Occupational Health and Safety Audit - Code of Practice: Indian Standard

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भारतीय मानक IS 14489 : 2018

Indian
Standard
व्यावसयाय्क सवयास्थ् और सुरक्या

परीक्ण — ररयि संयििया
( पहला पनरीक्षण )
Occupational Health and

Safety Audit — Code of
Practice
( First Revision )
ICS 13.100
© BIS 2018
भारतीय मानक बयरो

B U R E A U OF I N D I A N S T A N D A R D S
मानक भवन, 9 बहादरु शाह ज़फर मार्ग, नई िदल्ी – 110002
MANAK BHAVAN, 9 BAHADUR SHAH ZAFAR MARG
NEW DELHI-110002
www.bis.gov.in www.standardsbis.in
October 2018 Price Group 9

Occupational Safety and Health Sectional Committee, CHD 08
FOREWORD
This Indian Standard (First Revision) was adopted by the Bureau of Indian Standards, after the draft finalized by
the Occupational Safety and Health Sectional Committee, had been approved by the Chemical Division Council.
This standard was first published in 1998 to meet the growing awareness of safety in the industrial sector and
introduction of various Acts for implementing directives of the statutory bodies. The need was felt to formulate
a guideline to audit safety aspects in the industrial and other units of concern. While formulating this standard,
utmost care was taken to cover all the possible elements relating to Occupational Health and Safety.
With the passage of time, it was felt to revise the standard with a view to incorporate new elements which are
relevant to the industry in the present context including the safe behavior of workers at work place. Thus, this
standard only gives guidance for auditing of industrial units for Occupational Health and Safety parameters.
The basic elements of occupational health and safety systems as identified are given in Annex A. An indicative list
of types of records to be examined during the audit is given in Annex B. A sample checklist elaborating the
various elements of occupational health and safety systems are given in Annex C for guidance.
IS 14489 : 2018
Indian Standard
OCCUPATIONAL HEALTH AND
SAFETY AUDIT — CODE OF PRACTICE
( First Revision )
1 SCOPE 3 TERMINOLOGY
This standard establishes audit objectives, criteria and For the purpose of this standard, the following terms
practices and provides guidelines for establishing, and definitions shall apply:
planning, conducting and documenting observations
of audit(s) on occupational health and safety systems 3.1 Auditee — An organization to be audited.
at work place. 3.2 Audit Team — A team of persons designated as
It provides guidelines for evaluating the effectiveness auditors who are suitably qualified and have
of health and safety programs, verifying the experience to perform these audits.
availability and implementation of elements of NOTE — The auditor designated to lead the audit team and
occupational health and safety systems and the manage a safety audit is called a ‘Audit Team Leader’ (lead
system’s ability to achieve defined safety objectives. auditor).
This standard focuses on general Occupational Health
3.3 Client — An organization which appoints auditing
and Safety Audit to be carried out in various
agency / team to carry out third party audit on its
industries including Major Accident Hazard
behalf.
industries. Specific audits can be carried out in areas
identified based on the general Occupational Health 3.4 Nonconformity — The non-fulfillment of specified
and Safety Audit or in the high risks operations or requirement.
when there is a high frequency of accidents. Based on
the identified elements, type of hazards and nature of 3.5 Observation — A statement of fact made in the
the work carried out, a detailed safety audit checklist course of an audit and preferably substantiated by
for conducting the audit should be developed. objective evidence.
This standard can be used as a guideline for self- 3.6 Objective Evidence — Qualitative or quantitative
demonstration of conformance to IS / ISO 45001 to information, records or statements of fact, which is
others and for compliance to IS 15793. based on observation, measurement or test and which
can be verified.
2 REFERENCES
3.7 Occupational Health and Safety Audit (Audit)
The Indian Standards listed below contain provisions
— A systematic, objective, documented and
which, through reference in this text, constitute
independent evaluation to determine whether, the
provisions of this Indian standard. At the time
activities conform to the requirements of the
of publication, the editions indicated were valid.
occupational health and safety systems and
All standards are subject to revisions, and parties
procedures.
to agreements based on this Indian standard are
encouraged to investigate the possibility of applying NOTES
the most recent editions of the Indian Standards 1 Henceforth in this document only the words ‘audit’ shall
be used in place of the words ‘occupational health and safety
indicated below.
audit’.
2 The audit typically applies to, but is not limited to a safety
system or elements thereof, and is applicable to process,
products, or to services. Such audits are often called ‘safety
IS/ISO No. Title system audit’, ‘process safety audit’ and ‘service safety audit’.
15793 : 2007 Managing environment, 3 There are two types of audits, external and internal. External
occupational health and safety audits are those carried out by agencies external to the auditee
organization. Internal audit are those carried out by the
legal compliance — Requirements employees designated by the management for this purpose.
of good practices Such employees may be selected preferably from amongst
45001 : 2018 Occupational health and those not having direct responsibility in the areas being
safety management system — audited and having no responsibility for implementation of
recommendations.
Requirements with guidance for
4 One of the objectives of the OH & S audit is to identify
use (second revision)
1
the areas for continual improvement. An audit
should not be
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IS 14489 : 2018
confused with ‘Periodic Safety Inspection’ activities

performed by plant personnel for the purpose of checking
b) To ensure that OH & S system fully satisfies the
effectiveness of implementation of Safety System. legal requirements and those of the company’s
written safety policies, objectives and program.
3.8 Occupational Health and Safety (OH
& S) System — The organizational structure, 4.3 Roles and Responsibilities
responsibilities, procedures, processes and resources
4.3.1 Auditors
specified by top management of an organization as
required for implementing occupational health and 4.3.1.1 Audit team
safety objectives.
It is desirable to have the OH & S audit team
NOTES comprising of two or more auditors; with different
1 Henceforth in this document only the words ‘OH & S’ shall specialized backgrounds, which are complementary.
be used in place of the words ‘occupational health and safety’
One of the auditors should be designated as the lead
2 The areas to be covered under the OH & S system are given
auditor and should have overall charge and
in Annex A
responsibility. Auditors should be qualified, trained
3 The OH & S system should only be as comprehensive as is
and experienced in the related areas.
needed to meet the objectives.
3.9 Organization — Company, corporation, firm, 4.3.1.2 Lead auditor’s responsibilities

