PYPlant:LakheriDate of Evaluation 20-09-2006Date of verification:-13/3/07N of workers:Made by: Safety Deptt.Activity risk level:51Version April 200361%01031%54%7%111462%69%34%93%4114189%65%43%100%81%11112475%59%54%60%78%94%Comments:

Roles, Responsibilities and AccountabilitiesHazardous Work ActivitiesHazard Identification and Risk AssessmentPlanned InspectionsLegal ObligationsManagement Commitment and PlanningIncident Investigation and Corrective ActionIndustrial Hygiene and MonitoringInduction and TrainingEmployee Communication and InvolvementInformation and ReportingSafe Working ProceduresInspection and TestingDesign SafetyAudit and System ImprovementOccupational RehabilitationProcurementManagement of ChangesHealth and Wellness Issuesfrom 1 (offices) to 5 (Cement plants; quarry, etc.)

All dataStatusDevelopmentImplementationMaximumAchievementMaximumAchievementB1: Roles, Responsibilities and Accountabilities186129B2: Hazardous Work Activities1724111067B3: Hazard Identification and Risk Assessment129193615B4: Planned Inspections120122012B5: Legal Obligations264109B6: Management Commitment and Planning423212524B7: Induction and Training420181614B8: Incident Investigation and Corrective Action126162819B9: Industrial Hygiene and Monitoring12411208B10: Employee Communication and Involvement410101010B11: Information and Reporting122173227B12: Safe Working Procedures11812127B13: Inspection and Testing18664B14: Design Safety1165249B15: Audit and System Improvement488109B16: Occupational Rehabilitation0105101B17: Procurement120112011B18: Management of Changes0100101B19: Health and Wellness Issues1852013Total358225431269% Achievement63.062.5Average % Achievement62.7

B1B1: Roles, Responsibilities and AccountabilitiesDescriptionDetailed RequirementsPossible ScoreActual ScoreNotesResponsibilty1.1 STATEMENT OF REQUIREMENT The organizational structure and the responsibilities of persons within that structure must be such that safety is promoted.Development Documented organizational structure22Available A system to allocate responsibility and accountability will exist for personnel at all levels. This may take the form of job or task descriptions, or some other suitable arrangement21.2The total functional area is divided and the responsibilities & accountabilities fixed for all management staff. Further this is to be spread upto the bottom level employee.All Management StaffDETAILS Prior to establishing work permit systems, each site should undertake and document a review of its activities to identify those high risk work permits which should be in place. Although some permits are expected to be common to all sites, additional permitting requirements may be specific to individual sites. OH&S responsibilities and accountabilities commensurate with the level of each person within the organization will be allocated in writing21The total functional area is divided and the responsibilities & accountabilities fixed for all management staff. Further this is to be given in writing to the bottom level employee by his line manager/ supervisor.All Management Staff A mechanism will exist within the organization for reviewing the performance of any person with respect to their OH&S responsibilities and accountabilities21.6This exists for the management staff through review of KPIs and also through various forums of management. In case of other employees this is done through their Heads. Action is being taken for any serious lapse on safety aspects by anybody.All Management StaffImplementation Selection procedures will make it possible to match persons to the requirements of these responsibilities and accountabilities21.8Selection is done based on the knowledge, skill & experience of an individual. Job rotations are made in cases where the requirements change and this is done in consultation with the line managers Evidence within task or job descriptions or statements of OH&S responsibilities and accountabilities being defined in detail21.2OH&S responsibilites & accountabilities are defined in detail Position descriptions not more than two years old22Available Personnel will have been clearly informed, in writing, of their health and safety responsibilities21.2Available for management staff. Further safety policy clearly mentions the commitment of an employee. Still specific responsibilities to be given in writing to all employees. Evidence within performance monitoring/review system that safety performance is clearly addressed and measured in a detailed manner21.5Safety performance is addressed in performance monitoring & review system of management staff. To be done for other levels of employees. Evidence of setting safety targets (both positive and negative targets) for individuals21.5Positive & negative targets are fixed and reviewed for all management staff.Summary:Development %73186Implementing %771129Result1

