of neighboring structures or services?
f. Are materials, spoil and plant stored away from the edge of the excavation to reduce the chance of a
collapse?

10. Are excavations being inspected daily and as conditions change by a competent person prior to
worker entry to ensure elimination of excavation hazards. Checks should look for:
a. Tension / cracks in the soil
b. Sliding / sloughing soils, rocks or materials
c. Toppling, subsidence and bulging
d. Stability of excavation walls
e. Water / debris
(A competent person is an individual who is capable of identifying existing and predictable hazards or
working conditions that are hazardous, unsanitary, or dangerous to employees and who is authorized to
take prompt corrective measures to eliminate or control these hazards and conditions.)

11. Treating excavation pits with possibility of engulfment (>1.5 m) as confined spaces and relevant
controls?
Auditor's Note: Is there any incident / accident related to excavation in last one year? Are the corrective
actions from the past incident / accident / safety alerts implemented and effective? Any repetitive
observation during internal / external audit?

# Sensitivity: Internal (C3)

1. Are there SOPs in place for delivery, transport, storage, issuing/ returning, handling, use and destroying
of explosives, to ensure that explosives usage can be achieved in a safe and sustainable manner. SOPs
must also include treatment during misfires and minimum time and ventilation requirements and checks
before re-entry. System for providing adequate security & fire protection for explosive storage/
magazines.

2. Ensure all personnel including contractors conducting blasting operations are appropriately trained and
authorized/licensed. (including blast initiation systems)
3. Displays with respect to license, magazine master, quantities & records mentioning total inventory,
expired inventory and usage details.

4. Are high explosives and detonators always kept separate?

5. During transportation of explosives, Order forms / delivery forms put into the cars.
6. System for safe explosive transportation via car/van/UG. Authorized and trained blasters shot firers
and those responsible for transportation.

7. Ensure blasting policies are in place to 1) remove people from an area before initiating a blast; and 2)
prevent any personnel being in the area once a fuse is initiated other than authorized c) no one enters
the area in less than 1 hour after the blast where applicable d) blast areas are inspected before initiating
the blast and the area barricaded with stewards placed at access points e) blast outside stipulated
blasting times is authorized by senior management officials f) authorized blasters to have a time piece /
stopwatch to allow better control of blasts when using safety fuse.

8. Is there a plan for each production blast to be issued to mining personnel, including the diameter,
depth and direction of every hole to be drilled, details of individual holes to be charged, type and amount
of explosives to be used in each hole, timing of initiation, tonnage expected and; power factor used.
9. Ensuring sockets of previous blast are cleaned, plugged and marked with different color paint 6.
Procedures for secondary blasting & shot exploder available and followed
10. Ensure that prior to initiating a blast there is a warning system; a physical check of the area; and a
system of barricading and signage to prevent inadvertent entry.

11. Procedures to report and investigate incidents (e.g. significant misfires, problem or fault in an
explosive product, loss of explosives or explosive precursors etc.)
12. Ensure practices are in place to approve and control simultaneous blasts. Ensure any changes to
blasting practices have undergone a Management of Change analysis and a risk assessment.

13. Is there a process of MOC for any changes in blasting practices?

Machine guarding is the elimination of access by people to moving parts of a machine that may present a
hazard to those people. This includes hazards of rotating equipment, nip points, conveyors, V-drives and
chain drives, shaft ends, couplings, rotating and oscillating levers and other rotating parts.

1a. Person engaged in designing equipment and its guarding must be trained and certified as competent
by respective business.
Auditor's Note: Check for approved drawings / calculations for new or modified guards.

1b. Any person removing a machine guard must be trained and designated as a competent which include
as appropriate any redesign, construction, installation, maintenance, inspection, cleaning and operation
of the equipment and its guards.by the respective business.

# Sensitivity: Internal (C3)

2. No activities shall be performed on running equipment or machines in motion without a guard and
isolation lockout shall be in place before work.
3. Every business must ensure that machine guards:
3.1. Are of sufficiently robust construction to prevent ejected machine parts or material penetrating the
guard;
3.2. Do not give rise to additional hazards;
3.3. Are not easily bypassed or made non-operational;
3.4. Are located at an adequate distance from the danger zone;
3.5. Cause minimum obstruction of view for machine operators; and
3.6. Enable essential work to be done without guard removal."