enterprise or institution or part or combination thereof The lead auditor is ultimately responsible for all
whether incorporated or not, public or private, that has phases of the OH & S audit. The lead auditor should
its own functions and administration. have management capabilities and experience and
NOTE — For organization with more than one operating unit, should be given authority to make final decisions
a single operating unit may be defined as an organization. regarding the conduct of the audit and any audit
observations.
3.10 Recommendation — Suggestion made by the
audit team in the course of audit for improvement in The lead auditor’s responsibilities also cover:
the OH & S system. a) Selecting the audit team members;
4 AUDIT GOALS, OBJECTIVES, ROLES AND b) Preparing the audit plan;
RESPONSIBILITIES c) Planning the field visit;
d) Defining the requirements of each audit
4.1 Audit Goals assignment;
Audits are normally designed to achieve one or more e) Communicating with client, auditee and other
of the following goals: auditors regarding audit requirements;
a) To provide the auditee with an opportunity to f) Briefing the audit team and guide the auditors to
assess its own OH & S system against a OH & S prepare the working document;
system standard and identify areas for g) Reporting critical nonconformities resulting in
improvement; imminent danger to the auditee immediately;
b) To determine the conformity of the implemented h) Interacting with the client and auditee’s
OH & S system with specified requirements and management;
identify areas for improvement; and
j) Reporting any major obstacles encountered in
c) To meet regulatory requirements. performing the audit;
NOTES
k) Maintaining agreed time schedule.
1 These audits may be periodic, or may be prompted by
significant changes in the organization’s OH & S system, m) Preparing audit report with the help of auditors;
process, product or service or by a need to follow up on and
corrective action as specified in 4.1.2.
n) Reporting the audit results objectively, clearly,
2 Audits are not aimed at, nor should result in a transfer of the conclusively and without delay.
responsibility to achieve safety from auditee management to
the auditing organization. 4.3.1.3 Auditors’ responsibilities
3 Audits are not a certification of the safety performance of
the auditee organization. Auditors are responsible for:
a) Complying with the applicable audit requirements;
4.2 Audit Objectives
b) Scheduling and carrying out assigned
OH & S audits are conducted with the following
responsibilities effectively and efficiently;
objectives:
c) Preparing additional checklist if required;
a) To carry out a systematic, critical appraisal of
all potential hazards involving personnel, plant, d) Documenting the observations;
services and operation method; and e) Reporting the audit findings;
3
f) Verifying the effectiveness of corrective actions
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IS 14489 : 2018
taken as a result of the earlier audits; and j) Self-reliant, that is, acts and functions
g) Retaining and safeguarding documents pertaining independently while interacting effectively with
to the audit ensuring such documents remain others.
confidential, and treating privileged information
with discretion. 4.3.2 Client
Client should:
4.3.1.4 Auditors’ duties
a) Determine the need for and the purpose of the
Auditors should be free from bias and influences,
OH & S audit and initiate the process;
which could affect objectivity. Auditors should not be
indecisive and aggressive. Auditor should: b) Select the auditing organization;
a) Remain within the audit scope; c) Agree in consultation with the lead auditor the
general scope of the audit such as what OH & S
b) Exercise objectivity; system standard or document is to be selected as
c) Collect and analyse evidence that is relevant and reference and the time schedule;
sufficient to permit the drawing of conclusions d) Define the audit reporting requirements;
regarding the audited OH & S safety system;
e) State specific confidentiality requirements, if any;
d) Remain alert to any indications of evidence that
can influence the audit results and possibly f) Receive the audit report; and
require more extensive auditing; g) Determine follow-up action to be taken in
e) be able to answer such questions as presented by consultation with the auditee.
the auditee with respect to the relevance of the 4.3.3 Auditee
auditor’s queries;
Auditee should:
f) Should be able to convince the auditee about any
apprehension, if any, regarding audit findings; a) Inform relevant officials and staff about the
objectives and scope of the audit;
g) Ensure that the procedures, documents and other
information specifying requirements of the b) Appoint one or two officials to coordinate / liaise
OH & S system are known, available, understood with audit team;
and used by the auditee’s personnel; c) Provide all resources needed for the audit team
h) Ensure that all the documents and other in order to ensure an effective and efficient audit
information used to describe the safety system process;
are adequate to achieve the required OH & S d) Provide access to the facilities and evidential
objectives; and material as requested by the auditors;
j) Act in an ethical manner at all times. e) Co-operate with the auditors to facilitate
achievements of audit objectives;
4.3.1.5 Attributes of auditors
f) review of the audit results; and
Trust, integrity, confidentiality and discretion are
g) Ensure implementation of corrective actions based
essential to auditing. Auditors should possess the
on the audit report
following personal attributes to enable them to act in
accordance with the purposes of auditing described 5 AUDIT METHODOLOGY
in 4:
a) Ethical, that is, fair, truthful, sincere, honest and 5.1 Initiating the OH & S Audit
discreet;
5.1.1 Scope
b) Open-minded, that is, willing to consider
alternative ideas or points of view; The client in consultation with lead auditor and
auditee organization make the final decisions on
c) Diplomatic, that is, tactful in dealing with people; which OH & S system elements, physical locations
d) Observant, that is, actively aware of physical and organizational activities are to be audited within a
surroundings and activities; specified time frame.
e) Perceptive, that is, instinctively aware of and able The scope and depth of the audit should be designed
to understand situations; to meet the client’s specific information needs.
f) Versatile, that is, adjusts readily to different Generally the audit is carried out to cover the
situations; following aspects:
g) Tenacious, that is, persistent, focused on a) Identification of areas of OH & S system, which
achieving objectives; require improvement;
h) Decisive, that is, reaches timely conclusions b) Assessment of effectiveness of measures taken
based on logical reasoning and analysis; and for controlling the hazards;
5
c) Recommendation of measures to
strengthen the OH & S system;
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IS 14489 : 2018
d) Implementation of these measures; and on the audit until such concerns are resolved to the
e) Monitoring of the changes. satisfaction of the client, the lead auditor and, where
Actions with respect to serial number (a), (b) and (c) applicable, the auditee. While it is desirable to have a
are the responsibility of the audit team whereas those well-defined set of specified requirements and
at serial number (d) and (e) are the responsibility of recorded description, in their absence, audit may be
the auditee. conducted with reference to legal requirements and
concerned standards.
The standards or documents with which the auditee’s
OH & S system is required to comply should be 5.2 Preparing the OH & S Audit
specified by the client. This may include the relevant
legal requirements, concerned Standards, codes of 5.2.1 Audit Plan
practices and the requirements specified by the auditee The audit plan should be finalized by the lead auditor
(see 5.1.3). after consultation with the client and communicated
Sufficient objective evidence should be available to to the auditors and auditee. The audit plan should be
demonstrate the operation and effectiveness of the flexible in order to permit changes in emphasis based
auditee’s safety system. on information gathered during the audit, and to
The resources committed to the audit should be permit effective use of resources. The plan should
sufficient to meet its intended scope and depth. The include:
audit will cover the objectives laid down and auditors a) Audit objectives and scope;
may also contact individual worker to ascertain their b) Schedule of audit activities;
perceptions about the existing OH & S system, to
c) Identification of reference documents (such as
gain their involvement, to encourage comments and
the applicable OH & S system standard and the
suggestion relating to safety and invite cooperation to
auditee’s description and specified requirements
bring the company to an approved OH & S standard.
of their safety system);
5.1.2 Audit Frequency d) Composition of the audit team as specified at
The need to perform an audit is determined by the 4.3.1.1;
client, taking into account specified or regulatory e) Identification of the organizational units to be
requirements and any other pertinent factors. audited;
Significant changes in management, organization, f) Schedule of meetings to be held with auditee
policy, techniques or technologies, and products that management;
could affect the OH & S system, or changes to the
g) List of documents to be perused by the audit team;
system itself and the results of recent previous audits,
and
are typical of the circumstances to be considered
when deciding audit frequency. It is desirable that h) Audit report distribution and the expected date of
organizations have a combination of external and issue.
internal OH & S audit system. While the external 5.2.2 Audit Team Assignments
audit in respect of organizations may be conducted
once in two years, or as specified by any statute, the Each auditor should be assigned specific OH & S
frequency of internal audit may be set once in every system elements or functional departments to audit.
year. Records of accidents and dangerous occurrences Such assignments should be made in consultation with
should be examined and used to identify high-risk the auditors concerned. The lead auditor should hold a
areas and activities and consequently the frequency of briefing session for his team prior to the audit at which
internal audit may be increased. he will ensure that preparations are complete and that
all members are aware of their roles.
5.1.3 Preliminary Review of Auditee’s Requirements
of OH & S System 5.2.3 Working Documents of the Audit Team
Client shall send the auditee’s specified requirements The documents required to facilitate the audit may
and description of OH & S system including include:
manufacturing processes, organization structure etc. a) Check-lists used for evaluating OH & S system
to the lead auditor. As a basis for planning the OH elements (normally prepared by the auditor
& S audit, the lead auditor should review adequacy assigned to audit that specific element),
of the auditee’s specified requirements and recorded b) Forms for documenting observations and
description of the methods for meeting the OH & S supporting evidence.
system requirements (such as the safety manual or
Working documents should be so designed that they
equivalent). If this review reveals that the system
do not restrict additional audit activities, which may
described by the auditee is not adequate to meet the
become necessary as a result of information gathered
requirements, further resources should not be
during the audit. Working documents involving
expended
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IS 14489 : 2018
confidential or proprietary information shall be interviews should be verified from other sources such
suitably safeguarded by the auditing organization. as physical observation and scrutiny of records.
5.2.4 Questionnaire of Preliminary Information 5.3.6 Audit Observations
The lead auditor would send to the auditee All audit observations should be documented. After
management a questionnaire seeking information all activities have been audited, the audit team
about various elements of OH & S system as given in should review all of their observations to determine
Annex A. This would be filled in by the auditee and which are to be reported as nonconformities.
returned for study by the audit team before the field The audit team should then ensure that these are
visit. documented in a clear, concise manner and are
5.3 Executing the OH & S Audit supported by evidence. Nonconformities should be
identified in terms of the specific requirements of
5.3.1 Opening Meeting the statutes, standards or other related documents
The purpose of an opening meeting is to: against which the audit has been conducted. The
lead auditor should review observations with the
a) Introduce the members of the audit team to the responsible auditee manager. All observations
auditee’s senior management; of nonconformities should be intimated to the
b) Explain the scope and objectives of the audit; auditee and acknowledged by the auditee. When
c) Provide a short summary of the methods and recording a nonconformance, enough details
procedures to be used to conduct the audit; should be provided so that auditee can reconfirm
the observations later.
d) Establish the official communication links
between the audit team and the auditee; 5.3.7 Audit Recommendations
e) Confirm that the resources and facilities needed The auditor should make recommendations to the
by the audit team are available; auditee for the improvements to the OH & S system.
f) Fix a schedule of visits to individual plants / In case of an organization whose OH & S system
departments; specified requirements / description are well
g) Discuss with the auditee’s senior management developed, it would be sufficient to point out
the areas of concern and areas of focus suggested nonconformities with the requirement. However, when
by the audit team; these are not well laid down, it becomes more
important to make recommendations. These
h) Confirm the time and date for the closing
recommendations are of following two types:
meeting and any interim meetings of the audit
team and the auditee’s senior management; and a) for improvement in the system’s specified
j) Clarify ambiguities if any, in the audit plan. requirements; and
b) for more effective implementation of the
specified requirements of the system.
5.3.2 Presentation by Auditee
NOTE — It is up to the auditee to determine the ways
Auditee should make a presentation on organization, and means of actions to improve the OH & S system as
structure, manufacturing processes and the OH & S per recommendations of the audit team. However, the
system. recommendations regarding compliance with statutory and
legal requirements are to be fully implemented.
5.3.3 Examination of Records 5.3.8 Closing Meeting with Auditee
Information should be collected through examination At the end of the OH & S audit, prior to preparing the
of documents and records. A sample list of documents audit report, the audit team should hold a meeting with
and records to be examined is given in Annex B. the auditee’s senior management and those responsible
Nonconformities should be noted. for the functions concerned. The main purpose of
5.3.4 Field Visit this meeting is to present audit observations and
recommendations to the senior management in such a
Audit team should carry out field visit along with the manner as to ensure that they clearly understand the
concerned officials of the auditee. Checklist given results of the audit. The lead auditor should present
in Annex C as guidance may be used for the audit observations and recommendations, taking into
purpose. account their perceived significance. The lead auditor
5.3.5 Interviews should also present the non-conformities in a
summarized manner. The audit team’s conclusions
The auditor is expected to interact with various regarding the OH & S system’s effectiveness should
levels of employees including the top management be presented. The deliberations of the closing meeting
to gather information on the OH & S system and should be recorded.
its implementation. Information collected through
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5.4 OH & S Audit Documents 6 OH & S AUDIT COMPLETION