B2B2: Hazardous Work ActivitiesDescriptionDetailed RequirementsPossible ScoreActual ScoreNotes2.1 STATEMENT OF REQUIREMENTDevelopmentTo ensure the effective management of high risk work activities, work permit systems are required. The auditor will seek evidence that a review of the need for high risk work permits has been undertaken and documented21Work permit systems and the required areas of application are available. Reviews in work permit systems are undertaken whenever necessary. A review frequency & procedure is to be fixed for the review of WPSDM /AM SafetyDETAILSImplementationPrior to establishing work permit systems, each site should undertake and document a review of its activities to identify those high risk work permits which should be in place. Although some permits are expected to be common to all sites, additional permitting requirements may be specific to individual sites. The auditor will assess whether the scope of the permit systems covers those topics for which permit systems should exist, i.e has the site correctly assessed its needs?22Work permit systems and the required areas of application are available. These are as per site needs.DM /AM SafetyDescriptionDetailed RequirementsPossible ScoreActual ScoreNotes2.2 STATEMENT OF REQUIREMENTDevelopmentPersonnel may suffer severe injuries if equipment is energised at the time that work is being undertaken on, or in the vicinity of, equipment. Therefore, formal documented isolation and lockout procedures are required. A documented lockout and isolation procedure has been developed for the site22Line clear procedure and format is available. Lockout system exists for critical areas.DM / AM E&I This procedure includes requirements for tagging and locking of equipment21Lockout & tagout exists for critical areas. To be further extended to more areasDM / AM E&I Lockout and isolation points for key items of equipment have been identified (if this is not practicable, the site must identify those areas where retro fitting is required and make plans accordingly)21Lockout & tagout exists for critical areas. To be further extended to more areasDM / AM E&IDETAILS As a minimum, the site must ensure that the topics listed in the adjacent column are addressed. Thee is system in place for authorizing specific personnel to be responsible for issuing lockout and isolation permits22System in place A training and retraining program is in place for personnel responsible for issuing lockout and isolation permits21Training has been given to employees. Re-trainings to be organized more frequentlyDM / AM E&I , DM/AM Safety A training and retraining program is in place for persons who are required to work using lockout/isolation permits21Training has been given. Re-trainings to be organized more frequentlyDM / AM E&I , DM/AM SafetyImplementation A documented lockout and isolation procedure is in operation at the site (seek proof of application)22AvailableDM / AM E&I Lockout and isolation points for key items of equipment are known by site personnel responsible for permit issue22In placeDM / AM E&I Specific personnel are authorised in writing by site management to be responsible for issuing lockout and isolation permits21Persons are authorized by their designation, To be given in writing to authorized personsDM / AM E&I Personnel responsible for issuing lockout and isolation permits have been trained regarding the operation of the permit system and their responsibility for issuing work permits21Training has been given. Re-trainings to be organized more frequentlyDM / AM E&I Refresher training has been provided bi-annually for persons issuing permits20Conducted less frequently. To be conducted bi-annuallyDM/AM safety Persons who are required to work under lockout/isolation permits have been trained regarding the requirements of the permit system21Training has been given. Re-trainings to be organized more frequentlyDM / AM E&I , DM/AM SafetyDescriptionDetailed RequirementsPossible ScoreActual ScoreNotes2.3 STATEMENT OF REQUIREMENTDevelopmentA confined space may be defined as an enclosed or partially enclosed space which: (a) is at atmospheric pressure during occupancy (b) is not intended or designed primarily as a place of work (c) may have restricted means of entry and exit (d)may: - have an atmosphere which contains potentially harmful levels of contaminants - not have a safe oxygen level - cause engulfment. A Safe working in confined space procedure has been developed for the site. This procedure should be consistent with internationally recognised confined space standards22Procedure in place The confined space procedure must require risk assessment to be undertaken prior to confined space entry by persons10Checklist is available for compliance before issue of permit. Further formal risk assessment to be practiced before entry The confined space procedure must require a list of persons inside the confined space to be maintained outside the confined space11Persons' names are entered in the permit form. Copy will be available with the Supervisor as well as the Department A training and retraining programme has been developed for persons authorized to issue permits21Training programme is made for work permit systems. Module to be specifically made with regard to Confined spaces entry.DETAILS As a minimum, the site must ensure that the topics listed in the adjacent column are addressed. A training and retraining programme has been developed for persons who will work in confined spaces21Training programme is made for work permit systems. Module to be specifically made with regard to Confined spaces entry. The site has assessed the need for a rescue capability to ensure that personnel who may be trapped in a confined space can be rescued21Rescue capability to be further studied A training and retraining programme has been developed for persons who will undertake rescues in confined spaces20Not doneImplementation Personnel responsible for issuing confined space permits should be nominated in writing21Mentioned level wise. Not given to individuals in writing Confined spaces are identified and summarized in a register and where applicable will be marked with suitable signage21Confined spaces listed in the permit format itself. Further to be reviewed. Signages are given in some places only. To be displayed at all identified places Evidence of risk assessments being undertaken prior to confined space entry by persons21Checklist is available for compliance before issue of permit. Further formal risk assessment to be practiced before entry The site has undertaken a survey to identify restricted spaces, i.e. Those spaces which are not automatically classified as confined spaces but which could become confined spaces if activities are undertaken in the space which may affect the quality of the atmosphere20No survey has been done. To be carried out Personnel responsible for issuing confined space permits have been trained regarding the operation of the permit system and their responsibility for issuing work permits21Training programme has been given for work permit systems. Module to be specifically made with regard to Confined spaces entry. Refresher training has been provided bi-annually for persons issuing permits21Conducted less frequently. To be conducted bi-annually Persons who are required to work under confined space permits have been trained regarding the requirements of the permit system.21Training programme has been given for work permit systems. Module to be specifically made with regard to Confined spaces entry. The site has in place a rescue capability to ensure that personnel who may be trapped in a confined space can be rescued.21Rescue capability to be further studied Training has been provided to personnel who are or may be required to undertake rescues within confined spaces. This training should include use of breathing apparatus20Not done Evidence of confined spaces permits in use22AvailableDescriptionDetailed RequirementsPossible ScoreActual ScoreNotes2.4 STATEMENT OF REQUIREMENTDevelopmentTo effectively manage risks associated with fire and explosion, ignition control permit systems are required. A written ignition control permit system has been developed. The permit system should identify those circumstances where gas testing is required21Hot work permit is available and the areas are generally mentioned. Areas list to be more specifically made. The site should identify and document those circumstances/locations where ignition control permits will be required21Locations are generally mentioned. Areas list to be more specifically made.DETAILS As a minimum, the site must ensure that the topics listed in the adjacent column are addressed. A training and retraining programme has been developed for persons who will issue permits21Training programme is made for work permit systems. Module to be specifically made with regard to control of ignition sources A training and retraining programme has been developed for persons who will work under permits21Training programme is made for work permit systems. Module to be specifically made with regard to control of ignition sourcesImplementation Personnel responsible for issuing ignition control permits have been trained regarding the operation of the ignition control permit system and their responsibility for issuing permits21Training programme has been given for work permit systems. To be specifically given with regard to control of ignition sources Refresher training have been provided bi-annually for persons issuing work permits21Conducted less frequently. To be conducted bi-annually Persons who are required to work under ignition control permits have been trained regarding the requirements of the permit system21Training programme has been given for work permit systems. To be specifically given with regard to control of ignition sources Suitable fire fighting equipment is available on site (auditor to assess)22Portable fire fighting equipment available at all fire-prone areas A systematic program is in place for testing fire fighting equipment22In place Personnel have been trained annually in the use of fire fighting equipment22Trainings have been conducted Evidence of ignition control spaces permits in use (confirm application)22AvailableDescriptionDetailed RequirementsPossible ScoreActual ScoreNotes2.5 STATEMENT OF REQUIREMENTDevelopmentPersonnel may be exposed to high risks as a result of excavation and digging activities where buried services may be located in the vicinity. A permit system is required to manage digging and excavation. The site has developed an excavation and digging permit system22Available A training and retraining programme has been developed for personnel responsible for issuing excavation and digging permits21Training programme is made for work permit systems. Module to be specifically made with regard to excavation A training and retraining programme has been developed for persons who are required to work under excavation and digging permits21Training programme is made for work permit systems. Module to be specifically made with regard to excavationDETAILS As a minimum, the site must ensure that the topics listed in the adjacent column are addressed. Systems has been developed for managing entry by personnel into excavations22In placeImplementation Evidence of excavation / digging permits in use (confirm application)22In place Personnel responsible for issuing excavation and digging permits have been trained regarding the operation of the permit system and their responsibility for issuing work permits21Training programme is given for work permit systems. To be specifically given with regard to excavation Refresher training has been provided bi-annually for persons issuing digging / excavation permits21Less frequently. To be done more frequently Persons who are required to work under excavation and digging permits have been trained regarding the requirements of the permit system21Training programme is given for work permit systems. To be specifically given with regard to excavation Reference to site plans is made prior to undertaking digging or excavation and this requirement should be included in the permit system22In place Evidence of application of controls on entry to excavations will be reviewed21In place. To be further improved by entry restriction methodsDescriptionDetailed RequirementsPossible ScoreActual ScoreNotes2.6 STATEMENT OF REQUIREMENTDevelopmentPersonnel may suffer serious injuries and be exposed to high risks as a result of working on high voltage equipment. A formal written high voltage work permit system has been developed22Available A training and retraining programme has been developed for personnel responsible for issuing high voltage permits21Training programme is made for work permit systems. Module to be specifically made with regard to high voltage workDETAILS As a minimum, the site must ensure that the topics listed in the adjacent column are addressed. A training and retraining programme has been developed for persons who are required to work under high voltage permits21Training programme is made for work permit systems. Module to be specifically made with regard to high voltage workImplementation Evidence of high voltage permits in use (confirm application)22Available Personnel responsible for issuing high voltage permits have been trained regarding the operation of the permit system and their responsibility for issuing work permits21Training has been given on work permit systems. To be specifically given with regard to high voltage work Refresher training has been provided bi-annually for persons issuing high voltage work permits21Less frequent. To be conducted more frequently Persons who are required to work under high voltage permits have been trained regarding the requirements of the permit system21Training has been given on work permit systems. To be specifically given with regard to high voltage work Personnel operating on high voltage electrical equipment are suitably licensed with respect to local or international regulations22Licence for employees available Suitable safety equipment is provided and maintained and personnel trained in its use22AvailableDescriptionDetailed RequirementsPossible ScoreActual ScoreNotes2.7 STATEMENT OF REQUIREMENTDevelopmentOne of the main causes of fatalities at industrial work sites is falls from heights. Therefore, the site must have in place a system for managing work at heights and this system may include the requirements for issue of work permits. A documented work permit system or safe work system has been developed for circumstances where a person could fall 2.4 metres or more to the ground or a lower structure22Permit system is available for work at more than 3 metres height. Criteria to be further reviewed A training and retraining programme has been developed for personnel responsible for supervising those Working at heights21Training programme is made for work permit systems. Module to be specifically made with regard to working at heightsDETAILS As a minimum, the system for managing working at heights should incorporate:- A training and retraining programme has been developed for persons who are required to Work at heights21Training programme is made for work permit systems. Module to be specifically made with regard to working at heightsImplementation Personnel responsible for supervising those Working at heights have been trained regarding the risks of working at heights21Training has been given on work permit systems. To be specifically given with regard to working at heights Refresher training has been provided bi-annually for persons supervising work at heights21Less frequent. To be conducted more frequently Persons who are required to Work at heights have been trained regarding the risks of working at heights21Training has been given on work permit systems. To be specifically given with regard to working at heights Suitable facilities and equipment are available to assist persons working at heights, e.g. Fall prevention and fall arrest equipment22Available Personnel have been trained in the use of fall arrest equipment22Trainings and demonstrations are condcted frequently Working at heights safety equipment is inspected by a qualified person on an annual basis22Done in every 6 months Suitable emergency response capability is in place to enable persons working at heights to be rescued21To be further studiedDescriptionDetailed RequirementsPossible ScoreActual ScoreNotes2.8 STATEMENT OF REQUIREMENTDevelopmentHazardous materials (such as radioactive sources) may be used in a variety of applications at a site. As such, there is potential for exposure of personnel to hazardous materials, should appropriate controls not be in place. A survey has been conducted to identify hazardous materials22Hazardous materials identified An authorised officer has been appointed at the site to oversee the management of these hazardous materials20No special officer appointed. To be done A work permit system or safe operating practices for dealing with hazardous materials has been developed20Not availableDETAILS As a minimum, the site must ensure that the topics listed in the adjacent column are A training and retraining programme has been developed for personnel responsible for issuing hazardous materials work permits or for those supervising work20Not available A training and retraining programme has been developed for persons who are required to work under hazardous materials safety permits / undertake work with hazardous materials20Not availableImplementation Personnel responsible for supervising those dealing with hazardous materials have been trained20Not available Refresher training has been provided bi-annually for persons supervising those dealing with hazardous materials20Not available Persons who are required to work with hazardous materials have been trained regarding the properties and risks associated with the materials20Not available A monitoring system is in place to ensure that personnel undertaking work in the vicinity of hazardous materials have their exposure to hazardous materials monitored20Not available Suitable emergency response systems are in place to deal with an emergency incident involving hazardous materials20Not availableDescriptionDetailed RequirementsPossible ScoreActual ScoreNotes2.9 STATEMENT OF REQUIREMENTDevelopmentExplosives are used extensively in mining operations. Therefore, personnel may be exposed to significant risks as a result of the handling and use of explosives. The site has identified applicable local legislation and standards, and ensured that there is a mechanism in place for remaining up-to-date with respect to changes in legislation and standards22In placeDETAILS As a minimum, the site must ensure that the topics listed in the adjacent column are addressed. Position descriptions reflect responsibilities for storage, handling and management of explosives22Available Documented site procedures have been developed for:22Available receival of explosives storage of explosives design and operation of magazines management of magazine inventory loading of explosives into drill holes shot firing, including use of licensed personnel dealing with misfires dealing with emergencies involving explosivesIt is noted that all of these procedures are expected to be documented A training and retraining programme has been developed for persons involved in storage and handling of explosives21Conducted. Frequency to be increasedImplementation Site procedures are up-to-date with respect to changes in legislation and standards22In place Demonstration of compliance with local legislation requirements22Available Personnel are aware of site procedures43Yes Training has been provided for persons involved in storage and handling of explosives21Conducted. Frequency to be increased Refresher training has been provided on a bi-annual basis21Conducted. Frequency to be increased Suitable emergency response systems are in place to deal with an emergency incident involving explosives.22Emergency plan is made and reviewed on a regular basisSummary:Development %5617241Implementing %61111067Result1