All safety interlocks to be part of the circuit during all mode of operations (whether “Remote” or “Local”).

4. Has the site conducted a gap assessment and action plan for the conveyors to identify requirement of
systems and equipments such as engineering interlocks, conveyor’s logic, audio warning, and visual
display for the operator etc. shall be in place for the safe startup of conveyors?
5 "Before starting, equipment shall be physically inspect to ensure that:
5.1. Nobody is working on the equipment, e.g. the conveyor system;
5.2. Access platforms are clear;
5.3. Guards are fitted; and
5.4. Permit to work and isolation are surrendered."

6. Inspection, maintenance and testing procedure shall be in place to ensure that guards and protection
devices are maintained in good working order.

Auditor's Note: Is there any incident / accident related to machine guarding in last one year? Are the
corrective actions from the past incident / accident / safety alerts implemented and effective? Any
repetitive observation during internal / external audit? Put the observation in the relevant assertion.

1. Employees operating mobile equipment to handle molten material shall be trained and authorized as
competent by the business.
2. Employees shall be given appropriate training on the danger, standard operating procedure, usage of
appropriate PPE's while working with molten materials and the correct PPE must be worn, including fire
retardant clothing for any person entering an area where there is a potential for exposure to molten
materials.
3. "All molten materials handling equipment and rigging hardware must have:
- a valid load test certificate approved by competent person
- safety devices inspected and tested on a defined schedule
- a rated load indicator for overhead cranes with a SWL greater than 15T
- necessary safety devices, fail safe devices and interlocks; warning device (Bell, Horn, Siren or a flashing
light), heat protective shield"

4. There must be controls to prevent moisture interacting with molten materials, including pre-heating
and inspecting ladles; preventing bottles, cans, lighters etc. from being in molten metal areas; and
preventing interaction with sumps, drains and spilled water

5. Furnaces must be operated within design parameters with an approval process for deviations, e.g.
temperature operating range; molten material maximum levels; critical water supply backup; fail safe
design on energy source failure.

# Sensitivity: Internal (C3)

6. Transport of molten materials must be designed to avoid spillage, e.g. roadways, travelling cranes etc.
and to avoid interaction with pedestrians or other vehicles. Effective controls must be identified in a risk
assessment and must be implemented

7. An emergency evacuation plan for personnel must be in place including emergency lighting in blackout
scenarios

Auditor's Note: Is there any incident / accident related to molten metal in last one year? Are the
corrective actions from the past incident / accident / safety alerts implemented and effective? Any
repetitive observation during internal / external audit? Put the observation in the relevant assertion.

1. Persons who work at height are trained, certified as competent and tested to ensure they are medically
fit for the work. Competent Person (for design verification of Scaffolds) & scaffolding supervisors have
been authorized by site leader. In case external contractors are employed to carry out scaffolding works,
the site should follow a certification and authorization process to recognize them as Authorized
Scaffolders after due training and verification.

2. "Assess the hazards of each work at height activity and control in order of priority:
- Eliminating the work at height
- Fall prevention
- Fall restraint
- Fall protection using only certified equipment & anchor points". Guidelines as per GN - Scaffolding safety
are followed for construction, alteration or dismantling of scaffolds.

3. System for fragile roofs inventorisation, warning displays, skylights protection & access control
(program for review & replacement of fragile roofs).

4 Plan each working at height activity defining procedures to be implemented; self-rescue and emergency
rescue requirements; and any restrictions (work time, weather, night work etc.)

5. Provide barricades for overhead work. Ensure hard barricading for reservoirs & usage of a Personal
Flotation Device (PFD) around any unguarded water body.

6. Test and certify work at height equipment. Scaffold are modular, tube and coupler type and regularly
inspected and tags provided. System of handover certificate implemented & inspected as per defined
frequencies or earlier.

7. Audit the implementation of working at height procedures.

Auditor's Note: Is there any incident / accident related to work at height in last one year? Are the
corrective actions from the past incident / accident / safety alerts implemented and effective? Any
repetitive observation during internal / external audit? Put the observation in the relevant assertion.

1. Isolations are carried out by an Isolation Officer who has been trained, assessed and authorized as
competent to isolate specific plant or equipment.

2. The Isolation Officer’s lock must be a master series lock and his/her lock and tag must be the first to be
applied and the last to be removed.
Permanently deactivate all the hydraulic systems that are not required for frequent operation.