5.4.1 Audit Report Preparation
The audit is completed upon submission of the audit
The audit report is prepared by the audit team under report to the client / auditee.
the direction of the lead auditor, who is responsible for
its accuracy and completeness. The audit report should 7 ACTION FOR IMPLEMENTATION OF
be issued within the agreed time period. If it cannot be OH & S AUDIT REPORT
issued within agreed time period, the reasons for the
delay should be intimated to the auditee in writing. The auditee is responsible for determining and
initiating corrective action on audit recommendations.
5.4.2 Report Content The auditee should prepare an action plan for
The audit report should faithfully reflect both the tone implementation of audit report; specifying action by
and content of the audit. It should be dated and signed concerned departments and time limits for completion.
by the lead auditor. It should contain the following This may be in consultation with the auditing
items, as applicable: organization or client. The time limit for completion
a) An executive summary of the report highlighting may be decided considering the importance and safety
important observations and recommendations. implications of the recommendation. One of the most
important follow-up actions is the communication of
b) Introduction, scope, objectives, overview of the the content of the audit report to appropriate personnel
site and plant description; in the auditee organization. The agreed
c) The names of audit team members, auditee’s recommendations for action with target dates for
representative, and audit dates; implementation of the recommendations should also
d) Details of the audit methodology which is be conveyed to implementing agency. Where no
followed; action is proposed to be taken (although it may have
been recommended in the course of the audit) the
e) Identification of the reference documents against
reasons for this decision should be documented. If it is
which the audit was conducted (safety system
not feasible to implement some of the
standard, auditee’s safety manual, etc);
recommendations of the audit team then the auditee
f) Observations of nonconformities as well as good should inform about such recommendations to the
practices; client specifying reasons. This information may also
g) Audit team’s judgement of the extent of the be conveyed to the auditor.
auditee’s compliance with the applicable OH & S The auditee should develop a monitoring system
system standard and related documentation; for implementation of the recommendations and
h) The system’s ability to achieve defined periodically assess the implementation status of
objectives; the audit report. If needed a follow-up audit can be
and conducted to review implementation of the audit
j) the recommendations for improvement. recommendations.
5.4.3 Report Distribution Considering the requirements including the legal

aspects the auditee can plan for the next audit.
The OH & S audit report should be sent to the client
/ auditee signed by the lead auditor. Any additional
distribution should be determined by the client /
auditee.
5.4.4 Record Retention
Audit report should be retained by agreement between
the client, the auditing organization and auditee, and
in accordance with any regulatory requirements.
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ANNEX A
( Clauses 3.8 and 5.2.4 )
ELEMENTS OF OCCUPATIONAL HEALTH AND SAFETY (OH & S) SYSTEMS
A-1 OH & S MANAGEMENT
a) OH & S Policy b) OH & S organizational set-up

c) Safety manual d) Standard Operating Procedures (SOP)
e) Plant modification procedure f) Work permit system
g) Contractors’ safety system h) Plant design andlayout
j) Medical management of accidents k) Management of emergencies (natural
/ man-made)
m) Employee selection and placement n) Safety culture
p) Statutory licences, approvals and records q) Motivational and promotional measures
for OH & S
r) Hazard identification and job s) Product safety
safety analysis
t) Safety training u) Change management
A-2 PHYSICAL HAZARD
a) Housekeeping b) Machine and general area guarding

c) Material handling d) Electrical safeguarding
e) Safety in storage and warehousing f) Hazard assessment of new equipment
g) Hazards from radiation sources h) Control measures for specialised industrial
hazards like work at height and work in
confined space
A-3 CHEMICAL HAZARD
a) Transportation of hazardous substances b) Handling of hazardous substances

c) Storage of hazardous substances d) Spill control measures
e) Material Safety Data Sheet (MSDS) f) Gas cylinders
g) Labeling and colour coding h) Hazardous waste management
A-4 FIRE AND EXPLOSION HAZARD
a) Organisationalsetup for fire fighting b) Built in safety in civil design and construc-
tion
c) Built in Safety in Electric Circuits and d) Explosive substances
Equipment
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e) Fire safety in handling flammable and ex- f) Fire detection and alarm system
plosive materials
g) Passive and active fire protection system h) Fixed fire extinguishing system
j) Portable Fire Extinguishing System k) Fire fightingequipment andfacilities
m) Fire drill n) Fire fightingtraining
p) Static electricity and lightning
A-5 INDUSTRIAL HYGIENE / OCCUPATIONAL HEALTH
a) Vibration, heat stress, Nnn-ionizing radi- b) Work place monitoring for

ations, ventilation, illumination and noise hazardous chemicals
c) First aid facilities and occupational health d) Periodic medical examination
centre (OHC)
e) Personal protective quipmentandemergen- f) Occupational disease
cy equipment
A-6 ACCIDENT / INCIDENT REPORTING, INVESTIGATION AND ANALYSIS
a) Accident reporting, b) Accident investigation

c) Analysis of accidents d) Implementation of recommendations
e) Reporting andinvestigation of near -miss
incidents
A-7 EMERGENCY PREPAREDNESS (ON-SITE / OFF SITE)
a) Site specific details b) Duties and responsibilities of key personnel

c) Identification of emergencies and accident d) Declaration and termination of emergency
scenario
e) Resources-evacuation / transport f) Communication facilities
g) Medical care h) Updation of emergency plan
j) Periodic drills / exercises k) Training of plant personnel
m) Public awareness programmes n) Mutual-aid programme
p) Emergency control centre
A-8 SAFETY INSPECTION
a) Inspection programme b) Safety Related Deficiency (SRD) Report

c) Safety inspection records d) Methodology and inspection team
e) Compliance of recommendations
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ANNEX B
( Clause 5.3.3 )
TYPES OF RECORDS TO BE EXAMINED DURING THE SAFETY

AUDIT
a) OH & S policy; u) Housekeeping inspection records;