B3B3: Hazard Identification and Risk AssessmentDescriptionDetailed RequirementsPossible ScoreActual ScoreNotesResponsibilty3.1 STATEMENT OF REQUIREMENTDevelopmentA systematic Process Risk Assessment should be undertaken and documented. Systems should be in place to ensure that a process hazard analysis is undertaken21Hazards related to various processes listed. To be studied with hazard identification techniquesDepartment HeadDETAIlS A number of different approaches are available for the management of safety at any facility. One area, which must be addressed, is identification and management of hazards intrinsically associated with the process. Therefore, a formal Process Risk Assessment should be undertaken and documented and recommendations made for control of risk. Types of techniques which may be applicable to such an analysis include: The site should specify the required qualifications / experience for personnel undertaking such studies20Not specified Systems should be in place to ensure the risk assessment is subject to regular review21Risk assessment is done, But not done with the help of special techniquesDepartment HeadImplementationApplication of suitable techniques such as20Not used. To be studied HAZOP What if? analysis HAZOP Failure mode and effect analysis What if? analysis Fault tree analysis Failure mode and effect analysis Event tree analysis Fault tree analysis Use of a multi-disciplinary team20Not available Event tree analysis. A formal report issued20Not availableIt is expected that a multi-disciplinary team will undertake the risk assessment and a formal report issued. Regular reviews of the risk assessment20Not available Actions from the risk assessment addressed20Not availableDescriptionDetailed RequirementsPossible ScoreActual ScoreNotes3.2 STATEMENT OF REQUIREMENTDevelopmentUp toWritten operating procedures, which specify key information for operations personnel, should be provided at the facility.Operating procedures address the following:54Operating procedures are available for starup, operation, shutdown, etc. To be specified for temporay and startup following a shutdown initial start up normal operation temporary operations emergency operations, including emergency shutdownDETAILS normal shutdownWritten operating procedures assist operations personnel to manage safety by setting standards against which operational practices can be measured. Operating procedures should provide clear instructions for safe operation of the facility, which is consistent with the hazard identification and process safety information available. start up following a shutdown or turnaroundOperating procedures provide information on operating limits and where a deviation from normal operations could have safety consequences, the following should be provided:22Available in all process departments consequences of the deviation steps required to correct or avoid deviation OHS systems to be used and their functionOperating procedures also address the following as required:21Hazards related to various processes listed. To be studied with hazard identification techniques properties of, and hazards presented by, materials used in the process special precautions required to prevent exposure to materials control measures to be undertaken if physical contact or airborne exposure occurs any special or unique hazardsImplementation Operating procedures available at point of use22Available Operating procedures presented in a suitable format22Available Personnel trained in content of operating procedures20Special training to be coductedDescriptionDetailed RequirementsPossible ScoreActual ScoreNotes3.3 STATEMENT OF REQUIREMENTDevelopmentA review mechanism should be in place for reviewing and auditing operations procedures. A system has been developed for reviewing, updating and improving operating procedures22In placeImplementation Evidence of reviews and updates is available22AvailableDescriptionDetailed RequirementsPossible ScoreActual ScoreNotes3.4 STATEMENT OF REQUIREMENTDevelopmentA risk assessment approach to managing safety in non-process areas should be adopted. It is expected that there will be a formal, documented system in place for hazard identification and subsequent managing of the risks associated with those hazards42Hazards related to various processes listed. To be studied with hazard identification techniques It is expected that policies / procedures will have been developed for dealing with:(2 points each)DETAILS- Literacy and language22YesModern safety management legislation specifies the need for a risk-based approach to managing safety in the workplace. This approach requires that hazards are identified, risks are analysed and strategies put in place for effectively managing and monitoring those risks.- Drug and alcohol20No- Fitness for duty22Yes- First aid facilities22YesImplementation The Audit will seek evidence of:-103To be done after studying the various sections- Hazard identification- Risk assessment- Implementation of risk controls- Review of effectiveness of risk controlsReference will be made to the categories in section 5.2 of the Handbook Evidence will also be sought of application of(2 points each)- Literacy and language22In place- Drug and alcohol20- Fitness for duty22Yes- First aid facilities22YesSummary:Development %6612919Implementing %4213615Result1