# Sensitivity: Internal (C3)

3. Every person working on isolated plant, equipment or systems first applies an identification tag and a
personal lock that can only be locked/unlocked by the owner.

4. Implement a written procedure for removal of personal locks in cases where this cannot be done by
the owner under the direct supervision of the department or area manager.

5. Implement the nine mandatory steps for isolation.

Are there adequate field checks by leadership to ensure year around implementation of LOTO process?
Permits should not be issued before the relevant authority has physically verified isolation and zero
energy at the site.

6. If for testing of isolated equipment, (such as leak testing and starting/running motors, equipment) that
require temporary energization, done after a written down procedure and permit by ensuring all activities
related to the equipment are safe and all personnel withdrew?

7. Does the procedure for the temporary removal of isolation and testing prepared, approved and
followed up by all concerned?

8. Has the site defined and implemented a project isolation lockout procedure for work that extends over
multiple shifts, large number of people are involved in the work which should include new projects /
extension of the existing projects, commissioning / de commissioning of the plant / equipments, plant
shutdown etc.?

(Need to include energy sources to be isolated, not isolated, requirement of isolation officers, LOTO
equipments, lock numbers, work permits, testing of equipments, working of multiple agencies,
simultaneous working of multiple equipments and interconnected equipments etc.)
1. Training & Competence
Auditor's Note:electrical
1a. Provide Is there hazard
any incident / accident
training relatedtotoelectrical
to all exposed isolationHazards,
and lockout in last one
(employees andyear? Are the
contract
correctiveannually.
workers) actions from the past incident / accident / safety alerts implemented and effective? Any
repetitive observation during internal / external audit? Put the observation in the relevant assertion.

1. Training & Competence

1b. First aid and fire fighting training to duty Electricians/Artisans and adequate equipments are
available. Adequate and safe means of removing victims in contact with live equipment must be
available.
1. Training & Competence
1c. Ensure all electrical work is executed by competent personnel. The competency standards shall
specify the frequency for re-certification, which shall be no more than two years.

2. Provide & test all electrical safety devices on all final distribution circuits with the settings established
by qualified personnel.

3. Admin Controls
3a. Prohibit work on live equipment unless essential and covered by a documented procedure specific
to the circumstance and under an electrical work permit.
3. Admin Controls
3b. Prohibit access to electrical panels, enclosures, control centers, substations and equipment
inaccessible to unauthorized personnel and prohibit access to enclosures with exposed and energized
terminals in excess of 1,000 volts.

# Sensitivity: Internal (C3)

4. Proactive system for fitness testing of electrical equipment's.

5. Implement procedures for

5a. High voltage switching & Arc flash assessment with defined protection boundary and PPE as per
NFPA 70 E and display on panels

5. Implement procedures for

5b. Alteration / additions / deletions within the established electrical system/protection scheme.

6a. Maintain an up-to-date set of single line diagrams and displayed where needed?

6b. Maintain an up-to-date buried services drawings with supporting documentation showing all details.
Buried electrical cables identified with markers and indicator tapes. Are overhead HT cables identified
and protection / signage provided?

7. Inspect the grounding continuity and electrical safety devices on a suitable schedule.

8. Demonstration of safe use of electricals equipment's noted during field audit (flexible cords, extension
boards, insulations tapes, sockets etc.)

9. Comprehensive electrical audit by competent person, severity of findings and closure of findings.

Auditor's Note: Is there any incident / accident related to electrical in last one year? Are the corrective
actions from the past incident / accident / safety alerts implemented and effective? Any repetitive
observation during internal / external audit? Put the observation in the relevant assertion.

1. Train and certify as competent all persons who work in a confined space, act as a standby person or
who are members of a rescue team.