b) Safety organization chart; w) Minutes of safety committee meetings;
c) Training records on safety fire and first-aid; y) Statutory licences and approvals;
d) Record of plant safety inspections; z) Records of any modifications carried out in plant
e) Accident investigation reports; or process;
f) Accidents, dangerous occurrences and near miss aa) Maintenance procedure and records;
incidents - statistics and analysis; ab) Instrumentation and equipment calibration and
g) Record of tests and examinations of equipment testing records;
and structures as per statutes; ac) Planned shutdown maintenance procedures;
h) Standard Operating Procedures (SOP) for various ad) In service inspection manuals, records including
operations; that of material handling;
j) Record of work permits; ae) OH & S budget;
k) Record of work environment monitoring af) Inspection books and other statutory records;
(flammable, toxic and explosive substances);
ag) Records of previous audits and safety analysis;
m) Maintenance, testing and calibration records of
fire detection and fire fighting equipment; ah) Procedures for safe transportation of hazardous
substances;
n) Medical records of employees;
aj) Calibration records;
p) Records of industrial hygiene surveys (noise,
ventilation, illumination, dust etc.); ak) Records for break down of plants during the
process of manufacture;
q) Material Safety Data Sheets (MSDS);
am) Records for waste material generated and their
r) On-site emergency plans and record of Mock disposal;
Drills;
an) SOP for disposal of waste materials; and
s) Records of storage of hazardous solid waste and
its disposal; ap) Records for issue of PPE items to the personnel
working in process building.
t) Records of gaseous emissions and effluent
discharges to the environment;
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ANNEX C
( Clause 5.3.4 )
SAMPLE CHECKLIST FOR SAFETY AUDIT
C-1 OH & S MANAGEMENT g) Are the minutes forwarded to the trade union(s)
and chief executive and occupier?
C-1.1 OH & S Policy
h) Whether the management and trade union play
a) Does the organization have OH & S policy? their active roles in supporting and accepting the
b) Who has signed the OH & S policy? committee(s) recommendations?
c) Whether the OH & S policy is per guidelines of j) How are the safety committee(s) members
the statutory provisions? apprised of the latest development in safety,
d) When was the OH & S policy declared and health and environment?
adopted? C-2.3 Safety Budget
e) Whether the OH & S policy reviewed
periodically? a) What is the annual safety budget?
f) Whether the OH & S policy is available in local b) How much percentage is this budget of the total
language and made known to all? turnover of the company?
g) What was the last date of updation? c) How much budget has been utilized till date?
h) Does the policy find a place in the annual report? d) Is the safety budget adequate?
e) How is the safety budget arrived at?
C-2 OH & S ORGANIZATIONAL SET UP f) What is the pattern of expenditure for the last five
years?
C-2.1 Safety Department
g) What are the approved sanctions for the
a) Does the factory have a safety department and expenditure in this budget?
what is strength of safety department?
h) Does this budget get reflected in the annual report
b) Whether the strength and qualifications of Safety of the company?
Officers are as per the statutes?
c) Does the head of safety department report to the C-3 SAFETY MANUAL
Chief Executive? a) What is the periodicity of updation / review of
d) How often are the safety officers retrained in the safety manual?
latest techniques of total safety management? b) Does the safety manual adequately address all the
What is the frequency of retraining? hazards in the plant?
e) What additional duties the safety officer is c) Are the employee made aware of safety rules /
required to do? instruction mentioned in the safety manual?
f) What is the power of safety officer vis-a-vis unsafe
condition or unsafe act? C-4 STANDARD OPERATING PROCEDURES
(SOP)
C-2.2 Safety Committee(s) a) Are written Standard / safe operating procedures
a) Does the factory has a safety committee(s)? What available for all operations and processes?
are the types, structures and terms of reference of b) Whether the written Standard / safe operating
the committees? procedures are displayed or made available and
b) Is the constitution of the safety committee(s) as explained in the local language to the workers?
per the statute? c) Whether concerned section and safety department
c) How are the members of safety committee(s) prepares standard / safe operating procedure
selected? (elected / nominated) jointly?
d) How often are the meetings of safety d) Are standard / safe operating procedures
committee(s) held? reviewed and updated?
e) Are the recommendations of the committees(s) e) Have the workers been informed of the
implemented? consequences of failure to observe the standard /
f) Are the minutes of the safety committee(s) safe operating procedures?
meetings circulated among the members?
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C-5 PLANT MODIFICATION PROCEDURES r) Are the workers being medically examined for their
fitness to work at height?
a) What is the system for effecting any change in
the existing plant, equipment or process?
b) Whether the P & I diagrams and other related
documents are updated accordingly?
c) Whether hazard assessment done before
implementation of modification?
C-6 WORK PERMIT SYSTEM

a) What types of work permits exist in the factory?
b) Are the necessary forms detailing required safety
precautions have been prepared and used for each
type of work-permit?
c) Is the responsibility assigned to authorized
person for issuing of safety work permit?
d) Is the copy of safe work permit sent to safety
officer before execution of the job?
e) Is validity period specified in the safety work
permit?
f) Are the records of work permit available and
maintained in proper order?
C- 6.1 Control Measures for Work at Height

a) Is adequate safe access provided to all places
where workers need to work?
b) Are all such access in good condition?
c) Are all scaffolds are properly designed and
erected?
d) Are scaffolds inspected every day before work
begins?
e) Are ladders securely clamped or lashed in place?
f) Are planks in good condition?
g) Are scaffold walkaways, platforms, runs or stairs
free of debris, grease, any unnecessary
obstruction and projecting nails?
h) Are the scaffolds higher than 20 m.? If yes, is a
netting or intermediate railing provided between
toe-boards and hand railings?
j) Are folding stepladders properly used?
k) Are ladders set up at the proper slope of about
1:4?
m) Do workers use hand lines to lift tools or
materials?
n) Are proper ladders used around electrical
hazards?
p) On sloping roofs, are crawling boards, lifelines,
safety belts and edge protection provided where
needed?
q) Whether the weak spots, skylights, or
deteriorated asbestos-cement boards through
which a worker might fall while working in the
roof has been identified and safety net provided
appropriately?
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C-6.2 Work in Confined Space
a) Is work permit system followed for
working in confined space?
b) Whether monitoring of the atmosphere
inside the confined space is carried out
and ensured that there is no flammable or
toxic gas in the area?
c) Whether the person entering the
confined space is using suitable personal
protective equipment (PPE)?
d) Is rescue team available in case of any emergency?
C-7 CONTRACTORS’ SAFETY SYSTEM

a) Is there any system for selection of contractors?
b) Are there any guidelines on
contractor’s safety and training?
c) Whether contract document includes
necessary safety and welfare clauses as
per statutes?
d) Is there any programme to ensure use of
PPE by contractors personnel?
e) Do the contractors have their own safety
organization?
f) Are the contractors reporting all accidents
and injuries?
g) Are contractor workers trained to observe
safety at work place?
h) Whether contractor workers are engaged
in process / operations? If yes, are they
aware of safe operating procedures?
C-8 PLANT DESIGN AND LAYOUT

a) Whether hazardous operations in the
plant are segregated?
b) Whether occupational health & safety
aspects are considered during the design?
c) Are all the equipment provided with
adequate space for working, maintenance
etc.?
d) Are the storage tanks provided with enough space
/ clearance between them?
e) Whether the plant layout has taken
care of the movement of firefighting
equipment and emergency exits?
C-9 MEDICAL MANAGEMENT OF