B4B4: Planned InspectionsDescriptionDetailed RequirementsPossible ScoreActual ScoreNotes4.1 STATEMENT OF REQUIREMENTDevelopmentSafety inspections will be undertaken and documented by personnel within the workplace. Refer to Guidelines on page 23 for planned inspection topics. The auditor will seek evidence of forms and inspection procedures.2012In practice. To be undertaken more frequentlyDepartment HeadDETAILS Therefore, there is an expectation that there is a programme of hazard identification activities in place whereby workers inspect areas of the workplace and identify hazards. This form of hazard identification is likely to occur by use of registers or check lists. Associated with this is the parallel requirement for a system for dealing with the problems so identified.Implementation Evidence will be sought of inspection occurring and remedial actions taken. Refer to Guidelines on page 23 for planned inspection topics.2012In practice. To be undertaken more frequentlySummary:Development %6012012Implementing %6012012Result1

B5B5: Legal ObligationsDescriptionDetailed RequirementsPossible ScoreActual ScoreNotesResponsibility5.1 STATEMENT OF REQUIREMENTDevelopmentIt is essential that each site satisfies legal obligations and complies with relevant legislation. This element provides the opportunity for confirmation that all compliance objectives have been met, and also requires that each site has in place a mechanism for identifying changes to legislation, and ensuring that the impact of those changes is assessed and implemented at each site. The site has a documented process for accessing and identifying relevant legal and associated requirements, e.g, legislation, Standards, Codes21System exists. But to be documentedDepartment Head The site has a documented process for monitoring changes to legal and other requirements21Process to be documentsDepartment Head The site has a documented process for communication of relevant information on legal and other requirements to employees22Available. But to be documentedDepartment HeadImplementationDETAILS Systems should be in place to ensure that:- The site has accessed and identified relevant legal and associated requirements, e.g, legislation, Standards, Codes21Available. But to be documented The site is monitoring legal and other requirements.22Available The site has communicated relevant information on legal and other requirements to employees22Wherever possible A master copy of the Legislation and applicable Standards and Codes is available22Available Evidence of compliance audits is available22AvailableSummary:Development %67164Implementing %902109Result2

B6B6: Management Commitment and PlanningDescriptionDetailed RequirementsPossible ScoreActual ScoreNotes6.1 STATEMENT OF REQUIREMENTDevelopmentEach site should have a current Health and Safety Policy.The Policy Should be a formal document11Available Be dated and signed by the current Chief Executive or Site Manager, as applicable11AvailableDETAILS To assist in ensuring management commitment (at all levels) to health and safety, a current Health and Safety Policy should exist. Must clearly state safety and health objectives11Available Must declare managements commitment and determination for achievement of health and safety objectives11Available Must broadly define responsibilities for all parties at the workplace11AvailableImplementation Must be available to employees at all levels of the organization22Available Must be clearly understandable to employees at all levels of the organization22AvailableDescriptionDetailed RequirementsPossible ScoreActual ScoreNotes6.2 STATEMENT OF REQUIREMENTDevelopmentTo ensure effective functioning of safety management, site management must provide suitable resources. A process should be in place to ensure that management reviews the site requirements for safety resources22Safety budget being made and reviewed annuallyImplementationUp to 5DETAILS The nature of resources required to effectively manage safety will vary from site to site. However, a consideration of the following issues is considered to be important. Identification of key competencies required11Competencies of personnel are identified Provision of onsite safety expertise11Available Ability to access external consultants and experts11Available Provision of competent staff11Available Provision of effective communication systems11AvailableDescriptionDetailed RequirementsPossible ScoreActual ScoreNotes6.3 STATEMENT OF REQUIREMENTDevelopmentA current Site Health and Safety Improvement Plan should be in place. It is expected that each site will have in place a process for developing a Safety Improvement Plan for dealing with and addressing these issues.22Safety plan in place The plan has been developed with input from site personnel (via safety committee)22In placeDETAILS Safety Management is not simply a matter of identifying and dealing with specific safety problems at a given time. Effective safety management addresses site safety problems by means of a continuous improvement methodology.ImplementationUp to 5The Safety Plan should address the following:- Establishment objectives and targets11Available Establishment of performance indicators11Available Identification of hazards and assessment/control of risks11Available Linkage to requirements of legislation and legal compliance11Available Linkage to incidents that have previously occurred11AvailableDescriptionDetailed RequirementsPossible ScoreActual ScoreNotes6.4 STATEMENT OF REQUIREMENTDevelopmentManagement review of health and safety performance should occur on a regular basis. A formal system should be in place to ensure that reviews occur22Safety performance is reviewed periodicallyImplementationUp to 5DETAILS The organisations management should, at regular, intervals conduct a review of health and safety management to ensure its continued suitability and effectiveness in satisfying the organisations safety policy and objectives.A review should consider: Evaluation of the suitability of the policy51Available Review of health and safety objectives, targets and performance indicators1Available Addressing the findings of audits1Available Evaluation of the effectiveness of the health and safety programme1AvailableDescriptionDetailed RequirementsPossible ScoreActual ScoreNotes6.5 STATEMENT OF REQUIREMENTDevelopmentA site Emergency Response Plan should be in place. Potential emergency situations (both on site and off site)21Only on-site considered. Off-site also to be added Specific instructions for dealing with particular situations21Instructions given. To be made more specificDETAILS An Emergency Plan should address: Methods for raising an emergency22Available Emergency contact22Available Location of emergency equipment22AvailableImplementation The audit will seek to determine whether the emergency plan is a controlled document, and whether it is has been updated as required22In place There should be a documented programme of trials and tests for the Emergency Plan22Available The outcome of these trials should be documented and recommendations made to improve the quality of the Emergency Plan22AvailableSummary:Development %9122321Implementing %9622524Result4

