DOCUMENT No PSM - 09 REV. # 01 REV.

DATE Area All PAGE 37 of 52

HSEQ
AUDITS & OBSERVATIONS DEPARTMENT
Level – II Procedure Safety & HAZOP

SECTION-11 SAFETY AUDIT PROGRAM

11.1 Introduction
Auditing is an important aspect of safety management as it allows management to monitor;
1. How the safety program is progressing.
2. Conditions as they exist at the site, including production, maintenance, laboratory, office,
warehouse and other areas.
3. Observe unsafe acts or conditions in the workplace.
4. Observe workers during their normal workday.
In addition, audits
5. Provide lower levels of management and workers a visible indication of management’s
commitment to safety.
6. Improve housekeeping and safety standards.
7. Provide the opportunity for management to communicate with employees about safety.
8. Increase safety awareness.
Safety auditing involves sampling the site’s safety program as a whole; it is not an in-depth
inspection of every aspect of the program. The safety management auditor should be looking at
the broad spectrum of safety programs to see if they are effective, if they are being followed,
and, ultimately, if they are getting results.
Part of a safety audit, what usually is called a “Safety Inspection” but with the major emphasis
on observing people working at their normal jobs. Particular attention is paid every now and
then to special situations.
Increase of safety awareness is the most important result of regular auditing, since unsafe
actions result from a lack of safety awareness. A procedure cannot be provided to cover all the
actions of workers; therefore, we must rely on increasing their safety awareness which would
result in reducing the unsafe acts.

11.2 Audit Program

Site would have two types of Management Safety audits on regular frequency.

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AUDITS & OBSERVATIONS DEPARTMENT
Level – II Procedure Safety & HAZOP

11.2.1 Safety Contact Audit

Safety Contact audits approach is considered as one of the best audit techniques. During a one-
on-one audit, a Manager / Unit Manager and a subordinate audit a portion of the subordinate’s
area together. This procedure continues down through the line organization until all members of
management are involved in safety audits.
This procedure ensures management visibility & commitment to safety. As the program
progresses, first-line supervisors and team leaders (often accompanied by an employee or team
member) make daily audits of their areas, discussing with employees any deviations from the
standards. As a result deficiencies in the workplace will decrease and safety performance will
improve.
When conducting audits, Managers / Unit managers must do more than simply observe
employees, equipment, and the work environment. A good safety management auditor talks
safety with employees during the audit. These conversations can help the auditor answer
questions such as:
1. What is the frequency of employees attending safety meetings?
2. What do employees think of safety meetings?
3. Are employees receiving the communications that are passed down the line?
4. What are the safety problems that employees face on their jobs?
5. What do employees think about the increased emphasis on safety?
6. What are the quality and quantity of the initial training given to new employees and the
continued training given to experienced employees?
7. Are employees’ concerns addressed within a reasonable time?
8. Do employees or contractors have say in the overall safety program within their work
group?
When audit results reveal gaps that require the authorization of other area resources, these
resources must be requested without delay. Simply requesting the resources to solve a problem,
however, does not relieve the Manager / Unit Manager of responsibility for operating a safe
workplace. If necessary, equipment must be shut down or the area cordoned off or barricaded
until the problem is actually resolved.

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HSEQ
AUDITS & OBSERVATIONS DEPARTMENT
Level – II Procedure Safety & HAZOP

11.2.2 Management Site Audits

All Executives should formally visit, tour, and audit the site annually. The visit should be planned
well in advance and should not be postponed or canceled, except for an extreme emergency, and
even then, it should be postponed for only a day or two at the most.
During this visit, the Executives should review the site’s safety program, activities, and progress.
While at the site, the auditor should spend at least 30 minutes and meeting at least 03 employees
and observing work habits and conditions. At the end of the visit, the auditor should give a brief
review of the observations made during the day and his impressions of the site.

11.2.3 Quality
A Manager should ensure that the audits conducted in his area are:
1. Effective
2. Of a consistent standard.
To ensure the quality, they should frequently match the results with his observations. This
comparison will show the Manager whether his sub-ordinates need further training in conducting
audits and what else you need to do, to ensure a common standard of auditing throughout the
department or facility.