2. Identify all confined spaces with permanent signage at the entry of the equipment denoting
requirement of the work permit. Where permanent signage is not possible, other means highlighting the
dangers.
3.
AllDevelop
confinedprocedures
areas to beand entry requirements
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to ensure proper to each
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4. Do the Note:
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The procedures shallpermit
minimumprocess for working
include, in a confined
the ventilation space?requirements,
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include,
isolation and lock out requirements, emergency rescue and periodical testing and monitoring of changes
a) A risk assessment, including requirements for a competent person to reassess levels of oxygen,
in conditions.
contaminants, flammable & toxic substances, temperature extremes etc. and actions to be taken if these
5) Are adequate
exceed established gasupper
testing
orequipments
lower levels.available, periodically calibrated?
6)
b) Are gas testers
Ventilation adequately trained for gas testing process, method of using gas testing equipments,
requirements
properties
c) Isolationand limits of
of energy identified
soruces and gas and the consequences in case of exposure to the persons working?
contaminants
d) Requirements for specific safety equipment such as breathing apparatus; respiratory protection,
7) Do the
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belt, has persons
lines who are
and other trained
personal for rescue
protective from confined space and are authorised?
equipment
8) Do the site
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otherofthan
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9) Are periodic
personnel mock drill conducted on rescue from confined space and records available? Quality of
if required
mock drill reports and
g) Communication actions
process on identified
and/or equipment gaps.
between the standby person and personnel within confined
space
Auditor's Note: Is thereofany
h) Safety specification incident /toaccident
equipment be takenrelated
into the toconfined
confinedspace,
space in last one
noting thatyear? Are thelighting
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and equipmentactions frombe
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pastinincident
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spaces where alerts implemented and effective? Any
practicable
repetitive observation
i) Barricading of the workduring
areainternal / external audit?
# Put
Sensitivity: the(C3)observation in the relevant assertion.
Internal

j) Rescue plan and equipment. Ideally, confined spaces will have two means of access/egress;
k) A completion procedure
1. Provide a vehicle and road safety awareness program for all employees, contractors and visitors.

2. Train and authorize as competent operators of heavy and other equipments and those driving in areas
of heavy equipment movement. Do all the drivers / operators possess valid driving license?
Are the criteria defined for authorizing the person as driver / operator like license, experience, training,
past performance (GPS monitoring report, behavior based feedback) etc.

3. Train and accredit persons operating any equipment associated with a vehicle such as vehicle mounted
cranes and winches.

4. Ensure all operators of heavy and other equipments / vehicles are medically fit.
5. Ensure drivers perform a pre-operation safety check; and understand emergency crash and breakdown
procedures, including tire changing where applicable. Does the prestart up checks includes OEM
requirements?

6. Provide a system and procedures to manage driver fatigue. Check for initiatives to reduce TAT and
provision of welfare facilities for drivers esp. where TAT is on higher side. Fatigue management to include
methods for trip monitoring, muster-roll and overtime management, internal audits of time records,
counseling, adequate JRMs, use of fatigue detection/ eye lid cameras etc.

7. Tyre inflation activity

a. Tyres are inspected physically for any damage/deformity.
b. Air lines provided with functional pressure gauze and air filling is done remotely.
c. Inflation cages are used.

8. Implement zero tolerance for driving a company vehicle under the influence of alcohol; illicit drugs; or
prescription medicines that forbid driving.

9. Implement zero tolerance for driver’s texting, talking, reading a cell phone and other unsafe behaviors
(unattended vehicles, missing chocks, non use of hand brakes, resting near vehicles, over speeding etc.).
Dedicated vehicle marshals (with no other job than managing driver's discipline) are provided in high
traffic movement areas and records available to demonstrate the same. Is risk assessment done &
controls are in place for mobile use especially in mines?

10. Selection of new vehicles shall be based on a risk assessment considering tasks, application and
environmental conditions and include pre-operation safety checks. Is there a process of MOC for carrying
out any non OEM modification / changes in the vehicles?

11. Implement a site-based traffic management plan that includes setting speed limits; overtaking
protocols; rules for hazardous or restricted areas; minimum safe distances between moving vehicles;
installation of road safety signs; demarcation of pedestrian walkways; and safe parking.

12. Plan to consider the size of the ‘blind spot’ in front of all large mobile equipment and ensure that any
pedestrian travel in this area is well managed. Check on practices like walk around inspection and blowing
siren by operator before starting.

# Sensitivity: Internal (C3)

13. Develop a comprehensive plan for safe parking of trucks and for safe access of drivers and
maintenance personnel and environmental conditions like adequate illumination. Plan to include
objectives to reduce congestion inside and outside & use of technology for vehicles scheduling and
reduction & monitoring of TAT.
Fixed number of trucks are allowed inside the unit premises. Sites to explore CCTV monitoring in areas of
heavy traffic/ loading/unloading etc. CCTV monitoring outcomes and action planning to be documented.

