draft chemical plant safety & security rating...

DRAFT CHEMICAL PLANT SAFETY & SECURITY

RATING SYSTEM

Govt. of India, New Delhi

September 2013

FOREWORD

Chemical Accidents disrupt growth and development of chemical units as well

as impact the human beings and environment. Sustained industrial growth is not

possible without sound chemical safety management. As part of the overall

chemical safety management initiative, it is of paramount importance to develop a

Chemical Plant Safety & Security Rating System in order to propagate the need for

zero accidents and to incentivize the units having best safety operational measures.

The rating system envisages a 2-stage methodology for assessment of safe &

secure performance of a facility. The first stage acts as a screening mechanism to

filter out organisations that do not meet even the basic requirements of safety &

security systems essential for a chemical, petrochemical, and petroleum industry.

The second stage is a rigorous assessment to benchmark the various safety &

security systems being practiced by the organisation against the framework

stipulated in this document.

The rating system consists of 19 Key Performance Indicators (KPIs) and can

be used as an assessment tool for rating the Chemical organisations in respect of

the practices followed by them. The document envisages a star rating system to

grade the chemical plants according to their performance.

Contents

No. Topic Page No.

1 Introduction 1

2 Scope, Goal and Objective 1-2

3 Definitions 2-3

4 Methodology of Assessment 3-6

5 Safety & Security Rating System 6-9

6 Check List for Final Assessment (Table-4) 10-58

List of Abbreviations:

BARC : Bhabha Atomic Research Centre

BIS : Bureau of Indian Standard

BSC : British Safety Council

CBT : Competency Based Training

CCE : Chief Controller of Explosives

CCTV : Closed Circuit Television

CEA : Central Electricity Authority

CEO : Chief Executive Officer

CMT : Crisis Management Team

DCS : Distributed Control System

DGCA : Directorate General of Civil Aviation

DNV : Det Norske Veritas

ERP : Emergency Response Plan

FAR : Fatal Accident Rate

Fi-Fi : Fire Fighting

HAZID : Hazard Identification

HIRA : Hazard Identification & Risk Assessment

HSE : Health Safety & Environment

HSSE : Health Safety, Security & Environment

IMO : International Maritime Organisation

IME : Initial Medical Examination

IS : Indian Standard

JSA : Job Safety Analysis

KPI : Key Performance Indicator

LOPA : Layer of Protection Analysis

LPG : Liquefied Petroleum Gas

LTIF : Loss Time Injury Frequency

MCLS : Maximum Credible Loss Scenario

MOC : Management of Change

MR : Management Representative

MRM : Management Review Meeting

MSIHC : Manufacture, Storage and Import of Hazardous Chemical

NC : Non-Compliance

NDT : Non-Destructive Test

OHC : Occupational Health Centre

OISD : Oil Industry Safety Directorate

PESO : Petroleum Explosive Safety Organisation

PI : Performance Indicator

P&ID : Piping & Instrumentation Diagram

PFD : Process Flow Diagram

PME : Periodic Medical Examination

PLI : Public Liability Insurance

PPE : Personal Protective Equipment

PPT : Personal Protective Tools

PSM : Process Safety Management

PTW : Permit to Work

QRA : Quantitative Risk Assessment

RC : Responsible Care

SAFE : Safety Analysis Function Evaluation

SAT : Safety Analysis Table

SIMOPS : Simultaneous Operations

SME : Small, Medium Enterprise

SML : Small, Medium or Large Scale Industry

SOP : Standard Operating Procedure

SSRS : Safety & Security Rating System

SWL : Safe Woking Load

SWP : Safe Work Permit

TBT : Tool Box Talks

TREM : Transport Emergency

TRIR : Total Recordable Injury Rate

UKOOA : United Kingdom Offshore Operators Association

List of Acts & Regulations applicable

Safety Acts and Regulations:

Year Name of Act & Regulation

1884 Indian Explosives Act

1934 Petroleum Act

1948 Factories Act

1952 Mines Act

1952 Inflammable Substance Act

1962 Atomic Energy Act

1968 Insecticides Act

1984 Oil Mines Regulations (OMR)

1989 Motor Vehicles(Central) Rules

1993 Public Liability Insurance Rules

1996 Atomic Energy(Factories)Rules

1996 Chemical Accidents (Emergency Planning, preparedness and Response)

Rules

2002 Petroleum rules

2008 Petroleum & Natural Gas( Safety in offshore operations)

2008 Explosive Rules

2010 Central Electricity Authority Regulations

2010 PNGRB Regulations

Environment Acts and Regulations:

Year Name of Act & Regulation

1981 The Air Act

1986 The Environment (Protection)Act

1989 Manufacture, Storage and Import of Hazardous Chemicals Rules

1992 The public Liability Insurance Act, Rules

1996 The Chemical accidents( Emergency Planning Preparedness and

Response

2000 Ozone Depleting Substance Rules

2006 Environment Impact Assessment Notification

2008 The Hazardous Wastes ( Management, Handling and Trans-boundary

Movement) Rules

2011 Central Regulation Zone Notification

2011 E-waste Management Rules

Multilateral Agreements:

1993 Chemical Weapons Convention

1999 Rotterdam Convention on Prior Informed Consent

2001 Stockholm Convention on Persistent Organic Pollutants

Draft CHEMICAL PLANT SAFETY & SECURITY RATING SYSTEM

1

CHEMICAL PLANT SAFETY & SECURITY RATING FOR CHEMICAL INDUSTRY

1. Introduction:

A number of chemicals are required to be handled, stored and processed in appreciable quantities in any chemical, petrochemical, and petroleum industry. These chemicals pose various types of hazards due to their flammability, toxicity, explosive nature, corrosiveness etc. In view of such hazards, stringent regulatory requirement and various management systems & controls are introduced to ensure safety.

Inadequate awareness about handling of hazardous chemicals and products may lead to serious accidents with severe consequences on people, property and the environment. The rating system facilitates safe & secure handling, storage and processing of hazardous chemicals and in avoiding accidents and occupational diseases.

The rating system envisages a 2-stage methodology for assessment of safe & secure performance of a facility. The first stage acts as a screening mechanism to filter out organisations that do not meet even the basic requirements of safety & security systems essential for a chemical, petrochemical, and petroleum industry. The second stage is a rigorous assessment to benchmark the various safety & security systems being practiced by the organisation against the framework stipulated in this document. Each organization shall develop its own specific procedures for using this rating system and it can also be used as a self-assessment tool for continual improvement. For awarding the rating to a chemical facility, a standard assessment procedure would be followed.

2. Scope, Goal and Objective:

2.1 The Safety & Security Rating System (SSRS) will help the organisation to build a system as part of a process leading to reduction of near misses accidents, and such incidents for the overall improvement in safety performance to achieve better control over activities. The rating system will assess existing practices and serve as a yardstick for Health, Safety, Security, Environment (HSSE) management performance. The rating system in no way shall supersede the applicable statutory / regulatory requirements governed by the respective Ministries/Departments/agencies.

2.2 The goal of the rating system is to provide a tool for benchmarking a facility in terms of safety & security norms leading to elimination of harm to all stakeholders.

2.3 The key objective of the safety & security rating system is to assess or evaluate a facility in terms of the following:

Adoption of the best practices for safety and security in the chemical industry, including statutory / regulatory requirements


2

Systematic evaluation of all potential hazards to personnel, property and environment

Identification of areas for improvement to minimize incidents, security vulnerability and their consequences

3. Definitions:

The definitions given below shall apply for the purpose of this rating system:

3.1 Assesse:

An organization to be assessed for Safety & Security Rating.

3.2 Facility:

A facility includes Production Unit, Storage (packed, bulk) Location, Loading

Terminal, Plant, Warehouse, Laboratory, etc.

3.3 Assessment/Inspection:

It is the formal evaluation of the client’s facility for awarding the chemical

safety and security rating.

3.4 Assessment /Rating Team:

A multi-disciplinary team of qualified personnel designated as assessor(s)

having adequate experience of relevant industry to perform the assessment /

evaluation.

3.5 Occupational Health, Safety, Security and Environment Assessment:

A systematic, objective and documented evaluation of the occupational health,

safety, security and environmental performance.

3.6 Client:

An organization which appoints rating agency / team to carry out third party

assessment on its behalf.

3.7 Management Representative:

An official of the assesse organization authorized to deal with the rating team.

3.8 Nonconformity:

Non-fulfilment of specified requirement(s).

3.9 Observation:

A statement of fact made in the course of an assessment and substantiated by

objective evidence.


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3.10 Objective Evidence:

Qualitative and/or quantitative information, records and/or statement of facts

which are based on observation, measurement or test and which can be

verified.

3.11 Organization:

A company, corporation, firm, enterprise or institution in part or combination

thereof whether incorporated or not, public or private, that has its own functions

and administration.

4. Methodology of Assessment:

Prior to actual, formal assessment for awarding the rating, a preliminary evaluation

can be carried out by an internal team of the client for self-assessment. An external

agency / regulatory authority shall assess the HSSE performance and assign a

rating.

The following are the guidelines for conducting the assessment:

4.1 Formation of Multi-Disciplinary Assessment Team:

The assessment / self-assessment shall be carried out through a

multidisciplinary team. The composition of the team may vary depending

upon:

Size, nature, functions, etc. of the facility to be assessed, e.g.

Small, Medium or Large.

Background, knowledge and expertise of individual team members

to undertake an in-depth assessment in a particular industry.