11.2.4 Frequency
1. GMP should audit at least 30 minutes, once in a month.
2. Departmental Managers should audit their areas for at least 30 minutes, twice in a
month.
3. Unit Manager / Section Incharge should also audit their areas for at least 30 minutes,
once a week.
4. The first line supervisor should audit their areas daily and formally record observation
twice a month.
5. The safety engineer should audit each significant area of the site at least monthly,
spending an hour in each area. The safety engineer should keep records of his audits
and plot them for presentation each month at the SOC

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HSEQ
AUDITS & OBSERVATIONS DEPARTMENT
Level – II Procedure Safety & HAZOP

11.2.5 Results
A site wide or area-wide auditing program results should be analyzed to observe trends in
safety performance. To enable to see site wide or area-wide trends and problems, two basic
conditions must be met:
1. The same audit form should be used throughout the site or area.
2. Each department to compile their audit results. Copies to be sent to Safety & HAZOP
Unit for record only.
3. Audit results are tabulated on a graph. Each point on the graph is determined by the
total number of audit defects, recorded during the month, divided by the number of man-
hours spent auditing that month.
For instance, two people auditing for three hours is equivalent to one person auditing for six
hours.
The site wide audit trend should be comparison of the area audits & the audits by Safety Unit
in a given period. Different categories can be plotted. Such plotting helps to measure
effectiveness at improving any particular aspect of safety, which can be decided, is important
site wide or in given areas. Breaking down the overall audit results into categories can also
show us where we need to focus our attention.

Quantifying Results
There are two types of methods used for quantifying the results.

The Time-Weighted Index (TWI)

TWI = No. Unsafe Situations x 100
Total time spent auditing
This sort of index works well in operations that are not labor intensive, like Process Plants, where
you might not see many workers when you audit. There, you will be looking for indications of
unsafe acts that occurred before you got there; for example, a forklift sitting idle with its forks
raised.

The Unsafe Acts Index (UAI)

If we have a location that is labor intensive like PH&S, we might prefer to use an unsafe acts
index.
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HSEQ
AUDITS & OBSERVATIONS DEPARTMENT
Level – II Procedure Safety & HAZOP

UAI = No. Unsafe Acts x 100

No. of people working
These ways of recording audit results provide a quantitative means of presenting information.

11.2.6 Results we can Expect

1. Many observations in a new program.
2. A rising trend as auditors become more adept. It will look as if our safety performance is
getting worse instead of better. We should be prepared for this occurrence.
3. A lowering trend as employees reacts with safer work habits.
If the frequency of unsafe acts rises again, it may be symptomatic of an underlying problem we
need to tackle. A strategy for tackling problems could include:
 Publicity.
 Safety discussions.
 Close Monitoring.
 New procedures.
We can use any or all of these methods. The Important point is that we cover allemployees.

11.2.7 Using Results

To make full use of audit results to see where we should direct our efforts, we should also review
audit reports submitted by First Line supervisors in our line organization to recognize such factors
as:
1. A work area with a high infraction rate.
2. First Line Supervisors who are not conducting effective audits.
3. Safety violations that occur throughout the site or area.
4. Recurring safety violations.
5. A rise in the number of violations.
After spotting any of these factors, we can take actions where appropriate (such as a reviewing
auditing techniques with a First Line supervisor who needs help) or advise him or her of the need
for action (as in the case of safety emphasis for an area with many audit defects).

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S&H HSEQ
DOCUMENT No PSM - 09 REV. # 01 REV. DATE Area All PAGE 42 of 52

HSEQ
AUDITS & OBSERVATIONS DEPARTMENT
Level – II Procedure Safety & HAZOP

SECTION-12 GUIDE TO CONTACT SAFETY AUDIT

12.1 Introduction
One-on-one safety contact audit is an essential feature of the Management audit program. It is a
formally scheduled audit conducted by Unit managers / Section Managers. The specific objective
being that one-on-one contact is established between supervisory level & employees to focus on
safety. These audits are to be conducted by all level of management employees from GMP to the
Unit Managers / Section Manager. Safety and housekeeping in your area reflect the standards
you are willing to accept; they will improve as soon as you communicate convincingly that you
want them to improve.
The intent of this guide is to help you improve safety and housekeeping by establishing a personal
safety audit system. This guide has five steps:
1. Audit.
2. React.
3. Communicate.
4. Follow-up.
5. Raise standards.

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

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HSEQ
AUDITS & OBSERVATIONS DEPARTMENT
Level – II Procedure Safety & HAZOP

12.2.1 Become Familiar with Safety Requirements

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

12.2.2 Focus on People

Make sure each audit involves the observation of and communication with people in the
workplace. More focus on unsafe acts than conditions. When someone is working unsafely,
follow these steps:
1. Observe; then get the person’s attention.
2. Comment on what the employee was doing safely.
3. Discuss with employee:
 The possible consequence of the unsafe act.
 Safer ways to do the job.
4. Get the employee’s agreement to work safely in the future.
5. Discuss the safety issues of the job.
6. Thank the employee.

