Safety Audit

Code of Practice On
Occupational
Safety And Health Audit
IS 14489 -1998
(Under Review)
 Safety And Health Audit

Introduction
Growing awareness on Safety and Health in the
Industrial Sector and Applicability of
various Statutes for Protection of
employee in the Work place has brought
in the need for Safety Audits in Factories.
Safety Audits Serves as Tool to evaluate
Strength and Weakness in the systems,
thus brings credibility to the Unit.
 Safety Audits
With Safety Audit Becoming Mandatory in many Cases,
Audits are carried out by Various Agencies and Individuals
and had left Scope for inconsistencies in the
approach for undertaking Audits. To Overcome the
variations in approach and methods etc., A National
Standard IS 14489 was developed to
overcome such short comings, (if any)
by the Bureau of Indian Standards.
The Bureau of Indian Standards has taken the views from
Experts in the field and that of
CENTRAL LABOUR INSTITUTE
 Safety Audit

 Any Audit is a Management tool for

Self Appraisal
 Safety Audit
 Goals and Objectives
Assess systems against Standards
Determine Conformity with Specific
Requirement
Comply with Regulations
Identify Strengths and Weakness
Prevent Problems turn hurdles.
 Safety Audit

Areas Confirmation
Compliance of / Effectiveness
- Statutes
- Safety Organisation
- Controls of Equipment
- Systems,
 Safety Audit

Identification - Weakness in
- Meeting Statutes
- Safety Organisation
- Utilisation of Safety Equipment
- Systems and Procedure
 Safety Audit
 Roles and Responsibilities
Audit Team – Team Leader plus one or two
with different specialties.
Planning with respect to Scope , Observations,
Documentation and Report.
Auditee- Management Official Nominate one
or two Co-coordinators.
Provide Resource need, access, evidential
material and Co-Operation towards Objective.
 Safety Audit
 Methodology
- Preliminary Meet
Introduction, Scope, Converge, Schedule,
Access, Facilities, etc., Sr Mngmt
- Presentation
Process, Mngmt Systems, Structure,
Controls etc., - Mgmnt
 Safety Audit
- Use of Questionnaire
Seeking /Reviewing Replies to Various
Elements(29) from the Audi tee on the
Occupational HS
- Auditor
- Tour/ Visit
Field Visit by Audit Team Relevant To
Scope, Observations, Identifications,
Identify.- Team
 Safety Audit
- Examination of Records
Examine 27 Types of Records- Auditor
- Collect Evidence
Through Interviews, Observation of
Activities Conditions Prevailing etc.,
Significant Events Noticed are Noted
( Information Consistent only relied Upon)
- Auditor
 Safety Audit
Document -Observations,
- Review to identify Non-
Conformity with Evidence
-Auditor
- Acknowledgement
Non-_Conformities.
- Auditee
 Safety Audit
- Recommendation on Observations

Legal Requirement - Fully Implement.

Improvement in the Systems
Improvement within the System
Closing Meeting
Presentation, Significance of
Observations and Recommendation.
- Auditor
 Safety Audit
* Report Fornat
-Content ( Based on the Review Final
Closing Meeting)
- A Executive Summary
- Scope & Objective
- Methodology
- Identification of Team Members
 Safety Audit
- Observation of Non- Conformity
- Observation of Good Practices
- Teams Professional Judgment
- Ability to Achieve Objectives
- Recommendations
- Date and Period - Auditor.
 Safety Audit
* Retention of Records ( Mutual
Agreement)
- Communication within the Organisation
at Appropriate Personnel
IMPLIMENTATION
- Remarks for No Action - Audited
- Fallow _Up Options.
 Safety Audit
List of Elements (Annexure A)
1 Occupational Safety and Health Policy
2 OS&H Organisational Set-up
3 Education and Training
4 Employees Participation
5 Motivational and Promotional Measures
for OS&H
6 Safety Manual and Rules
7A. General duties of the occupier. -
(1) Every occupier shall ensure, so far as
is reasonably practicable, the health,
safety and welfare of all workers while
they are at work in the factory.
(2) Without prejudice to the generality of
the provisions of sub-section (1), the
matters to which such duty extends, shall
include-
(a) the provision and maintenance of
plant and systems of work in the factory
that are safe and without risks to health;
(b) the arrangement in the factory for
ensuring safety and absence of risks to
health in connection with the use,
handling, storage and transport of articles
and substances;….a written statement of
his general policy with respect to the
health and safety of the workers …..
n) "occupier" of a factory means the
person, who has ultimate control over the
affairs of the factory.
The question decided in this appeal by
the Supreme Court is that an ‘occupier’
of a factory in the case of company must
necessarily be any one of its Directors
………………………………
….Even if Directors resolve that any
other officer or employee shall have
ultimate control, it would only be a
camouflouge
J.K. Industries Ltd., v. Chief Inspector of Factories 1996 II CLR 832 (S.C.)
JAIL FOR MD(I.E.) 6-10-99
Jamshedpur: Managing Director of Tata
Steel J.J. Irani, and former GM
(Works) P.N. Roy, were sentenced to
two years’ simple imprisonment and
a fine of Rs one lakh each by the first
class judicial magistrate here on
Monday. They were convicted for
violating the provisions under Rule 55A
of the Bihar Factories Rule, 1950. PTI
 Safety Audit
7 Compliance with Statutory Requirement
8 New Equipment Review
9 Accident Reporting Analysis/ Investigation &
Implementation of Recommendations
10 Risk Assessment
11 Safety and Health Inspection
12 Health and Safety Improvements Plan/Targets
13 First Aid Facilities- Occupational Health Centre
14 Personal Protective Equipment
LlST OF LAWS AND REGULATIONS
RELATING TO HSE
The Factories Act, 1948
State Factory Rules
The Explosives Act, 1884
· The Explosives Rules, 1983
· The Static and Mobile
Pressure Vessels
(Unfired) Rules, 1981
· The Gas Cylinders Rules, 1981
· The Gas Cylinders Rules, 1981