B7B7: Induction and TrainingDescriptionDetailed RequirementsPossible ScoreActual ScoreNotesResponsibilty7.1 STATEMENT OF REQUIREMENTDevelopmentIrrespective of the quality of design of plant and equipment, satisfactory safety performance will not be achieved unless personnel have been appropriately trained. A training strategy should be evident at the site. A health and safety training plan, based upon a training needs analysis, should be available addressing the needs of personnel at all levels within the organization22Training plan & calendar is made annuallyManager HRA The following issues should be considered as part of a training programme:-- initial training for new employees or person new in a job22AvailableManager HRADETAILS A formal training strategy needs to be in place, based upon a training needs analysis. This training needs analysis should include consideration of health and safety training requirements.- consideration of differing levels of ability and literacy of attendees.22ConsideredImplementationUp to 5 Provision of training by appropriate competent personnel11Available Use of suitable training facilities11Available Maintaining training records11Available Evaluation of training sessions to ensure comprehension and retention11Available Regular review of training programme11AvailableDescriptionDetailed RequirementsPossible ScoreActual ScoreNotes7.2 STATEMENT OF REQUIREMENTDevelopmentThere is a specific requirement for senior management and supervisors to be provided with specialised training. The audit will seek evidence of a formal strategy for ensuring that advanced safety training provided to managers and supervisors, and comment on its suitability for supporting and enhancing a health and safety management system.43Training given to management staff on specialized topics. Talks are also given in all management meetings on safetyDETAILSImplementationup to 5Senior management and supervisors provide the opportunity at a site for supporting the safety process and intervening where problems are identified. Therefore, it is important that management and supervisors are skilled in relation to key safety issues, e.g. legal requirements, structure of health and safety management systems.The following evidence will b sought:- Provision of training by appropriate competent personnel11Available Use of suitable training facilities11Available Maintaining training records11Available Evaluation of training sessions to ensure comprehension and retention11Available Regular review of training programme11AvailableDescriptionDetailed RequirementsPossible ScoreActual ScoreNotes7.3 STATEMENT OF REQUIREMENTDevelopmentup to 109A safety induction programme should be in place for employees, contractors and visitors.An induction programme has been developed addressing, as a minimum:- Site layout101Addressed Key site processes1Addressed Major site hazards2AvailableDETAILS Irrespective of the general knowledge possessed by any individual or group of persons regarding safety, it is important that there is a formal induction programme in place for dealing with personnel new to the site or a particular area of the site. Details of work permit systems2Available Details of incident reporting2Available Details of incident reporting1Red card reporting details addressed Location of first aid facilities0To be included in induction trainings Requirement for emergency response0To be detailed in induction trainingsImplementationThe audit will review the application of the induction programme for New employees22Available Contractors22Available Visitors20System to be developed for training of visitorsin relation to the above items.Summary:Development %9022018Implementing %8821614Result4

B8B8: Incident Investigation and Corrective ActionDescriptionDetailed RequirementsPossible ScoreActual ScoreNotesResponsibility8.1 STATEMENT OF REQUIREMENTDevelopmentFormal incident investigation procedures should be in place for investigating all incidents. Formal documented procedures should have been developed to investigate incidents such as injuries, near misses, damage, substandard conditions, substandard practices, defects in plant and equipment, hazards, illness, disease and any other matters of interest21Procedures in place. To be extended to illness, damage etc.DM /AM Safety Investigation procedures should seek to determine immediate and basic causes and develop remedial actions for preventing the same or similar event occurring in the future.22AvailableImplementationThe audit will seek evidence of:- Hazard reporting11SOT, Redcards, Surveys etc. available Incident reporting11Available Incident investigation11Available Development of corrective actions11Available Implementation of corrective actions11Available Managers and supervisors trained in incident investigation procedures10Less frequent. To be trained more frequentlyDescriptionDetailed RequirementsPossible ScoreActual ScoreNotes8.2 STATEMENT OF REQUIREMENTDevelopmentMany organisations fail to learn from mistakes by not adequately implementing recommendations from incident investigation Documented procedures should have been developed to review the outcome of incident investigation and confirm that recommendations have been implemented21System in place, To be detailed in the investigation procedure itselfImplementation Results of incident investigations are audited to confirm suitability and success in implementation of recommendations22System in placeDescriptionDetailed RequirementsPossible ScoreActual ScoreNotes8.3 STATEMENT OF REQUIREMENTDevelopmentProcedures should be in place for reporting safety issues.Documented procedures should be in place for reporting:-Up to6 Injuries101Available Illnesses0To be made Disease1Available Damage0To be made Near misses1Available Hazards1Available Defects0To be made Substandard practices1Available Substandard conditions1AvailableImplementationUp The audit will review reporting of safety data in relation to the above topics106AvailableDescriptionDetailed RequirementsPossible ScoreActual ScoreNotes8.4 STATEMENT OF REQUIREMENTDevelopmentProcedures should be in place to undertake statistical analysis of safety-related data.Review and analysis of data may reveal useful trends. Processes should be developed for analysing data in relation to:Up to6 Injuries101Available Incidents1To be made Near misses1Available Damage0To be made Substandard practices1Available Substandard conditions1Available Hazards0To be made Illness0Available Disease1Available Compensation claims0ImplementationUp to The audit will review analysis of safety data in relation to the above topics106AvailableSummary:Development %6212616Implementing %6812819Result1