12.2.3 Ask Open-Ended Questions

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

12.2.4 Take Notes at Appropriate and Timely Opportunities

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

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S&H HSEQ
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HSEQ
AUDITS & OBSERVATIONS DEPARTMENT
Level – II Procedure Safety & HAZOP

12.2.5 Respect Lines of Communication

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

12.2.6 Draw Conclusions

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

12.3 React
The only way you and your site can benefit from your audit is for you to react. The manner in
which you react may well be the strongest single element in improving the safety climate at your
site. Your reaction (or lack of it) tells your organization what is acceptable and what is not. With
the philosophy that all injuries and occupational illnesses can be prevented, you must display
confidence that your site can achieve high standards of safety.
Specifically, each time you audit an area, building, work site, room, or other facility, you must ask
yourself a question and make a decision: “Are all aspects of safety acceptable?”
Whenever the answer is “no,” you should record your reaction and comments about how the
facility deviates from your standards. Your standards will not be static; they will change with time
and as you develop more skill in auditing.
You must come away from each audit with a reaction:
1. The operation is acceptable because . . . .
2. The operation is not acceptable because . . . .
3. The operation has deteriorated because . . . .
4. The operation has improved because . . .

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S&H HSEQ
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HSEQ
AUDITS & OBSERVATIONS DEPARTMENT
Level – II Procedure Safety & HAZOP

12.4 Communicate
Since you have already accepted the basic principle that safety is a line organization
responsibility, the next step in your personal safety audit effort is to communicate your reaction.
Talk with your subordinate who has responsibility for the area you audited. Stick to the line
structure, and do not be casual about this communication.
In order for the contact to be productive, your subordinate must understand that:
1. You audited his area.
2. You are pleased (or displeased) with what you saw because of. . . . (Discuss your
observations.)
3. You expect him to react to your comments, and more importantly, to improve the quality
and effectiveness of his own audit system so that permanent improvements are made.
4. You will audit the area again in a specified number of days.
You and your subordinate must understand the implications of these points. If you
expect your subordinate to address certain situations, be sure he has the necessary
authority to obtain the resources to appropriately react to your comments.

12.5 Follow-up
Follow-up is the magic step for achieving results. You have now spent time auditing, reacting, and
communicating. If you fail to set up an effective reminder or tickler system to enable you to follow
up personally and demonstrate that you mean what you say; your efforts may be wasted. Failure
to follow up will give your subordinates the perception that you do not care and those high
standards of safety are not one of your important priorities. You must clearly communicate your
assessment of the obtained results to your subordinates. By doing this in an effective, timely
manner, you will help them learn to manage safety more effectively in their area of responsibility.

12.6 Raise Standards

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

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S&H HSEQ
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HSEQ
AUDITS & OBSERVATIONS DEPARTMENT
Level – II Procedure Safety & HAZOP

SECTION-13 BASIC AUDIT PRNCIPLE & TECHNIQUE

Basic audit principle and techniques the following steps;
1. Make a commitment to spend a predetermined amount of time for auditing. While
auditing does not require a great amount of time, it does require a regular commitment of
time.
2. Sample conditions in one or more small areas rather than attempt to complete an
entire area tour. By varying the location of audits, supervisors can cover their entire area
of responsibility on a regular basis.
3. React appropriately during audits to set the safety climate in their areas. Never let a
safety violation pass without taking immediate corrective action. This reaction, or a
failure to react, tells all subordinates what a supervisor finds unacceptable-and
acceptable.
4. Build pressure. Supervisors should show what they expect by their reactions during
their first audits. They can then use subsequent audits to build pressure for
improvement. As their groups meet one set of goals, supervisors can increase the
pressure for improved work habits.
5. List observations. To maintain an effective auditing program, each auditor must make
a formal list of all observations (See section-15). He can then use these lists in
discussing audit results with his group and establishing a follow-up system.
6. Follow Up. Each auditor should maintain a “Follow-up” file and follow up on audit items
personally. This personal involvement is a vital step in establishing standards.
Employees will not usually be motivated enough to correct unsafe practices or conditions
unless they know that their supervisor will be back to check. Personal follow-up
maintains the positive pressure of the auditing program.
7. Vary the approach. Supervisors should generally tell employees when their work
practices are being observed. They can then discuss together the nature of the jobs and
any hazards they include. However, to get a realistic sample of work practices,
supervisors can occasionally make unannounced audits.
8. Enter work areas by different routes.
9. Make observations before announcing their presence.
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HSEQ
AUDITS & OBSERVATIONS DEPARTMENT
Level – II Procedure Safety & HAZOP

10. Precede an announced audit with an unannounced one.

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S&H HSEQ
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HSEQ
AUDITS & OBSERVATIONS DEPARTMENT
Level – II Procedure Safety & HAZOP

SECTION-14 TRAINING & OBSERVATIONS TECHNIQUES

14.1 Training Methods

For training of line supervisors in the auditing techniques, here are some methods you can use:
1. Take line supervisors on audits with you.
2. Accompany them on their audits.
3. Discuss your observations.
4. Discuss what the supervisor can do about the safety infractions you have observed
together.
5. Show supervisors how to keep a record of their observations for their own use, plotting
incidents that recur.