For self-assessment, a team of 2 or more members with relevant domain

expertise, depending upon the size of the facility, with active involvement of

concerned departments, viz. Process, Production, Legal, HR, Maintenance,

Inspection, Electrical, Instrumentation, Fire, Safety, Security, etc. is

suggested. In multi-unit organizations, the team members could also be

drawn from the Head Office / Corporate Office and other operating Units

under its control.

In the case of formal assessment for awarding the rating, the composition of

the assessment team shall be on the similar lines representing specific

expertise for areas to be assessed. One of the team members shall be

nominated as a leader of the team. No member of the Assessment Team

shall have conflict of Interest with the client.


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4.2 Frequency of Assessment:

All facilities in a particular organization shall be assessed as per the

periodicity given in Table 3: Levels of Rating & Periodicity of Assessment.

However, a facility shall be assessed within 1 year of carrying out any major

modification. Depending upon the complexity of the facility, the size of the

assessment team and duration of the assessment may vary from 2 to 5

working days for a large and medium scale industry and 1 to 2 days for the

rest.

4.3 Use of Check List:

The assessor(s) shall use a comprehensive checklist given as the last part of

this document for undertaking a systematic, uniform, comprehensive and

speedy assessment to ensure that no important aspect is left out.

4.4 Preparation Before Site Visits for Assessments:

Before the Assessment team formally visits a particular facility for carrying

out the assessment/inspection for awarding the rating, it would be mandatory

to provide an overview of the organization, inter alia, covering the following:

Facility overview along with brief Process Description

Inventory of Chemicals handled

Previous Assessment reports including documents on Health,

Safety, Security & Environment (HSSE)

Copy of the existing Certifications, including HSSE

Applicable Statutory / Legal Regulations

Organizational Chart, including Emergency Response System

Details of accidents and investigation reports over the last 3 years

Details of violations / incidents related to Health, Safety, Security &

Environment over the last one year.

The assessment team shall study the relevant documents in advance to

have a fair understanding of the facility.


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4.5 Briefing:

Before carrying out/ conducting of an assessment, all concerned persons of

the facility would be briefed by the team leader about the scope of the

assessment.

4.6 Site Assessment:

Most of the information could be gathered through site assessment using

check list given in the last part of this document. The assessor(s) shall

record their observations to assess the efficacy of the existing systems &

practices in terms of the applicable framework.

Wherever necessary, observations shall be recorded in separate sheets.

During carrying out the assessment, the team shall be accompanied by

authorised / designated representative(s) of the client.

4.7 Discussions:

Further information, if required, can also be gathered through discussions

(formal & informal) with the site personnel and Installation / Plant Manager,

who are in-charge of the area or other site employees. The Assessment

team shall interact with persons from various disciplines. Formal discussions

could be in the form of brief sessions.

4.8 Mandatory Documents to be provided for Assessment:

The following documents shall be provided to the assessment team by the

client for verification:

Layouts

Piping & Instrumentation Diagrams (P&ID)

Process Flow Diagrams (PFD)

Operating Manuals

Health, Safety, Security, Environment (HSSE) Systems

Emergency Response Plan (ERP)

Incident records & investigations thereof

Maintenance / Inspection Manuals

Fire and Safety Manuals


6

Security Systems & Procedures

Any other relevant documents specific to the company

4.9 Closing Meeting:

After completion of the inspection/ assessment at the site and before

finalizing the report, the Assessment Team shall give a presentation to the

client covering strengths, weaknesses/ deficiencies and Opportunities for

Improvements in safety & security system, adopting a constructive approach,

as feedback to the Operating / Management personnel of the facility.

4.10 Preparation of Assessment Reports:

The work of the Assessment Team shall be presented in the form of a draft

Assessment Report, which shall contain observations & rating. The final

assessment report shall be submitted to the client after inviting comments /

views of client on the draft report. The final Assessment Report shall be

issued within 30 days of the site Assessment visit.

4.11 Follow up of Assessment Reports:

The post-assessment is equally important to ensure implementation of the

recommendations to strengthen the existing framework in place and take

suitable corrective measures to overcome the shortcomings, if any, identified

during the assessment. The client shall put in place a suitable mechanism for

implementing the recommendations given by the Assessment team and

submit the ‘Action Taken’ report to top management.

5. Safety & Security Assessment System: 5.1 Initial Screening:

The first stage of the assessment acts as a screening mechanism to filter out

those organizations that do not meet even the basic requirements of safety &

security systems, essential for a chemical, petrochemical, and petroleum

industry. The criteria consists of 7 Key Performance Indicators (KPIs) to

ascertain whether the organization has put in place management systems

that can improve HSSE system and is therefore likely to further benefit from

the assessment process. The criteria are articulated in the form of questions

that offer binary choices (“Yes/No”). The Assessment team shall go to the

next level of assessment only after all questions in the first level have been

answered in affirmative:


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Table 1: Criteria for Initial Screening

No. Key Performance Indicators Yes

√

No

√

1 Is there a written and approved HSSE Policy with

commitment of leadership at the facility?

2 Is there an approved & documented Process

Safety Management (PSM) System available and

implemented in the company?

3 Is there an approved & documented Workplace

Safety Management available and implemented in

the company?

4 Is an approved & documented Security

Management System available and implemented

in the company?

5 Is an approved & documented Emergency

Preparedness and Response Plan available and

implemented in the company?

6 Is an approved & documented system of Plant

Inspection and Audit available and implemented

for continual improvements?

7 Whether facility complies with statutory

requirements as applicable?

8 Does the facility handle corrosive, toxic, explosive

or inflammable materials?*

*If yes, KPI’s 16 to 19, as applicable, need to be evaluated.

Initial screening shall be carried out as part of pre-assessment before site visit.

However it shall be verified during assessment at the facility.

5.2 Final Assessment:

After getting an affirmative reply to all the 7 KPIs of the screening criteria, the

assessment shall move to the next level of final assessment which has [19] Key

Performance Indicators (KPIs). Each KPI has a number of Performance

Indicators (PIs) making a total of [ 2760 ] PIs. Weights are assigned to each KPI

in accordance with their importance in overall safety & security rating. The

details of KPIs and their corresponding weights are given below;


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Table 2: Final Assessment

KPI

No. KPI Description

No. of

PIs

Max.

Weight of

KPI

1 HSSE Organization and Leadership 10 200

2 Process Safety Management (PSM) 20 400

3 Work Place Safety 4 100

4 Fire Prevention & Protection System 2 100

5 Material storage, Handling & Transportation

and Lifting Tools & Tackles

3 100

6 Plant Inspection & Audits including Storages

& Tank farms

3 100

7 Occupational Health & Hygiene 2 100

8 Environment Protection & Waste

Management

2 100

9 Security Management 4 200

10 Communication System ( Hardware &

Software)

3 100

11 Incident Reporting, Investigation & Analysis 2 100

12 Contractor Management 2 100

13 Emergency Preparedness & Response 3 100

14 Training & Competency 3 100

15 Statutory & Legal Compliances, Insurance &

Documentation

2 450

16 Handling of inflammable chemicals 7 102

17 Handling of explosive chemicals 7 102

18 Handling of toxic chemicals 6 98


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19 Handling of corrosive chemicals 6 108

Total 91 2760

The maximum weight for each KPI varies (max. 450) depending upon its

importance in the overall safety & security management system. The maximum

score of all KPIs is 2760. The safety & security rating is assigned by adding the

total weights obtained for all the relevant applicable performance indicators in Table

3, assessed by assessor(s).

There are stars( 5-to-1) / levels of rating depending upon the overall percentage of

marks or the equivalent weights scored by a facility, i.e. excellent, very good, good,

fair and poor as interpreted below:

Table 3: Levels of Rating & Periodicity of Assessment

Star Rating % Score Periodicity of

Assessment

5-Star Excellent Above 90 3 Years

4-Star Very Good 80 - 90 3 Years

3-Star Good 70 - 80 2 Years

2-Star Fair 60 - 70 2 Years

1-Star Poor Below 60 1 Year

All above KPIs are applicable to each chemical, petroleum, and petrochemical or

industry irrespective of its size or investment viz. small, medium or larger scale unit.


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Table 4: Check List for Final Assessment for Safety & Security Rating

Key Performance Indicators (KPIs)

Performance Indicators (PIs)

Evaluation Questionnaire

Max. Score for each

Guidelines for Scoring

Rated Weight / Score

PI No.

Description

Max. Weight

KPI No.

Description Max.

Weight

1 HSSE Organization & Leadership

200 1.1 HSSE Policy

20 1) Is the HSSE policy statement signed/authorized by CEO?

2) Is HSSE policy comprehensive reflecting hazards, risks injury, property damage, occupational health & hygiene, environment protection and compliance with legislation, continual improvements, [sustainable development]?

3) Is the HSSE policy made known to all stake holders?

5

10

5

1) Max score for HSSE policy signed by CEO, if not zero for this PI

2) Max score if all mentioned aspects considered in policy or else score will be given on prorate basis

3) Max score if Documentary evidence is available for communicating policy to all stake holders or else prorate basis of % of stake holders communicated

1.2 HSSE Objectives & planning

20 1) Are HSSE objectives clearly defined and aligned with HSSE policy?

2) Is HSSE Annual action plan drawn?

10

10

1) Max score if HSSE objectives are clearly defined with goals & strategies or else on prorate basis

2) Max score if Action plan is drawn as per goals & strategies or else zero

1.3 HSSE Leadership & Administration

20 1) Is Organizational structure with Roles & Responsibilities institutionalized?