B9B9: Industrial Hygiene and MonitoringDescriptionDetailed RequirementsPossible ScoreActual ScoreNotesResponsibility9.1 STATEMENT OF REQUIREMENTDevelopmentMonitoring of the work environment should be undertaken. The site must be able to demonstrate that a review of the need for monitoring personal exposure to agents hazardous to health in the work environment has been undertaken22AvailabeDepart Head Depending upon the nature of work circumstances, employees may be exposed to hazards requiring ongoing personal monitoring. Hazards requiring monitoring programs include, but are not limited to:(2 points per issue as required, up to 10) Noise22In practice Dust containing crystalline silica21SPM measurement is done, crystalline silica to be done Asbestos and crystalline fibers20Not done. To be done Lead, other heavy metals or other specified chemicals20Not done. To be done Excessive stress resulting from the activities in the workplace20Not done. To be doneImplementationUp 10 The audit will review personal monitoring records. Based upon a site inspection, comment will be made on the adequacy of monitoring undertaken and subsequent actions102Monitoring is done for stacks and ambient air. Hygiene checks are carried out in the departments. Personal monitoring to be done.AM EnvironmentDescriptionDetailed RequirementsPossible ScoreActual ScoreNotes9.2 STATEMENT OF REQUIREMENTDevelopmentThere is a requirement for undertaking employee health monitoring when employees are exposed to particular types of risks. The site must be able to demonstrate that a review of the need for personal health monitoring has been undertaken22Personal health monitoring is being doneDepending upon the nature of work circumstances, employees may be exposed to hazards requiring ongoing health monitoring. Hazards requiring health monitoring programmes include:(2 points per issue as required, up to 10) noise22Audiometry done silica dust22Lung function and Chest -X -ray done asbestos20No special monitoring done. To begin other specified chemicals.20No special monitoring done. To begin other specified chemicals.2The site must be able to demonstrate that a review of the need for health monitoring has been undertaken.ImplementationUp to 10 The audit will review health monitoring records. Based upon a site inspection, comment will be made on the adequacy of health monitoring undertaken and subsequent actions106Personal health monitoring is being done for all employees and records maintained. Further to be improved in some areasSummary:Development %4612411Implementing %401208Result1

B10B10: Employee Communication and InvolvementDescriptionDetailed RequirementsPossible ScoreActual ScoreNotes10.1 STATEMENT OF REQUIREMENTDevelopmentFor effective functioning of safety management systems it is essential that structures are in place to ensure adequate communication and consultation within the workplace.Because management of safety is not the responsibility of a single person, it is essential that effective communication and consultation with respect to safety matters occurs within the workplace. This may occur through the following mechanisms.(2 points per issue as required, up to 10)10 Safety committees.101.8Safety committee is working at Central level for the Unit and Departmental sub-committees are also functioning. To be more strengthened. Toolbox meetings. (Note: These are informal meetings held during breaks on-the-job where a specific aspect of OH&S is discussed with a small workforce team/group)1.8Safety talks are being conducted in departments as well as project sites. Other on the job safety communication is also recorded. To be more systematic and frequent Dispute resolution procedures.1Dispute resolution procedures are in place Opportunity to review and comment upon safety policies and procedures.1.8Review of policies and procedures are undertaken through various forums such as daily co-ordination meetings, safety committee meetings and staff meetings. Safety communication meetings are conducted on first day of every month. Verbal and/or written management reports.1.8Safety performance & safety audit reports are available and are communicated to all through various forums Recognition of health and safety performance by individuals and/or work groups1.8Safety audit performance communicated every month. Housekeeping shield awarded & rotated monthly. Accident free department & employees of such deptts.are awarded with shield & gifts once in evry yearImplementation(2 points/ issue as required, up to 10)10The following topics will be reviewed: Existence of safety committee.102In place Frequency of safety committee meetings.2Every month Circulation of Safety Committee Minutes1.6Minutes circulated to all members. Further can be communicated to all employees Occurrence of toolbox meetings.1.6Once in a week/ fortnight. To be done more frequent Mechanism for communicating safety concerns to management.1.8Red card reporting in place for reporting of unsafe actions/ conditions. Safety committee meetings (both central & sub) conducted. Dispute resolution procedures.1Available. To be further strenthened in relation to safety lapses. Communication procedures from management to workers (and vice versa)Through various forums such as safety committee meetings, red card report and direct reporting. Safety communication meetings are conducted on first day of every month.Summary:Development %10021010Implementing %10021010Result4

B11B11: Information and ReportingDescriptionDetailed RequirementsPossible ScoreActual ScoreNotes11.1 STATEMENT OF REQUIREMENTDevelopmentKey information relevant to the ongoing management of safety at the site must be controlled.In order to effectively manage safety it is important that key documents are identified and controlled at all stages. Therefore, it is expected that there will be procedures in place for: identifying safety critical documentation22Documents identified and maintained ensuring documents critical to health and safety carry an identification of their status, authorisation, date of issue and date of modification21.5Partially done. To be ensured in all documents related safety & health health and safety documentation is effectively and systematically stored21.8Available. To be as per document control system obsolete documents are promptly removed from use21.5Done. Still document control to be strengthened a system exists for making and approving changes to documentation21.8Procedure available and followed a system exists for communicating changes in documentation to those people on whom the document impacts21.6Done. To be effectively improved through document controlImplementation Records are required to demonstrate the standard of health and safety achieved and the effectiveness of the health and safety management system.(2 points/ issue as required, up to 10)9.5Records may include:- minutes of safety committee minutes102Available- accident investigation reports1Available- maintenance records0.5Available with Maintenance, inspection, planning & scheduling deptt- air sampling records1.5Available- high risk permit system records1Available in the section where permit is used- audit reports2Availble (both internal & external)- training records1Available- hazard reports0.5SOT reports, safety surveys, red card reports etc. available Confidentiality and security of sensitive records is maintained.21.8MaintainedThe OH&S Manual must show how key aspects of the OH&S Management System would be addressed. An OH&S Manual is likely to include information on:(1 points/ issue as required, up to 10)9.2a) Policy and Targets100.8Availableb) Document control0.8Availablec) Recording, reporting and planning0.8Availabled) Organisational structures, roles and responsibilities0.8Availablee) Task identification, analysis and performance management0To be includedf) Consultation and communication strategies0.8Availableg) Design and planning0To be includedh) Risk management (Hazard identification, risk assessment, risk control measures)0.4Risk management to be included with hazard identificationi) Emergency plans0.8Availablej) Training0.8Availablek) Permit systems and permits0.8Availablel) Inspection, monitoring and testing0.8Availablem) Incident investigation and reporting0.8Availablen) Audit, inspection and review0.8Availableo) Purchasing0To be includedp) Employee health & wellness0To be includedDescriptionDetailed RequirementsPossible ScoreActual ScoreNotes11.2 STATEMENT OF REQUIREMENTDevelopmentAppropriate process and mechanical design information should be available to operations and maintenance personnel. Suitable process / mechanical design information should be available to permit personnel to safely manage the plant and associated equipment.21.4Information available at centralised location. Critical data available at the operating areas. Further to be systematized Mechanisms for the review and updating of process design information should also be in place.21.8In place as per data control The mechanical design should be consistent with the requirement of local Codes and Standards and reference should be made to these Codes and Standards.21.6Reference is made to local codes & standards maintained at centralised location. Further to be reviewed for changes in standards/ codes If design is not consistent with Standards, then the differences should be documented.20.5To be reviewed Mechanisms for the review and updating of mechanical design information will also be in place.21.8In place as per data controlImplementation(1 point/ issue as required, up to 10)Appropriate process design information should be available to operations and maintenance personnel. This information may include:- a process flow diagram / piping and instrument diagrams / details of the process chemistry11Available- materials of construction10.6Available at central location- details of inventories10.8Available- details of upper and lower operational limits10.8Available- safety related consequences of deviations from normal operation10.5Available. Further to be reviewed as per risk management study- properties of material used in the process10.6Available for all hazardous/ harmful materials- detailed equipment drawings and diagrams.10.6Available centrally. Critical details are also available at the operation area- Electrical drawings / area classification10.2Electrical drawings available. Area classification not done- Design of ventilation systems10.4Ventilation systems available. To be studied for effectiveness- Description of shutdown and interlock systems10.8AvailableSummary:Development %7912217.3Implementing %8413226.8Result1