ACCI- DENTS
a) Are medical facilites available with
trained first aid staff and equipment in
round the clock shift for all including
contractors?
b) Is the ambulance van available for round
the clock basis with the dedicated driver?
c) Is there any mutual aid scheme
available with the nearest hospitals to
manage and treat injuries during
emergency?
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d) Are the workers / contractor workers aware of b) Whether the licences have been validated?
emergency medical facilities?
C-14 MOTIVATIONAL AND PROMOTIONAL
C-10 MANAGEMENT OF EMERGENCIES MEASURES FOR OH & S
(NATURAL / MAN-MADE)
a) Does the factory have occupational health and
a) Does the system exist to detect and control these safety suggestion scheme?
Emergencies?
b) Are occupational health and safety contests
b) Are the employees aware of the measures to be organized in the factory?
taken during emergencies?
c) Does the factory participate in National Awards?
C-11 EMPLOYEES SELECTION AND PLACE- d) Has the factory been awarded during last five
MENT years?
a) Whether norms are available for selection of e) Does the organization publish safety bulletin /
different category of employees? newsletters?
b) Whether pre-employment medical examination is f) Whether the safety bulletins are widely distributed?
being conducted for employees? g) How is the occupational health and safety
c) Is there any procedure to evaluate safety information including accident statistics
awareness and record of the employees during disseminated in the factory? (Bulletin boards,
their promotion? Newsletter etc.)
h) What are the activities conducted during National
C-12 SAFETY CULTURE
Safety day / week?
C-12.1 Attitudes of Managers j) What is the percentage of Workers participating in
the various safety promotional activities?
a) Do the managers follow the plant safety rules at
all times? C-15 HAZARD IDENTIFICATION AND JOB
b) What are their attitudes towards safety reviews SAFETY ANALYSIS
and audits? a) Was an initial process hazard analysis (PHA)
c) What is the response of management to safety completed?
violation? b) What are the stages of PHA? Whether a
d) Whether safety related decisions are taken in dedicated group is identified for PHA?
consultation with the workers? c) Was the PHA appropriate for the complexity of
e) What is the attitude of the managers towards non the process and identify, evaluate, and control the
use of personal protective equipment? hazards involved in the process?
d) Does the hazard evaluation use one or more of
C-12.2 Attitudes of Workers
the following PHA methodologies: What-If
a) Whether workers are aware of the consequences Anysis, Process Checklist, Hazard and
of their wrong actions? Operability Study (HAZOP), Failure Mode and
b) Are laid down safe working procedures followed Effects Criticality Analysis (FMECA), Fault Tree
strictly? Analysis (FTA) or any other appropriate
equivalent methodology?
c) What is the attitude of the workers towards their
own mistake, which can prejudice safety? e) Does PHA assures addressing issues of inherent
safety features with respect to material and their
d) Do the workers report near miss incidents and
properties?
suggest safety improvements?
f) Does the PHA address the hazard identification,
e) Are the workers aware of the system of rewards
incidents history, consequences of failures
and sanctions relating to safety matters?
(engineering and administrative controls), human
f) What is the attitude of workers towards use of factors, consequent analysis with respect to
personal protective equipment? possible safety and health effects of failure of
controls?
C-13 STATUTORY LICENSES, APPROVALS
AND RECORDS g) What are the stages of PHA? Whether a
dedicated group is identified for PHA?
a) Whether all the safety related Acts / Rules
h) Does the system exists to promptly address
(with latest amendments) applicable to your
findings and recommendations of PHA?
organization identified, informed to all
employees and complied? j) Are the PHA’s updated and revalidated at least
every five years by a qualified team to assure that
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the PHA is consistent with the current
process?
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k) Whether the activities requiring Job Safety procedures and changes to facilities that affect
Analysis have been identified? the plant process / system operation?
m) Whether the identified jobs for Hazard b) Do the procedures assure that the technical basis
Identification have been carried out by trained for the proposed change addressed prior to any
and experienced persons? change?
n) Whether the checklists have been prepared on c) Do the procedures assure that the impact of the
each Job Safety Analysis and are being used change on safety and health addressed prior to
while carrying out the job? any change?
C-16 PRODUCT SAFETY d) Do the procedures assure that modifications to
operating procedures are addressed prior to any
a) Whether hazards arising from use of the products change?
are identified?
e) Do the procedures assure that the necessary time
b) Whether material safety data sheet prepared for period for the change is addressed prior to any
the products? change?
c) Are all the products labeled and packed f) Do the procedures assure that the authorization
appropriately? requirements for the proposed change are
d) Whether safety instructions are given along with addressed prior to any change?
products? g) Are employees involved in operating a process,
e) Whether policy exists for recall of products? and maintenance and contract employees whose
job tasks will be affected by change informed of,
C-17 SAFETY TRAINING and trained in, the change prior to the start-up of
a) Whether training needs have been identified? process or affected part of process / operations?
b) Is there any programme of induction training, its h) Is the safety information is reviewed and updated
duration and topics covered? on changes?
c) Whether the assessment of the trainees has been j) Are the operating procedures or practices updated?
carried out?
C-18.2 Mechanical Integrity
d) What are the infra-structural facilities available
for training? a) Does the mechanical integrity program include
e) Whether training is conducted by qualified for all mechanical equipment including pressure
person? vessels and storage tanks, piping and
components, relief devices and vent systems,
f) Whether trainers are being re-trained from time emergency shutdown systems, pumps, control
to time? systems?
g) Whether proper records of training program b) Are there written procedures to maintain the on-
conducted are maintained? going integrity of process equipment?
h) How training programs are evaluated? c) Whether training been provided to each employee
j) Whether schedule for training on occupational involved in maintaining the on-going integrity of
health and safety is available and maintained? process equipment?
k) Whether the training programmes are reviewed? d) Are inspections and tests performed on each item
m) Are all the employees periodically trained / of process equipment included in the program?
retrained and what is the frequency of such e) Does the inspection and test frequenciesmeet
training? the manufacturer’s recommendation and good
n) Are the retraining needs identified whenever a engineering practice?
new process / products and change in existing f) Are inspections and tests performed more
process introduced? frequently if determined necessary by operating
p) Whether training covers top management? experience?
q) How many hours of safety training is given to g) Are deficiencies in equipment that are outside
different employees? limits corrected before further use so as to assure
safe operation?
C-18 CHANGE MANAGEMENT h) In the construction of new plants and equipment,
whether quality assurance programme is
C-18.1 Management of Change implemented to ensure that equipment fabricated
a) Are there written procedures for managing is suitable for the process?
change to process chemicals, technology, j) Are appropriate checks and inspections made
equipment and during equipment installation stage?
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k) Are the suitability of maintenance materials, C-19.3 Material Handling