2) Whether HSE department is adequately staffed with qualified & competent persons appropriate to the nature and size of the organization?

10

5

1) Max score if documental evidence duly signed by competent authority is available or else zero


11




Max. Score for each



PI No.

Description

Max. Weight

KPI No.

Description Max.

Weight

3) Are Roles & Responsibilities clearly defined and communicated?

5 2) score will be given as per % of adequacy

3) If Documentary evidence is available of communicating role & responsibilities to all concerned gets max score or else prorate basis (% of concerned personnel communicated)

1.4 Senior Management Participation

20 1) Are safety rounds by senior management planned & implemented?

2) Are the findings communicated in writing to all concerned for compliance?

3) Are Management Review Meetings (MRMs) on HSE planned, conducted and minutes documented?

4) Are decisions taken in MRMs implemented?

5

5

5

5

1) Score will be on percentage of Plan ( No. of rounds) Vs Actual(No. of rounds conducted)

2) Score will be on percentage of Plan Vs Actual

3) Score will be on percentage of Plan Vs Actual

Score will be on percentage of Plan ( No. of decisions) Vs Actual( Implemented decisions)

1.5 HSSE Committee meetings

20 1) Are Safety committee meetings planned and conducted at least once in a quarter?

2) Is there a specified agenda?

3) Are the minutes of safety committee documented and communicated in written form?

4

4

4

1) Plan Vs Actual (percentage wise score)

2) Max score for HSE relevance of agenda, if not zero

3) Evidence of communication gets max score or


12




Max. Score for each



PI No.

Description

Max. Weight

KPI No.

Description Max.

Weight

4) Are the recommendations of safety committee(s) implemented in time bound manner?

5) 4) Are concerned employees apprised of safety committee recommendations?

4

4

else zero

4) Evidence of communication gets max score or else zero

1.6 HSSE budget

10 Exclusive expenditure on HSE for improving HSE performance. Does budgeting process adequately addresses the resource requirement for identified HSE improvements

10 Documentary evidence for significant expenditure to be provided. Plan Vs Actual (for percentage wise score)

1.7 Continuous Improvement

20 Is there a process of continuous improvement in HSSE performance e.g. adoption of best practices from industry peers, trends of accidents, incidents

20 1) LTIF : Previous year Vs Actual this year (Facility data only)

2) TRIR: Previous year Vs Actual this year (Facility data only)

3) FAR: Previous year Vs Actual this year ( Facility data only)

4) Audit compliance: Previous year Vs Actual this year

5) PME: Previous year Vs Actual this year

6) Regulatory requirements: Previous year Vs Actual this year

1.8 Documentation & Informatio

30 1) Are guidelines available for determining documents requiring control?

2) Is there a visual control/ Labeling standards for

3

3

Documentary & physical evidence will fetch max score or else zero for each aspect


13




Max. Score for each



PI No.

Description

Max. Weight

KPI No.

Description Max.

Weight

n Control

documents requiring control?

3) Is necessary information provided to concerned personnel?

4) Is an updated list of controlled document and recipients with designation maintained?

5) Are records identified with the appropriate part of organization, activity, product and service involved?

6) Is there a periodic review and revision of document and record management process?

7) Are current versions of controlled documents available at all locations where essential operations are performed?

8) Are all concerned informed of and provided with document changes when they occur?

9) Is there a system used to identify, classify and safeguard records?

10) Is back up system available?

3

3

3

3

3

3

3

3

1.9 Management reporting

20 1) Is there system for appraisal and development plans

2) Is there methodology for reporting lines and contact with all relevant parties

10

10

Documentary evidence will fetch max score or else zero for each aspect

1.10 Management Review Meeti

20 1) Is there mechanism for effective monitoring of implementation of recommendations given during MRM

2) Percentage of compliance of

5

15

1) Copies of Minutes of Meeting Max score or zero

2) Plan Vs Actual


14




Max. Score for each



PI No.

Description

Max. Weight

KPI No.

Description Max.

Weight

ng(MRM) – (Results & Review)

recommendations

2 Process Safety Management (PSM)

400 2.1 Process safety Information

20 1) Are all chemicals handled listed and MSDS available for all chemicals handled?

2) Are updated P&ID and PFD available?

3) Is Legal Register available?

4) Is updated Risk Assessment available?

5) Is information on process chemistry and reactivity data available?

4

4

4

4

4

1) Availability of list of chemicals handled and their MSDS document will fetch either max score or else zero

2) Updated P&ID and PFD will get max score or else zero

3) Updated and approved legal register will fetch max score or else zero

4) Updated and

approved Risk

assessment

document will

fetch max score or

else zero

5) Evidence will get full or else zero

2.2 Plant Lay out & Area Classification

20 1) Whether updated plant lay out with area classification has been available accessible and displayed at strategic places?

2) Is standard classification of hazardous zones in the facility, especially for electrical installations followed?

3) Whether safe distances as per relevant standards maintained?

5

5

10

1) Updated plant lay out available accessible and displayed at all identified strategic locations (Physical evidence on prorate basis

2) Physical evidence on prorate basis

3) Physical evidence on prorata basis


15




Max. Score for each



PI No.

Description

Max. Weight

KPI No.

Description Max.

Weight

2.3 Hazard Identification & Risk Assessment (HIRA)

20 1) Are standard/widely accepted & practiced methods to identify, determine and evaluate the hazards of the operations being followed?

2) Are steps taken to prevent and minimize risks of hazards?

3) Are there safety inter-locks, alarms and trip system in place?

4) Is QRA / LOPA done for all the operations and recommendations implemented?

5) Are all controls monitored / reviewed to ensure operability?

4

4

4

4

4

1) Documentary evidence of Method adopted for HIRA for all operations

2) No. of operations Vs Actual updated HIRA documents

3) Percentage of steps taken to prevent/minimize risks of hazard as per risk assessment. No. of steps to be taken Vs actual steps taken- physical evidence

4) Recommended Vs Actual

5) If QRA/LOPA done 50% marks and recommendations implemented points on prorate basis

6) Documentary evidence will get full or else zero

2.4 Standard Operating Procedures(SOPs)

20 1) Are written / updated Standard Operating Procedures (SOP) available for all operations, especially critical?

2) Are SOPs made available? Are the SOPs explained in the local language to the workers and understood by them?

3) Is there a process for periodic review and up

5

5

5

1) No. of operations Vs actual updated SOPs available

2) Documentary evidence will fetch max score or else zero



16




Max. Score for each



PI No.

Description

Max. Weight

KPI No.

Description Max.

Weight

gradation of SOPs and after major changes?

4) Have the workers been informed of the consequences of failure to observe SOPs?

5

4) Documentary & physical evidences will fetch max score or else zero

2.5 New Equipment Review

20 1) Is there a system for addressing any change in the existing unit, equipment or process?

2) Whether the P&I diagram and other related documents are updated accordingly?

3) Whether self assessment is conducted after induction of new equipment?

4) Is there established process for design and quality of induction of new equipment?

5

5

5

5





2.6 Management Of Change(MOC)- (People, Technology, Equipment

20 1) Is approved MOC process and documentation system available?

2) Does MOC address All capital projects?

3) Does MOC address All modifications of existing facilities?

4) Does MOC address the design modification and installation of vendor package equipment?

5) Does MOC address all changes of operating conditions outside the safe working parameters?

6) Does MOC address Instrument changes such as control valve trim

5

2

5

2

2

2


2) No. capital projects Vs Actual MOC

3) No. of modifications Vs Actual MOC

4) No. of design modifications Vs Actual MOC

5) No. of changes vs actual MOC

6) No. of instrument controls Vs actual MOC


17




Max. Score for each



PI No.

Description

Max. Weight

KPI No.

Description Max.

Weight

adjustments and changes of control parameters set points and alarm settings?

7) Does MOC address personnel changes in key positions?

2

7) Personnel changes Vs actual MOC

2.7 Simultaneous Operations(SIMOPS) – Non routine activities

20 1) Whether approved SIMOPS document available and concerned persons are aware of using SIMOPS document?

2) Is there a system for periodic review and revision or revalidation of SIMOPS?

10

10

1) Evidence of updated document


2.8 Permit –To-Work (PTW)

20 1) Is there approved Work Permit System?

2) Are all functions covered under Work permit system?

3) Is there a process for periodic audit of Work Permit System to ensure its effective implementation?

4) Whether job safety analysis / method statement conducted before undertaking the job?

5) Is there a system to train and certify / authorize people who are involved in clearance in Work Permit System?

4

4

4

4

4

1) Documentary evidence of updated PTW will get max score or else zero

2) Comprehensive Vs actual (prorate)

3) Evidence of audit will fetch max score or else zero

4) Documentary evidence will get max score or else zero

5) Documentary & physical evidence will fetch score on prorate basis

2.9 Asset Integrity and Reliability (Pres

20 1) Whether list of pressure vessels/equipment available which are operated at a pressure greater than the atmospheric pressure?

2) Are standards/codes of

5

5

1) Full list of pressure vessels will fetch max score or else zero

2) Standards/codes/


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Max. Score for each



PI No.

Description

Max. Weight

KPI No.

Description Max.

Weight

sure vessels & Process Equipment)

practice adopted for design, fabrication, operation and maintenance of the pressure vessels and records maintained?

3) Are safety devices available for these pressure vessels and functioning?