14. Implement a formal inspection and preventative maintenance system to ensure vehicles are
maintained in a safe and roadworthy condition. Does the maintenance checks includes OEM
requirements?

15. Ensure vehicles comply with local laws and regulations, particularly as these apply to the transport of
hazardous materials.
Applicable for Mines
16. Are the vehicles in the mine provided with proximity detection /collision warning systems/ onboard
camera, AC cabins and auto fire extinguishing (HEMM operations)? Part of assertion no. 10.

Alert recommendation and site checks: Check for congestion in parking bays, man machine segregation,
one way traffic, avoidance of reversing and overtaking. Check for availability of proximity/anti collision
devices in HEMMs, reverse alarms and cameras, and adequate clearance between vehicles. In mines,
adequate number of mine refuge holes (cubby). Check for spotters when heavy equipment is being
moved in congested areas and minimization of people movement/ vehicles. Designated parking bays and
stopping areas are provided for light vehicles to segregate light and heavy vehicle parking. Check for
system of inspecting HEMMs perimeters & blowing horn twice before moving.

Auditor's Note: Is there any incident / accident related to vehicle and driving in last one year? Are the
corrective actions from the past incident / accident / safety alerts implemented and effective? Any
repetitive observation during internal / external audit? Put the observation in the relevant assertion.

1. Any person designing or approving a lifting plan must be trained and certified as competent through a
Vedanta-approved approach or a National certification system (valid for fixed cranes as well). Is the yearly
refresher training provided?

2. The crane operator, riggers and signal man must be trained and annually certified by authorized
agencies approved by Vedanta, ideally the crane OEM (valid for fixed cranes as well). Is the yearly
refresher training provided?
3. Are the competency criteria defined for mobile crane operators?
4. Are the competency criteria defined for internal trainers?

5. Are the crane operators have undergone periodical medical check up and authorised for work at height
in case required wherever applicable?
6. All Critical Lifts for mobile cranes require a risk assessment and a lifting plan approved by a competent
person.

Are approved lift plan available for non routine activities by EOT cranes?

# Sensitivity: Internal (C3)

7. No crane shall be moved (“marched”) with a load suspended. Any “pick and carry” operation must
undergo a specific risk assessment of the dynamics of the load and crane during the planned travel

Ensure crane operations are conducted from a point of safety away from the load being lifted or moved.
(this point removed from element 2 and taken in point no. 4)

8. "There must be documented procedures that require: (valid for fixed cranes as well)
- All rigging connections to be checked and correct prior to commencing a lift; All lifting gear is registered,
tested, recorded and color coded and Damaged lifting equipment is immediately put out of service
(records of disposal)
- Checks that the load being lifted is within the rated capacity of the crane and lifting attachments and
within the limits set out in the lift plan;
- Checks of all safety devices or overload limiters to ensure they are not overridden or cut out"

9. Are all EOT and mobile cranes fitted all safety devices / alarms / interlocks, and are being checked
periodically as well as before each operation? (Specific requirement for EOT and mobile crane will differ)

10. Are the criteria defined for selection of mobile cranes? Are the relevant documents checked and
verified before procurement or hiring of the mobile crane? Are the crane available with history of all
major modification / accident when entering the business?

11. The vendor shall give a self-declaration against mandatory requirements are provided before
mobilization and all points are checked and confirmed by Vedanta representative before site entry.

12. A register of cranes and lifting equipment must be established that records all maintenance & lifting
history. Check for breakdown history of fixed lifting equipments and PM records.

Auditor's Note: Aerial lifts are to be covered in same element and assess controls for hazards related to
fall from elevated heights, fall of objects, tip overs, ejections from platform, structural failures, electrical
shocks, contact with overhead obstructions, high wind and adverse weather condition, condition &
upkeep of equipment, etc.

Auditor's Note: Is there any incident / accident related to cranes and lifting in last one year? Are the
corrective actions from the past incident / accident / safety alerts implemented and effective? Any
repetitive observation during internal / external audit? Put the observation in the relevant assertion.

1. There are appropriate SOPs, training and risk assessments in place for driving, operations, shunting,
coupling and decoupling. Training Programme is in place for all Loco Drivers, Points men, Maintenance
Mechanics and Supervisors who work on rails or on and around loco and wagons. The Business Partner
site leader plus the loco driver and at least one Points man in each team have the appropriate education,
training and minimum five years’ experience in the role.
(Risk assessment to include all kind of energies available and LOTO requirments)

2. Adequate means of communication and awareness are in place (radio, safety watch & flags).
All rail road signage is identified and installed at visible locations, including “overhead electrical”; “rail
crossing”; and, at entrance to tracks, “authorized personnel only”.
3. Personnel working in rail yard have been provided with 360 deg reflective clothes.