spareparts and equipment ensured during
maintenance? a) Are adequate equipment available for handling
materials?
C-19 PHYSICAL HAZARD b) Are the workers aware of the hazards associated
with material being handled?
C-19.1 Housekeeping
c) Where manual handling is necessary, are the
a) Are all the passages, floors and the stairways in workers been trained? Do they practice this? Are
good condition? workers warned for lifting of excessive weight?
b) Is glass door taped or otherwise marked to make (Maximum weight of material for adult male and
it visible to workers? female are 55 Kg and 30 Kg respectively)
c) Do you have the system to deal with the spillage? d) Do workers follow safe procedures for storage of
d) Do you have sufficient disposable bins clearly materials?
marked and whether these are suitably located? e) Is the register maintained to record particulars
Are containers of refuse (waste) and trash of examination of all lifting machines, tools and
emptied at the end of every day or soon after they tackles?
are full? Are the containers or bins regularly f) Are all the statutory examinations and tests
cleaned? carried out and certified by competent person(s)?
e) Are drip trays positioned wherever necessary? g) Are the operators of crane, lifts, hoists and other
f) Do you have adequate localized extraction and mechanized operations adequately qualified?
scrubbing facilities for dust, fumes and gases? h) Is the safe working load clearly marked?
Please specify.
j) Has the person employed to operate crane,
g) Whether walkways are clearly marked and free forklift, or to give signals to crane been medically
from obstruction? examined for eyesight and colour vision?
h) Do you have any inter-departmental competition k) Is the frequency of eyesight and colour vision
for good housekeeping? examination as per the latest rules?
j) Has your organization elaborated good
housekeeping practices and standards and made C-19.4 Electrical Safeguarding
them known to the employees? a) Are licensed electricians available for electrical
k) Are there any working conditions, which make work?
the floors slippery? If so, what measures are b) Whether area classification for electrical
taken to make them safe? equipment has been carried out?
m) Does the company have adequate measures to c) Do the electrical fittings conform to area
suppress polluting dust arising out of materials classification for electrical equipment?
stored on the roadside? d) Is a ground fault current interrupter system
C-19.2 Machine and General Area Guarding (ELCB) in use?
e) Are all connections made by using appropriate
a) Whether machinery and equipment which can
plugs, receptacles or enclosures? Are fuses
cause physical injuries to operator have been
provided?
identified?
f) Are there any make shift connection bare wires or
b) Are all moving parts and point of operation of
damaged cables?
machinery adequately guarded?
g) Is there a system of ensuring periodical
c) Are all fixed guards securely bolted in position
inspection of hand tools, extension boards used
and in good condition?
for electrical work?
d) Are all interlock guards for prevention of
h) Do the workers use proper types of PPE during
physical injury in good condition?
the working on live line?
e) Are all emergency stop buttons effective and
j) Is the separate work permit issued for working on
clearly labeled?
high voltage line?
f) Are the operators for machines having moving
k) Whether the process(s) and equipment that
parts aware of the danger of working with loose
generate and accumulate static charge have been
clothing?
identified?
g) Are the openings where there is free fall hazard
covered or fenced securely?
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m) Whether all such equipment including pipelines h) Is the periodical radiation monitoring carried out?
for flammable materials are properly bonded and
earthed? j) Are the records of inventory of radioactive
material maintained in the standard format and
n) Whether earth pit resistance is measured and the submitted to the competent authority as per the
record maintained? period specified?
p) Whether lightning arrestor has been installed and k) Are emergency handling tools available?
is adequate?
m) Are the personnel monitoring badges (TLD,
C-19.5 Safety in Storage and Warehousing Pocket dosimeter etc.) assigned and worn by each
radiation worker?
a) Whether the Material Safety Data Sheet for all
chemicals is available? n) Are the radiation symbol and red light displayed
as required?
b) Are the chemicals stored as per their hazardous
properties including the incompatibility? C-20 CHEMICAL HAZARD
c) Are all containers clearly, indelibly labelled? Are
all chemicals stored as per safety regulations? C-20.1 Transportation of Hazardous Substances
d) Whether all racks and steel cages have sufficient a) What potentially hazardous materials are
load bearing capacity? transported to or from the site (including wastes)
e) Is adequate natural ventilation provided to store b) What mode of transport are used?
room? Is there any emergency exit? 1) Road,
f) Whether adequate firefighting arrangement 2) Rail, and
existing in flammable chemical storage?
3) Pipelines
g) Whether methodology for handling spillages
of hazardous chemical available along with the
equipment required handling the spillage? 1) Road
h) Whether aisles are marked and emergency exits i) Does the company employ licenced
displayed? vehicle of its own / outside sources?
ii) Are the loading / unloading procedures in
C-19.6 Hazard Assessment for New Equipment place and safety precautions displayed?
a) What is the system for effecting any change in iii) Is there a provision to check the
the existing plant, equipment? healthiness of road tanker with respect to
b) Is there system for evaluating hazards from new explosives rules?
equipment? iv) Are loaded tankers or trucks parked in a
c) Whether the P and I diagrams and other related specific area on-site?
documents are updated accordingly? v) Do all truck and tanker drivers carry
d) Is any Job Hazard Analysis (JHA) carried out transport emergency (TREM) card or
after installation of new equipment? instruction booklet?
vi) Do all truck and tanker drivers get
C-19.7 Hazards from Radiation Sources training in handling emergencies during
a) Whether licences have been obtained for transport?
storage / handling of radioactive material? vii) Are all the tankers marked for proper
b) Whether approved Radiological Safety Officer Hazchem code?
appointed? 2) Rail
c) Whether appropriate PPEs are used against i) What hazardous materials are transported
radiation hazards? by rail?
d) Is the flooring of the radioactive material ii) Does the company have a direct siding on
handling area amenable for proper site?
decontamination?
iii) Are tankers or other wagons used in
e) Is the storage room of radiation source as per the transportation?
licence condition?
3) Pipelines
f) Are all persons working in the facility have
i) What materials are transported to and
radiation safety training?
from the site by pipelines?
g) Is the operators handling devices using
ii) Are the pipelines underground or over
radioactive materials qualified and possess the
ground?
necessary certificate?
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iii) Are corrosion protection measures c) Whether vessels are above ground / underground?
employed in pipelines?
d) If any of the tanks storing flammable material,
iv) Whether intermediate booster pumps are whether electrical equipment and fittings are as
used? per electrical area classification?
v) What is the maximum, minimum and e) Is the bunded area takes into account the total
average transfer rates? quantity of the largest tank?
vi) Are the pipelines extended in the public f) Whether the bund perimeter takes into
domain? consideration of trajectory of leak from tank?
vii) Are the pipelines dedicated for each type g) Are the vessels properly bonded and earthed and
of chemicals? whether periodically checked and record
viii) Are the pipelines fitted with safety maintained?
equipment such as leak detectors, h) Are the vessels fitted with remotely controlled
automatic shut-off valves etc.? isolation valves?
ix) What is the frequency and method of j) Are vessels provided with emergency vent, relief
testing of the pipeline? valve, bursting disc, level indicator, pressure
x) Is there written procedure for tackling gauge, overflow line?
leakages in pipeline? k) Where do such vents discharge?
C-20.2 Handling of Hazardous Substances m) Are the vessels provided with alarms for high
level, high temperature and high pressure?
a) What are the hazardous substance handled in the
factory? n) Are standby empty tanks or any other alternate
systems provided for emptying / transfer in case
b) Whether quantity of hazardous substances is of emergencies?
above the threshold limit specified in the
Manufacture, Storage and Handling of p) What are the provisions made for firefighting /
Hazardous Substances Rule, 1989? If yes, then tackling emergency situations around the storage
required documentation is available as per the vessels?
rule. q) Has any consequence analysis for loss of
c) Whether written procedure for handling the containment been carried out?
hazardous substance is available and operators r) Whether the vessels are tested as per statute?
are trained for handling such substances s) Whether log sheets are filled up on daily basis for
including actions required in case of leakages and recording the parameters of these vessels?
spillages?
t) Whether monitors for detection of leakage of
d) Are the employees aware of the hazards arising flammable / toxic material installed?
from hazardous substances and safety
u) Whether the chemicals stored are as per their
precautions to be taken during handling of these?
compatibility?
C-20.3 Material Safety Data Sheets (MSDS)
C-20.6 Gas Cylinders
a) Are the material safety data sheets available for
a) What are the various gas cylinders used in the
all the chemicals handled, used and manufactured
plant?
in the factory?
b) Are valid licenses available for storing all these
b) Whether the latest MSDS are displayed at
cylinders?
strategic locations?
c) Are the cylinders stored and segregated as per
c) Is it available in local language?
their compatibility?
C-20.4 Spill Control Measures d) What are the measures taken for combating any
emergency in the cylinders storage area?
a) Whether spill control procedure is available?
e) Whether integrity test certificates are obtained
b) Whether spill collection pit / sump is available at
from the suppliers of the cylinders?
the workplace?
f) Are the cylinders chained and secured properly
c) Whether methodology for recovery / disposal of
along with the valve caps and proper
collected material has been established?
identification colour code?
C-20.5 Storage of Hazardous Substances g) Are the cylinders protected from heat or sun and
rain?
a) Whether storage vessels are identified with the
capacity as required under MSIHC, Rules 1989. h) Whether monitors for detection of leakage of
flammable / toxic gas installed?
b) What are the storage pressure and temperature?
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C-20.7 Labeling and Colour Coding 4) Communication facility at fire station, walkie
a) Are all the containers, vessels and storage tanks talkie sets during firefighting.
labeled for its content and capacity?
C-21.2 Built in Safety in Civil Design and
b) Whether the pipelines are colour coded as per Construction
IS 2379?
c) Is any plant specific colour code followed? a) Whether the two safe means of escape available?
Are they in separate directions?
d) Whether the colour codes are displayed
conspicuously in the working areas? b) Is emergency exits provided to the building
handling flammables?
C-20.8 Hazardous Waste Management c) Whether emergency lights are provided?
a) Is identification done for various types of d) Whether fire / smoke detectors are installed in
hazardous wastes? fire prone areas?
b) Are these quantities less than those specified by e) Whether fire call points are provided in different
the Hazardous Wastes (Management & areas?
Handling) Rules, 1989? f) Whether Fire hydrants are provided near the
c) What are their disposal modes? buildings?
d) What are the systems / measures adopted for g) Is ventilation system in plant handling
controlling air / water / land pollution? flammables is adequate to prevent formation of
e) Whether the solid waste like combustibles, flammable mixtures?
plastic, metals etc. segregated? h) Is adequate separation is provided between
combustible / flammable materials and other
C-21 FIRE AND EXPLOSION HAZARD material to restrict the fire growth?
j) Access routes for fire fighting operations is
C-21.1 Organisational Set-up for Fire Fighting
available for areas having high fire load
a) What is the total strength of fire station and fire k) Whether building changes interferes with fire
crew? detection and / or fire suppression systems?
b) How many fire crews are available in each shift? m) Whether building changes cause unreasonable fire
c) Is there fire squad identified in each shift? loading / openings in the fire rated walls?
d) Standing fire order is available with latest
C-21.3 Built in Safety in Electric Circuits and
revision
Equipment
e) How is the communication with fire station?
a) Are the electrical equipment in areas where
f) Does fire safety inspections carried out? flammables mixture is likely to be present of
g) Does emergency procedure available for leakage flame-proof type?
or combustion of flammables? b) Are lightning arrestors are provided to the
h) What measures are available to control the fire buildings / structures storing flammable materials?
load in the plant area? c) Whether adequate bonding and grounding of
j) Whether technical knowledge and skills of the electrical equipment / pipelines provided?
manager and staff responsible for overall fire
safety of the plant is adequate? C-21.4 Explosive Substances
k) How many major and minor incidents / fires were a) Whether necessary license / approval taken from
there in the factory during the last five years? concerned statutory bodies?
Give department / plant wise. b) Whether systems for explosion suppression,
m) Have all the fires / incidents been investigated high speed fire detection with deluge, sprinklers,
and corrective actions taken? Give break-up. explosion venting etc. are provided?
n) Resources: c) Whether explosion resistant walls or barricades
1) Adequacy of protective clothing (coat, are provided around explosive storage?
trouser, gloves, boots and helmets); d) Whether explosive substance storage areas are
2) Availability of SCBA for firefighting restricted for entry?
operations and spare cylinders (at least 2 for e) Whether only trained persons are handling
each SCBA); explosive substances?
3) Adequacy of hose, nozzles, ladders, lighting f) Whether explosive substances are stored and
equipment and pumps; and transported in approved containers only?
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g) Whether electrical fixtures in areas handling e) Whether sprinklers / deluge are installed
explosives are explosion proof type? wherever necessary?
h) Whether adequate measures are taken to prevent f) Whether regular inspection / maintenance /
any sources of ignition where explosive testing of fire protection system carried out and
substances are handled? records maintained?
C-21.5 Fire Safety in Handling Flammable C-21.8 Fixed Fire Extinguishing System
and Explosive materials
a) What are the sources of firewater and whether they
a) Whether emergency procedure is available for are dedicated to the fire extinguishing system?
control of leakage?
b) Whether the capacity of dedicated water reservoir
b) Whether emergency measures are displayed is adequate to supply to hydrants for minimum
locally in case of accidental spillage / leakage? 2 h?
c) Whether facility is provided for safe drainage c) Whether un-interrupted power supply is provided
of combustible or flammable liquids in case of to the firewater pumps?
leakages?
d) Whether the extinguishing medium selected is
d) Whether highly flammable liquids are stored appropriate to the class of fire (water, gaseous,
under inert atmosphere? foam, dry powder)?
e) Whether flammable storage tanks are provided e) Whether fire hydrants layout is available?
with flame arrestors?
f) Whether additional (over minimum requirement)
f) Whether suitable PPEs are provided? fire hoses, nozzles are available?
C-21.6 Fire Detection and Alarm System g) Whether the hydrants lines are kept pressurized?
a) What type of fire detection and alarm system h) Whether regular inspection / maintenance /
provided? testing of fixed fire extinguishing systems carried
out and records maintained?
b) Whether all fire prone areas of the plant are
covered with fire detection system? C-21.9 Portable Fire Extinguishing System
c) Whether fire detection equipment and smoke a) Whether suitable type and numbers of fire
alarms in good operating condition? extinguishers provided?
d) Whether the number of fire call points are adequate b) Whether the fire extinguishers are located at
and free from obstruction? conspicuous position and easily accessible? Are
e) Whether regular inspection / maintenance / they fully charged and tagged?
testing of fire detection and alarm system carried c) Whether fire extinguishers periodically inspected,
out and records maintained tested, refilled and records maintained?
f) Whether any atmospheric monitoring is carried d) Whether defective / unchecked fire extinguishers
out for explosive mixture of gases or vapours? present at site?
g) Whether emergency power supplies are provided e) Whether additional fire extinguishers are
to fire detection and fire alarm system? available?
h) Whether smoke detectors are located considering
ventilation pattern? C-21.10 Fire Fighting Equipment and Facilities
j) Whether annunciation of fire is local or in the a) Whether fire tenders (water / foam) are available?
control room or in both places? b) Whether the fire-fighting system and equipment
k) Whether fire panel is constantly attended? approved, tested and maintained as per relevant
standard?
C-21.7 Passive and Active Fire Protection System
c) Whether the SCBA / fire suit provided to fire
a) What are the passive fire protection measures fighting team for immediate action?
available? (barriers, doors, dampers etc.) d) What is system for maintenance / recharge of
b) Are the areas requiring fire barriers identified? SCBA?
c) Whether the fire barrier provided is of adequate e) Is proper access available for fire fighting
ratings? equipment?
d) Whether ventilation ducts in flammable areas have f) Whether fire hose cabinets are in good condition,
been provided with isolation dampers of suitable easily visible, and accessible?
fire rating? g) Whether drill tower is available? Are fire personnel
carrying out regular fire drill?
2
IS 14489 : 2018
h) What is the communication facility at fire d) Is there any exhaust ventilation system in any
station? Is it adequate? section of the plant?
C-21.11 Fire Drill e) Is periodic / preventive maintenance of
ventilation system carried out and record is
a) Whether mock fire drills are conducted? What is maintained?
the frequency of drills?
f) Does any ventilation system re-circulate the
b) Whether fire drills are also performed in night exhausted air in work areas?
shift
g) Is the work environment assessed and monitored
c) Whether feedback of fire drill is documented? for chemical and physical hazards?
d) What is the system of mutual-aid scheme? h) Whether PPE are provided to workers exposed to
C-21.12 Fire Fighting Training dust / fumes and gases?
a) Whether there is a system of providing fire- C-22.1.2 Illumination