4) Is there a prescribed frequency for integrity check and safety device integrity checks conducted periodically?

5

5

design documents/fabrication details if any/O&M document availability (score on prorate basis)

3) No. of safety devices vs actual functioning (Physical evidence)(score will be on prorate basis)

4) Evidence of prescribed frequency of safety device integrity check will fetch 50% of total score and rest 50% weightage for periodic checks( safety devices Vs actual)

2.10 Inspection and Reporting Requirements (Maintenance)

20 1) Is a preventive maintenance system in place, including review thereof?

2) Is Identification and prioritization done for all equipment / system requiring preventive maintenance based on criticality?

3) Is there an established procedure for capturing maintenance needs based on condition of each equipment?

4) Are responsibilities assigned and frequencies established?

5) Is there a system in place to report in writing, on a day-

4

4

4

4

4

Documentary evidence will fetch max score or else zero


19




Max. Score for each



PI No.

Description

Max. Weight

KPI No.

Description Max.

Weight

to-day basis, all observed substandard actions or hazard conditions?

2.11 Engineering

20 1) Are relevant engineering regulations, codes and industry standards identified and periodically reviewed to ensure compliance?

2) Are all engineering controls identified, implemented and monitored regularly?

10

10

1) % compliance of Codes / industry standards / periodic review

2) Engineering controls required Vs availability Vs function Vs monitoring

2.12 Pre-start up Safety review

20 1) Is Pre- start-up safety review system implemented for new facilities and modified facilities?

2) Are Pre- start-up review findings addressed for new, modified and after major shutdown?

10

10

1) Documentary evidence of pre-start up safety review system for new facilities/modified facilities- 50% each weightage

2) Findings Vs actual

2.13 Electrical installation and protection equipment

20 1) Whether main single line diagrams of Electrical Power Distribution updated" and “As-built"?

2) Are the Installations duly approved by competent authority?

3) Are electrical equipment inspection planned and conducted?

4) Is the electrical Lock out & Tag out (LOTO) carried out with approved work permit system?

5) Is the integrity of flameproof equipment maintained w.r.t damages or missing bolts /nut in the junction boxes/panel covers /terminal boxes etc.?

6) Are the Transformer & Switchyards free of

2

2

2

2

2

1

Documentary evidence will fetch max score are else zero


20




Max. Score for each



PI No.

Description

Max. Weight

KPI No.

Description Max.

Weight

vegetation / dry grass?

7) Are all the electrical equipment (e.g. switchboards, Relays, Motors, Transformers & Bus ducts etc.) and junction / terminal boxes etc. vermin proof?

8) Are CO2 type fire extinguishers / other relevant fire detection and suppression system provided for electric fires?

9) Are personnel trained in first – aid and electric shock treatment? Are charts of the same displayed at strategic locations?

10) Are electrical facilities manned by competent personnel as per relevant statutory requirement?

11) Whether equipment / material conform to prescribed standards?

12) Substation provided with emergency lighting and equipment accessible for Operation, Inspection and Maintenance? Provision of Emergency light

13) Approved inspection schedule of Motor Control Stations followed and records maintained?

14) Earthing carried out as per IS: 3043 and earth leakage protection provided and functioning

15) Anti-static charge device fitted wherever necessary

1

1

1

1

1

1

1

1

1

2.14 Working at

20 1) Is there evidence of adherence to safe work

10 Documentary and physical evidence


21




Max. Score for each



PI No.

Description

Max. Weight

KPI No.

Description Max.

Weight

Height

practices during working at height like tagging system, maintenance records for fall arrest equipment

2) Is there approved scaffolding / working platform as per relevant standards?

10

50% each weightage

2.15 Confined space entry

20 1) Are safety measures taken in order to enter the Confined Space by preparing a Confined Space Entry Permit as per the procedure for issue of Permit to Work like Matrix of the isolation philosophy in place

2) Is there access control, stand by person, rescue plan, communication method for confined spaces?

10

10

Documentary Evidence of full information/data will get max score or else zero

Physical/documental evidence will fetch max score or else zero

2.16 Safe Isolation Systems and Equipment Controls

20 Do systems correspond to safe isolation methods and equipment control in place?

20 Max score for comprehensive isolation methods in place or else zero

Max score if all controls in place or else on prorate basis ( Requirement Vs Actual)

2.17 Hazardous substance Control

20 Is MISHC (Manufacture, Storage and Import of Hazardous Chemical) assessment in place?

20 Complete Documentary evidence will get max score or else zero

2.18 Radiation Sources &

20 1) Whether statutory approvals are secured before radiation source substances handling?

4

Complete Documentary evidence will get max score or else zero


22




Max. Score for each



PI No.

Description

Max. Weight

KPI No.

Description Max.

Weight

Non ionizing radiation

2) Are radiation sources kept in a controlled manner as prescribed?

3) Whether personnel handling such chemicals are properly trained?

4) Whether Personnel Protective Equipment necessary for handling such substances provided and used?

5) Are measurement and monitoring equipment and systems in place?

6) Is there evidence of records and usage of radioactive substances?

4

3

3

3

3

2.19 Management of Noise and Vibration

20 1) Has Noise survey been undertaken in the facility and meet statutory requirements?

2) Are procedures in place to prevent exposure to noise?

3) Are Health surveillance records available?

4) Are procedure in place as regard to vibration monitoring of heavy machinery generating noise and remedy thereof?

5

5

5

5

1) Adequacy Vs Actual

2) Documentary /physical evidence will fetch max score or else zero


4) Physical evidence will fetch max score or else zero

2.20 PPE assessment and controls

20 1) Is PPE assessment available with respect to job, selection, quality?

2) Are appropriate PPE being used in practice as per the job requirement?

3) Is quality of PPE being used appropriate?

4) Evidence to ensure that adequate controls are in

4

4

4

4

Documentary evidence will get max score or else zero

Physical evidence will fetch max score or else zero


23




Max. Score for each



PI No.

Description

Max. Weight

KPI No.

Description Max.

Weight

place for the correct provision, training, use and storage of PPE

5) Is there a mechanism for verifying Inspection / expiry of PPEs?

4

3 Work Place Safety

100 3.1 House keeping

25 1) Are all the passages, floors and stairways clearly marked and maintained?

2) Is Spillage management practiced?

3) Is there a waste/debris segregation and disposal system?

4) Are good housekeeping practices and standards made known to all employees and followed?

5) Is there a system to recognize and reward the individual/unit for maintaining good housekeeping?

5

5

5

5

5

Physical evidence to satisfaction of auditor

Documentary evidence for 4th & 5th question: Max score or else zero

3.2 Access, Stacking and storage

25 1) Is safe access provided to all places where workers need to work?

2) Are all such access in good condition?

3) Whether access is clear for easy approach and exit?

4) Are all drain covers provided and maintained in good condition?

5) Is integrity check of drains is conducted periodically?

5

5

5

5

5

Physical evidence to satisfaction of auditors

3.3 Ventilation, heating and lighting

25 1) Is ambient air quality monitored?

2) Whether dust/fumes/hot air is generated in the process? . If so, is there a exhaust/ dilution/ ventilation system provided?

5

5

1) Documentary evidence will fetch max score or else zero. Physical evidence, score on prorate

2) For questions


24




Max. Score for each



PI No.

Description

Max. Weight

KPI No.

Description Max.

Weight

3) Are periodic/preventive maintenance of ventilation system carried out and record maintained?

4) Is there a system for detection and measurement of fumes / gaseous emissions?

5) Are appropriate PPEs, used for protection from dust / fumes and gases?

5

5

5

2)/3)/4): Documentary evidence will fetch max. score or else zero

5) Physical evidence to satisfaction of auditors

3.4 Safety signs and notices

25 1) Is there mechanism to ensure that adequate signage is displayed to warn danger, hazards, actions to be taken, safe and prohibited areas?

2) Are escape routes clearly marked in the facility?

3) Are emergency lighting and illumination systems in place and functional?

10

10

5

Physical evidence is required and score will be on prorate basis

4 Fire Prevention & Protection System

100 4.1 Fi-Fi system Hardware

50 1) Are fire detection systems available?

2) Are fire protection system including fire alarms, voice alarms, equipment, emergency lighting, fire water reservoir available as per standards and requirement?

3) Are fire suppression systems available and maintained?

4) Is there a containment facility for contaminated fire water?

15

15

10

10

1) Requirement vs available(functional)

2) Fire alarms / Voice alarms / Fi Fi equipment (Monitors / Hydrants / Fire extinguishers / Fire pumps) / emergency lighting / fire water reservoir as per standards, score will be as per Requirement Vs availability percentage


25




Max. Score for each



PI No.

Description

Max. Weight

KPI No.

Description Max.

Weight

3) Adequacy Vs actual maintained (Prorate basis)

4) Physical evidence ( Full or zero)

4.2 Fi-Fi Systems & Practices

50 1) Is the firefighting system and equipment approved, tested and maintained as per relevant standard?

2) Is there a system of planned inspection and maintenance for firefighting system?

3) Are all identified areas of the plant covered by fire hydrants/monitors?

4) Are all personnel conversant with the fire prevention and protection measures?

5) Are all plant personnel trained in the use of portable fire extinguishers?

6) Are fixed or automatic fire fighting installation(s) provided?

7) Are fire drills planned and conducted as per prescribed norms?

8) Are fire safety assessment conducted and recommendations implemented?