. The Petroleum Act,1934

· The Petroleum Rules, 2002
(Replaces the Petroleum Rule, 1976)
· The Calcium Carbide Rules, 1987
The Electricity Act, 2003
(replaces the Indian Electricity
Act, 1910)
· The Indian Electricity Rules,
The Indian Boilers Act, 1923
· The Indian Boilers Regulations
1950
· The Boilers Rules of various States.
The Environment Protection Act,
The Environment Protection Rules,
·
The Manufacture Storage and Import
of Hazardous Chemicals Rules,
1989/2003
·· The Hazardous Wastes
(Management & Handling) Rules,1989
· The Environmental
Clearance of Project Notification, 1994
· The Bio Medical Waste
(Management & Handling) Rules, 1998
·
 The Environment (Siting
for Industrial Projects) Rules, 1999
· The Recycled Plastics
Manufactures and Usage Rules, 1999
·
 The Noise Pollution (Regulation and
Control) Rules, 2000
· The Ozone Depleting
Substances (Regulation and Control)
Rules, 2000
· The Municipal Solid
Wastes (Management and Handling)
Rules, 2000
· The Batteries
(Management and Handling) Rules,
2000
The Building and Other Construction
Workers (Regulation of Employment and
Conditions of Service) Act, 1996
· The Building and Other
Construction Workers (Regulation of
Employment and Conditions of Service)
Central Rules, 1998
The Water (Prevention & Control of
Pollution) Act, 1974
· The Water (Prevention &
Control of Pollution) Rules, 1975

2. The Water (Prevention &

Control of Pollution) Cess Act, 1977
· The Water (Prevention &
Control of Pollution) Cessl Rules, 1978
 Safety Audit
15 Good House Keeping
16 Machine and General Area Guarding
17 Material Handling Equipment
18 Electrical and Personal Safeguarding
19 Ventilation, Illumination and Noise
20 Work Environment Monitoring
21 Prevention of Occupational Disease Including
Periodic Medical Examination
22 Safe Operating Procedures
 Safety Audit
23 Work Permit System
24 Fire Prevention, Protection and Fighting
System
25 Emergency Preparedness Plan (on site/off
site)
26 Process/Plant Modification Procedures
27 Transportation of Hazardous Substances
 Safety Audit
28 Hazardous Waste Treatment And Disposal
29 Safety in Storage and Warehousing
30 Contractors Safety Systems
31 Safety for Customers
 Safety Audit
Types of Records to Be Examined during Audit

1. OS&H Policy
2. Safety Organisational Chart
3. Training Records on Safety , Fire and
First Aid
4. Record of Plant Inspection
5. Accident Investigation Reports
6. Accidents and Dangerous Occurrence
Statistics and Analysis
 Safety Audit
7 Records of Tests and Examination of
Equipment and Structures as per Statutes
8 Safe Operating Procedures
9 Record of Work Permits
10 Record of Monitoring Flammables &
Explosives and other Substances at Work
Place
11 Maintenance and Testing Records of Fire
Detection and Fighting Equipment
 Safety Audit
12 Medical records of Employees
13 Records of Industrial Hygiene Surveys
( Noise, Ventilation, illumination levels
Airborne and Toxic)
14 Material Safety Data Sheets
15 On-Site Emergency Plans and Record of
Mock Drills)
 Safety Audit
16 Records of Waste Disposals
17 Records of Effluent Discharge to the
Environment
18 House Keeping Inspection Records
19 Minutes of Safety Committee Meetings
20 Approval of Layouts, and Other Approval
from Statutory Authorities
21 Records of any Modification Carried out
in Plant / Process
 Safety Audit
22 Maintenance Procedure Record
23 Calibration and Testing Records
24 Shut Down Maintenance Procedures
25 In Service Inspection Manuals
26 Safety Budget
27 Inspection Books and other Statutory
Records
 Safety Audit
28 Records of Previous Audit
29 Safety in Transportation of Hazardous
Substances