fighting training to plant personnel? a) Whether illumination study has been carried out
b) What is the frequency and duration of such for the assessment of illumination level?
training? Whether training records are b) Is there any system of periodical cleaning and
maintained? replacing the light fittings / lamps in order to
c) Whether fire squads are identified for different ensure that they give the intended illumination
areas for first-aid fire fighting and rescue, and levels?
suitably trained? c) Are the workers subject to periodic optometry
d) Are all personnel conversant with the fire tests and records maintained?
prevention and protection measures? d) Are emergency lighting available at first aid
e) Whether the fire staff are sent for refresher / center.
advanced training courses?
C-22.1.3 Noise
C-21.13 Static Electricity and Lightning
a) Whether any noise study conducted?
a) Whether all vessels and pipes are provided with b) Are there any machines / processes generating
suitable bonding and grounding? high-noise?
b) Whether arrangement has been made for c) Whether engineering and administrative controls
grounding the tanker containing flammable liquid been implemented to reduce noise exposure
during loading / unloading? below the permissible limits?
c) Whether spark resistant tools are provided? d) Is there a system of subjecting all those
d) Whether lightning protection is provided and is employees to periodic audiometric test who work
adequate? in high- level noise areas?
e) Whether antistatic clothing, hand gloves and e) Whether the workers are made aware of the ill
footwear are provided? effects of high noise?
C-21.14 Pressure Relief System f) Whether ear muffs / plugs are provided and used?
a) Whether the listing of all ‘pressure plants’ [as C-22.1.4 Vibration

defined under Factories Act] has been done? a) Are there equipment which contribute excess
C-22 INDUSTRIAL HYGIENE / OCCUPA- level of vibrations and whether they are
TIONAL HEALTH identified?
b) Whether any vibration study has been carried out?
C-22.1 Ventilation, Illumination, Noise, Vibration, c) Are the measures taken to combat vibration to
Heat stress and Non-ionizing Radiations acceptable levels?
d) What is the frequency for measurements of
C-22.1.1 Ventilation
vibration?
a) Whether any ventilation study has been carried e) Are the records of measurements and
out? maintenance of equipment / system maintained?
b) Whether natural ventilation is adequate or not?
C-22.1.5 Heat Stress / Cold stress (Extremes of Tem-
c) Whether dust / fumes / hot air is generated in the
perature)
process?
a) Are there sources from equipment increasing
the heat load in work places?
2
IS 14489 : 2018
b) Whether evaluation of heat stress is carried out? d) How many persons are trained / given refreshers
c) Whether natural ventilation is adequate to training in first aid in a year?
minimize the heat stress in work environment? e) Whether occupational health center is provided?
d) Are resources available to deal with very hot or f) Does OHC conform to the provisions of the
very cold conditions (drinking water, lined existing statutes?
gloves, insulated boots)?
g) Are the Medical Attendants / Doctors available in
e) Do workers know the symptoms of heat cramps / each shift?
heatstroke or frost bite / hypothermia?
h) What facilities are available for transportation of
f) Are the personal protective equipment suitable the injured to hospital?
for reducing the effects of heat stress available?
j) Are the names of the trained first aiders displayed?
C-22.1.6 Non-ionising Radiations k) Are the name of nearest hospitals and its
a) Does the work involve likely exposure to non- telephone number available in OHC?
ionising radiations (ultraviolet, infrared, m) Does the plant have any special preventive
radiofrequency, microwaves, lasers, etc.) medicine program?
b) Whether risk assessment have been done for all n) Is ambulance posted in proper place and is it
work areas involving presence of non-ionising available whenever required?
radiations? p) Are sufficient numbers of anti-dotes available in
c) Are the work areas displayed with relevant safety case of any emergency?
signs? q) Are fire safety measures provided in first aid centre?
d) Are the employees aware about the hazards of r) Are emergency lighting arrangements available at
non-ionising radiations? first aid centre?
e) Does written procedures exists for working in
non-ionising radiations? C-22.4 Periodic Medical Examination
f) Is the work environment monitored periodically a) Whether the periodical medical examination of
for physical hazards and control measures employees, required under relevant statute is
initiated whenever deviation from permissible carried out?
values is observed? b) Whether it is ensured that contractors employee
g) Whether suitable personal protective equipment are medically examined during pre-employment
are provided to workers exposed to non-ionising as well as during the course of employment?
radiations? c) During the periodical medical examination of the
workers, are they examined as per the hazardous
C-22.2 Work Place Monitoring for process in which they work? (First schedule of
Hazardous Chemicals The Factories Act, 1948)
a) Whether the dust, fumes, smoke aerosols and d) Are the records of all such examination
mist are monitored as per statute and records maintained?
maintained?
b) What are the types of detectors used for C-22.5 Personal Protective Equipment and Emer-
monitoring concentration of hazardous gency Equipment
chemicals? a) Whether list of required PPE for each hazardous
c) Is any alarm system installed for any leakage of activity is available?
hazardous chemicals? b) Whether feedback from workers obtained during
d) Are antidotes available for toxic chemicals? selection of PPE?
e) Are control measures initiated whenever c) Have the workers been trained in proper use of
deviation from permissible values is observed? PPE including BA sets?
d) What is the system of procurement, inspection,
C-22.3 First Aid Facilities and Occupational issue, maintenance and replacement of PPE?
Health Centre (OHC)
e) Whether qualitative and quantitative fit-check for
a) Are adequate numbers of first aid boxes respirators is ensured prior to use?
provided? Give location details?
f) What are the arrangements for safe custody and
b) Are qualified / trained first aiders available in storage of PPE?
each shift?
g) Are the contractor’s workers provided with the
c) How many qualified / trained first aiders are required PPE?
available at each plant / department?
2
IS 14489 : 2018
h) Do the PPE conform to any standard? investigated?

j) Are sufficient eye wash fountains and safety
showers available?
k) Whether appropriate respiratory protective
devices are available in accordance to the hazard
potential?
m) Are the staff members trained in the right uses of
respiratory protective devices?
C-22.6 Occupational Diseases

a) Whether pre-employment medical checkup data
available?
b) During the medical checkup, is any person found
having occupational diseases mentioned in 3rd
schedule of The Factories Act, 1948?
c) Whether the medical practitioner informed the
Chief Inspector of Factories about the occurrence
of the occupational disease?
C-23 ACCIDENT / INCIDENT REPORTING,