9) Does firefighting Mutual aid facility exist?

10) Are all shifts manned by fire personnel?

5

5

5

5

5

5

5

5

5

5

1) For questions 1)/2)/9: Documentary evidence will fetch max. score or else zero

2) For questions 3) Norm Vs actual

3) For questions 4)/5): Both Documentary /physical evidence ( 50% each)

4) For questions 6) Norm Vs actual Percentage

5) For questions 7.Plan Vs Actual Percentage

6) For questions 8) Documentary evidence will fetch max. score or else zero

7) For questions 10) Physical evidence will fetch score on prorate basis

5

Material storage, Handling & Transportation and Lifting Tools

100 5.1 Material & Equipment Handling

40 Material Handling

1) Are there adequate storage facilities available?

2) Are material handling areas clearly defined?

3) Are all racks and steel

4

4

Physical evidence will fetch max. score or else zero


26




Max. Score for each



PI No.

Description

Max. Weight

KPI No.

Description Max.

Weight

& Tackles cages in good condition and safe working load displayed?

4) Are there adequate equipment for handling materials?

5) Do the workers know the hazards associated with manual material handling

6) Have workers been trained where manual handling is necessary?

7) Do workers follow safe practices for storage and handling of materials?

8) Do workers practice as trained?

9) Are hazardous chemicals handled with adequate PPE?

10) Are contractor workers provided with PPE during handling of hazardous chemicals?

4

4

4

4

4

4

4

4

5.2 Transportation

30 Surface Transportation

1) Are all transport vehicles roadworthy (own/outsource)?

2) Are loading/unloading instructions and safety precautions displayed?

3) Are loaded tankers/trucks parked in designated safe area?

4) Do all drivers carry TREM card or instruction booklet?

5) Do all drivers get training in handling emergencies during transportation?

6) Is GPS enabled In-Vehicle Monitoring System (IVMS) institutionalized and used for

2

2

2

2

2

2

1) Physical evidence will fetch max. score or else zero

2) Where both physical and Documentary evidences are required the score weightage will be 50% each, no evidence will be considered zero.


27




Max. Score for each



PI No.

Description

Max. Weight

KPI No.

Description Max.

Weight

monitoring of vehicle movement?

7) Are drivers’ details available and background checks done?

8) Is defensive driving training provided?

Pipeline Transportation

9) Are underground or over ground pipelines secured?

10) Are corrosion detection and protection measures employed in pipelines?

11) Is there a pipeline surveillance system implemented?

12) If the pipelines are in the public domain, is public awareness, signage and emergency contact details provided?

13) Are the pipelines dedicated for each type of chemicals?

14) Are the pipelines fitted with safety equipment such as leak detectors, automatic shut-off valves, etc?

15) Is there a documented procedure for tackling leakage in pipeline?

2

2

2

2

2

2

2

2

2


28




Max. Score for each



PI No.

Description

Max. Weight

KPI No.

Description Max.

Weight

5.3 Lifting Tools & Tackles

30 1) Whether all the lifting machines are marked with their SWL and date of test by competent person?

2) Are all the examinations and tests documented in the prescribed form and statutory submissions made in time?

3) Are adequate lifting tackles provided at all the places where they are required, maintained in good condition and records kept?

4) Are trained operators engaged for operating the lifting equipment?

5) Is there a system for identification and safe disposal of rejected lifting tools & tackles?

6

6

6

6

6

1) No. of lifting machines vs actual( Percentage)

2) Requirement vs Actual( Percentage)

3) Requirement vs Actual will get score of 4 and for records, score will be 2

4) Physical evidence will get max. score or else zero

5) For system in place score will be 3 and for physical evidence of safe disposal the score will be 3

6 Plant Inspection & Audits including Storages & Tank farms

100 6.1 Plant Inspection

30 1) Are safety inspections planned and carried out as per defined frequency?

2) Are all substandard conditions observed during planned inspections reported in writing and corrective actions taken?

3) Is there a comprehensive system to identify, inspect and control critical components/parts/items associated with the following?

All areas / locations

All structures and buildings (stability certificates)

All equipment

10

10

10

1) Plan vs Actual( Percentage)

2) Documentary evidence will fetch o max. score or else zero

3) Evidence of system in place will get 5 and physical evidence of control will get score on prorate basis for each components

6.2 HSSE audit

30 HSE Audit

1) Is HSE audit conducted

10

1) Plan vs Actual(


29




Max. Score for each



PI No.

Description

Max. Weight

KPI No.

Description Max.

Weight

periodically?

2) Is there a system to review, implement and comply with recommendations of external audits?

3) Is the compliance of internal safety & security audit recommendations ensured?

10

10

Percentage)

2) System in place will get 5 p and for compliance of recommendations it would be on percentage basis


6.3 Storages & Tank Farms

40 Inspection of Storage tanks

1) Is there a documented inspection procedure for storages and tank farms?

2) Are inspection conducted as per prescribed procedures and defined periodicity?

3) Are relevant statutory requirements for storage followed?

4) Are Instrument controls & Electrical installations including earthing systems provided, maintained and calibrated as per standards?

Tank Manifold Area

5) Is Tank Area properly fenced and accessible with controlled access?

6) Are storage vessels exceeding threshold quantities specified in MSIHC, Rules 1989 identified)?

7) Are the controls in tank manifold area identified, listed maintained and calibrated?

8) Are flameproof electrical installations provided for tanks storing flammable material?

Dyke Area & Pumping System

2

2

2

2

2

2

2

2

Both physical and Documentary evidences are required.

Where both physical and Documentary evidences are required the score will be 50% each, no evidence will be considered as zero score for each question


30




Max. Score for each



PI No.

Description

Max. Weight

KPI No.

Description Max.

Weight

9) Are these storage vessels/tanks dyked and integrity checked?

10) Is the capacity of the bunds/dykes as per design criteria for such storage?

11) Are vessels/tanks/piping bonded and earthed, periodically checked and records maintained?

12) Are isolation arrangements provided to prevent spillage in case of any mishap?

Safety Gadgets/Devices

13) Are the vessels/tanks fitted with remotely controlled isolation valves?

14) Are vessels provided with emergency vent, relief valve, bursting disc, level indicator, and pressure gauge, overflow line etc.?

15) Do such vents discharge at safe distance/ closed system?

16) Are the vessels provided with alarms for high level, high temperature and high pressure?

17) Are standby empty tanks provided for transferring material in case of emergencies? .

18) Is firefighting system provided for tackling emergency situations around the storage vessels?

19) Is there a provision of lightening protection mechanism?

20) Whether safe access to valves/manholes at the top

2

2

2

2

2

2

2

2

2

2

1

1


31




Max. Score for each



PI No.

Description

Max. Weight

KPI No.

Description Max.

Weight

of tanks provided?

Administrative Control

21) Has risk assessment and consequence analysis been carried out for the vessels/storage tanks?

22) Is periodical inspection/NDT carried out for the vessels to ensure the integrity of the vessels?

1

1

7 Occupational Health & Hygiene

100 7.1 Occupational Health

60 Occupational Health

1) Does organization have Occupational Health Manual?

2) Is occupational health center available in the unit premises?

3) Does it conform to the provisions of the existing legislation?

4) Are there adequate, qualified and competent Medical Attendants/Doctors? Are they trained in pertinent occupational diseases?

5) Are adequate number of ambulance vans available in round the clock and in working condition?

6) Is there liaison/ tie-up with the nearby hospital(s)?

7) Is Independent Medical Examination (IME)/Periodic Medical Examination (PME) done for each employee and results used for necessary remedial actions

8) Is first- aid training given to employees?

6

6

6

6

6

6

6

6

Both physical and Documentary evidences are required and fetch max. score or else zero.

Where both physical and documental evidences are required the score will be 50% each, no evidence will be considered zero score for each point


32




Max. Score for each



PI No.

Description

Max. Weight

KPI No.

Description Max.

Weight

9) Are employees’ Medical profile maintained periodically and remedial actions taken?

10) Are Ergonomic hazards identified and addressed?

6

6

7.2 Industrial Hygiene

40 Industrial Hygiene

1) Are applicable Industrial hygiene standards being followed?

2) Are Industrial Hygiene audits being carried out and recommendations implemented?

20

20

1) Norms Vs Actual(Percentage)

2) Audits Planned Vs Actual will get score of 10 and score for compliance of recommendations will be on percentage of compliance basis

8 Environment Protection & Waste Management

100 8.1 Environment Protection

60 Environment Protection Initiatives

1) Are hazardous properties of material e.g. toxicity, corrositvety, flammability, explosivity, radiation established?

2) Is there a system for Chemical spillage management?

3) Is ambient air quality check carried out?

4) Are environment audits/assessment planned and conducted?

5) Is there a system for effluent treatment before its disposal as per prescribed norms?

6) Is concept of Reduce-Recycle-Reuse of effluent water practiced or planned?

7) Is Rain harvesting practiced or planned?

8) Is tree plantation / green

10

10

10

10

5

5

5

5

1) Evidence of establishment of each component will get score on prorate weightage basis or zero

2) System in place will fetch max. score

3) Plan Vs Actual ( Percentage)


5) For questions 5)/6)/7)/8 Physical evidence will fetch max. score or else zero


33




Max. Score for each



PI No.

Description

Max. Weight

KPI No.

Description Max.

Weight

initiative practiced?

8.2 Waste Management

40 Waste management including E-waste

1) Is waste generation, minimization practiced?