# Sensitivity: Internal (C3)

4. Do site specific risk assessment being carried out for different type of loading / unloading activities?
5. Are all employees working at loading / unloading points trained and authorised?
6. Are all loading / unloading points maintained properly and cleared for unwanted material?
7. Are welfare / hygiene facilities provided and maintained at loading / unloading points?
8. All locos and wagons parked on a slope have four skids available and the Points man places skids under
the wheels of the wagon next to the loco to prevent rolling.

9. Locos have documented pre-use inspection that verifies the presence of firm railings, stairs and
couplers on the locomotive; locomotive floor is clean; and brakes, lights, horn and fire extinguishers
inside the cabin are working properly.

Critical control identification and implementation verifications by subject matter experts to be ensured.

10. A yearly survey of track gradient and, based upon this, completion of lifting & packing track
maintenance (most preferable after monsoon period). A loco and track maintenance plan is in place and
updated weekly to eliminate derailments.

Auditor's Note: Is there any incident / accident related to rails and loco in last one year? Are the
corrective actions from the past incident / accident / safety alerts implemented and effective? Any
repetitive observation during internal / external audit? Put the observation in the relevant assertion.

1. Train all employees and contractors in ground awareness and in identifying and communicating rock
fall hazards. Check for records of identification and reporting of fall of ground hazards and corrective
actions

2. Ensure that no person goes beyond the area of secured ground. Appropriate signs and barriers are in
place at development faces and stopping areas .Blasting at a brow is carried out from behind a berm, all
non operational open brows provided with berms & remote LHD used to muck in open brows. Check
awareness.

3. Maintain up-to-date mine plans that clearly identify ground control hazards and pillars created for
safety in locations that are easily accessible to the workforce. Visit active development and stopping
areas, and major excavations and verify that quantity and quality of ground support meet SSR
requirements. Stope design and sequencing are based on geotechnical analysis & learning from stope
failures are incorporate in new stope designs. Evaluate excavation profiles of recent development is in
compliance with design & overbreak regularly measured?

Updated Safety Management Plans / GCMP (Ground Control Management Plan) /PMHMP (Principle
Mining Hazard Management Plan)/ Geotechnical studies for opencast mines/ Risk assessments
(Underground Mines).

4. Implement a Ground Control Management Plan developed by qualified and experienced geotechnical
engineers and including early warning of ground movement; installation of ground support by competent,
authorized persons; testing of rock bolts, cables and other support elements; third-party testing of
materials used; and immediate replacement of ineffective support. Evaluate if site geotechnical team
strength is sufficient to support current and future mining operations. Verify that log book with
geotechnical recommendations is available, up to date and there are evidence of action on the given
recommendations.

# Sensitivity: Internal (C3)

5. Ensure a scaling regime is in place and conducted by trained and competent persons using a dedicated
scaling machine where possible. Evaluate scaling plans and compliance for last 30 days. No manual scaling
> 3.5 M. Develop SOPs and provide training for bolting on jumbos and bolters and for scaling

6. Implement Trigger Action Response Plans (TARPs) for geotechnical hazards, non-standard operations
and changes in management. Check for use instrumentation data in ground control decision making
process.

7a. Regularly audit the Ground Control Management Plan, including annual peer reviews and biennial
external reviews. Severity of the observations noted in external/internal reviews.

7b. Nature of observations raised by regulatory authorities such as Mines inspector and appropriate
closure. Is sign off from mine manager on effectiveness of controls with respect to fall of ground available
to the audit team before hand?

8. Appropriate closure of all high risk observations (100%) and remaining observations within specified
timelines. Closure of all recommendations from previous accident alerts including fall protection (FOPS) in
charging baskets.
(Higher reliance to be given to external/regulatory authority ground control audits, severity of
observations and closure of findings)

1. Employees working on dump areas including spotters, operators, engineers and surveyors shall be
trained on the risks of tension cracks and ground movement

2. A Slope Management Plan (SMP) & a Dump Management Plan (DMP) must be developed:
- Using suitably qualified and experienced engineers and specialists;
- Based on adequate geologic, geotechnical and hydrogeological data;
- Including operating and slope monitoring procedures;
- Documenting how slopes and dumps are designed and constructed to specified minimum stability
criteria using industry-accepted design techniques and to minimize risk during operation and closure.