INVESTIGATION AND ANALYSIS
C-23.1 Accident Reporting and Database
Management
a) What is the procedure for accident / incident /
dangerous occurrence reporting?
b) Whether the accident data for the last five years
for reportable and non-reportable accidents are
available?
C-23.2 Accident Investigation

a) Are all the accidents investigated?
b) Whether accident investigation procedure is
documented?
c) Whether accident investigation reports are
submitted to top management?
d) How are the findings from accident investigation
reports communicated to workers?
C-23.3 Analysis of Accidents
a) Whether accident analysis is done as per IS
3786?
b) Whether root causes of accidents are analysed?
c) Is the accident statistics effectively utilized? If
yes, how?
d) What nature of injuries occurred during the last
five years?
C-23.4 Implementation of Recommendations

a) How does the management ensure implementation
of the recommendations to avoid recurrence of
accidents and incidents?
C-23.5 Reporting and Investigation of Near-miss

Incidents
a) Are all near-miss incidents reported and
2
b) Is there any system of classifying and 8) Medical care including administration of
analyzing the near-miss incidents? antidotes, and
C-24 EMERGENCY PREPAREDNESS
C-24.1 Site Specific Details

a) Are the site area maps (including layout,
access roads and assembly points)
available in control room / emergency
control centre?
C-24.2 Duties and

Responsibilities of Key Personnel
a) Is the hierarchy of emergency response
personnel right from site emergency
controller downward, and alternative
officials identified?
b) Are the duties and responsibilities
assigned to the designated officials
during emergency, both during and
outside normal working hours clearly
identified and understood by them?
C-24.3 Identification of Emergencies and

Accident Scenario
a) Are the possible accident scenarios
leading to emergency identified and
known to the operating personnel?
b) Are approved emergency preparedness
plans (on- site and off-site) in place?
C-24.4 Declaration and Termination of Emergency

a) Is the list of designated officials who are
to be communicated about declaration
and termination of emergency available
in the control room / emergency control
centre?
b) Are the methods of communication
(siren, public address system etc.) for
declaration and termination of an
emergency known to all the workers?
C-24.5 Resources-evacuation / Transport

a) Are the following resources (equipment,
personnel and procedures) required to
handle emergency available?
1) Communications,
2) Public announcement systems
3) Monitoring of hazardous releases into
the environment,
4) Emergency shelters at the facility,
5) Emergency exits with proper
illumination, with uninterrupted
power supply ,
6) Direction for emergency exit /
escape route marked in haulage /
Alleyways,
7) Transport for evacuation of plant personnel,
2
IS 14489 : 2018
9) Security / maintenance of law and order. b) Is the plant responsible for rendering mutual aid
C-24.6 Communication Facilities assistance to any other external organizations?
Does this assistance effect the plant’s emergency
a) Does the emergency control centre have direct preparedness?
communication links with the fire station and the c) Whether the communication channels for mutual
plant control room? assistance identified and known with and
b) Are there adequate alarm points from which an between two organizations?
emergency alarm can be raised?
c) Is there infrastructure available for ensuring C-24.13 Emergency Control Centre
backup electric power supply for communication a) Is the emergency control center located beyond
links where required the effective distances of identified emergency
scenarios?
C-24.7 Medical Care
b) If the emergency control center is located within
a) Is the procedure for emergency medical care the effect distance, is it suitably protected that it
available? will be available in case of emergency?
b) Whether the system has been tested at regular
frequency through mock drill / exercises for its C-25 SAFETY INSPECTION
adequacy?
C-25.1 Inspection Programme
c) Does the system of periodic replacement of
antidotes and medicines required in emergency Are checklists available for inspections? For example
exist? availability of checklists like:
a) Handling, Storage and Transportation of
C-24.8 Updation of Emergency Plan
hazardous chemicals;
a) Is the emergency plan updated based on the b) Electrical hazards;
feedback from the periodic drills / exercises?
c) Fire safety;
b) Are the contact details of all concerned officials
d) Hand and portable power tools;
kept updated in the emergency plan?
e) Machine hazards;
C-24.9 Periodic Drills / Exercises f) Lifting equipment;
a) Are mock-exercises conducted at stipulated g) Ladders and scaffolding;
intervals? h) Environmental Monitoring;
b) Are the scenarios varied in the mock-exercises j) Civil structure;
to ensure that all possible factors including
k) House keeping;
meteorological conditions, affected plant
personnel covered? m) Emergency equipment; and
c) Whether emergency preparedness Plans have n) Gas cylinder and other pressure vessels used /
been tested and reviewed at regular frequency available in the organization.
through mock drill for its adequacy
C-25.2 Safety Related Deficiency (SRD) Report
C-24.10 Training of Plant Personnel a) Are SRDs generated based on the area wise
a) Are the plant personnel trained in handling checklists?
emergency equipment? b) What is the procedure for resolving the SRDs?
C-24.11 Public Awareness Programmes c) Whether the procedure exists for notification and
root cause analysis of non-conformities and
a) Are public awareness programs conducted for the action taken on them?
people around the site regarding the actions to be
taken in case of off-site emergency? C-25.3 Safety Inspection Records
C-24.12 Mutual-aid Programme a) Are the safety inspection records maintained?
a) Are the types of accidents where external C-25.4 Methodology and Inspection Team
organizations would be involved in remedial a) Is there written procedure for safety inspection?
actions identified? Are their responsibilities
defined? b) Whether safety inspection is carried out by a
designated team?
2
IS 14489 : 2018
c) What is the frequency of safety inspections? c) Is compliance of recommendations sent to top

d) Whether an inspection report is generated? management?
C-25.5 Compliance of Recommendations d) Is compliance of recommendations reviewed by
safety committee?
a) To whom the recommendations are submitted e) Does top management follows-up the compliance?
b) Are recommendations of safety inspections
complied in time?
2
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Occupational Health and Safety Audit - Code of Practice: Indian Standard

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Free Standard provided by BIS via BSB Edge Private Limited to Mohit Trivedi -

Tuticorin(trivedi.mohit@rocketmail.com) 110.224.81.223 [for non-commercial use only].

भारतीय मानक IS 14489 : 2018

व्यावसयाय्क सवयास्थ् और सुरक्या

Occupational Health and

भारतीय मानक बयरो

October 2018 Price Group 9

Occupational Safety and Health Sectional Committee, CHD 08

confused with ‘Periodic Safety Inspection’ activities

3.9 Organization — Company, corporation, firm, 4.3.1.2 Lead auditor’s responsibilities

5.4 OH & S Audit Documents 6 OH & S AUDIT COMPLETION

5.4.3 Report Distribution Considering the requirements including the legal

ELEMENTS OF OCCUPATIONAL HEALTH AND SAFETY (OH & S) SYSTEMS

A-1 OH & S MANAGEMENT

a) OH & S Policy b) OH & S organizational set-up

A-2 PHYSICAL HAZARD

a) Housekeeping b) Machine and general area guarding

A-3 CHEMICAL HAZARD

a) Transportation of hazardous substances b) Handling of hazardous substances

A-4 FIRE AND EXPLOSION HAZARD

A-5 INDUSTRIAL HYGIENE / OCCUPATIONAL HEALTH

a) Vibration, heat stress, Nnn-ionizing radi- b) Work place monitoring for

A-6 ACCIDENT / INCIDENT REPORTING, INVESTIGATION AND ANALYSIS

a) Accident reporting, b) Accident investigation

A-7 EMERGENCY PREPAREDNESS (ON-SITE / OFF SITE)

a) Site specific details b) Duties and responsibilities of key personnel

A-8 SAFETY INSPECTION

a) Inspection programme b) Safety Related Deficiency (SRD) Report

TYPES OF RECORDS TO BE EXAMINED DURING THE SAFETY

a) OH & S policy; u) Housekeeping inspection records;

SAMPLE CHECKLIST FOR SAFETY AUDIT

C-6 WORK PERMIT SYSTEM

C- 6.1 Control Measures for Work at Height

C-7 CONTRACTORS’ SAFETY SYSTEM

C-8 PLANT DESIGN AND LAYOUT

C-9 MEDICAL MANAGEMENT OF

k) Are the suitability of maintenance materials, C-19.3 Material Handling

a) Whether there is a system of providing fire- C-22.1.2 Illumination

a) Whether the listing of all ‘pressure plants’ [as C-22.1.4 Vibration

h) Do the PPE conform to any standard? investigated?

C-22.6 Occupational Diseases

C-23 ACCIDENT / INCIDENT REPORTING,

C-23.2 Accident Investigation

C-23.4 Implementation of Recommendations

C-23.5 Reporting and Investigation of Near-miss

C-24 EMERGENCY PREPAREDNESS

C-24.1 Site Specific Details

C-24.2 Duties and

C-24.3 Identification of Emergencies and

C-24.4 Declaration and Termination of Emergency

C-24.5 Resources-evacuation / Transport

C-24.12 Mutual-aid Programme a) Are the safety inspection records maintained?

c) What is the frequency of safety inspections? c) Is compliance of recommendations sent to top

Bureau of Indian Standards

Review of Indian Standards

Amendments Issued Since Publication

BUREAU OF INDIAN STANDARDS

 2337 8499, 2337

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