2) Is waste segregation & storage system in place?

3) Is safe disposal system of hazardous waste in place?

15

10

15

1) Physical evidence of proper segregation will get score of 10 or else zero

2) Physical evidence of proper/adequate/safe storage will get score of 10 or else zero

3) Documentary evidence of proper disposal system in place as per prescribed norms will get 10 and physical evidence will get rest 10 , no evidence will get zero.

9 Security Management

200 9.1 Material & Personnel Safety Systems

50 1) Is there a gate access control system for Personnel and materials?

2) Are there access control systems for all restricted areas?

3) Is background information of personnel including contractor employees checked and regularly verified?

15

15

20

1) Physical evidence will get max. score or else zero

2) Physical evidence will fetch max. score or else zero

3) Both physical and Documentary evidence are required and score will be 50% each ( Full or zero)

9.2 Security Systems (CCTV, Patrol

50 1) Whether surveillance system has been installed at all vulnerable areas and supervised round the clock?

2) Is there a manual or electronic Gate access system?.

10

10

1) Vulnerable areas vs Actual provision of surveillance system

2) Physical evidence will fetch max.


34




Max. Score for each



PI No.

Description

Max. Weight

KPI No.

Description Max.

Weight

ling, Watchtowers)

3) Is there CCTV surveillance system including night vision with control room at all vulnerable areas?

4) Are CCTVs / Surveillance system maintained properly?

5) Are security mock drills done regularly?

10

10

10

score or else zero

3) Vulnerable areas vs Actual provision of CCTVs

4) No. of CCTVs vs actual functioning

9.3 Measures for combating chemical security threats

50 1) Are measures to avoid theft / misuse of hazardous & dual use chemicals in place?

2) Are measures to avoid sabotage in operating unit & during transportation causing explosions, fire in place ?

3) Are measures to avoid attack on chemical tankers on route to destinations in place?

4) Are measures to combat bomb threat in place?

5) Are sniffer dog or bomb threat mock drills conducted periodically ?

10

10

10

10

10

Documentary evidence will fetch max. score or else zero for all questions

9.4 Security / Intelligence System

50 1) Is security intelligence gathered as per the threat perception?

2) Whether random security checks done at different tiers?

25

25

Evidence of pro-active approach for effectiveness will fetch max. score

10 Communication System( Hardware & Software)

100 10.1 Communication Hardware

40 1) Are all required mode of communication systems documented and provided?

2) Is Integrity of communication hardware ensured?

20

20

1) Norm Vs Actual ( Percentage)

2) 2.Physical evidence on prorate basis ( as per number of units)

10.2 Personal

30 1) Does the organization have safety suggestion schemes?

6 Documentary evidence will fetch


35




Max. Score for each



PI No.

Description

Max. Weight

KPI No.

Description Max.

Weight

Communication

2) Is the literature on safety and health made available to the employees?

3) Is there a formal system for giving task instructions to each employee for every new or different task assigned?

4) Is there a formal system used for planned personal contacts with employee?

5) Are Pep talks on safety matters arranged with employee?

6

6

6

6

max. score or else zero for each question

10.3 Group Communication

30 1) Are safety promotional programs planned and organized in the unit?

2) Are safety and health subjects covered in unit publication?

3) Is the literature on safety and health made available to the employees

4) Is the safety and health publicized through?

i. Bulletin boards?

ii. Post serious accidents?

iii. Newsletter?

iv. Website

v. Other means?

5) Are Safety culture promotional campaigns conducted?

6) Are awards for safety performance constituted?

7) Does organization/unit participate in National Awards/ schemes?

8) Has unit been recognized

3

3

3

3

3

3

3

3

1) Both physical and Documentary evidences are required and fetch max. score otherwise zero score.

2) Where both physical and Documentary evidences are required the score will be 50% each, no evidence will be considered zero score for each question


36




Max. Score for each



PI No.

Description

Max. Weight

KPI No.

Description Max.

Weight

during last five years for safety performance?

9) Is there a system to have loss control meetings and provide guidance for the timely coverage of critical?

10) Is there HSE Knowledge management system and accessible by all employees?

3

3

11 Incident Management

100 11.1 Incident Reporting

40 1) Is there formal incident reporting system in place?

2) Whether timely and adequate reporting of near miss, minor incidents / accidents practiced?

20

20

1) Evidence of system in place will get max. score or else zero

2) For questions 2)/3 :Both physical and Documentary evidences are required ( 50% each)

11.2 Incident Investigation & Analysis

60 1) Is there a system of classification and analyzing the near-miss incidents and other accidents for root cause?

2) Are all high potential near-miss incidents and major accidents investigated?

3) Is there a system to retain investigation reports?

4) Are recommendations of incident investigation committee’s implemented?

5) Are accident data and statistics maintained?

6) Is there a system to apprise top management of the accident data for actions?

7) Are case studies prepared based on incidents for awareness programmes and trainings?

6

6

6

6

6

6

6

1) Both physical and Documentary evidences are required and fetch max. score otherwise zero score.

2) Where both physical and Documentary evidences are required the score will be 50% each, no evidence will be considered zero score for each question


37




Max. Score for each



PI No.

Description

Max. Weight

KPI No.

Description Max.

Weight

8) Is there a system to ensure implementation of the recommendations and lessons learnt to avoid the recurrence of the incidents and accidents?

9) Whether safety alerts are issued based on lessons learnt?

10) Is there a system of dissemination of enquiry committees’ recommendations?

6

6

6

12 Contractor Management

100 12.1 Contractor Worker qualification & Training

60 1) Is there a defined criterion for selection of contractors & workers, including performance?

2) Are the contract workers recognized on par with company employees to improve HSSE culture?

3) Is there a system to impart training for contractual employees?

4) Is there a system to check & ensure Competence and qualification of contractor’s workers and supervisors?

5) Are Audio-Visual Safety briefing facilities provided and used for effectiveness in training?

6) Involvement of contract workers in all HSSE activities like mock drills, TBTs, PPEs, suggestion schemes?

10

10

10

10

10

10

1) Max score if approved document which defines contractor selection criterion and mentions safety performance is one of the key criterion is available and used or else zero

2) Physical & Documentary evidence will fetch max. score or else zero

3) Documentary evidence, No, of contractual workers engaged vs no. of engaged contractual workers trained

4) System in place will fetch max. score or else zero

5) Physical evidence will get max. score otherwise


38




Max. Score for each



PI No.

Description

Max. Weight

KPI No.

Description Max.

Weight

zero score

6) For Documentary evidence, the score would be on pro rate basis (for mock drills, TBTs, PPEs)

12.2 Involvement of contract workers in HSE awareness campaign

40 1) Does organization have a system to involve contractor workers in HSE awareness programs apart from training?

2) Are contractor workers recognized / awarded for their motivation?

20

20

No. of HSE awareness programmes planned vs Actual no. of programmes conducted( Score will be on percentage basis)

13 Emergency Preparedness & Response

100 13.1 ERP Documentation (On-site, Off-site)

30 1) Whether different types of Emergency scenarios identified that may be encountered in the facility?

2) Are the Preparedness Plans developed for addressing identified emergency scenarios in both On-site and Off-site?

15

15

1) Emergency scenarios identified as per Risk assessment vs actual scenarios identified

Relevant Man made /natural disasters as per NDMA guidelines vs actual disaster scenarios identified

2) Approved Comprehensive Emergency response plan, Disaster management plan ( On-site/Off-site)- Equal weightage

13.2 Preparedness &

60 1) Are mock drills planned and conducted, to test efficacy of emergency plan, as per the

12

1) Plan vs Actual (Percentage)

2) Documentary


39




Max. Score for each



PI No.

Description

Max. Weight

KPI No.

Description Max.

Weight

Response( Mock drills, Tool Box Talk, Mutual Aid partners, Command structure

prescribed frequency?

2) Is there Mutual aid scheme established?

3) Is approved command and control system in place?

4) Are all concerned trained in Emergency Management?

5) Does organization have Crisis Management Team (CMT) with defined roles & responsibilities, adequately equipped for tackling emergency?

12

12

12

12

evidence( Percentage)

3) Documentary evidence and display( Percentage)

4) Plan Vs Actual( Percentage)

5) Physical & Documentary evidence ( Percentage)

13.3 Community Awareness

10 1) Whether hazards associated with facility have been disclosed to the local community?

2) Whether dos & don’ts in case of emergency have been informed to local community

5

5

Documentary evidence will fetch max. score or else zero( At least two programmes to be conducted)

14 Training & Competency

100 14.1 Training Facilities

30 1) Is there a system to identify training needs?

2) Are infrastructure facilities with audio-visual (multimedia) support available for training?

3) Are Visits to safety institutions/ organizations arranged?

4) Is competent and adequate faculty available in house or external/ guest as per the nature and need?

5) Is there a provision of refresher training / courses in place?

6) Is there a system to ‘Train the Trainers’?

5

5

5

5

5

5

1) Documentary evidence (Full or zero)

2) Physical evidence ( Full or zero)


4) Requirement vs available




40




Max. Score for each



PI No.

Description

Max. Weight

KPI No.

Description Max.

Weight

14.2 Training structure

30 1) Is there a program of induction training for all categories of employees?

2) Do the programs cover the plant safety rules, hazard communication and other special safety rules or procedures unique to the facility or specific departments?