3. Dumps shall
- be constructed and maintained as per the approved design;
- be stable with stability confirmed by a competent agency;
- be constructed in lifts when built from the ground up and over 20m high;
- have proper drainage systems including toe-drains and “garland” drains to keep water away;
- be designed to not accumulate water;
- ensure a slope of 1 in 100 is maintained for drainage;
- have their sites selected and designed such that material is not cast into a water logged area.

4. In case of heavy rain, active dumping shall cease and a geotechnical engineer shall verify when work
can resume. Ravines and gullies formed by heavy rain shall be patched with suitable material approved by
a geotechnical engineer; noting that clay material shall not be allowed.

# Sensitivity: Internal (C3)

5a. Dumps shall be regularly monitored for settlement and movement by suitable survey systems. Where
tensile cracks (other than settlement cracks) are witnessed, the dump shall be inspected at the beginning
of each shift. Dumps made by filling existing pits where the height exceeds 50m shall be monitored
through a real time monitoring system like slope stability radar;

5b. Establish in-house Geotechnical MIP, resourced, and equipped appropriately to carry out strata
control and geotechnical engineering tasks to a high standard.

5c. Develop, regularly update, 3D litho-structural and hydrogeological models, and utilize them in
geotechnical analysis and mine planning.

6. Good operating practices must be applied, including:

- Dumps should be created away from the crest a distance of 0.5 to 0.75 times the dump height;
- Dumps shall be audited and surveyed through an external independent agency at defined frequencies.
- Trucks should unload material approximately 20m from the crest and then spread by dozer.

7. Management of change must be employed if changes are made to the excavation or dump geometries
that depart from the design

Ventilation System:
1. Does the site have an appointed ventilation officer?
2. Does the site have protocols to maintain / ensure/ upkeep of main fan and as well as booster fans (if
any)?
3. Is the ventilation controls (Bulkheads & Stopping) effective?

4. Is an approved ventilation plan available (Underground Mines)? Is it verified in past 6 months and it still
fits condition?
5. Total air Quantity requirements to ventilate the mine workings and present status of air quantity
considering additional quantity of air required for each diesel equipment on kilowatt capacity basis.
6. Monitoring of minimum air velocity of air current; concentration of Noxious gas, at any point wet bulb
and dry bulb temperature of each working area.

7. Examination of roadways for adequancy of ventilation.

8. Monitoring of air quality of the atmosphere of roadways at least once in every shift, where diesel
equipments are in nomal operation.
9. Monitoring of concentration of respirable dust at every working place.
10. Determination of noise level and when it exeeds the required limits, corrective action taken.
11. Air sampling records.

Fatigue Management:
1. Does the site have a fatigue management in place?
2. Does the site follow optimal shift system for the drivers i.e., shift timing, shift duration, direction of shift
rotation, Number and length of breaks during and between shifts
3.Has the site developed a policy that specifically address risk factors and guards against fatigue (i.e.
prevention rather than control).
4. Is fatigue management monitoring in place / site evaluate the effectiveness of controls & the
documents are available?

# Sensitivity: Internal (C3)

Lightening protection in mines. (DGMS Circular No. 10 of 2020 dtd 23.6.2020)
1) Lightening risk assessment study to be carried out for every mine in accordance to IS 2309 or IS/IEC
62305
2) Adequate lightening protection to be provided if exposure level > 10^-5. or if conditions as mentioned.
3) The earthing system being used with the lightening protection system to be independent from the
existing grounding system.

1. SOPs for winding operations.

2. People operating hoists or responsible for signaling possess statutory license, adequately trained,
medically fit and authorized.

3. Risk register documents and implements controls to prevent;

a. Instability and loss of integrity of the shaft
b. Fires in underground operations, the shaft or winder areas
c. Any unintended or uncontrolled movement of conveyances within the shaft
d. Conveyance to fall down the shaft
e. Devices to control overwind, under-wind, excessive acceleration or deceleration, unsafe or excessive
speeds or uncontrolled movement, slack protection etc.
f. Slack rope, drum slip conditions or unsafe tail rope conditions
g. Braking systems and systems performing an equivalent function that are intended to ensure that the
winder remains under control
h. Emergency response and warning systems that are intended to alert persons to an emergency in a
winding system or conveyance, emergency stop in the cage.
i. Communication systems.