14.2 Observations Techniques

On an audit, some critical aspect needs to be observed. Be aware of safety violations in the
following categories:
1. The positions and actions of people
2. Personal protective equipment
3. Tools and equipment
4. Procedures
5. Orderliness
Here are some specific questions you can ask about each category.

14.2.1 Positions and Actions of People

1. Is anyone in danger of injuring himself by pulling or lifting heavy objects?
2. Is anyone in a position where he or she could fall, be trapped, collide with anything, or
be hit?

14.2.2 Personal Protective Equipment

1. Are employees using the required protective equipment?
2. Does it provide adequate protection against employees’ exposure to harmful
substances?

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S&H HSEQ
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HSEQ
AUDITS & OBSERVATIONS DEPARTMENT
Level – II Procedure Safety & HAZOP

3. Are they using the equipment properly? If not, why? Is it inconvenient to get out or
hampering?

14.2.3 Tools and Equipment

1. Are the tools right for the job?
2. Are they being used properly?
3. Are they in safe condition?
4. Are in-house made tools (not properly designed) being used?

14.2.4 Procedures
1. Are they adequate? Do they prevent all unnecessary risks?
2. Are they followed?

14.2.5 Orderliness
1. Is the workplace neat?
2. Are things put away properly?

14.3 Sample Audit Schedule

Auditor Week-1 Week-2 Week-3 Week-4
GM Plant Area X
Sr. Manager Ammonia / -- -- Utilities & PH & S
Operations Urea
Sr. Manager Process Plant -- -- Contractor
Maintenance Areas
Manager -- Work Shops -- Contractor
Maintenance
Manager Tec. Process Plant -- Projects in Progress --
Services Areas
Manager Admin. Residential Areas Projects in Progress --
Unit Managers Area X Area Y Area X Area XY

Note: Repeat cycle

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S&H HSEQ
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HSEQ
AUDITS & OBSERVATIONS DEPARTMENT
Level – II Procedure Safety & HAZOP

SECTION-15 SAFETY AUDIT FORM & MATRIX

15.1 Safety Audit Form

Area Inspected :------------- Date of Audit: -----------Audit Team: ------------------
Time Begun : ---------------- hours: Time Ended: ---------------
No. of People Observed:---------------------------

Category
Category-A Category-B Category-C
Personal Protective Equipment Positions of People Reactions of People
 Eyes and Face  Striking Against  Adjusting PPE
 Ears  Struck By  Changing Position
 Head  Caught Between  Rearranging Job
 Hands and Arms  Falling  Stopping Job
 Feet and Legs  Temperature Extremes  Attaching Grounds
 Respiratory System  Electrical Current  Hiding, Dodging
 Trunk  Inhaling  Changing Tools
 Absorbing
 Swallowing
Category-D Category-E Category-F
Tools and Equipment Procedures Housekeeping
 Right for Job?  Is Work Instruction  Obstruction in
 Used Correctly?  Adequate for Job? Passageways
 In Safe Condition?  Is Work Instruction  Disorganized Tools,
 Seat Belts in Use? Established? Materials.
 Barricades or Warning  Is Work Instruction-being  Obstructions by Stairs /
Lights? Maintained? Platforms
 Chocks/Restraints  Work Permit Form Properly
Properly Used? Filled?
 Work Permit Compliance?
 Fire Prevention Adequate?
 Gas Test (if needed)
Satisfactory?

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HSEQ
AUDITS & OBSERVATIONS DEPARTMENT
Level – II Procedure Safety & HAZOP

Safety Deviations Observed

Group Responsible Category
(Use back of form if necessary)

General Comments: --------------------------------------------------------------------------------------

--------------------------------------------------------------------------------------
-------------------------------------------------------------------------------------
Unsafe Acts
Observation Category Fatality Serious Injury Minor Injury Total
Reactions
Positions
PPE
Tools/Equipment
Procedures
Housekeeping
Ergonomics
Total
 Safety Rule Violation: (SRV) ----------------------------------------
 Unsafe Act: (UA): ----------------------------------------
 Unsafe Condition: (UC): ----------------------------------------
Total Unsafe Situation: ---------------------------------------
Unsafe Situation/Audit Hour: ---------------------------------------

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AUDITS & OBSERVATIONS DEPARTMENT
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15.2 Audit Monitoring Matrix

January February March

1 2 3 4 1 2 3 4 1 2 3 4
Week Week Week Week Week Week Week Week Week Week Week Week

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