B12B12: Safe Working ProceduresDescriptionDetailed RequirementsPossible ScoreActual ScoreNotes12.1 STATEMENT OF REQUIREMENTDevelopmentStandard work procedures or standard work instructions should be available for work activities not addressed by standard operating procedures.Standard operating procedures will deal with safety risks associated with plant operation. However, there are many other activities, which will not be addressed by operating procedures, and appropriate work practices should be documented for these.It is essential that documented procedures are established where the absence of such procedures could adversely affect safety and health.Procedures should: Conform with legislation and standards21.8Available. Critical information to be mentioned in the SOP itself Be prepared using risk management techniques20.4Done as per standard/ legal requirements and past incidents. Risk management techniques to be used. Be readily available21.8Available. Be understandable by employees, i.e. targeted at correct level of complexity21.5Available in local language at most of the places. To be extended to more areas. Be monitored, reviewed and updated20.8Reviewed and updated whenever need comes. To be frequently doneImplementationThe audit will seek evidence of standard work practices for non-operational areas. The origin and applicability will also be reviewed. Records of task analysis21Job safety analysis available for hazardous/ major jobs. Further to be done for more jobs Training of personnel in task analysis and risk assessment21Training has been given. To be frequently done Communication of results of task analysis21.4Communicated to the users and available at the user deptt. Mechanism for review of task analysis outputs20.5To be reviewed frequentlyDescriptionDetailed RequirementsPossible ScoreActual ScoreNotes12.2 STATEMENT OF REQUIREMENTDevelopmentThe requirements of this element are addition to those specified in the elements Hazard Identification and Risk Assessment and Task Analysis. Taken in conjunction, hazard identification and risk assessment and task analysis, will ensure that appropriate work practices are developed for an organisation, to control workers exposure to risks. Nevertheless, there is no guarantee that these practices will be implemented or be effective within their implementation. Therefore, it is important that task observations are undertaken by appropriately trained personnel (generally supervisors) to confirm that tasks are implemented.In order for a successful programme of job observation the following should be in place: Scheduled programme of job observations21.8Available for management personnel Training of supervisors in job observation20.2Verbally being communicated. To be formally trained and recorded Mechanism for dealing with outcomes of job observation21.8SOT compliance is being monitored Mechanism for communicating outcomes of job observation to workers21.6Through various forums like safety committee meetings, talks etc.ImplementationAn audit will seek evidence as noted above, including: Regular occurrence of job observations21.6Available Actions followed-up21.5AvailableSummary:Development %6511811.7Implementing %581127Result1

B13B13: Inspection and TestingDescriptionDetailed RequirementsPossible ScoreActual ScoreNotes13.1 STATEMENT OF REQUIREMENTDevelopmentRegular inspections and tests of critical plant and equipment should be undertaken. Note that the inspections referred to herein are specialist inspections, not the general workplace inspections addressed in Planned InspectionsOne key element of safety management is to ensure the ongoing integrity of plant and equipment. This requires a structured maintenance inspection and testing programme. A good maintenance system should be based upon: Identification of critical plant and equipment21.8Available. To be reviewed further with new plant Identification of key safety functions, e.g. Trips, alarms, development and documentation of maintenance work procedures and practices21.8Available with the departments Procedures to ensure that maintenance employees and contractors are qualified21In place. To be documented properly Procedures to ensure that changes in technology and facilities are appropriately reviewed21Review is being done when need arises. Procedure to be documentedImplementation Evidence of inspections21.5Inspections done and compliance monitored Quality control procedures to ensure that maintenance materials and spare equipment meet design requirements21.8Procedures available for qulaity control/ calibration etc. Training of maintenance employees in the application of the procedures20.8Qualified and experienced employees are on th job. Formal trainings to be frequently doneSummary:Development %70185.6Implementing %68164.1Result1

B14B14: Design SafetyDescriptionDetailed RequirementsPossible ScoreActual ScoreNotes14.1 STATEMENT OF REQUIREMENTDevelopmentConsideration of safety issues should be included in the design phase for plant, equipment and operations.The most effective way of managing safety is to ensure that risk control features are incorporated into the design of system, plant or equipment. Therefore, it is important that: design responsibility is clearly defined21 competencies of design personnel are specified21 adequate resources are provided in relation to design21ImplementationThe audit will seek to determine the mechanisms by which safety is addressed in facility and process design designers are suitably qualified and competent21 design is based upon relevant Standards21 design seeks to address relevant issues within legislation21 risk management activities are included in the design process20Safety risks can be managed in a number of ways. There is a hierarchy of risk controls whereby some controls are preferable to others. Effective design should consider each of the elements of the hierarchy and, where practicable, and incorporate the most important.41To be practiced in small design jobsThe hierarchy is: elimination substitution separation/isolation administration personal protective equipment.The audit will seek to demonstrate that the hierarchy of risk controls has been included in design considerations.DescriptionDetailed RequirementsPossible ScoreActual ScoreNotes14.2 STATEMENT OF REQUIREMENTDevelopmentFormal design reviews should be conducted at appropriate stages of the development of a design.It is important that there are documented processes for the review of the development of a design, so that emerging safety issues can be identified and modifications made to the design to address those issues. A design review should include, where appropriate, consideration of:62Not applicable manufacture construction commissioning operations maintenance disposal decommissioning rehabilitation.Design verification and validation should occur prior to commissioning.ImplementationThe audit will seek evidence of:- Occurrence of design reviews21Not applicable Consideration of safety in design reviews22Not applicable Follow through of recommendations22Not applicableDescriptionDetailed RequirementsPossible ScoreActual ScoreNotes14.3 STATEMENT OF REQUIREMENTDevelopmentIt is important that there is a clear linkage between the design and the documentation generated by the design process. An effective design will attempt to eliminate the need for personal protective equipment wherever possible. The output from the design process should be identified hazards, documented risk controls and a set of suitable design documentation e.g. drawings, reports, calculations and analyses. Procedures should be in place to assure the occurrence of the above.40To be followed in small design jobsImplementationThe audit will seek evidence of: Hazard identification20Not applicable Documentation of design risk studies20Not applicable Evidence of attempts to eliminate the need for personal protective equipment20Not applicableSummary:Development %311165Implementing %381249Result1