3) Is there a feedback system for measuring effectiveness / improvement in training

10

10

10

Documentary physical evidence max score or else zero

14.3 Competency Based Training(CBT)

40 Is there system to impart Competence Based Training (CBT) for concerned employees in place?

40 Documentary evidence will fetch max. score or else zero

15 Statutory & Legal Compliances, Insurance & Documentation

450 15.1 Statutory & Legal Compliances

50 1) Is there a system for monitoring/review to identify and capture statutory and legal requirements and their compliance and keeping them current?

2) Does the monitoring system address regulatory issues?

3) Are findings from the monitoring system regularly communicated to concerned authority for compliance?

20

15

15

Documentary evidence will fetch max. score or else zero

15.2 Statut-ory Requi-remen-ts’

compl

400 1. Environment Protection Act, 1986 amended 1991, and Rules 1986 2.Environment Impact

Assessment Notification, 2006

3.The Hazardous Waste

25

15

15

For all the Acts, Rules, Guidelines, etc., which are applicable to the facility under inspection, the assessment team will check the compliance certificate, issued by


41




Max. Score for each



PI No.

Description

Max. Weight

KPI No.

Description Max.

Weight

iance certificates

(Management & Handling) Rules, 1989, amended 2000 and 2003 4.. The Manufacture, Storage & Import of Hazardous Chemical Rules, 1989

5. The Chemical Accidents/ Emergency, Planning, Preparedness, Response) Rules, 1986 6. The Public Liability Insurance Act, 1991 and Rules, 1994 7. The Air(Prevention & Control of Pollution) Act, 1981, amended 1987, and Rules, 1983 - The Water(Preventing &

Control of Pollution) Act, 1974, and Rules 1975

- Petroleum Act 1934, and Rule 2002

- Petroleum & Natural Gas

( Safety in offshore operations), 2008

- Oil Mines Regulations (OMR), 1984

8. Petroleum & Natural Gas ( Safety in offshore operations), 2008 9. PNGRB Regulations, 2010 10. Inflammable Substance Act,

1952

11. The Factories Act, 1948

15

20

10

15

15

20

20

20

20

20

10

25

the competent authorities. If the required certificate(s) is available full marks will be given otherwise zero.


42




Max. Score for each



PI No.

Description

Max. Weight

KPI No.

Description Max.

Weight

12. The Motor Vehicles Act, 1988 and Rules, 1989 13. The Explosives Act, 1884, and Rules 2008 14. The Calcium Carbide Rules, 1987 15. The static & Mobile Pressure Vessles (Unfired) Rules, 1981

16. The Gas Cylinders Rules, 2004 17. The CWC Act, 2000 18 The Disaster Management Act, 2005, and Guidelines on Chemical Disaster (Industrial)

19. Insecticides Act, 1968

20. Any other applicable Act/Rule/ Guidelines

15

15

10

15

10

15

25

15

15

16 Handling of

Inflammable

chemicals

102 16.1 Legal

Comp

liance

15 1) Are necessary applicable legal licenses or permits in place?

2) Are all the legal requirements pertaining to the storage and handling of the chemicals being complied with?

3) Is there a system in place to monitor, review and update the legal requirements?

5

5

5

To be verified with Documentary evidence.

To be verified with Documentary evidence

To be verified with Documentary evidence

16.2 Risk

asses

17 1) Are comprehensive risk assessment studies carried

5

1) Updated and approved risk


43




Max. Score for each



PI No.

Description

Max. Weight

KPI No.

Description Max.

Weight

sment out taking into consideration the chemicals beings used, operation involved, the extent of the effect of any incident at the site e.g. MCLS?

2) Are the controls identified in the above studies implemented and monitored for continuous operability?

3) Are measures in place to avoid or control the release at the source or to prevent the formation of an explosive atmosphere?

4) Is the electrical zone classification/zoning done for all the areas in the facility? Are the different zones identified in the production area with the help of relevant signage?

5) Are all classified zones appropriately protected from sources of ignition, through the selection of equipment (i.e. electrical and mechanical installations) and protective systems compliant with the zone defined?

4

2

3

3

assessment will fetch max score or else zero

2) "Recommended Vs Actual recommendations implemented points on prorate basis"


4) Documental evidence will fetch max score or else zero

5) Documental evidence will fetch 50% and physical evidence will fetch 50 % or else zero

16.3 Stora

ge &

transp

ortatio

n of

toxic

chemi

cals

22 1) Are the tank farms and storage area designed as per internationally recognized standards considering the material properties (e.g. CCOE, etc.)?

2) Are safe distances maintained around the storage tanks containing the

3

3


2) "Recommended Vs Actual recommendations


44




Max. Score for each



PI No.

Description

Max. Weight

KPI No.

Description Max.

Weight

inflammable chemicals in line with the legal requirements?

3) Is the access to the storage tanks/areas of the hazardous chemicals restricted/controlled?

4) Is there a well-defined inventory management procedure in place?

5) Are vehicles carrying the hazardous chemicals inspected from HSE/legal perspective prior to the start of loading/start of each journey ?

6) Are the vehicles carrying inflammable chemicals provided with spark arrestors?

7) Is hazard labeling provided on the tanker/truck carrying hazardous chemicals?

8) Are drivers informed about the hazards associated with the chemicals being transported?

9) Are the drivers trained and certified as per statutory requirements to drive vehicles carrying hazardous chemicals?

2

3

3

2

2

2

2

implemented points on prorate basis"

3) Physical evidence score will be the discretion of auditors







16.4 Asset

Integri

ty and

Relia

15 1) Are provisions made for lightening protection? Is there a plan in place for the regular inspection and maintenance of these

2



45




Max. Score for each



PI No.

Description

Max. Weight

KPI No.

Description Max.

Weight

bility equipment?

2) Is the workplace designed, constructed and maintained to provide adequate fire and explosion resistance?

3) Is there a procedure in place for the routine inspection and maintenance of the equipment?

4) Are safety installation such as breather valves/flame arrestors, pressure safety valves etc. present on the storage tanks and other relevant pressure vessels? Are these inspected regularly?

5) Are the storage tanks protected against overfilling e.g. high level trips?

6) Are the storage tanks properly earthened? Is there a regular inspection of the earthing pits? Is the earthing done as per any recognized standards?

7) Is grounding and bonding adequate for all the equipment, pipelines and personnel? Are these inspected regularly?

2

2

3

2

2

2





6) Documental evidence will fetch 50% and physical evidence will fetch 50 % or else zero

7) Complete documental evidence will get max score or else zero

16.5 Hazar

dous

materi

al

Handl

ing

13 1) Is the information on the hazards corresponding to the handling of the chemicals displayed at the relevant locations and is the same communicated to the employees? Are adequate safety showers and eye wash available at relevant locations?

2) Is a spill control procedure in

4

2


2) Documental


46




Max. Score for each



PI No.

Description

Max. Weight

KPI No.

Description Max.

Weight

place and is the procedure communicated to the employees?

3) Is a decontamination procedure in place for tools and equipments? Is there a sign/label indicating the decontamination of the equipment?

4) Does leak detection system exist in the storage and handling area?

5) Is there a documented waste management procedure in place and is the procedure shared with the employees?

2

3

2

evidence will fetch max score or else zero




16.6 Stand

ard

Opera

tions

proce

dures

and

codes

12 1. Are comprehensive SOP's in place for all the operations?

2. Are these SOP's displayed/available at the relevant locations? Are employees trained on SOP's?

3. Is there a procedure for periodic review and document control of the SOP's?

5

5

2


16.7 PPE

requir

ement

8 1. Is an assessment carried out to assess the job specific PPE's to be used?

2. Is there a procedure in place to ensure the maintenance/replacement of the PPE's?

3. Are signage concerning the usage of PPE's displayed at the relevant locations in the production area?

3

3

2



47




Max. Score for each



PI No.

Description

Max. Weight

KPI No.

Description Max.

Weight

17 Handling of

Explosive

chemicals

102 17.1 Legal

Comp

liance

15 1) Are necessary relevant legal licenses or permits in place?

2) Are all the legal requirements pertaining to the storage and handling of the chemicals being complied?


5

5

5

1) Max score for licenses and permits if not zero for this PI



17.2 Risk

asses

sment

22 1) Are comprehensive risk assessment studies carried out taking into consideration the chemicals beings used, operation involved, the extent of the effect of any incident at the site e.g. MCLS?

2) Are the controls identified in the above studies implemented and monitored for continuous operability?

3) Are measures in place to avoid or control the release at the source or to prevent the formation of an explosive atmosphere?

4) Is there a risk of explosion and if so, are there control measures existing to minimize the risk associated?

5) Is the electrical zone classification/zoning done for all the areas in the facility? Are the different zones identified in the production area with the help of relevant

5

5

2

2

2

1) Updated and approved risk assessment will fetch max score or else zero






48




Max. Score for each



PI No.

Description

Max. Weight

KPI No.

Description Max.

Weight

signage?

6) Are all classified zones appropriately protected from sources of explosion through the selection of equipment (i.e. electrical and mechanical installations) and protective systems compliant with the zone defined?

7) Are non-metallic or spark resistant tools when handling explosive materials?

8) Are the solid explosives stored within blast proof walls?

2

2

2



8) Physical and documental evidence

17.3 Stora

ge &

transp

ortatio

n of

toxic

chemi

cals

20 1) Are the tank farms and storage areas designed as per internationally recognized standards considering the material properties (e.g. CCOE, etc.)?

2) Are safe distances maintained around the storage tanks containing the explosive chemicals in line with the legal requirements?