4. Inspection plan for mechanical & electrical components, hoist rope attachments & structural integrity,
operator’s daily logbook & regular preventive maintenance.

5. Major Conveyance and NDT Inspection shall be carried out by a Conveyance Inspector at intervals of 6
to 36 months, as per legal requirements and Vedanta procedures. Shaft inspections shall be conducted by
a Conveyance Inspector, Structural Designer, Shaft Engineer or Mechanical Supervisor who has been
specifically trained in how to conduct structural visual inspections of conveyances and associated works.

6. Review rail car loading operation to make it mechanically fool proof, including interlocks like gates with
the cage movement

7. Ensure no obstruction in line of cage movement (elimination of bridge etc.)

8. To check for below during site inspection

a) Appropriate guarding and barricades
b) Clear system of communications
c) At least 2 braking systems
d) Control measures that detect any warring system for slack rope, rope slip, unsafe balance rope
conditions, unsafe coiling of rope, continuous conveyance jam monitoring device, independent and
interlocked to the winder.
e) Signage for payloads shall be clearly displayed
f) Standby power system ensuring the continuous operation of at least one man-riding shaft
g) An emergency control plan shall be in place for evacuation of persons.

# Sensitivity: Internal (C3)

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 SAFETY SCORING
Auditor
Score

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# Sensitivity: Internal (C3)

0.00

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# Sensitivity: Internal (C3)

0.00

# Sensitivity: Internal (C3)

# Sensitivity: Internal (C3)
0.00

0.00
# Sensitivity: Internal (C3)
0.00

0.00

# Sensitivity: Internal (C3)

0.00

0.00

# Sensitivity: Internal (C3)

0.00

0.00

# Sensitivity: Internal (C3)

0.00

# Sensitivity: Internal (C3)

0.00

# Sensitivity: Internal (C3)

SAFETY SCORING
Remarks

# Sensitivity: Internal (C3)

0

# Sensitivity: Internal (C3)

0

# Sensitivity: Internal (C3)

0

# Sensitivity: Internal (C3)

Average of 1a and 1b
0

# Sensitivity: Internal (C3)

0

# Sensitivity: Internal (C3)

0

Average of 1a, b and c

0

Average of 3a and b

# Sensitivity: Internal (C3)

0

Average of 5a and b
0

Average of 6a and b
0

# Sensitivity: Internal (C3)

0

0
0

# Sensitivity: Internal (C3)

0

# Sensitivity: Internal (C3)

0

# Sensitivity: Internal (C3)

0

# Sensitivity: Internal (C3)

0

Average of 7a and b
0

# Sensitivity: Internal (C3)

0

# Sensitivity: Internal (C3)

0

# Sensitivity: Internal (C3)

#REF!
#REF!
#REF!
#REF!
#REF!

# Sensitivity: Internal (C3)

 Performance standards Score

0.00 0.00 0.00 0.00

# Sensitivity: Internal (C3)

0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00

# Sensitivity: Internal (C3)

0.00 0.00 0.00 0.00

# Sensitivity: Internal (C3)

0.00 0.00 0.00 0.00

# Sensitivity: Internal (C3)

 0 0 0 0

0.00 0.00 0.00 0.00

# Sensitivity: Internal (C3)

0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00

# Sensitivity: Internal (C3)

0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00

0 0 0 0

# Sensitivity: Internal (C3)

 0 0 0 0

0 0 0 0

0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00

# Sensitivity: Internal (C3)

# Sensitivity: Internal (C3)
0.00 0.00 0.00 0.00

# Sensitivity: Internal (C3)

0.00 0.00 0.00 0.00

# Sensitivity: Internal (C3)

0.00 0.00 0.00 0.00

# Sensitivity: Internal (C3)

 0 0 0 0

0.00 0.00 0.00 0.00

# Sensitivity: Internal (C3)

0.00 0.00 0.00 0.00

# Sensitivity: Internal (C3)

0.00 0.00 0.00 0.00

# Sensitivity: Internal (C3)

0.00 0.00 0.00 0.00

0.00 0.00 0.00 0.00

# Sensitivity: Internal (C3)