B15B15: Audit and System ImprovementDescriptionDetailed RequirementsPossible ScoreActual ScoreNotes15.1 STATEMENT OF REQUIREMENTDevelopmentEffective functioning of a health and safety management system must be supported by internal audits of those systems.In order to support an effective and robust health and safety management system, the following should be in place:- a structured system and schedule for internal audits22Available development of an internal auditor training course22Available a system for management review of the health and safety programme21.8Safety & health plan is being reviewed annually.Implementation It is expected that suitable supporting documentation will be available and there will be evidence of an internal audit programme. Reports produced as a result of internal audits to be reviewed.22Available Corrective action management system for dealing with and ensuring recommendations are implemented21.4Corrective actions to be monitored strictly Evidence of management overview and review of the health and safety management system21.4Done as per external audit reports. Internal audit reports also to be reviewed seriouslyDescriptionDetailed RequirementsPossible ScoreActual ScoreNotes15.2 STATEMENT OF REQUIREMENTDevelopmentA process should be in place to ensure that ongoing external audits and reviews of the safety management system are undertaken.In order to support an effective and robust health and safety management system, the following should be in place:- a structured system and schedule for external audits22AvailableImplementationThe audit will seek evidence of:- External system audits22Available Actions from audits addressed22AvailableSummary:Development %98287.8Implementing %882108.8Result4

B16B16: Occupational RehabilitationDescriptionDetailed RequirementsPossible ScoreActual ScoreNotes16.1 STATEMENT OF REQUIREMENTDevelopmentAlthough the primary aim of any safety management system is to prevent the occurrence of incidents and injury, it is important in those situations where an injury or illness has occurred, that assistance is provided to an employee to return them to meaningful work as soon as possible. An effective employee rehabilitation scheme should be in place to return employees to productive work as soon as possible after injury or after contracting work related disease.A rehabilitation scheme has been developed consistent with the requirements of any local Workers Compensation Legislation or other similar requirements / practices.(2 points/ issue as required, up to 10)The scheme should address : Identification of injured personnel22Identified and recorded Medical assessment of injury and ability for undertaking alternative duties21Done in consultation with the Medical officer. To be systematically done Identification of potential alternative jobs20.2To be documented Rehabilitation plan20To be documented Legal compliance22Legal compliance is ensuredImplementationThe audit will review the application and effectiveness of the rehabilitation programme101Scheme to be documented and implementedSummary:Development %521105.2Implementing %100101Result0

B17B17: ProcurementDescriptionDetailed RequirementsPossible ScoreActual ScoreNotes17.1 STATEMENT OF REQUIREMENTDevelopmentProcedures should be in place to ensure that critical parts and equipment are tracked during the fabrication stage, and that appropriate checks and inspection procedures are established and implemented to ensure that the installation of equipment is consistent with design and manufacturers specifications. Procedures have been developed to ensure that prior to purchasing, an evaluation should be carried out to ensure that materials and equipment to be purchased meet:(2 points/ issue as required, up to 6)4.2- legislative requirements60.2Done. Still procedure to be documented- relevant Standards and Codes2Done. Still procedure to be documented- hazardous chemicals requirements1Done. Still procedure to be documented- any other safety and health performance criteria or specifications.1Done. Still procedure to be documented Purchase documents, such as order forms, clearly describe the items and specify health and safety requirements.21Done. Still to be improved A system has been developed for verifying that supplied goods meet required safety standards.21All personal protective equipment is checked for its quality. To be further improved by provision of internal testing for critical itemsImplementationUp to 10 The audit will seek to confirm application of the above items.106DescriptionDetailed RequirementsPossible ScoreActual ScoreNotes17.2 STATEMENT OF REQUIREMENTDevelopmentA selection process for contractors should be based in part upon their ability to meet clearly defined health and safety requirements. Contractors provide a major resource to organisations in terms of their ability to undertake specific tasks and to provide labour in a number of areas. It is essential, with regard to management of site safety, that contractors are able to adequately manage the safety of their own personnel and ensure also that other site safety systems are addressed. A contractor management system must be in place and must address safety management as well as other management issues.(2 points per issue as required, up to 10 points) Topics to be considered include:- Selection on basis of safety performance21System to be made- Contractor inductions21Done. But to be strictly followed- Assessment of competency of contractor personnel21System to be made- Contractor provision of safety equipment20.4In place. But requires review- Audits of contractors21System to be madeImplementationUp to 10 The audit will seek evidence of consideration of health and safety requirements in the purchasing of services, i.e. practical application of the contractor management system.105Summary:Development %5312010.6Implementing %5512011Result1

B18B18: Management of ChangesDescriptionDetailed RequirementsPossible ScoreActual ScoreNotes18.1 STATEMENT OF REQUIREMENTDevelopmentIt is necessary that there is a formal system in place for managing and documenting change and identifying the safety implications of change.Many safety problems emerge because changes are made which destroy or diminish the integrity of plant and equipment or existing safety systems. Changes may be a change in technology or a change in the facility. Therefore, it is necessary that a formal Management of Change Procedure be in place whereby: changes are identified and authorised20System to be developed changes are analysed and assessed for safety implications20System to be developed suitable risk controls are implemented20System to be developed changes are communicated to affected personnel20.2System to be developed changes are made to associated documentation20.2System to be developedImplementationThe Audit will seek evidence of: A management of change procedure in action101To be developed & implementedSummary:Development %40100.4Implementing %100101Result0

B19B19: Health and Wellness IssuesDescriptionDetailed RequirementsPossible ScoreActual ScoreNotes19.1 STATEMENT OF REQUIREMENTDevelopmentIt is essential that each site satisfies societal obligations and complies with relevant responsibilities. It is expected that if all the other elements in the Pyramid are fully addressed, then Corporate Social Responsibility (CSR) should in most cases be in place, since there is a commonality within Health and Safety Management Systems and parts of Workers Rights aspects of CSR. Nonetheless, this element provides the opportunity for confirmation that all CSR issues have been met, and also requires that each site has in place a mechanism for identifying which of the CSR issues are relevant and ensuring that these are addressed. Procedures should be in place to address:- how the site accesses and identifies relevant CSR requirements, e.g. World Business Council for Sustainable Development guidelines21.5- how the site assesses the Health and Safety aspects of CSR requirements21- how the site monitors changes to CSR requirements21- how the site communicates relevant information on CSR requirements to employees21Implementation(2 points/ issue as required)Topics to be reviewed should include: Identification of CSR requirements21 Existence of an Employee Assistance Programme, consistent with the requirements of local customs and legislation.21 Precautions for overseas travellers21 Management of endemic diseases21 Stress management and counselling21 Drug and alcohol awareness (substance abuse)21 Communicable diseases21 Other general health and lifestyle issues22 Quality of life (work/family balance)22 The need for, and existence of, an offsite emergency plan.22Summary:Development %56184.5Implementing %6512013Result1