3) Is the access to the storage tanks/areas of the hazardous chemicals restricted/controlled?


3

3

2

2



3) Documentary evidence will fetch 50% and physical evidence will fetch 50 % or else zero

4) Documentary evidence will fetch max score or else


49




Max. Score for each



PI No.

Description

Max. Weight

KPI No.

Description Max.

Weight

5) Are vehicles carrying the explosive chemicals inspected from HSE/legal perspective prior to the start of loading/start of each journey?

6) Are the vehicles carrying explosive chemicals provided with suitable protection, e,g. spark arrestors?

7) Is explosive labeling provided on the tanker/truck carrying hazardous chemicals?

8) Are drivers informed about the explosive characteristics associated with the chemicals being transported?

9) Are the drivers trained and certified as per statutory requirements to drive vehicles carrying explosive chemicals?

2

2

2

2

2

zero






17.4 Asset

Integri

ty and

Relia

bility

15 1) Are provisions made for lightning protection? Is there a plan in place for the regular inspection and maintenance of these equipments?

2) Is the workplace designed, constructed and maintained to provide adequate fire and explosion resistance?

3) Is there a procedure in place for the routine inspection and maintenance of the

2

2

2



3) Documentary evidence will fetch max score or else


50




Max. Score for each



PI No.

Description

Max. Weight

KPI No.

Description Max.

Weight

equipments?

4) Are safety devices like breather valves/flame arrestors, pressure safety valves etc. present on the storage tanks and other relevant pressure vessels? Are these inspected regularly?

5) Are the storage tanks protected against overfilling e.g. high level trips?

6) Are the storage tanks properly earthed? Is there a regular inspection of the earthing pits? Is the earthing done as per any recognized standards?

7) Is grounding and bonding adequate for all the equipment, pipelines and personnel? Are these inspected regularly

3

2

2

2

zero




7) Complete Documentary evidence will get max score or else zero

17.5 Hazar

dous

materi

al

Handl

ing

11 1) Is the information on the explosive characteristics corresponding to the handling of the chemicals displayed at the relevant locations and is the same communicated to the employees? Are adequate safety showers and eye wash available at relevant locations?

2) Is a spill control procedure in place and is the procedure communicated to the employees?

3) Is a decontamination procedure in place for tools and equipments? Is there a sign/label indicating the

3

2

2



3) Complete Documentary evidence will get max score or else


51




Max. Score for each



PI No.

Description

Max. Weight

KPI No.

Description Max.

Weight

decontamination of the equipment?



2

2

zero



17.6 Stand

ard

Opera

tions

proce

dures

and

codes

11 1) Are comprehensive SOP's in place for all the operations?

2) Are these SOP's displayed/available at the relevant locations? Are employees trained on SOP's?

3) Is there a procedure for periodic review and document control of the SOP's?

5

4

2




17.7 PPE

requir

ement

8 1) Is an assessment carried out to assess the job specific PPE's to be used?

2) Are specialized PPE's used during the handling of the chemicals e.g. conductive wrist straps, flame resistant or flame retardant clothing, etc.?

3) Is there a procedure in place to ensure the maintenance/replacement of the PPE's?

4) Are signage concerning the usage of PPE's displayed at the relevant locations in the production area?

2

2

2

2


2) Physical and Documentary evidence




52




Max. Score for each



PI No.

Description

Max. Weight

KPI No.

Description Max.

Weight

18 Handling of Toxic chemicals

98 18.1 Legal Compliance

15

1) Are necessary relevant legal licenses or permits in place?



5

5

5




18.2 Risk assessment


2) Is there a toxicological risk and if so are there control measures existing to minimize the risk associated with it?

3) Are the safety controls identified in the above studies implemented and monitored for continuous operability?

4) Are the equipment selected in line with the requirements arising from the risk assessment studies?


5

2

5

5

5



3) "Recommended Vs Actual Recommendations implemented points on prorate basis"

4) Recommendations implemented points on prorate basis

5) Max score for procedures if not zero for this PI

18.3 Storage & transportatio

16

1) Is the access to the storage tanks/areas of the toxic chemicals restricted/controlled?

3

1) Documentary

evidence will fetch

50% and physical


53




Max. Score for each



PI No.

Description

Max. Weight

KPI No.

Description Max.

Weight

n of toxic chemicals


3) Are storage tanks compatible with the chemicals being stored? Are storage areas maintained as per the material properties?

4) Are vehicles carrying the toxic chemicals inspected from HSE/legal perspective prior to the start of loading/start of each journey ?

5) Is hazard labeling provided on the tanker/truck carrying toxic chemicals?

6) Are drivers informed about the toxicity associated with the chemicals being transported?

7) Are the drivers trained and certified as per statutory requirements to drive vehicles carrying toxic chemicals?

3

2

2

2

2

2

evidence will fetch

50 % or else zero







18.4 Hazardous material Handling

22 1) Is the information on the hazards corresponding to the handling of the chemicals displayed at the relevant locations and is the same communicated to the employees?

2) Is a spill control procedure in place and is the procedure communicated to the

5

2


2) Physical evidence score will be the


54




Max. Score for each



PI No.

Description

Max. Weight

KPI No.

Description Max.

Weight

employees?

3) Is a decontamination procedure in place for tools and equipment? Is there a sign/label indicating the decontamination of the equipment?

4) Is there a documented procedure in place for the containment of a toxic release and communication to the relevant stakeholders?

5) Are there bathing/changing facilities in place for the company and contractor employees?


7) Are periodic workplace assessment conducted for the level of toxic chemicals in environment?

8) Are sites using these toxic chemical equipped with safety showers and eyewash?


2

3

2

2

2

2

2

discretion of auditors

3) Complete documentary evidence will get max score or else zero







18.5 Standard Operations procedures and codes


2) Are these SOP's displayed/available at the relevant locations? Are employees trained on Sop's?

3) Is there a procedure for periodic review and document control of the

5 5

5

2



55




Max. Score for each



PI No.

Description

Max. Weight

KPI No.

Description Max.

Weight

SOP's?

18.6 PPE requirement


2) Are adequate compatible PPE's available for evacuation during the event of a toxic release?


4) Are signage’s concerning the usage of PPE's displayed at the relevant locations in the production area?

3

3

3

2





19 Handling of Corrosive chemicals

108 19.1 Legal Compliance

15 1) Are necessary relevant legal licenses or permits in place?



5

5

5




19.2 Risk assessment


2) Is there a corrosive risk and if so are there control measures existing to

5

2

1) Updated and approved risk assessment will fetch max score or else zero

2) Documentary evidence will fetch


56




Max. Score for each



PI No.

Description

Max. Weight

KPI No.

Description Max.

Weight

minimize the risk associated with it?

3) Are the safety controls identified in the above studies implemented and monitored for continuous operability?

4) Are the equipment selected in line with the requirements arising from the risk assessment studies?


5

5

5

max score or else zero

3) "Recommended Vs Actual Recommendations implemented points on prorate basis"

4) "Recommended Vs Actual recommendations implemented points on prorate basis”

5) Max score for procedures if not zero for this PI

19.3 Storage & transportation of toxic chemicals

31 1) Is the access to the storage tanks/areas of the corrosive chemicals restricted/controlled?


3) Are vehicles carrying the corrosive chemicals inspected from HSE/legal perspective prior to the start of loading/start of each journey ?

4) Are the storage tanks compatible with the chemicals being stored? Are storage areas maintained as per the material properties?

5) Are the storage tanks labeled with the relevant

5

3

2

3

2





5) Physical evidence score will be the


57




Max. Score for each



PI No.

Description

Max. Weight

KPI No.

Description Max.

Weight

signs indicating the hazards and PPE's to be used?

6) Is the segregation of chemicals done as per their compatibility?

7) Does standby storage facility exist, which is to be used in case of leakage?

8) Does a control mechanism for minimizing the damage from corrosive fumes e.g. scrubber exist?

9) Are drivers informed about the corrosiveness associated with the chemicals being transported?

10) Are the drivers trained and certified as per statutory requirements to drive vehicles carrying corrosive chemicals?

2

5

5

2

2

discretion of auditors






19.4 Hazardous material Handling

17 1) Is the information on the corrosive characteristics corresponding to the handling of the chemicals displayed at the relevant locations and is the same communicated to the employees? Are adequate safety showers and eye wash available at relevant locations?

2) Is a spill control procedure in place and is the procedure communicated to the employees?


4) Are all the secondary

5

3

3




4) Documentary


58




Max. Score for each



PI No.

Description

Max. Weight

KPI No.

Description Max.

Weight

installations (e.g. pumps, pipes etc.) corrosion-resistant appropriate to the type of chemicals and/or lined with corrosion resistant materials?

5) Is the surface of the dyke/bund resistant to damage by the chemicals being stored?

3

3

evidence will fetch

50% and physical

evidence will fetch

50 % or else zero

5) Documentary

evidence will fetch

50% and physical

evidence will fetch

50 % or else zero

19.5 Standard Operations procedures and codes


2) Are these SOP's displayed/available at the relevant locations? Are employees trained on Sop's?

3) Is there a procedure for periodic review and document control of the SOP's?

5

5

2

Documentary evidence will fetch max score or else zero

19.6 PPE requirement


2) Are adequate compatible PPE's available for evacuation during the event of a toxic release?


4) Are signage concerning the usage of PPE's displayed at the relevant locations in the production area?

3

3

3

2





TOTAL 2760 2760


59